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HomeMy WebLinkAboutFerreira Coastal Construction Company; 2018-10-17; PWS19-491UTIL (2)  Requirements for Contractors and Consultants CWSRF  A‐1  Appendix A Requirements for Contractors and Consultants Clean Water State Revolving Fund Agreement No. 14-820-550 State Revolving Fund Project No. C-06-7899-110 This project will receive funding from the Clean Water State Revolving Fund (CWSRF). According to the agreement between Carlsbad Municipal Water District and the California State Water Resources Control Board, the requirements below must be passed onto any contractor or consultant who performs work on this project. If a contractor/consultant hires a subcontractor/consultant, this information must also be included in the subcontract. Consultants and Contractors must assist Carlsbad Municipal Water District in meeting all the requirements of this Agreement. The page numbers referenced below are from the CWSRF funding agreement and are included in order to assist Carlsbad Municipal Water District in responding to any questions a contractor or consultant may have in regard to these requirements. In addition, the following related Appendices are being provided to assist contractors and subcontractors comply with CWSRF requirements: A.1 – The CWSRF Agreement 14-820-550 A.2 – Adopted Environmental Mitigation Monitoring and Reporting Plan A.3 – Disadvantage Business Enterprise Requirements A.4 – American Iron and Steel Requirements A.5 – Davis-Bacon Requirements A.6 – CWSRF Signage Requirements The successful bidder will follow the requirements for the Clean Water State Revolving Fund for all projects covered by this solicitation. In the paragraphs referenced below, the term “Recipient” refers to Carlsbad Municipal Water District not the contractor or consultant. Page 7. ARTICLE 2. 2.13. PROJECT ACCESS The Recipient agrees to ensure that the State Water Board, the Governor of the State, the United States Environmental Protection Agency, the Office of Inspector General, any member of Congress, the President of the United States, or any authorized representative of the foregoing, will have safe and suitable access to the Project site at all reasonable times during Project construction and thereafter for the term of the Obligation. The Recipient acknowledges that, except for a subset of archaeological records, the Project records and locations are public records, including all of the submissions accompanying the application, all of the documents incorporated by Exhibit A [see Appendix A.1, Exhibit A], and all reports, disbursement requests, and supporting documentation submitted hereunder. Page 9. ARTICLE 2. 2.17. FEDERAL DISADVANTAGED BUSINESS ENTERPRISE (DBE) REPORTING The Recipient agrees to report DBE utilization to the Division on the DBE Utilization Report, State Water Board Form DBE UR334. The Recipient must submit such reports to the Division semiannually within ten (10) calendar days following April 1 and October 1 until such time as the “Notice of Completion” is issued. The Recipient agrees to comply with 40 CFR part 33.301. [see Appendix A.1] Page 10. ARTICLE 2. 2.20. SIGNAGE [see also Appendix A.6] The Recipient shall place a sign at least four feet tall by eight feet wide made of ¾ inch thick exterior grade plywood or other approved material in a prominent location on the Project site and shall maintain the sign in good condition for the duration of the construction period. The sign shall include the following color logos (available from the Division [Division of Drinking Water]) and the following disclosure statement:   Requirements for Contractors and Consultants CWSRF  A‐2  “Funding for this project has been provided in full or in part by the Clean Water State Revolving Fund through an agreement with the State Water Resources Control Board. California’s Clean Water State Revolving Fund is capitalized through a variety of funding sources, including grants from the United States Environmental Protection Agency and state bond proceeds.” The Project sign may include another agency's required promotional information so long as the above logos and disclosure statement are equally prominent on the sign. The sign shall be prepared in a professional manner. The Recipient shall include the following disclosure statement in any document, written report, or brochure prepared in whole or in part pursuant to this Agreement: “Funding for this project has been provided in full or in part through an agreement with the State Water Resources Control Board. The contents of this document do not necessarily reflect the views and policies of the State Water Resources Control Board, nor does mention of trade names or commercial products constitute endorsement or recommendation for use. (Gov. Code § 7550, 40 CFR § 31.20.)” Page 24. ARTICLE 5. 5.6. PREVAILING WAGES The Recipient agrees to be bound by all the provisions of State Labor Code Section 1771 regarding prevailing wages. The Recipient shall monitor all agreements subject to reimbursement from this Agreement to assure that the prevailing wage provisions of State Labor Code Section 1771 are being met.. Page 24. ARTICLE 5. 5.10. BONDING Where contractors are used, the Recipient shall not authorize construction to begin until each contractor has furnished a performance bond in favor of the Recipient in the following amounts: faithful performance (100%) of contract value; labor and materials (100%) of contract value. This requirement shall not apply to any contract for less than $20,000.00. Page 24. ARTICLE 5. 5.11. COMPLIANCE WITH LAW, REGULATIONS, ETC. (a) The Recipient agrees that it will, at all times, comply with and require its contractors and subcontractors to comply with all applicable federal and state laws, rules, guidelines, regulations, and requirements. Without limitation of the foregoing, the Recipient agrees that, to the extent applicable, the Recipient will: (1) Comply with the provisions of the adopted environmental mitigation plan for the term of this Agreement [see Appendix A.2]; (2) comply with the State Water Board's "Policy for Implementing the Clean Water State Revolving Fund,” dated May 7, 2013; (3) Comply with and require its contractors and subcontractors on the Project to comply with federal DBE requirements; and (4) Comply with and require its contractors and subcontractors to comply with the list of federal laws attached as Exhibit E [see Appendix A.1, Exhibit E]. Page 25. ARTICLE 5. 5.16. NON-DISCRIMINATION CLAUSE (a) During the performance of this Agreement, Recipient and its contractors and subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, sexual orientation, physical disability   Requirements for Contractors and Consultants CWSRF  A‐3  (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, and denial of family care leave. (b) The Recipient, its contractors, and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. (c) The Recipient, its contractors, and subcontractors shall comply with the provisions of the Fair Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov. Code, §12990, subds. (a)-(f) et seq.; Cal. Code Regs., tit. 2, § 7285 et seq.) Such regulations are incorporated into this Agreement by reference and made a part hereof as if set forth in full. (d) The Recipient, its contractors, and subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. (e) The Recipient shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement. Exhibit E, FEDERAL CONDITIONS & CROSS-CUTTERS The Recipient agrees to comply with the following conditions required by USEPA: EXHIBIT 3 ITEM 4. Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board, the Recipient shall not purchase “iron and steel products” produced outside of the United States on this Project. Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board, the Recipient hereby certifies that all “iron and steel products” used in the Project were or will be produced in the United States. For purposes of this section, the term "iron and steel products" means the following products made primarily of iron or steel: lined or unlined pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges, pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and construction materials. [See Appendix A.4] EXHIBIT E, ITEM 7. Trafficking in Persons. The Recipient, its employees, contractors and subcontractors and their employees may not engage in severe forms of trafficking in persons during the term of this Agreement, procure a commercial sex act during the term of this Agreement, or use forced labor in the performance of this Agreement. The Recipient must include this provision in its contracts and subcontracts under this Agreement. The Recipient must inform the State Water Board immediately of any information regarding a violation of the foregoing. The Recipient understands that failure to comply with this provision may subject the State Water Board to loss of federal funds in the amount of $101,065,000. The Recipient agrees to compensate the State Water Board for any such funds lost due to its failure to comply with this condition, or the failure of its contractors or subcontractors to comply with this condition. The State Water Board may unilaterally terminate this Agreement and full payment will be due immediately, if a Recipient or subrecipient that is a private entity is determined to have violated the foregoing. Trafficking Victims Protection Act of 2000. EXHIBIT E, ITEM 8. Contractors, Subcontractors, Debarment and Suspension, Executive Order 12549; 2 CFR Part 180; 2 CFR Part 1532. The Recipient shall not subcontract with any party who is debarred or suspended or otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549, "Debarment and Suspension". The Recipient shall not subcontract with any individual or organization on USEPA's List of Violating Facilities. (40 CFR, Part 31.35, Gov. Code 4477) The Recipient 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 (3) year period preceding this Agreement 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 (b) of this certification; and (d) Have not within a three (3) year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. Suspension and debarment information can be accessed at http://www.sam.gov. The Recipient represents and warrants that it has or will include a term or conditions requiring compliance with this provision in all of its contracts and subcontracts under this Agreement. The Recipient acknowledges   Requirements for Contractors and Consultants CWSRF  A‐4  that failing to disclose the information as required at 2 CFR 180.335 may result in the termination, delay or negation of this Agreement, or pursuance of legal remedies, including suspension and debarment. EXHIBIT E, ITEM 9. Anti-Lobbying Provisions (40 CFR Part 34) & Anti-Litigation Provisions (2 CFR 220, 225, or 230). The Recipient shall ensure that no funds under this Agreement are used to engage in lobbying of the federal government or in litigation against the United States unless authorized under existing law. The Recipient shall abide by 2 CFR 225 (OMB Circular A-87) (or, if not applicable, other parallel requirements), which prohibits the use of federal grant funds for litigation against the United States or for lobbying or other political activities. The Recipient agrees to comply with 40 CFR Part 24, New Restrictions on Lobbying. The Recipient agrees to submit certification and disclosure forms in accordance with these provisions. In accordance with the Byrd Anti-Lobbying Amendment, any Recipient who makes a prohibited expenditure under 40 CFR Part 34 or fails to file the required certification or lobbying forms shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure. The Recipient shall abide by its respective 2 CFR 200, 225, or 230, which prohibits the use of federal grant funds for litigation against the United States or for lobbying or other political activities. EXHIBIT E, ITEM 10. Disadvantaged Business Enterprises. 40 CFR Part 33. The Recipient agrees to comply with the requirements of USEPA’s Program for Utilization of Small, Minority and Women’s Business Enterprises. The DBE rule can be accessed at www.epa.gov/osbp . The Recipient shall comply with, and agrees to require its prime contractors to comply with 40 CFR Section 33.301, and retain all records documenting compliance with the six good faith efforts. [see Appendix A.3] EXHIBIT E, ITEM 11. The Recipient agrees to comply with the Davis-Bacon provisions attached as Exhibit G [see Appendix A.1, Exhibit G and Appendix A.5].   Requirements for Contractors and Consultants CWSRF  A.1‐1  Appendix A.1 Clean Water State Revolving Fund Agreement No. 14-820-550 State Revolving Fund Project No. C-06-7899-110 CARLSBAD MUNICIPAL WATER DISTRICT AND CALIFORNIA STATE WATER RESOURCES CONTROL BOARD INSTALLMENT SALE AGREEMENT PUBLICLY OWNED TREATMENT WORKS (POTW) CONSTRUCTION FINANCING PHASE III RECYCLED WATER PROJECT CLEAN WATER STATE REVOLVING FUND PROJECT NO. C-06-7899-110 AGREEMENT NO. 14-820-550 AMOUNT: $29,500,000 START DATE: NOVEMBER 13, 2014 END DATE: JUNE 30, 2048 DATED AS OF NOVEMBER 13, 2014 THIS PAGE INTENTIONALLY LEFT BLANK Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 i C2014 10ix14 TABLE OF CONTENTS ARTICLE I DEFINITIONS ......................................................................................................................... 1 1.1 Definitions. ........................................................................................................................................... 1 1.2 Exhibits and Appendices Incorporated. ............................................................................................... 4 ARTICLE II REPRESENTATIONS, WARRANTIES, AND COMMITMENTS ........................................... 4 2.1 General Recipient Commitments. ....................................................................................................... 4 2.2 Authorization and Validity. ................................................................................................................... 4 2.3 Violations. ............................................................................................................................................ 4 2.4 Litigation. ............................................................................................................................................. 4 2.5 Solvency. ............................................................................................................................................. 4 2.6 Legal Status and Eligibility. ................................................................................................................. 5 2.7 Financial Statements. .......................................................................................................................... 5 2.8 Completion of Project. ......................................................................................................................... 5 2.9 Project Completion Report. ................................................................................................................. 5 2.10 Award of Construction Contracts. ....................................................................................................... 5 2.11 Notice. ................................................................................................................................................. 6 2.12 Findings and Challenge ....................................................................................................................... 7 2.13 Project Access. .................................................................................................................................... 7 2.14 Project Completion; Initiation of Operations. ....................................................................................... 7 2.15 Continuous Use of Project; Lease or Disposal of Project. .................................................................. 7 2.16 Reports. ............................................................................................................................................... 8 2.17 Federal Disadvantaged Business Enterprise (DBE) Reporting. ......................................................... 9 2.18 Records. .............................................................................................................................................. 9 2.19 Audit. ................................................................................................................................................... 9 2.20 Signage. ............................................................................................................................................ 10 ARTICLE III FINANCING PROVISIONS ................................................................................................. 10 Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 ii C2014 10ix14 3.1 Purchase and Sale of Project. ........................................................................................................... 10 3.2 Amounts Payable by the Recipient. .................................................................................................. 11 3.3 Obligation Absolute. .......................................................................................................................... 12 3.4 No Obligation of the State. ................................................................................................................ 12 3.5 Disbursement of Project Funds; Availability of Funds. ...................................................................... 13 3.6 Withholding of Disbursements and Material Violations. .................................................................... 13 3.7 Pledge; Rates, Fees and Charges; Additional Debt. ........................................................................ 14 3.8 Financial Management System and Standards. ............................................................................... 15 3.9 Accounting and Auditing Standards. ................................................................................................. 15 3.10 Federal or State Assistance. ............................................................................................................. 16 ARTICLE IV TAX COVENANTS ............................................................................................................. 16 4.1 Purpose. ............................................................................................................................................ 16 4.2 Tax Covenant. ................................................................................................................................... 16 4.3 Governmental Unit. ........................................................................................................................... 16 4.4 Financing of a Capital Project. .......................................................................................................... 16 4.5 Ownership and Operation of Project. ................................................................................................ 16 4.6 Temporary Period. ............................................................................................................................. 16 4.7 Working Capital. ................................................................................................................................ 17 4.8 Expenditure of Proceeds. .................................................................................................................. 17 4.9 Private Use and Private Payments. .................................................................................................. 17 4.10 No Sale, Lease or Private Operation of the Project. ......................................................................... 17 4.11 No Disproportionate or Unrelated Use. ............................................................................................. 18 4.12 Management and Service Contracts. ................................................................................................ 18 4.13 No Disposition of Financed Property. ................................................................................................ 20 4.14 Useful Life of Project. ........................................................................................................................ 20 4.15 Installment Payments. ....................................................................................................................... 20 4.16 No Other Replacement Proceeds. .................................................................................................... 20 4.17 No Sinking or Pledged Fund. ............................................................................................................ 20 Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 iii C2014 10ix14 4.18 Reserve Amount. ............................................................................................................................... 20 4.19 Reimbursement Resolution. .............................................................................................................. 21 4.20 Reimbursement Expenditures. .......................................................................................................... 21 4.21 Change in Use of the Project. ........................................................................................................... 21 4.22 Rebate Obligations. ........................................................................................................................... 21 4.23 No Federal Guarantee. ...................................................................................................................... 21 4.24 No Notices or Inquiries From IRS. .................................................................................................... 21 4.25 Amendments. .................................................................................................................................... 22 4.26 Application. ........................................................................................................................................ 22 4.27 Reasonable Expectations. ................................................................................................................. 22 ARTICLE V MISCELLANEOUS PROVISIONS ...................................................................................... 22 5.1 Covenants. ........................................................................................................................................ 22 5.2 Assignability....................................................................................................................................... 22 5.3 State Reviews and Indemnification. .................................................................................................. 23 5.4 Termination; Immediate Acceleration; Interest.................................................................................. 23 5.5 Income Restrictions. .......................................................................................................................... 24 5.6 Prevailing Wages. ............................................................................................................................. 24 5.7 Timeliness. ........................................................................................................................................ 24 5.8 Governing Law. ................................................................................................................................. 24 5.9 Amendment. ...................................................................................................................................... 24 5.10 Bonding. ............................................................................................................................................ 24 5.11 Compliance with Law, Regulations, etc. ........................................................................................... 24 5.12 Conflict of Interest. ............................................................................................................................ 25 5.13 Damages for Breach Affecting Tax Exempt Status or Federal Compliance ..................................... 25 5.14 Disputes. ............................................................................................................................................ 25 5.15 Independent Actor. ............................................................................................................................ 25 5.16 Non-Discrimination Clause. ............................................................................................................... 25 5.17 No Third Party Rights. ....................................................................................................................... 26 Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 iv C2014 10ix14 5.18 Operation and Maintenance; Insurance. ........................................................................................... 26 5.19 Permits, Subcontracting, and Remedies. .......................................................................................... 26 5.20 Recipient’s Responsibility for Work. .................................................................................................. 27 5.21 Related Litigation. .............................................................................................................................. 27 5.22 Rights in Data. ................................................................................................................................... 27 5.23 State Water Board Action; Costs and Attorney Fees. ....................................................................... 27 5.24 Unenforceable Provision. .................................................................................................................. 27 5.25 Useful Life.......................................................................................................................................... 27 5.26 Venue. ............................................................................................................................................... 27 5.27 Waiver and Rights of the State Water Board. ................................................................................... 28 EXHIBIT A – SCOPE OF WORK & INCORPORATED DOCUMENTS EXHIBIT A-FBA –FINAL BUDGET APPROVAL EXHIBIT B – PROJECT FINANCING AMOUNT EXHIBIT C – CWSRF PAYMENT SCHEDULE EXHIBIT D - SPECIAL CONDITIONS EXHIBIT E - FEDERAL CONDITIONS & CROSS-CUTTERS EXHIBIT F – SCHEDULE OF MATERIAL OBLIGATIONS EXHIBIT G – DAVIS-BACON REQUIREMENTS EXHIBIT H – MATERIAL LITIGATION, INVESTIGATIONS, AUDITS Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 1 c2014 10ix14 This Installment Sale Agreement, including all exhibits and attachments hereto, (Agreement) is dated as of the date set forth on the first page of this Agreement, by and between the State Water Resources Control Board, an administrative and regulatory agency of the State of California (State Water Board), and the local government entity identified on the first page of this Agreement, duly organized and existing under the laws of the State of California (Recipient): WITNESSETH: WHEREAS the United States of America, pursuant to Title VI of the federal Water Pollution Control Act as such has been and may be amended from time to time (Clean Water Act), requires each State to establish a water pollution control revolving fund to be administered by an instrumentality of the State as a condition to receipt of capitalization grants under the Clean Water Act; and WHEREAS the State of California (State) has established a Clean Water State Revolving Fund (CWSRF) pursuant to Chapter 6.5 of Division 7 of the California Water Code (State Act) to be used for purposes of the Clean Water Act; and WHEREAS the State Water Board is the state agency authorized to administer the CWSRF and provide financial assistance from the CWSRF to recipients for the construction of eligible projects, as provided in the State Act; and WHEREAS the State Water Board determines Project eligibility for financial assistance from the CWSRF, pursuant to the Clean Water Act and the State Act, determines a reasonable schedule for financing and construction of projects, ensures compliance with the Clean Water Act, and establishes the terms and conditions of an applicable financing agreement; and WHEREAS the Recipient has applied to the State Water Board for financial assistance from the CWSRF, for the purpose of financing or refinancing the Project described below, and the State Water Board has reviewed and approved said application; and WHEREAS the Recipient has or will incur costs incurred in connection with, the planning, design, acquisition, construction, and installation of the Project described in Exhibit A and Exhibit A-FBA hereto; and WHEREAS on the basis of the Recipient’s application and the representations and warranties set forth herein, the State Water Board proposes to assist in financing the costs of the Project and/or to refund outstanding bonds, notes, or other debt obligations of the Recipient, if any, issued to finance the Project, and the Recipient desires to participate as a recipient of financial assistance from the CWSRF and evidence its obligation to pay Installment Payments, which obligation will be secured by Net Revenues, as defined herein, upon the terms and conditions set forth in this Agreement, all pursuant to the Clean Water Act and the State Act; NOW, THEREFORE, in consideration of the premises and of the mutual representations, covenants and agreements herein set forth, the State Water Board and the Recipient, each binding itself, its successors and assigns, do mutually promise, covenant and agree as follows: ARTICLE I DEFINITIONS 1.1 Definitions. Unless otherwise specified, each capitalized term used in this Agreement (including the Exhibits hereto) has the following meaning: "Additional Payments" means the Additional Payments described in Section 3.2(c) of this Agreement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 2 c2014 10ix14 "Agreement" means this Installment Sale Agreement, dated as of the date set forth on the first page hereof, by and between the State Water Board and the Recipient, including all exhibits and attachments hereto. "Allowance" means an amount based on a percentage of the accepted bid for an eligible project to help defray the planning, design, and construction engineering and administration costs of the Project. "Authorized Representative" means the duly appointed representative of the Recipient. For all authorized representatives, a certified original of the authorizing resolution that designates the authorized representative, by title, must accompany the first disbursement request, and any other documents or requests required or allowed under this Agreement. "Bank" means the California Infrastructure and Economic Development Bank. "Bonds" means any series of bonds issued by the Bank all or a portion of the proceeds of which may be applied to fund the Project in whole or in part or that are secured in whole or in part by Installment Payments paid hereunder. "Code" means the Internal Revenue Code of 1986, as amended, and any successor provisions and the regulations of the U.S. Department of the Treasury promulgated thereunder. "Completion of Construction" means the date, as determined by the Division after consultation with the Recipient, that the work of building and erection of the Project is substantially complete. “CWSRF” means the Clean Water State Revolving Fund. "Division" means the Division of Financial Assistance of the State Water Board or any other segment of the State Water Board authorized to administer the CWSRF. “Enterprise Fund” means the enterprise fund of the Recipient in which Revenues are deposited. "Fiscal Year" means the period of twelve (12) months terminating on June 30 of any year, or any other annual period hereafter selected and designated by the Recipient as its Fiscal Year in accordance with applicable law. "Force Account" means the use of the Recipient's own employees or equipment for construction of the Project. "Initiation of Construction" means the date that notice to proceed with work is issued for the Project, or, if notice to proceed is not required, the date of commencement of building and erection of the Project. "Installment Payments" means Installment Payments due and payable by the Recipient to the State Water Board under this Agreement, the amounts of which are set forth as Exhibit C hereto. “Listed Event” means, so long as the Recipient has outstanding any Material Obligation subject to Rule 15c2-12, any of the events required to be reported pursuant to Rule 15c2-12(b)(5). “Material Event” means any of the following events: (a) revenue shortfalls; (b) unscheduled draws on the reserve fund or the Enterprise Fund; (c) substitution of insurers, or their failure to perform; (d) adverse water quality findings by the Regional Water Quality Control Board; or (e) litigation related to the Revenues or to the Project, whether pending or anticipated. "Material Obligations" means all senior, parity, and subordinate obligations of the Recipient payable from Revenues as identified as of the date of this Agreement in Exhibit F and such additional obligations as may hereafter be issued in accordance with the provisions of such obligations and this Agreement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 3 c2014 10ix14 "Net Revenues" means, for any Fiscal Year, so long as there may be any pre-existing and outstanding Material Obligation other than the Obligation, the definition of the term as defined under such Material Obligation, and thereafter, all Revenues received by the Recipient less the Operations and Maintenance Costs for such Fiscal Year. "Obligation" means the obligation of the Recipient to make Installment Payments and Additional Payments as provided herein, as evidenced by the execution of this Agreement, proceeds of such obligations being used to fund the Project as specified in the Project Description attached hereto as Exhibit A and Exhibit A-FBA and in the documents thereby incorporated by reference. "Operations and Maintenance Costs" means, so long as outstanding Material Obligations other than the Obligation are outstanding, the definition of such term as defined therein, and thereafter, the reasonable and necessary costs paid or incurred by the Recipient for maintaining and operating the System, determined in accordance with generally accepted accounting principles, including all reasonable expenses of management and repair and all other expenses necessary to maintain and preserve the System in good repair and working order, and including all reasonable and necessary administrative costs of the Recipient that are charged directly or apportioned to the operation of the System, such as salaries and wages of employees, overhead, taxes (if any), the cost of permits, licenses, and charges to operate the System and insurance premiums; but excluding, in all cases depreciation, replacement, and obsolescence charges or reserves therefor and amortization of intangibles. "Policy" means the State Water Board's policy for implementing the CWSRF program, as amended from time to time. “Project” means the Project financed by this Agreement as described in Exhibit A and in the documents incorporated by reference herein. "Project Completion" means the date, as determined by the Division after consultation with the Recipient, that operation of the Project is initiated or is capable of being initiated, whichever comes first. "Project Costs" means the incurred costs of the Recipient which are eligible for financial assistance from the CWSRF under the federal Clean Water Act, which are allowable costs as defined under the Policy, and which are reasonable, necessary and allocable by the Recipient to the Project under generally accepted accounting principles, plus capitalized interest. “Project Funds” means funds disbursed by the State Water Board to the Recipient for purposes of this Agreement. “Recipient” means the recipient of Project Funds, as identified on the front page of this Agreement. "Revenues" means, for each Fiscal Year, all gross income and revenue received or receivable by the Recipient from the ownership or operation of the System, determined in accordance with generally accepted accounting principles, including all rates, fees, and charges (including connection fees and charges) as received by the Recipient for the services of the System, and all other income and revenue howsoever derived by the Recipient from the ownership or operation of the System or arising from the System, including all income from the deposit or investment of any money in the Enterprise Fund or any rate stabilization fund of the Recipient or held on the Recipient’s behalf, and any refundable deposits made to establish credit, and advances or contributions in aid of construction. “Rule 15c2-12(b)(5)” means Rule 15c2-12(b)(5) promulgated by the Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. “State” means State of California. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 4 c2014 10ix14 “State Water Board” means the State Water Resources Control Board, an administrative and regulatory agency of the State of California. "System" means all wastewater, water recycling, and/or potable water collection, transport, treatment, storage, and/or disposal facilities, including land and easements thereof, owned by the Recipient, including the Project, and all other properties, structures or works hereafter acquired and constructed by the Recipient and determined to be a part of the System, together with all additions, betterments, extensions or improvements to such facilities, properties, structures, or works, or any part thereof hereafter acquired and constructed. 1.2 Exhibits and Appendices Incorporated. All exhibits and appendices to this Agreement, including any amendments and supplements hereto, are hereby incorporated herein and made a part of this Agreement. ARTICLE II REPRESENTATIONS, WARRANTIES, AND COMMITMENTS The Recipient represents and warrants the following as of the date set forth on the first page hereof and continuing thereafter for the term of the Agreement. 2.1 General Recipient Commitments. The Recipient accepts and agrees to comply with all terms, provisions, conditions, and commitments of this Agreement, including all incorporated documents, and to fulfill all assurances, declarations, representations, and commitments made by the Recipient in its application, accompanying documents, and communications filed in support of its request for financial assistance. 2.2 Authorization and Validity. The execution and delivery of this Agreement, including all incorporated documents, has been duly authorized. This Agreement constitutes a valid and binding obligation of the Recipient, enforceable in accordance with its terms, except as such enforcement may be limited by law. 2.3 Violations. The execution, delivery, and performance by Recipient of this Agreement, including all incorporated documents, do not violate any provision of any law or regulation in effect as of the date set forth on the first page hereof, or result in any breach or default under any contract, obligation, indenture, or other instrument to which Recipient is a party or by which Recipient is bound as of the date set forth on the first page hereof. 2.4 Litigation. There are no pending or, to Recipient’s knowledge, threatened actions, claims, investigations, suits, or proceedings before any governmental authority, court, or administrative agency which affect the financial condition or operations of the System and/or the Project other than as described in Exhibit H hereto. 2.5 Solvency. None of the transactions contemplated by this Agreement will be or have been made with an actual intent to hinder, delay, or defraud any present or future creditors of Recipient. As of the date set forth on the first Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 5 c2014 10ix14 page hereof, Recipient is solvent and will not be rendered insolvent by the transactions contemplated by this Agreement. Recipient is able to pay its debts as they become due. 2.6 Legal Status and Eligibility. Recipient is duly organized and existing and in good standing under the laws of the State of California, and will remain so during the term of this Agreement. Recipient shall at all times maintain its current legal existence and preserve and keep in full force and effect its legal rights and authority. Recipient shall maintain compliance with provisions of state law that restrict state funding to non-compliant entities. 2.7 Financial Statements. The financial statements of Recipient previously delivered to the State Water Board as of the date(s) set forth in such financial statements: (a) are materially complete and correct; (b) present fairly the financial condition of the Recipient; and (c) have been prepared in accordance with generally accepted accounting principles or other accounting standards reasonably approved by the State Water Board. Since the date(s) of such financial statements, there has been no material adverse change in the financial condition of the Recipient, nor have any assets or properties reflected on such financial statements been sold, transferred, assigned, mortgaged, pledged or encumbered, except as previously disclosed in writing by Recipient and approved in writing by the State Water Board. 2.8 Completion of Project. The Recipient agrees to expeditiously proceed with and complete construction of the Project in substantial accordance with Exhibit A and Exhibit A-FBA. 2.9 Project Completion Report. The Recipient shall submit a Project Completion Report to the Division with a copy to the appropriate Regional Water Quality Control Board on or before the due date established by the Division and the Recipient at the time of final project inspection. The Project Completion Report must address the following: (a) describe the Project, (b) describe the water quality problem the Project sought to address, (c) discuss the Project’s likelihood of successfully addressing that water quality problem in the future, and (d) summarize compliance with environmental conditions, if applicable. Where the Recipient fails to submit a timely Project Completion Report, the State Water Board may stop processing pending or future applications for new financial assistance, withhold disbursements under this Agreement or other agreements, and begin administrative proceedings. 2.10 Award of Construction Contracts. (a) The Recipient agrees to award the prime construction contract no later than the date specified in Exhibit A. (b) The Recipient agrees to promptly notify the Division in writing both of the award of the prime construction contract for the Project and of Initiation of Construction of the Project. The Recipient agrees to make all reasonable efforts to complete construction in substantial conformance with the terms of the contract by the Completion of Construction date established in Exhibit A. Such date shall be binding upon the Recipient unless modified in writing by the Division upon a showing of good cause by the Recipient. The Recipient shall deliver any request for extension of the Completion of Construction date no less than 90 days prior to the Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 6 c2014 10ix14 Completion of Construction date. The Division will not unreasonably deny such a timely request, but the Division will deny requests received after this time. 2.11 Notice. The Recipient agrees to notify the Division in writing within 5 days of the occurrence of the following: (a) Principal and interest payment delinquencies on this CWSRF Obligation; (b) Non payment related defaults, if material; (c) Unscheduled draws on debt service reserves reflecting financial difficulties; (d) Unscheduled draws on credit enhancements, if any, reflecting financial difficulties; (e) Substitution of credit or liquidity providers, if any, or their failure to perform; (f) Adverse tax opinions, the issuance by the Internal Revenue Service or proposed or final determinations of taxability, Notices of Proposed Issue (IRS Form 5701-TEB) or other material notices of determinations with respect to the tax status of any tax-exempt bonds; (g) Rating changes on tax-exempt bonds, if any; (h) Bankruptcy, insolvency, receivership or similar event of the Recipient; (i) Actions taken in anticipation of filing Chapter 9, as required under state law; (j) Any litigation pending or threatened against Recipient regarding its wastewater or water capacity or its continued existence, circulation of a petition to challenge rates, consideration of dissolution, or disincorporation, or any other material threat to the Recipient’s Revenues; (k) Other Material Events or Listed Events; (l) Change of ownership of the Project or change of management or service contract for operation of the Project; or (m) Negotiations regarding proposed parity obligations. The Recipient agrees to notify the Division promptly of the following: (a) Any substantial change in scope of the Project. The Recipient agrees that no substantial change in the scope of the Project will be undertaken until written notice of the proposed change has been provided to the Division and the Division has given written approval for such change; (b) Cessation of all major construction work on the Project where such cessation of work is expected to or does extend for a period of thirty (30) days or more; (c) Any circumstance, combination of circumstances, or condition, which is expected to or does delay Completion of Construction for a period of ninety (90) days or more beyond the estimated date of Completion of Construction previously provided to the Division; (d) Discovery of any potential archeological or historical resource. Should a potential archeological or historical resource be discovered during construction of the Project, the Recipient agrees that all work in the area of the find will cease until a qualified archeologist has evaluated the Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 7 c2014 10ix14 situation and made recommendations regarding preservation of the resource, and the Division has determined what actions should be taken to protect and preserve the resource. The Recipient agrees to implement appropriate actions as directed by the Division; (e) Discovery of any unexpected endangered or threatened species, as defined in the federal Endangered Species Act. Should a federally protected species be unexpectedly encountered during construction of the Project, the Recipient agrees to promptly notify the Division. This notification is in addition to the Recipient’s obligations under the federal Endangered Species Act; (f) Any monitoring, demonstration, or other implementation activities such that the State Water Board and/or Regional Water Quality Control Board staff may observe and document such activities; (g) Any public or media event publicizing the accomplishments and/or results of this Agreement and provide the opportunity for attendance and participation by state and federal representatives with at least ten (10) working days’ notice to both the Division and USEPA Region IX. The contact for USEPA Region IX is Josh Amaris at Amaris.josh@epa.gov (415) 972-3597; or (h) Completion of Construction of the Project, and actual Project Completion. 2.12 Findings and Challenge Upon consideration of a voter initiative to reduce Revenues, the Recipient shall make a finding regarding the effect of such a reduction on the Recipient's ability to satisfy its Obligation under this Agreement and to operate and maintain the Project for its useful life. The Recipient agrees to make its findings available to the public and to request, if necessary, the authorization of the Recipient’s decision-maker or decision-maker body to file litigation to challenge any such initiative that it finds will render it unable to satisfy either the Obligation or the covenant to operate and maintain, or both. The Recipient shall diligently pursue and bear any and all costs related to such challenge. The Recipient shall notify and regularly update the State Water Board regarding any such challenge. 2.13 Project Access. The Recipient agrees to ensure that the State Water Board, the Governor of the State, the United States Environmental Protection Agency, the Office of Inspector General, any member of Congress, the President of the United States, or any authorized representative of the foregoing, will have safe and suitable access to the Project site at all reasonable times during Project construction and thereafter for the term of the Obligation. The Recipient acknowledges that, except for a subset of archeological records, the Project records and locations are public records, including all of the submissions accompanying the application, all of the documents incorporated by Exhibit A, and all reports, disbursement requests, and supporting documentation submitted hereunder. 2.14 Project Completion; Initiation of Operations. Upon Completion of Construction of the Project, the Recipient agrees to expeditiously initiate Project operations. 2.15 Continuous Use of Project; Lease or Disposal of Project. The Recipient agrees that, except as provided in the Agreement, it will not abandon, substantially discontinue use of, lease, or dispose of the Project or any significant part or portion thereof during the useful life of the Project without prior written approval of the Division. Such approval may be conditioned Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 8 c2014 10ix14 as determined to be appropriate by the Division, including a condition requiring acceleration of all or any portion of all remaining funds covered by this Agreement together with accrued interest and any penalty assessments which may be due. 2.16 Reports. (a) Quarterly Reports. The Recipient agrees to expeditiously provide status reports no less frequently than quarterly, starting with the execution of this Agreement. At a minimum the reports will contain the following information:  a summary of progress to date including a description of progress since the last report, percent construction complete, percent contractor invoiced, and percent schedule elapsed;  a description of compliance with environmental requirements;  a listing of change orders including amount, description of work, and change in contract amount and schedule;  any problems encountered, proposed resolution, schedule for resolution, and status of previous problem resolutions. (b) As Needed Reports. The Recipient agrees to expeditiously provide, during the term of this Agreement, such reports, data, and information as may be reasonably required by the Division, including but not limited to material necessary or appropriate for evaluation of the CWSRF Program or to fulfill any reporting requirements of the federal government. (c) Recycled water reports. The Recipient shall submit annual reports for a period commencing with Completion of Construction through one (1) full year after all proposed recycled water users included in the Project are connected for service (minimum five [5] years).  Reports will be submitted in hard copy and electronically.  The first annual report is due on February 28th following the first complete calendar year of operation and shall cover the period from the Completion of Construction through the end of the first full calendar year thereafter. Subsequent annual reports are due by February 28th following the year covered. The annual reports shall be prepared in accordance with the “Water Recycling Funding Guidelines”, dated July 2008, or any successor guidelines.  The reports shall briefly review the operation of the Project during the preceding year, identify current users and user contracts, provide monthly Project water deliveries to each user, the amount of fresh/potable water usage offset by the use of recycled water, and monthly amounts of water from each source delivered through Project facilities, list the funds received from other State and federal agencies for this Project during the period by agency, the amount, type of assistance (grants, loans, etc.), and a description of the facilities, components, and items the funds were used for; list the power and maintenance costs associated with the Project for the period, indicate current plans and programs for use of any Project capacity not under contract, summarize Project financial experience, describe compliance with any special conditions of this contract; describe direct and indirect benefits of the project to the state/local water supply and economy; describe other benefits and challenges arising from the project; and provide such other information as may be reasonably required to evaluate Project benefits and use of Project facilities. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 9 c2014 10ix14 2.17 Federal Disadvantaged Business Enterprise (DBE) Reporting. The Recipient agrees to report DBE utilization to the Division on the DBE Utilization Report, State Water Board Form DBE UR334. The Recipient must submit such reports to the Division semiannually within ten (10) calendar days following April 1 and October 1 until such time as the "Notice of Completion" is issued. The Recipient agrees to comply with 40 CFR § 33.301. 2.18 Records. (a) Without limitation of the requirement to maintain Project accounts in accordance with generally accepted accounting principles, the Recipient agrees to: (1) Establish an official file for the Project which shall adequately document all significant actions relative to the Project; (2) Establish separate accounts which will adequately and accurately depict all amounts received and expended on the Project, including all assistance funds received under this Agreement; (3) Establish separate accounts which will adequately depict all income received which is attributable to the Project, specifically including any income attributable to assistance funds disbursed under this Agreement; (4) Establish an accounting system which will accurately depict final total costs of the Project, including both direct and indirect costs; (5) Establish such accounts and maintain such records as may be necessary for the State to fulfill federal reporting requirements, including any and all reporting requirements under federal tax statutes or regulations; and (6) If Force Account is used by the Recipient for any phase of the Project, other than for planning, design, and construction engineering and administration provided for by allowance, accounts will be established which reasonably document all employee hours charged to the Project and the associated tasks performed by each employee. Indirect Force Account costs are not eligible for funding. (b) The Recipient shall be required to maintain separate books, records and other material relative to the Project. The Recipient shall also be required to retain such books, records, and other material for itself and for each contractor or subcontractor who performed work on this project for a minimum of thirty-six (36) years after Project Completion. The Recipient shall require that such books, records, and other material be subject at all reasonable times (at a minimum during normal business hours) to inspection, copying, and audit by the State Water Board, the Bureau of State Audits, the United States Environmental Protection Agency (USEPA), the Office of Inspector General, the Internal Revenue Service, the Governor, or any authorized representatives of the aforementioned, and shall allow interviews during normal business hours of any employees who might reasonably have information related to such records. The Recipient agrees to include a similar right regarding audit, interviews, and records retention in any subcontract related to the performance of this Agreement. The provisions of this section shall survive the discharge of the Recipient's Obligation hereunder and shall survive the term of this Agreement. 2.19 Audit. (a) The Division, at its option, may call for an audit of financial information relative to the Project, where the Division determines that an audit is desirable to assure program integrity or where Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 10 c2014 10ix14 such an audit becomes necessary because of federal requirements. Where such an audit is called for, the audit shall be performed by a certified public accountant independent of the Recipient and at the cost of the Recipient. The audit shall be in the form required by the Division. (b) Audit disallowances will be returned to the State Water Board. 2.20 Signage. The Recipient shall place a sign at least four feet tall by eight feet wide made of ¾ inch thick exterior grade plywood or other approved material in a prominent location on the Project site and shall maintain the sign in good condition for the duration of the construction period. The sign shall include the following color logos (available from the Division) and the following disclosure statement: “Funding for this project has been provided in full or in part by the Clean Water State Revolving Fund through an agreement with the State Water Resources Control Board. California’s Clean Water State Revolving Fund is capitalized through a variety of funding sources, including grants from the United States Environmental Protection Agency and state bond proceeds.” The Project sign may include another agency's required promotional information so long as the above logos and disclosure statement are equally prominent on the sign. The sign shall be prepared in a professional manner. The Recipient shall include the following disclosure statement in any document, written report, or brochure prepared in whole or in part pursuant to this Agreement: “Funding for this project has been provided in full or in part through an agreement with the State Water Resources Control Board. The contents of this document do not necessarily reflect the views and policies of the State Water Resources Control Board, nor does mention of trade names or commercial products constitute endorsement or recommendation for use. (Gov. Code § 7550, 40 CFR § 31.20.)” ARTICLE III FINANCING PROVISIONS 3.1 Purchase and Sale of Project. The Recipient hereby sells to the State Water Board and the State Water Board hereby purchases from the Recipient the Project. Simultaneously therewith, the Recipient hereby purchases from the State Water Board, and the State Water Board hereby sells to the Recipient, the Project in accordance with the provisions of this Agreement. All right, title, and interest in the Project shall immediately vest in the Recipient on the date of execution and delivery of this Agreement without further action on the part of the Recipient or the State Water Board. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 11 c2014 10ix14 3.2 Amounts Payable by the Recipient. (a) Installment Payments. The Recipient’s obligations under this Agreement shall be secured by and payable solely from Net Revenues. Repayment of the Project Funds, together with all interest accruing thereon, shall be repaid in annual installments commencing on the date that is one (1) year after Completion of Construction, and shall be fully amortized by the date specified in Exhibit B. The Installment Payments are based on a standard fully amortized assistance amount with equal annual payments. The remaining balance is the previous balance, plus the disbursements, plus the accrued interest on both, less the Installment Payment. Installment calculations will be made beginning one (1) year after Completion of Construction and shall be fully amortized not later than the date specified in Exhibit B. Exhibit C is a payment schedule based on the provisions of this article and an estimated disbursement schedule. Actual payments will be based on actual disbursements. Upon Completion of Construction and submission of necessary reports by the Recipient, the Division will prepare an appropriate payment schedule and supply the same to the Recipient. The Division may amend this schedule as necessary to accurately reflect amounts due under this Agreement. The Division will prepare any necessary amendments to the payment schedule and send them to the Recipient. The Recipient agrees to make each installment payment on or before the due date therefor. A ten (10) day grace period will be allowed, after which time a penalty in the amount of costs incurred to the State Water Board will be assessed for late payment. These costs may include, but are not limited to, lost interest earnings, staff time, bond debt service default penalties, if any, and other costs incurred. Penalties assessed will not change the principal balance of the financing Agreement. Such penalties will be treated as a separate receivable in addition to the annual payment due. For purposes of penalty assessment, payment will be deemed to have been made if payment is deposited in the U.S. Mail within the grace period with postage prepaid and properly addressed. Any penalties assessed will not be added to the assistance amount balance, but will be treated as a separate account and obligation of the Recipient. The interest penalty will be assessed from the payment due date. The Recipient as a whole is obligated to make all payments required by this Agreement to the State Water Board, notwithstanding any individual default by its constituents or others in the payment to the Recipient of fees, charges, taxes, assessments, tolls or other charges ("Charges") levied or imposed by the Recipient. The Recipient shall provide for the punctual payment to the State Water Board of all amounts which become due under this Agreement and which are received from constituents or others in the payment to the Recipient. In the event of failure, neglect or refusal of any officer of the Recipient to levy or cause to be levied any Charge to provide payment by the Recipient under this Agreement, to enforce or to collect such Charge, or to pay over to the State Water Board any money collected on account of such Charge necessary to satisfy any amount due under this Agreement, the State Water Board may take such action in a court of competent jurisdiction as it deems necessary to compel the performance of all duties relating to the imposition or levying and collection of any of such Charges and the payment of the money collected therefrom to the State Water Board. Action taken pursuant hereto shall not deprive the State Water Board of, or limit the application of, any other remedy provided by law or by this Agreement. Attached as Exhibit C is a Payment Schedule based on the provisions of this section and an estimated disbursement schedule. This schedule will be revised based on actual disbursements following Completion of Construction. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 12 c2014 10ix14 Each Installment Payment shall be paid by check and in lawful money of the United States of America. The Recipient agrees that it shall not be entitled to interest earned on undisbursed project funds. Upon execution of this Agreement, the State Water Board shall encumber an amount equal to the Obligation. The Recipient hereby agrees to pay Installment Payments and Additional Payments from Net Revenues and/or other amounts legally available to the Recipient therefor. Interest on any funds disbursed to the Recipient shall begin to accrue as of the date of each disbursement. (b) Project Costs. The Recipient agrees to pay any and all costs connected with the Project including, without limitation, any and all Project Costs. If the Project Funds are not sufficient to pay the Project Costs in full, the Recipient shall nonetheless complete the Project and pay that portion of the Project Costs in excess of available Project Funds, and shall not be entitled to any reimbursement therefor from the State Water Board. (c) Additional Payments. In addition to the Installment Payments required to be made by the Recipient, the Recipient shall also pay to the State Water Board the reasonable extraordinary fees and expenses of the State Water Board, and of any assignee of the State Water Board's right, title, and interest in and to this Agreement, in connection with this Agreement, including all expenses and fees of accountants, trustees, attorneys, litigation costs, insurance premiums and all other extraordinary costs reasonably incurred by the State Water Board or assignee of the State Water Board. Additional Payments may be billed to the Recipient by the State Water Board from time to time, together with a statement executed by a duly authorized representative of the State Water Board, stating that the amounts billed pursuant to this section have been incurred by the State Water Board or its assignee for one or more of the above items and a copy of the invoice or statement for the amount so incurred or paid. Amounts so billed shall be paid by the Recipient within thirty (30) days after receipt of the bill by the Recipient. (d) The Recipient may without penalty prepay all or any portion of the outstanding principal amount of the Obligation provided that the Recipient shall also pay at the time of such prepayment all accrued interest on the principal amount prepaid through the date of prepayment. 3.3 Obligation Absolute. The obligation of the Recipient to make the Installment Payments and other payments required to be made by it under this Agreement, from Net Revenues and/or other amounts legally available to the Recipient therefor, is absolute and unconditional, and until such time as the Installment Payments and Additional Payments have been paid in full, the Recipient shall not discontinue or suspend any Installment Payments or other payments required to be made by it hereunder when due, whether or not the System or any part thereof is operating or operable or has been completed, or its use is suspended, interfered with, reduced or curtailed or terminated in whole or in part, and such Installment Payments and other payments shall not be subject to reduction whether by offset or otherwise and shall not be conditional upon the performance or nonperformance by any party of any agreement for any cause whatsoever. 3.4 No Obligation of the State. Any obligation of the State Water Board herein contained shall not be an obligation, debt, or liability of the State and any such obligation shall be payable solely out of the moneys in the CWSRF made available pursuant to this Agreement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 13 c2014 10ix14 3.5 Disbursement of Project Funds; Availability of Funds. (a) Except as may be otherwise provided in this Agreement, disbursement of Project Funds will be made as follows: (1) Upon execution and delivery of this Agreement, the Recipient may request immediate disbursement of any eligible incurred planning and design allowance as specified in Exhibit B from the Project Funds through submission to the State Water Board of the Disbursement Request Form 260, or any amendment thereto, duly completed and executed. (2) The Recipient may request disbursement of eligible construction and equipment costs consistent with budget amounts referenced in Exhibit B. (Note that this Agreement will be amended to incorporate Final Budget Approval.) (3) Additional Project Funds will be promptly disbursed to the Recipient upon receipt of Disbursement Request Form 260, or any amendment thereto, duly completed and executed by the Recipient for incurred costs consistent with this Agreement, along with receipt of status reports due under Section 2.16 above. (4) The Recipient agrees that it will not request disbursement for any Project Cost until such cost has been incurred and is currently due and payable by the Recipient, although the actual payment of such cost by the Recipient is not required as a condition of disbursement request. (5) Recipient shall spend Project Funds within 30 days of receipt. Any interest earned on Project Funds shall be reported to the State Water Board and may be required to be returned to the State Water Board or deducted from future disbursements. (6) The Recipient agrees that it will not request a disbursement unless that Project Cost is allowable, reasonable, and allocable. (7) Notwithstanding any other provision of this Agreement, no disbursement shall be required at any time or in any manner which is in violation of or in conflict with federal or state laws, policies, or regulations. (b) The State Water Board's obligation to disburse Project Funds is contingent upon the availability of sufficient funds to permit the disbursements provided for herein. If sufficient funds are not available for any reason, including but not limited to failure of the federal or State government to appropriate funds necessary for disbursement of Project Funds, the State Water Board shall not be obligated to make any disbursements to the Recipient under this Agreement. This provision shall be construed as a condition precedent to the obligation of the State Water Board to make any disbursements under this Agreement. Nothing in this Agreement shall be construed to provide the Recipient with a right of priority for disbursement over any other agency. If any disbursements due the Recipient under this contract are deferred because sufficient funds are unavailable, it is the intention of the State Water Board that such disbursement will be made to the Recipient when sufficient funds do become available, but this intention is not binding. 3.6 Withholding of Disbursements and Material Violations. (a) The State Water Board may withhold all or any portion of the funds provided for by this Agreement in the event that: Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 14 c2014 10ix14 (1) The Recipient has materially violated, or threatens to materially violate, any term, provision, condition, or commitment of this Agreement; (2) The Recipient fails to maintain reasonable progress toward completion of the Project; or (3) The Recipient fails to comply with section 5103 of the Water Code, where applicable. (b) For the purposes of this Agreement, the terms “material violation” or “threat of material violation” include, but are not limited to: (1) Placement on the ballot of an initiative to reduce revenues securing this Agreement; (2) Passage of such an initiative; (3) Successful challenges by ratepayer(s) to the process used by Recipient to set, dedicate, or otherwise secure revenues used for securing this Agreement; or (4) Any other action or lack of action that may be construed as a material violation or threat thereof. 3.7 Pledge; Rates, Fees and Charges; Additional Debt. (a) Establishment of Enterprise Fund and Reserve Fund. In order to carry out its System Obligations, including the Obligation, the Recipient agrees and covenants that it shall establish and maintain or shall have established and maintained the Enterprise Fund. All Revenues received shall be deposited when and as received in trust in the Enterprise Fund. This requirement applies to Recipients that are public agencies. To the extent required in Exhibit D of this Agreement, the Recipient agrees to establish and maintain a reserve fund. (b) Pledge of Net Revenues, Enterprise Fund, and Reserve Fund. The Obligation hereunder shall be secured by a lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund specified in Exhibit D in priority as specified in Exhibit F. The Recipient hereby pledges and grants such lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund specified in Exhibit D to secure the Obligation, including payment of Installment Payments and Additional Payments hereunder. The Net Revenues in the Enterprise Fund shall be subject to the lien of such pledge without any physical delivery thereof or further act, and the lien of such pledge shall be valid and binding as against all parties having claims of any kind in tort, contract, or otherwise against the Recipient. (c) Application and Purpose of the Enterprise Fund. Subject to the provisions of any outstanding Material Obligations, money on deposit in the Enterprise Fund shall be applied and used first, to pay Operations and Maintenance Costs, and thereafter, all amounts due and payable with respect to the Material Obligations. After making all payments hereinabove required to be made in each Fiscal Year, the Recipient may expend in such Fiscal Year any remaining money in the Enterprise Fund for any lawful purpose of the Recipient, including payment of subordinate debt. This requirement applies to Recipients that are public agencies. (d) Rates, Fees and Charges. The Recipient agrees, to the extent permitted by law, to fix, prescribe and collect rates, fees and charges for the System during each Fiscal Year which are reasonable, fair and nondiscriminatory and which will be at least sufficient to yield during each Fiscal Year Net Revenues equal to the debt service on Material Obligations, including the Obligation, for such Fiscal Year, plus any coverage ratio specified in Exhibit D of this Agreement. The Recipient may make adjustments from time to time in such fees and charges and may make such classification thereof as it deems necessary, but shall not reduce the rates, Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 15 c2014 10ix14 fees and charges then in effect unless the Net Revenues from such reduced rates, fees and charges will at all times be sufficient to meet the requirements of this section. (e) Additional Debt Test. (1) The Recipient’s future debt may not be senior to this Obligation, except where: (A) the senior obligation refunds a senior obligation that predates the dated as of date of this Obligation, the new senior obligation has the same or earlier repayment term as the refunded senior debt, the new senior debt service is the same or lower than the existing debt service, and the new senior debt will not diminish the applicant’s ability to repay its CWSRF obligations; or (B) the future senior obligation is a CWSRF obligation owed to the State Water Board. (2) The Recipient’s future debt may be on parity with the CWSRF debt if the following conditions are met: (A) The Recipient’s net revenues pledged to pay all senior debts relying on the pledged revenue source are at least 1.2 times the highest year’s debt service and net revenues pledged to pay all debts are at least 1.1 times the highest year’s debt service; and (B) One of the following conditions is met: 1. The Recipient’s proposed additional parity obligation is rated “A,” or higher, by at least two nationally recognized rating agencies; or 2. The Recipient is a disadvantaged community and the Division determines that it would be economically burdensome for the agency to obtain nationally recognized ratings for its parity debt; 3. The Recipient is a disadvantaged community and the Division determines that requiring the proposed additional obligations to be subordinate to the Recipient’s Obligations hereunder will unduly restrict the Recipients from obtaining future system debt necessary for water quality improvements; or 4. The proposed additional obligation is CWSRF debt. 3.8 Financial Management System and Standards. The Recipient agrees to comply with federal standards for financial management systems. The Recipient agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit preparation of reports required by the federal government and tracking of Project funds to a level of expenditure adequate to establish that such funds have not been used in violation of federal or state law or the terms of this Agreement. To the extent applicable, the Recipient agrees to be bound by, and to comply with, the provisions and requirements of the federal Single Audit Act of 1984, Office of Management and Budget (OMB) Circular No. A-133, and updates or revisions, thereto, including but not limited to Section 210(a)-(d). (Pub. L. 98-502.) 3.9 Accounting and Auditing Standards. The Recipient will maintain separate Project accounts in accordance with generally accepted accounting principles. The Recipient shall comply with "Standards for Audit of Governmental Organizations, Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 16 c2014 10ix14 Programs, Activities and Functions" promulgated by the U.S. General Accounting Office. (40 CFR § 35.3135, subd. (I).) 3.10 Federal or State Assistance. If federal or state funding for Project Costs is made available to the Recipient from sources other than the CWSRF, the Recipient may retain such funding up to an amount which equals the Recipient's local share of Project Costs. To the extent allowed by requirements of other funding sources, any funding received in excess of the Recipient's local share, not to exceed the total amount of the CWSRF financing assistance, shall be remitted to the State Water Board to be applied to Installment Payments due hereunder. ARTICLE IV TAX COVENANTS 4.1 Purpose. The purpose of this Article IV is to establish the reasonable expectations of the Recipient regarding the Project and the Project Funds, and is intended to be and may be relied upon for purposes of Sections 103, 141 and 148 of the Code and as a certification described in Section 1.148-2(b)(2) of the Treasury Regulations. This Article IV sets forth certain facts, estimates and circumstances which form the basis for the Recipient’s expectation that neither the Project nor the Project Funds will be used in a manner that would cause the Obligation to be classified as “arbitrage bonds” under Section 148 of the Code or “private activity bonds” under Section 141 of the Code. 4.2 Tax Covenant. The Recipient agrees that it will not take or authorize any action or permit any action within its reasonable control to be taken, or fail to take any action within its reasonable control, with respect to the Project which would result in the loss of the exclusion of interest on the Bonds from gross income for federal income tax purposes under Section 103 of the Code. 4.3 Governmental Unit. The Recipient is a state or local governmental unit as defined in Section 1.103-1 of the Treasury Regulations or an instrumentality thereof (a "Governmental Unit") and is not the federal government or any agency or instrumentality thereof. 4.4 Financing of a Capital Project. The Recipient will use the Project Funds to finance costs it has incurred or will incur for the construction, reconstruction, installation or acquisition of the Project. Such costs have not previously been financed with the proceeds of any other issue of tax-exempt obligations. 4.5 Ownership and Operation of Project. The Recipient exclusively owns and, except as provided in Section 4.12 hereof, operates the Project. 4.6 Temporary Period. The Recipient reasonably expects that at least eighty-five percent (85%) of the Project Funds will be allocated to expenditures for the Project within three (3) years of the earlier of the effective date of this Agreement or the date the Bonds are issued ("Applicable Date"). The Recipient has incurred, or reasonably expects that it will incur within six (6) months of the Applicable Date, a substantial binding obligation (i.e., not subject to contingencies within the control of the Recipient or a related party) to a third party to expend at least five percent (5%) of the Project Funds on the costs of the Project. The Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 17 c2014 10ix14 completion of acquisition, construction, improvement and equipping of the Project and the allocation of Project Funds to expenditures for the Project will proceed with due diligence. 4.7 Working Capital. No operational expenditures of the Recipient or any related entity are being, have been or will be financed or refinanced with Project Funds. 4.8 Expenditure of Proceeds. Project Funds shall be used exclusively for the following purposes: (i) Reimbursement Expenditures (as defined in Section 4.20 below), (ii) Preliminary Expenditures (as defined in Section 4.20 below) in an aggregate amount not exceeding twenty percent (20%) of the Project Funds, (iii) capital expenditures relating to the Project originally paid by the Recipient on or after the date hereof, (iv) interest on the Obligation through the later of three (3) years after the Applicable Date or one (1) year after the Project is placed in service, and (v) initial operating expenses directly associated with the Project in the aggregate amount not more than five percent (5%) of the Project Funds. 4.9 Private Use and Private Payments. None of the Project Funds or the Project are, have been or will be used in the aggregate for any activities that constitute a Private Use (as defined below). None of the principal of or interest with respect to the Installment Payments will be secured by any interest in property (whether or not the Project) used for a Private Use or in payments in respect of property used for a Private Use, or will be derived from payments in respect of property used for a Private Use. "Private Use" means any activity that constitutes a trade or business that is carried on by persons or entities, other than a Governmental Unit. The leasing of the Project or the access by or the use of the Project by a person or entity other than a Governmental Unit on a basis other than as a member of the general public shall constitute a Private Use. Use by or on behalf of the State of California or any of its agencies, instrumentalities or subdivisions or by any local governmental unit and use as a member of the general public will be disregarded in determining whether a Private Use exists. Use under an arrangement that conveys priority rights or other preferential benefits is generally not use on the same basis as the general public. Arrangements providing for use that is available to the general public at no charge or on the basis of rates that are generally applicable and uniformly applied do not convey priority rights or other preferential benefits. For this purpose, rates may be treated as generally applicable and uniformly applied even if (i) different rates apply to different classes of users, such as volume purchasers, if the differences in rates are customary and reasonable; or (ii) a specially negotiated rate arrangement is entered into, but only if the user is prohibited by federal law from paying the generally applicable rates, and the rates established are as comparable as reasonably possible to the generally applicable rates. An arrangement that does not otherwise convey priority rights or other preferential benefits is not treated, nevertheless, as general public use if the term of the use under the arrangement, including all renewal options, is greater than 200 days. For this purpose, a right of first refusal to renew use under the arrangement is not treated as a renewal option if (i) the compensation for the use under the arrangement is redetermined at generally applicable, fair market value rates that are in effect at the time of renewal; and (ii) the use of the financed property under the same or similar arrangements is predominantly by natural persons who are not engaged in a trade or business. 4.10 No Sale, Lease or Private Operation of the Project. The Project will not be sold or otherwise disposed of, in whole or in part, to any person who is not a Governmental Unit prior to the final maturity date of the Obligation. The Project will not be leased to any person or entity that is not a Governmental Unit prior to the final maturity date of the Obligation. Except as permitted under Section 4.12 hereof, the Recipient will not enter any contract or arrangement or cause or permit any contract or arrangement to be entered (to the extent of its reasonable control) with persons or entities that are not Governmental Units if that contract or arrangement would confer on such persons Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 18 c2014 10ix14 or entities any right to use the Project on a basis different from the right of members of the general public. The contracts or arrangements contemplated by the preceding sentence include but are not limited to management contracts, take or pay contracts or put or pay contracts, and capacity guarantee contracts. 4.11 No Disproportionate or Unrelated Use. None of the Project Funds or the Project are, have been, or will be used for a Private Use that is unrelated or disproportionate to the governmental use of the Project Funds. 4.12 Management and Service Contracts. With respect to management and service contracts, the determination of whether a particular use constitutes Private Use shall be determined on the basis of applying Section 1.141-3(b)(4) of the Treasury Regulations, Revenue Procedure 97-13, and other applicable rules and regulations. As of the date hereof, none of the Project Funds or the Project are being used to provide property subject to contracts or other arrangements with persons or entities engaged in a trade or business (other than Governmental Units) that involve the management of property or the provision of services that do not comply with the standards of the Treasury Regulations and Revenue Procedure 97-13. Except to the extent the Recipient has received an opinion of counsel expert in the issuance of state and local government bonds the interest on which is excluded from gross income under Section 103 of the Code ("Nationally-Recognized Bond Counsel") and satisfactory to the State Water Board and the Bank to the contrary, the Recipient will not enter into any management or service contracts with any person or entity that is not a Governmental Unit for services to be provided with respect to the Project except with respect to contracts where the following requirements are complied with: (i) the compensation is reasonable for the services rendered; (ii) the compensation is not based, in whole or in part, on a share of net profits from the operation of the Project; (iii) not more than twenty percent (20%) of the voting power of the Recipient in the aggregate may be vested in the service provider and its directors, officers, shareholders, and employees and vice versa; (iv) any overlapping board members between the Recipient and the service provider must not include the chief executive officer or executive director of either, or their respective governing bodies; and (v): (a) At least ninety-five percent (95%) of the compensation for services for each annual period during the term of the contract is based on a periodic fixed fee which is a stated dollar amount for services rendered for a specified period of time. The stated dollar amount may automatically increase according to a specified objective external standard that is not linked to the output or efficiency of a facility, e.g., the Consumer Price Index and similar external indices that track increases in prices in an area or increases in revenues or costs in an industry are objective external standards. A fee shall not fail to qualify as a periodic fixed fee as a result of a one (1) time incentive award during the term of the contract under which compensation automatically increases when a gross revenue or expense target (but not both) is reached if that award is a single stated dollar amount. The term of the contract, including all renewal options, must not exceed the lesser of eighty percent (80%) of the reasonably expected useful life of the financed property and fifteen (15) years (twenty (20) years for "public utility property" within the meaning of Section 168(i)(10) of the Code); (b) At least eighty percent (80%) of the compensation for services for each annual period during the term of the contract is based on a periodic fixed fee. The term of the contract, including all renewal options, must not exceed the lesser of eighty percent (80%) of the reasonably expected useful life of the financed property and ten (10) years. A one (1) time incentive award during the term of the contract similar to the award described in subsection (a) above is permitted under this option as well; (c) At least fifty percent (50%) of the compensation for services for each annual period during the term of the contract is based on a periodic fixed fee or all of the compensation for services is Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 19 c2014 10ix14 based on a capitation fee or combination of a periodic fixed fee and a capitation fee. A capitation fee is a fixed periodic amount for each person for whom the service provider or the Recipient assumes the responsibility to provide all needed services for a specified period so long as the quantity and type of services actually provided to covered persons vary substantially; e.g., a fixed dollar amount payable per month to a service provider for each member of a plan for whom the provider agrees to provide all needed services for a specified period. A capitation fee may include a variable component of up to twenty percent (20%) of the total capitation fee designed to protect the service provider against risks such as catastrophic loss. The term of the contract, including all renewal options, must not exceed five (5) years. The contract must be terminable by the Recipient on reasonable notice without penalty or cause, at the end of the third year of the contract; (d) All of the compensation for services is based on a per-unit fee or a combination of a per-unit fee and a periodic fee. A per-unit fee is defined to mean a fee based on a unit of service provided as specified in the contract or otherwise specifically determined by an independent third party, such as the administrator of the program or the Recipient; e.g., a stated dollar amount for each specified procedure performed, car parked or passenger mile is a per-unit fee. The term of the contract, including all renewal options, must not exceed three (3) years. The contract must be terminable by the Recipient on reasonable notice, without penalty or cause, at the end of the second year of the contract term; or (e) All of the compensation for services is based on a percentage of fees charged or a combination of a per-unit fee and a percentage of revenue or expense fee. During the start up period, however, compensation may be based on a percentage of gross revenues, adjusted gross revenues, or expenses of a facility. The term of the contract, including renewal options, must not exceed two (2) years. The contract must be terminable by the Recipient on reasonable notice without penalty or cause, at the end of the first year. This type of contract is permissible only with respect to contracts under which the service provider primarily provides services to third parties, and management contracts involving a facility during an initial start-up period for which there have been insufficient operations to establish a reasonable estimate of the amount of the annual gross revenues and expenses (e.g., a contract for general management services for the first year of the operations). If the compensation terms of a management or service contract are materially revised, the requirements for compensation terms must be retested as of the date of the material revision and the management or service contract is treated as one that was newly entered into as of the date of the material revision. A renewal option, for purposes of the foregoing, is defined to mean a provision under which the service provider has a legally enforceable right to renew the contract. Thus, for example, a provision under which a contract is automatically renewed for one (1) year periods absent cancellation by either party is not a renewal option, even if it is expected to be renewed. A cancellation penalty is defined to include a limitation on the Recipient's ability to compete with the service provider, a requirement that the Recipient purchase equipment, goods, or services from the service provider, and a requirement that the Recipient pay liquidated damages for cancellation of the contract; in comparison, a requirement effective on cancellation that the Recipient reimburse the service provider for ordinary and necessary expenses or a restriction against the Recipient hiring key personnel of the service provider is generally not a contract termination penalty. Another contract between the service provider and the Recipient, such as a loan or guarantee by the service provider, is treated as creating a contract termination penalty if that contract contains terms that are not customary or arm's length, or that could operate to prevent the Recipient from terminating the contract (e.g., provisions under which the contract terminates if the management contract is terminated or that places substantial restrictions on the selection of a substitute service provider). Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 20 c2014 10ix14 The service provider must not have any role or relationship with the Recipient, that, in effect, substantially limits the Recipient's ability to exercise its rights, including cancellation rights, under the contract, based on all the facts and circumstances. 4.13 No Disposition of Financed Property. The Recipient does not expect to sell or otherwise dispose of any portion of the Project, in whole or in part, prior to the final maturity date of the Obligation. 4.14 Useful Life of Project. The economic useful life of the Project, commencing at Project Completion, is at least equal to the term of this Agreement, as set forth on Exhibit B hereto. 4.15 Installment Payments. Installment Payments generally are expected to be derived from assessments, taxes, fees, charges or other current revenues of the Recipient in each year, and such current revenues are expected to equal or exceed the Installment Payments during each payment period. Any amounts accumulated in a sinking fund or bona fide debt service fund to pay Installment Payments (whether or not deposited to a fund or account established by the Recipient) will be disbursed to pay Installment Payments within thirteen months of the initial date of accumulation or deposit. Any such fund used for the payment of Installment Payments will be depleted once a year except for a reasonable carryover amount not exceeding earnings on such fund or one-twelfth of the Installment Payments in either case for the immediately preceding year. 4.16 No Other Replacement Proceeds. The Recipient will not use any of the Project Funds to replace or substitute other funds of the Recipient that were otherwise to be used to finance the Project or which are or will be used to acquire securities, obligations or other investment property reasonably expected to produce a yield that is materially higher than the yield on the Bonds. 4.17 No Sinking or Pledged Fund. Except as set forth in Section 4.18 below, the Recipient will not create or establish any sinking fund or pledged fund which will be used to pay Installment Payments on the Obligation within the meaning of Section 1.148-1(c) of the Treasury Regulations. If any sinking fund or pledged fund comes into being with respect to the Obligation before the Obligation has been fully retired which may be used to pay the Installment Payments, the Recipient will invest such sinking fund and pledged fund moneys at a yield that does not exceed the yield on the Bonds. 4.18 Reserve Amount. The State Water Board requires that the Recipient maintain and fund a separate account in an amount equal to one (1) year of debt service with respect to the Obligation (the “Reserve Amount”) as set forth in Exhibit D. The Recipient represents that the Reserve Amount is and will be available to pay debt service with respect to the Obligation, if and when needed. The Reserve Amount consists solely of revenues of the Recipient and does not include any proceeds of any obligations the interest on which is excluded from gross income for federal income tax purposes or investment earnings thereon. The aggregate of the Reserve Amount, up to an amount not exceeding the lesser of (i) ten percent of the aggregate principal amount of the Obligation, (ii) the maximum annual debt service with respect to the Obligation, or (iii) 125 percent of the average annual debt service with respect to the Obligation, will be treated as a reasonably required reserve fund. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 21 c2014 10ix14 4.19 Reimbursement Resolution. The “reimbursement resolution” adopted by the Recipient is incorporated herein by reference, pursuant to Exhibit A. 4.20 Reimbursement Expenditures. A portion of the Project Funds may be applied to reimburse the Recipient for Project costs paid before the date hereof, so long as the Project cost was (i) not paid prior to sixty (60) days before the Recipient’s adoption of a declaration of official intent to finance the Project, (ii) not paid more than eighteen (18) months prior to the date hereof or the date the financed facility was placed-in-service, whichever is later, and (iii) not paid more than three (3) years prior to the date hereof (collectively, “Reimbursement Expenditures”), unless such cost is attributable to a “preliminary expenditure.” Preliminary expenditure for this purpose means architectural, engineering, surveying, soil testing and similar costs incurred prior to the commencement of construction or rehabilitation of the Project, but does not include land acquisition, site preparation and similar costs incident to the commencement of acquisition, construction or rehabilitation of the Project. Preliminary expenditures may not exceed 20% of the costs of the Project financed with the Obligation. 4.21 Change in Use of the Project. The Recipient reasonably expects to use all Project Funds and the Project for the entire stated term to maturity of the Obligation. Absent an opinion of Nationally-Recognized Bond Counsel to the effect that such use of Project Funds will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code, the Recipient will use all Project Funds and the Project solely as set forth in the Agreement. 4.22 Rebate Obligations. If the Recipient satisfies the requirements of one of the spending exceptions to rebate specified in Section 1.148-7 of the Treasury Regulations, amounts earned from investments, if any, acquired with the Project Funds will not be subject to the rebate requirements imposed under Section 148(f) of the Code. If the Recipient fails to satisfy such requirements for any period, it will notify the State Water Board and the Bank immediately and will comply with the provisions of the Code and the Treasury Regulations at such time, including the payment of any rebate amount or any yield reduction payments calculated by the State Water Board or the Bank. 4.23 No Federal Guarantee. The Recipient will not directly or indirectly use any of the Project Funds in any manner that would cause the Bonds to be "federally guaranteed" within the meaning of Section 149(b) of the Code, taking into account various exceptions including any guarantee related to investments during an initial temporary period until needed for the governmental purpose of the Bonds, investments as part of a bona fide debt service fund, investments of a reasonably required reserve or replacement fund, investments in bonds issued by the United States Treasury, investments in refunding escrow funds or certain other investments permitted under the Treasury Regulations. 4.24 No Notices or Inquiries From IRS. Within the last 10 years, the Recipient has not received any notice of a final action of the Internal Revenue Service that determines that interest paid or payable on any debt obligation of the Recipient is or was includable in the gross income of an owner or beneficial owner thereof for federal income tax purposes under the Code. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 22 c2014 10ix14 4.25 Amendments. The provisions in this Article may be amended, modified or supplemented at any time to reflect changes in the Code upon obtaining written approval of the State Water Board and the Bank and an opinion of Nationally-Recognized Bond Counsel to the effect that such amendment, modification or supplement will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code. 4.26 Application. The provisions in this Article IV shall apply to a Recipient only if any portion of the Project Funds is derived from proceeds of Bonds. 4.27 Reasonable Expectations. The Recipient warrants that, to the best of its knowledge, information and belief, and based on the facts and estimates as set forth in the tax covenants in this Article, the expectations of the Recipient as set forth in this Article are reasonable. The Recipient is not aware of any facts or circumstances that would cause it to question the accuracy or reasonableness of any representation made in the provisions in this Article IV. ARTICLE V MISCELLANEOUS PROVISIONS 5.1 Covenants. (a) Tax Covenant. Notwithstanding any other provision hereof, the Recipient covenants and agrees that it will comply with the Tax Covenants set forth in Article IV attached hereto if any portion of the Project Funds is derived from proceeds of Bonds. (b) Disclosure of Financial Information, Operating Data, and Other Information. The Recipient covenants to furnish such financial, operating and other data pertaining to the Recipient as may be requested by the State Water Board to: (i) enable the State Water Board to cause the issuance of Bonds and provide for security therefor; or (ii) enable any underwriter of Bonds issued for the benefit of the State Water Board to comply with Rule 15c2-12(b)(5). The Recipient further covenants to provide the State Water Board with copies of all continuing disclosure reports and materials concerning the Recipient required by the terms of any financing other than this Agreement and to submit such reports to the State Water Board at the same time such reports are submitted to any dissemination agent, trustee, nationally recognized municipal securities information repository, the Municipal Securities Rulemaking Board’s Electronic Municipal Market Access (EMMA) website or other person or entity. 5.2 Assignability. The Recipient agrees and consents to any pledge, sale, or assignment to the Bank or a trustee for the benefit of the owners of the Bonds, if any, at any time of any portion of the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement and the right to make all related waivers and agreements in the name and on behalf of the State Water Board, as agent and attorney-in-fact, and to perform all other related acts which are necessary and appropriate under this Agreement, if any, and the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement to Installment Payments (but excluding the State Water Board's rights to Additional Payments and to notices, opinions and indemnification under each Obligation). This Agreement is not assignable by the Recipient, either in whole or in part, without the consent of the State Water Board in the form of a formal written amendment to this Agreement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 23 c2014 10ix14 5.3 State Reviews and Indemnification. The parties agree that review or approval of Project plans and specifications by the State Water Board is for administrative purposes only and does not relieve the Recipient of its responsibility to properly plan, design, construct, operate, and maintain the Project. To the extent permitted by law, the Recipient agrees to indemnify, defend, and hold harmless the State Water Board, the Bank, and any trustee, and their officers, employees, and agents for the Bonds, if any (collectively, "Indemnified Persons"), against any loss or liability arising out of any claim or action brought against any Indemnified Persons from and against any and all losses, claims, damages, liabilities, or expenses, of every conceivable kind, character, and nature whatsoever arising out of, resulting from, or in any way connected with (1) the System or the Project or the conditions, occupancy, use, possession, conduct, or management of, work done in or about, or the planning, design, acquisition, installation, or construction, of the System or the Project or any part thereof; (2) the carrying out of any of the transactions contemplated by this Agreement or any related document; (3) any violation of any applicable law, rule or regulation, any environmental law (including, without limitation, the Federal Comprehensive Environmental Response, Compensation and Liability Act, the Resource Conservation and Recovery Act, the California Hazardous Substance Account Act, the Federal Water Pollution Control Act, the Clean Air Act, the Toxic Substances Control Act, the Occupational Safety and Health Act, the Safe Drinking Water Act, the California Hazardous Waste Control Law, and California Water Code Section 13304, and any successors to said laws), rule or regulation or the release of any toxic substance on or near the System; or (4) any untrue statement or alleged untrue statement of any material fact or omission or alleged omission to state a material fact necessary to make the statements required to be stated therein, in light of the circumstances under which they were made, not misleading with respect to any information provided by the Recipient for use in any disclosure document utilized in connection with any of the transactions contemplated by this Agreement. To the fullest extent permitted by law, the Recipient agrees to pay and discharge any judgment or award entered or made against Indemnified Persons with respect to any such claim or action, and any settlement, compromise or other voluntary resolution. The provisions of this section shall survive the discharge of the Recipient's Obligation hereunder. 5.4 Termination; Immediate Acceleration; Interest. (a) This Agreement may be terminated by written notice during construction of the Project, or thereafter at any time prior to complete satisfaction of the Obligation by the Recipient, at the option of the State Water Board, upon violation by the Recipient of any material provision of this Agreement after such violation has been called to the attention of the Recipient and after failure of the Recipient to bring itself into compliance with the provisions of this Agreement within a reasonable time as established by the Division. (b) In the event of such termination, the Recipient agrees, upon demand, to immediately repay to the State Water Board an amount equal to Installment Payments due hereunder, including accrued interest, and all penalty assessments due. In the event of termination, interest shall accrue on all amounts due at the highest legal rate of interest from the date that notice of termination is mailed to the Recipient to the date of full satisfaction of the Obligation by the Recipient. (c) Where the Recipient is a private entity that has been determined to have violated an applicable prohibition in the Prohibition Statement below or has an employee who is determined by USEPA to have violated an applicable prohibition in the Prohibition Statement below that is either associated with performance under this aware or imputed to the Recipient using the standards and due process for imputing the conduct of an individual to an organization pursuant to 2 CFR Part 180, the Recipient acknowledges and agrees that this Obligation may become immediately due and payable and that penalties up to $175 million may be due by the Recipient to the State Water Board, in addition to any other criminal or civil penalties that may become due. The Recipient, its employees, its contractors, and any subrecipients or Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 24 c2014 10ix14 subcontractors may not engage in trafficking in persons, procure a commercial sex act, or use forced labor. 5.5 Income Restrictions. The Recipient agrees that any refunds, rebates, credits, or other amounts (including any interest thereon) accruing to or received by the Recipient under this Agreement shall be paid by the Recipient to the State, to the extent that they are properly allocable to costs for which the Recipient has been reimbursed by the State under this Agreement. 5.6 Prevailing Wages. The Recipient agrees to be bound by all the provisions of State Labor Code Section 1771 regarding prevailing wages. The Recipient shall monitor all agreements subject to reimbursement from this Agreement to assure that the prevailing wage provisions of State Labor Code Section 1771 are being met. 5.7 Timeliness. Time is of the essence in this Agreement. 5.8 Governing Law. This contract is governed by and shall be interpreted in accordance with the laws of the State of California. 5.9 Amendment. No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed by the parties and approved as required. No oral understanding or agreement not incorporated in this Agreement is binding on any of the parties. 5.10 Bonding. Where contractors are used, the Recipient shall not authorize construction to begin until each contractor has furnished a performance bond in favor of the Recipient in the following amounts: faithful performance (100%) of contract value; labor and materials (100%) of contract value. This requirement shall not apply to any contract for less than $20,000.00. 5.11 Compliance with Law, Regulations, etc. (a) The Recipient agrees that it will, at all times, comply with and require its contractors and subcontractors to comply with all applicable federal and state laws, rules, guidelines, regulations, and requirements. Without limitation of the foregoing, the Recipient agrees that, to the extent applicable, the Recipient will: (1) Comply with the provisions of the adopted environmental mitigation plan for the term of this Agreement; (2) Comply with the State Water Board's "Policy for Implementing the Clean Water State Revolving Fund,” dated May 7, 2013; (3) Comply with and require its contractors and subcontractors on the Project to comply with federal DBE requirements; and Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 25 c2014 10ix14 (4) Comply with and require its contractors and subcontractors to comply with the list of federal laws attached as Exhibit E. 5.12 Conflict of Interest. The Recipient certifies that it is in compliance with applicable state and/or federal conflict of interest laws. 5.13 Damages for Breach Affecting Tax Exempt Status or Federal Compliance In the event that any breach of any of the provisions of this Agreement by the Recipient shall result in the loss of tax exempt status for any bonds of the State or any subdivision or agency thereof, including Bonds issued on behalf of the State Water Board, or if such breach shall result in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government by reason of any arbitrage profits, the Recipient shall immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. In the event that any breach of any of the provisions of this Agreement by the Recipient shall result in the failure of Project Funds to be used pursuant to the provisions of this Agreement, or if such breach shall result in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government, the Recipient shall immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. 5.14 Disputes. (a) The Recipient may appeal a staff decision within 30 days to the Deputy Director of the Division or designee, for a final Division decision. The Recipient may appeal a final Division decision to the State Water Board within 30 days. The Office of the Chief Counsel of the State Water Board will prepare a summary of the dispute and make recommendations relative to its final resolution, which will be provided to the State Water Board’s Executive Director and each State Water Board Member. Upon the motion of any State Water Board Member, the State Water Board will review and resolve the dispute in the manner determined by the State Water Board. Should the State Water Board determine not to review the final Division decision, this decision will represent a final agency action on the dispute. (b) This clause does not preclude consideration of legal questions, provided that nothing herein shall be construed to make final the decision of the State Water Board, or any official or representative thereof, on any question of law. (c) Recipient shall continue with the responsibilities under this Agreement during any dispute. 5.15 Independent Actor. The Recipient, and its agents and employees, if any, in the performance of this Agreement, shall act in an independent capacity and not as officers, employees, or agents of the State Water Board. 5.16 Non-Discrimination Clause. (a) During the performance of this Agreement, Recipient and its contractors and subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, sexual orientation, physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, and denial of family care leave. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 26 c2014 10ix14 (b) The Recipient, its contractors, and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. (c) The Recipient, its contractors, and subcontractors shall comply with the provisions of the Fair Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov. Code, §12990, subds. (a)-(f) et seq.; Cal. Code Regs., tit. 2, § 7285 et seq.) Such regulations are incorporated into this Agreement by reference and made a part hereof as if set forth in full. (d) The Recipient, its contractors, and subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. (e) The Recipient shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement. 5.17 No Third Party Rights. The parties to this Agreement do not create rights in, or grant remedies to, any third party as a beneficiary of this Agreement, or of any duty, covenant, obligation, or undertaking established herein. 5.18 Operation and Maintenance; Insurance. The Recipient agrees to sufficiently and properly staff, operate and maintain all portions of the Project during its useful life in accordance with all applicable state and federal laws, rules and regulations. The Recipient will procure and maintain or cause to be maintained insurance on the System with responsible insurers, or as part of a reasonable system of self-insurance, in such amounts and against such risks (including damage to or destruction of the System) as are usually covered in connection with systems similar to the System. Such insurance may be maintained by the maintenance of a self- insurance plan so long as any such plan provides for (i) the establishment by the Recipient of a separate segregated self-insurance fund funded in an amount determined (initially and on at least an annual basis) by an independent insurance consultant experienced in the field of risk management employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program. In the event of any damage to or destruction of the System caused by the perils covered by such insurance, the net proceeds thereof shall be applied to the reconstruction, repair or replacement of the damaged or destroyed portion of the System. The Recipient shall begin such reconstruction, repair or replacement as expeditiously as possible, and shall pay out of such net proceeds all costs and expenses in connection with such reconstruction, repair or replacement so that the same shall be completed and the System shall be free and clear of all claims and liens. If such net proceeds are insufficient to enable the Recipient to pay all remaining unpaid principal portions of the Installment Payments, the Recipient shall provide additional funds to restore or replace the damaged portions of the System. 5.19 Permits, Subcontracting, and Remedies. The Recipient shall comply in all material respects with all applicable federal, state and local laws, rules and regulations. Recipient shall procure all permits, licenses and other authorizations necessary to accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices necessary and incidental to the due and lawful prosecution of the work. Signed copies of any such permits or licenses shall be submitted to the Division before construction begins. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 27 c2014 10ix14 5.20 Recipient’s Responsibility for Work. The Recipient shall be responsible for all work and for persons or entities engaged in work performed pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and providers of services. The Recipient shall be responsible for any and all disputes arising out of its contracts for work on the Project. The State Water Board will not mediate disputes between the Recipient and any other entity concerning responsibility for performance of work. 5.21 Related Litigation. Under no circumstances may a Recipient use funds from any disbursement under this Agreement to pay costs associated with any litigation the Recipient pursues against the State Water Board or any Regional Water Quality Control Board. Regardless of the outcome of any such litigation, and notwithstanding any conflicting language in this Agreement, the Recipient agrees to complete the Project funded by this Agreement or to repay all of the disbursed funds plus interest. 5.22 Rights in Data. The Recipient agrees that all data, plans, drawings, specifications, reports, computer programs, operating manuals, notes, and other written or graphic work produced in the performance of this Agreement are subject to the rights of the State as set forth in this section. The State shall have the right to reproduce, publish, and use all such work, or any part thereof, in any manner and for any purposes whatsoever and to authorize others to do so. If any such work is copyrightable, the Recipient may copyright the same, except that, as to any work which is copyrighted by the Recipient, the State reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, and use such work, or any part thereof, and to authorize others to do so, and to receive electronic copies from the Recipient upon request. (40 CFR 31.34, 31.36) 5.23 State Water Board Action; Costs and Attorney Fees. The Recipient agrees that any remedy provided in this Agreement is in addition to and not in derogation of any other legal or equitable remedy available to the State Water Board as a result of breach of this Agreement by the Recipient, whether such breach occurs before or after completion of the Project, and exercise of any remedy provided by this Agreement by the State Water Board shall not preclude the State Water Board from pursuing any legal remedy or right which would otherwise be available. In the event of litigation between the parties hereto arising from this Agreement, it is agreed that each party shall bear its own costs and attorney fees. 5.24 Unenforceable Provision. In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby. 5.25 Useful Life. The economic useful life of the Project, commencing at Project Completion, is at least equal to the term of this Agreement, as set forth in Exhibit B hereto. 5.26 Venue. The State Water Board and the Recipient hereby agree that any action arising out of this Agreement shall be filed and maintained in the Superior Court in and for the County of Sacramento, California. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 28 c2014 10ix14 5.27 Waiver and Rights of the State Water Board. Any waiver of rights by the State Water Board with respect to a default or other matter arising under the Agreement at any time shall not be considered a waiver of rights with respect to any other default or matter. Any rights and remedies of the State Water Board provided for in this Agreement are in addition to any other rights and remedies provided by law. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT A – SCOPE OF WORK & INCORPORATED DOCUMENTS A-1 c2014 10ix14 1. The Recipient agrees to start construction no later than the estimated date of March 1, 2015. 2. The estimated Completion of Construction date is hereby established as June 30, 2018. 3. The Recipient agrees to ensure that its final Request for Disbursement is received by the Division no later than six months after Completion of Construction date, unless prior approval has been granted by the Division. If the Recipient fails to do so, then the undisbursed balance of this Agreement will be deobligated. 4. Incorporated by reference into this Agreement are the following documents: (a) the Final Plans & Specifications, which are the basis for the construction contract to be awarded by the Recipient (Agreement will be amended to incorporate such document); (b) the Regional Water Quality Control Board, San Diego Region Order No. 2001-352 as amended by Order No. R9-2012-0027; (c) the Recipient’s Authorized Representative Resolution No. 1456 – authorizes loan dated November 27, 2012; (d) the Recipient’s Pledged Revenues and Funds Resolution No. 1457 – doesn’t authorize revenues by name dated November 27, 2012; and (e) the Recipient’s Reimbursement Resolution No. 1457 dated November 27, 2012. 5. Scope of Work. (a) Project Objectives The objectives of the Phase III project components will be completed between 2014 and 2020. The Phase III project will expand the treatment capacity within the Carlsbad Water Recycling Facility (WRF) from 4.0 mgd to 6.0 MGD, the Phase III project will also install 85,000 linear feet of pipeline, construct a 1.5 MG storage tank, convert existing potable water facilities to recycled water use, and retrofit publicly owned landscape irrigation water systems to use recycled water in eight expansion segment locations throughout the project area. (b) Project Description The Carlsbad WRF is owned by Carlsbad Municipal Water District (CMWD), but is operated by Encina Wastewater Authority (EWA), and currently operates as a tertiary treatment plant by treating secondary effluent from the adjacent Encina Wastewater Pollution Control Facility (EWPCF). The design maximum flow is 4 MGD (4,480 AFY), but on an average annual basis has not exceeded 1.79 MGD (2,000 AFY) (CMWD 2011). As the City of Carlsbad’s capacity ownership at the EWPCF is 10.26 MGD, the Carlsbad WRF can be expanded beyond its current flow without requiring an additional supply source. The Phase III project will expand the Carlsbad WRF from its current capacity of 4 MGD to a total capacity of 6 MGD, and sufficient space and infrastructure is in place to accommodate the expansion. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT A – SCOPE OF WORK & INCORPORATED DOCUMENTS A-2 c2014 10ix14 Additional storage will be required to meet the expected demand following implementation of the Phase III project. The CMWD owns the Twin D Reservoir site, which has sufficient area to construct additional storage that would consist of a 1.5 million gallon steel tank. The market assessment determined that an additional 2,088 AFY (1.86 MGD) recycled water as the Phase III system demand, of which 1,535 AFY (1.37 MGD) will come from pipeline expansions. Phase III distribution pipelines are separated into seven pipeline expansion segments. As pipeline expansion segments are being implemented, other “pick-up” customer use sites along the pipeline alignment, such as roadway medians, will be included in the design. Segment alignments were based on contiguous or nearby potential customers. The potential demand includes 1109 AFY (0.99 MGD) of demand associated with retrofits and conversions of existing potable water customers, and 979 AFY (0.87 MGD) of demand associated with new customers. Most of the expansion segments do not require any property acquisition, and lie within existing rights-of-way. Segment 7, however, will require additional right-of-way access by the Quarry Creek developer for the new pipeline within the existing hillside. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 B-1 c2014 10ix14 EXHIBIT B – PROJECT FINANCING AMOUNT 1. Estimated Reasonable Cost. The estimated reasonable cost of the total Project, including associated planning and design costs, is twenty nine million, five hundred thousand dollars and no cents ($29,500,000.00). 2. Project Funding. Subject to the terms of this Agreement, the State Water Board agrees to provide Project Funds in the amount of up to twenty nine million, five hundred thousand dollars and no cents ($29,500,000.00). 3. Payment, Interest Rate, and Charges. The Recipient agrees to make all Installment Payments according to the schedule in Exhibit C at an interest rate of one percent (1.0%) per annum. The Recipient agrees to pay an Administrative Service Charge of zero percent (0.0%) per annum. The Recipient agrees to pay a Small Community Grant Fund Charge at zero percent (0.0%) per annum. 4. The term of this agreement is from November 13, 2014 to June 30, 2048. 5. Budget costs are contained in the Project Cost Table, which is part of Exhibit A-FBA. (This Agreement will be amended to incorporate Exhibit A-FBA.) 6. Preliminary budget costs are as follows: Design allowances: $2,000,000 Construction costs and disbursements are not available until after this Agreement has been amended to incorporate Exhibit A-FBA. Any construction expenses incurred by the Recipient prior to such amendment of this Agreement are at the Recipient’s risk. Failure to begin construction according to the timelines set forth in Exhibit A will require the Recipient to repay to the State Water Board all disbursed Project Funds, including planning and design allowances. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 C-1 c2014 10ix14 EXHIBIT C – CWSRF PAYMENT SCHEDULE See the attached preliminary CWSRF Payment Schedule dated November 20, 2014. The final CWSRF Payment Schedule will be forwarded to the Recipient after all disbursements have been paid and construction of the Project has been completed. Due Date Principal Payment Interest Rate % Interest Payment Total P and I Payment Total Payment Ending Balance Payment Schedule 30 Years 1.00000% Principal is paid over: Interest rate: CPI Interest Phase III Recycled Water Project Project No. 7899-110 - Carlsbad Municipal Water District Agreement: 14820 - based on Actual + Projected Disbursements Date Received Ref Num 6/30/2019 860,922.51 1 281,634.05 1,142,556.56 1,142,556.56 28,639,077.49 0.001 6/30/2020 856,165.79 1 286,390.77 1,142,556.56 1,142,556.56 27,782,911.70 0.002 6/30/2021 864,727.44 1 277,829.12 1,142,556.56 1,142,556.56 26,918,184.26 0.003 6/30/2022 873,374.72 1 269,181.84 1,142,556.56 1,142,556.56 26,044,809.54 0.004 6/30/2023 882,108.46 1 260,448.10 1,142,556.56 1,142,556.56 25,162,701.08 0.005 6/30/2024 890,929.55 1 251,627.01 1,142,556.56 1,142,556.56 24,271,771.53 0.006 6/30/2025 899,838.84 1 242,717.72 1,142,556.56 1,142,556.56 23,371,932.69 0.007 6/30/2026 908,837.23 1 233,719.33 1,142,556.56 1,142,556.56 22,463,095.46 0.008 6/30/2027 917,925.61 1 224,630.95 1,142,556.56 1,142,556.56 21,545,169.85 0.009 6/30/2028 927,104.86 1 215,451.70 1,142,556.56 1,142,556.56 20,618,064.99 0.0010 6/30/2029 936,375.91 1 206,180.65 1,142,556.56 1,142,556.56 19,681,689.08 0.0011 6/30/2030 945,739.67 1 196,816.89 1,142,556.56 1,142,556.56 18,735,949.41 0.0012 6/30/2031 955,197.07 1 187,359.49 1,142,556.56 1,142,556.56 17,780,752.34 0.0013 6/30/2032 964,749.04 1 177,807.52 1,142,556.56 1,142,556.56 16,816,003.30 0.0014 6/30/2033 974,396.53 1 168,160.03 1,142,556.56 1,142,556.56 15,841,606.77 0.0015 6/30/2034 984,140.49 1 158,416.07 1,142,556.56 1,142,556.56 14,857,466.28 0.0016 6/30/2035 993,981.90 1 148,574.66 1,142,556.56 1,142,556.56 13,863,484.38 0.0017 6/30/2036 1,003,921.72 1 138,634.84 1,142,556.56 1,142,556.56 12,859,562.66 0.0018 6/30/2037 1,013,960.93 1 128,595.63 1,142,556.56 1,142,556.56 11,845,601.73 0.0019 6/30/2038 1,024,100.54 1 118,456.02 1,142,556.56 1,142,556.56 10,821,501.19 0.0020 6/30/2039 1,034,341.55 1 108,215.01 1,142,556.56 1,142,556.56 9,787,159.64 0.0021 6/30/2040 1,044,684.96 1 97,871.60 1,142,556.56 1,142,556.56 8,742,474.68 0.0022 6/30/2041 1,055,131.81 1 87,424.75 1,142,556.56 1,142,556.56 7,687,342.87 0.0023 6/30/2042 1,065,683.13 1 76,873.43 1,142,556.56 1,142,556.56 6,621,659.74 0.0024 6/30/2043 1,076,339.96 1 66,216.60 1,142,556.56 1,142,556.56 5,545,319.78 0.0025 6/30/2044 1,087,103.36 1 55,453.20 1,142,556.56 1,142,556.56 4,458,216.42 0.0026 6/30/2045 1,097,974.40 1 44,582.16 1,142,556.56 1,142,556.56 3,360,242.02 0.0027 6/30/2046 1,108,954.14 1 33,602.42 1,142,556.56 1,142,556.56 2,251,287.88 0.0028 6/30/2047 1,120,043.68 1 22,512.88 1,142,556.56 1,142,556.56 1,131,244.20 0.0029 6/30/2048 1,131,244.20 1 11,312.44 1,142,556.64 1,142,556.64 0.00 0.0030 29,500,000.00 4,776,696.88 34,276,696.88 34,276,696.88 0.00 11/20/2014 Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT D — SPECIAL CONDITIONS D-1 c2014 10ix14 Recipient agrees to perform the following special conditions: Environmental Special Conditions as follows: The following documents are incorporated by reference and the Recipient shall comply with the conditions therein: 1. The November 27, 2012 Mitigation Monitoring and Reporting Program, including but not limited to the following mitigation measures:  Bio 1A through Bio 1F for biological resources, and  Haz-1 through Haz-2 for hazards and hazardous materials 2. The May 2014 Cultural Resources Report implementing an archaeological monitoring plan during construction activities within a 100-foot buffer of the following expansion segments (ES) for the Phase III Recycled Water Project, County of San Diego, California:  ES 1A near site CA-SDI-8348;  ES 2 near site CA-SDI-6751;  ES 4A near site CA-SDI-6819;  ES 5 near sites CA-SDI-6139, -13124, -6140, -10612, and -5213; and  ES 9 near site CA-SDI-12670. 3. The Coastal Development Permit(s) (CDP) issued prior to construction by the City of Carlsbad for the Phase III Recycled Water Project, County of San Diego, California. The Recipient will make no changes in the Project, construction area, or special conditions, without obtaining prior approval from the State Water Board and the City of Carlsbad. The Recipient understands that it is prohibited from making any such changes without those approvals. REPORTING TO THE STATE WATER BOARD The Recipient shall include the status of its environmental compliance with the measures identified in this Exhibit D in the Project Quarterly Construction Status Reports, and shall report its environmental compliance efforts with these measures identified herein in the final Project Quarterly Construction Status Report for submittal to the State Water Board after the completion of the Project construction. Financial Special Conditions as follows: 1. The Recipient shall establish sewer rates and charges sufficient to generate net revenues equal to at least 1.10 times the total annual debt service. 2. The Recipient shall establish a restricted reserve fund, held in the Recycled Water Rate Fund, equal to one year’s debt service prior to the construction completion date of the project. The restricted reserve fund shall be maintained for the full term of the finance agreement and shall be subject to lien and pledge as security for the Obligation. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT D — SPECIAL CONDITIONS D-2 c2014 10ix14 Other - Legal Special Condition as follows: The Recipient complies with the State Water Board’s Drought Emergency Water Conservation regulations in Section 863-865 of title 23 of the California Code of Regulations. The Recipient will include a discussion of its implementation in reports submitted pursuant to Section 2.16 of this Agreement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT E — FEDERAL CONDITIONS & CROSS-CUTTERS E-1 c2014 10ix14 The Recipient agrees to comply with the following conditions required by USEPA: 1. Architectural and engineering contracts. Where the Recipient contracts for program management, construction management, feasibility studies, preliminary engineering, design, engineering, surveying, mapping, or architectural related services, the Recipient shall ensure that such any such contract is negotiated in the same manner as a contract for architectural and engineering services is negotiated under chapter 11 of title 40, United States Code, or an equivalent State qualifications-based requirement as determined by the State Water Board. 2. GAAP. The Recipient must maintain project accounts according to Generally Accepted Accounting Principles (GAAP) as issued by the Governmental Accounting Standards Board (GASB). The Recipient shall maintain GAAP-compliant project accounts, including GAAP requirements relating to the reporting of infrastructure assets. 3. Fiscal sustainability. The Recipient certifies that it has developed and is implementing a fiscal sustainability plan for the Project that includes an inventory of critical assets that are a part of the Project, an evaluation of the condition and performance of inventoried assets or asset groupings, a certification that the recipient has evaluated and will be implementing water and energy conservation efforts as part of the plan, and a plan for maintaining, repairing, and, as necessary, replacing the Project and a plan for funding such activities. 4. Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board, the Recipient shall not purchase “iron and steel products” produced outside of the United States on this Project. Unless the Recipient has obtained a waiver from USEPA on file with the State Water Board, the Recipient hereby certifies that all “iron and steel products” used in the Project were or will be produced in the United States. For purposes of this section, the term "iron and steel products" means the following products made primarily of iron or steel: lined or unlined pipes and fittings, manhole covers and other municipal castings, hydrants, tanks, flanges, pipe clamps and restraints, valves, structural steel, reinforced precast concrete, and construction materials. 5. No Recipient or subrecipient may receive funding under this Agreement unless it has provided its DUNS number to the State Water Board. (2011 Cap Grant) 6. Executive Compensation. Where the Recipient received 80 percent or more of its annual gross revenues from federal procurement contracts (and subcontracts) and $25,000,000 or more in annual gross revenues from federal procurement contracts (and subcontracts), the Recipient agrees to notify the State Water Board. The Recipient agrees to provide information regarding executive compensation to the State Water Board upon request, in order for the State Water Board to comply with USEPA requirements. 7. Trafficking in Persons. The Recipient, its employees, contractors and subcontractors and their employees may not engage in severe forms of trafficking in persons during the term of this Agreement, procure a commercial sex act during the term of this Agreement, or use forced labor in the performance of this Agreement. The Recipient must include this provision in its contracts and subcontracts under this Agreement. The Recipient must inform the State Water Board immediately of any information regarding a violation of the foregoing. The Recipient understands that failure to comply with this provision may subject the State Water Board to loss of federal funds in the amount of $101,065,000. The Recipient agrees to compensate the State Water Board for any such funds lost due to its failure to comply with this condition, or the failure of its contractors or subcontractors to comply with this condition. The State Water Board may unilaterally terminate this Agreement and full payment will be due immediately, if a Recipient or subrecipient that is a private entity is determined to have violated the foregoing. Trafficking Victims Protection Act of 2000. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT E — FEDERAL CONDITIONS & CROSS-CUTTERS E-2 c2014 10ix14 8. Contractors, Subcontractors, Debarment and Suspension, Executive Order 12549; 2 CFR Part 180; 2 CFR Part 1532. The Recipient shall not subcontract with any party who is debarred or suspended or otherwise excluded from or ineligible for participation in federal assistance programs under Executive Order 12549, "Debarment and Suspension". The Recipient shall not subcontract with any individual or organization on USEPA's List of Violating Facilities. (40 CFR, Part 31.35, Gov. Code 4477) The Recipient 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 (3) year period preceding this Agreement 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 (b) of this certification; and (d) Have not within a three (3) year period preceding this application/proposal had one or more public transactions (federal, state or local) terminated for cause or default. Suspension and debarment information can be accessed at http://www.sam.gov. The Recipient represents and warrants that it has or will include a term or conditions requiring compliance with this provision in all of its contracts and subcontracts under this Agreement. The Recipient acknowledges that failing to disclose the information as required at 2 CFR 180.335 may result in the termination, delay or negation of this Agreement, or pursuance of legal remedies, including suspension and debarment. 9. Anti-Lobbying Provisions (40 CFR Part 34) & Anti-Litigation Provisions (2 CFR 220, 225, or 230). The Recipient shall ensure that no funds under this Agreement are used to engage in lobbying of the federal government or in litigation against the United States unless authorized under existing law. The Recipient shall abide by 2 CFR 225 (OMB Circular A-87) (or, if not applicable, other parallel requirements), which prohibits the use of federal grant funds for litigation against the United States or for lobbying or other political activities. The Recipient agrees to comply with 40 CFR Part 24, New Restrictions on Lobbying. The Recipient agrees to submit certification and disclosure forms in accordance with these provisions. In accordance with the Byrd Anti-Lobbying Amendment, any Recipient who makes a prohibited expenditure under 40 CFR Part 34 or fails to file the required certification or lobbying forms shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure. The Recipient shall abide by its respective 2 CFR 200, 225, or 230, which prohibits the use of federal grant funds for litigation against the United States or for lobbying or other political activities. 10. Disadvantaged Business Enterprises. 40 CFR Part 33. The Recipient agrees to comply with the requirements of USEPA’s Program for Utilization of Small, Minority and Women’s Business Enterprises. The DBE rule can be accessed at www.epa.gov/osbp . The Recipient shall comply Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT E — FEDERAL CONDITIONS & CROSS-CUTTERS E-3 c2014 10ix14 with, and agrees to require its prime contractors to comply with 40 CFR Section 33.301, and retain all records documenting compliance with the six good faith efforts. 11. The Recipient agrees to comply with the Davis-Bacon provisions attached as Exhibit G. The Recipient agrees to comply with the following federal laws, as applicable to recipients of CWSRF funding: Environmental Authorities 1. Archeological and Historical Preservation Act of 1974, Pub. L. 86-523, as amended, Pub. L. 93-291 16 USC § 469a-1. 2. Clean Air Act, Pub. L. 84-159, as amended. 3. Coastal Barrier Resources Act, Pub. L. 97-348, 96 Stat. 1653; 16 USC § 3501 et seq. 4. Coastal Zone Management Act, Pub. L. 92-583, as amended; 16 USC § 1451 et seq. 5. Endangered Species Act, Pub. L. 93-205, as amended; 16 USC § 1531 et seq.. 6. Environmental Justice, Executive Order 12898. 7. Floodplain Management, Executive Order, 11988 as amended by Executive Order 12148. 8. Protection of Wetlands, Executive Order 11990, as amended by Executive Order No. 12608. 9. Farmland Protection Policy Act, Pub. L. 97-98; 7 USC § 4201 et seq. 10. Fish and Wildlife Coordination Act, Pub. L. 85-624, as amended. 11. National Historic Preservation Act of 1966, Pub. L. 89-665, as amended, 80 Stat. 917 (1966) 16 USC § 470 et seq. 12. Safe Drinking Water Act, Pub. L. 93-523, as amended; 42 USC § 300f et seq. 13. Wild and Scenic Rivers Act, Pub. L. 90-542, as amended, 82 Stat. 913; 16 USC § 1271 et seq. 14. Essential Fish Habitat Consultation. Pub. L. 94-265, as amended, 16 USC § 1801 et seq. 15. Recycled Materials. Executive Order 13101; Section 6002 Resource Conservation and Recovery Act – 42 USC § 6962. Economic and Miscellaneous Authorities 1. Demonstration Cities and Metropolitan Development Act of 1966, Pub. L. 89-754, as amended, Executive Order 12372/ 42 USC § 3331 et seq. 2. Procurement Prohibitions under Section 306 of the Clean Air Act and Section 508 of the Clean Water Act, including Executive Order 11738, Administration of the Clean Air Act and the Federal Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT E — FEDERAL CONDITIONS & CROSS-CUTTERS E-4 c2014 10ix14 Water Pollution Control Act with Respect to Federal Contracts, Grants, or Loans; 42 USC § 7606; 33 USC § 1368; 40 CFR Part 31. 3. Uniform Relocation and Real Property Acquisition Policies Act, Pub. L. 91-646, as amended; 42 USC §§4601-4655 4.. Preservation of Open Competition and Government Neutrality Towards Government Contractors’ Labor Relations on Federal and Federally Funded Construction Projects, EO 13202, as amended by EO 13208. 6. Hotel and Motel Fire Safety Act of 1990 (PL 101-391, as amended). All conference, meeting, convention, or training funded in whole or in part with federal funds shall comply with the protection and control guidelines of this act. Recipients may search http://www.usfa.dhs.gov/applications/hotel/. 7. Records and financial reporting requirements. 40 CFR Part 31. 8. Copyright requirements. 40 CFR Part 31. Social Policy Authorities 1. Age Discrimination Act of 1975, Pub. L. 94-135; 42 USC § 6102. 2. Race Discrimination. Title VI of the Civil Rights Act of 1964, Pub. L. 88-352.1; 42 USC § 2000d; 40 CFR Part 7. 3. Sex Discrimination. Section 13 of the Federal Water Pollution Control Act Amendments of 1972, Pub. L. 92-500 (the Clean Water Act); 33 USC § 1251; 40 CFR Part 7. 4. Disability Discrimination. Section 504 of the Rehabilitation Act of 1973, Pub. L. 93-112 (including Executive Orders 11914 and 11250); 29 USC § 794; 40 CFR Part 7. 5. Equal Employment Opportunity, Executive Order 11246. 6. Section 129 of the Small Business Administration Reauthorization and Amendment Act of 1988, Pub. L. 100-590. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT F — SCHEDULE OF MATERIAL OBLIGATIONS F-1 c2014 10ix14 Except for the following and the Obligation evidenced by this Agreement, the Recipient certifies that it has no outstanding Material Obligations and that it is in compliance with all applicable additional debt provisions of the following: The following outstanding debt is senior to the Obligation: Title Interest Rate Total Amount Amount Remaining End Date Not Applicable The following outstanding debt is on parity with the Obligation: Title Interest Rate Total Amount Amount Remaining End Date CWSRF 740-3903-110 2.5% $9,695,504 $6,154,355.30 06/1/2025 WRFP-3903-120 2.3% $19,382,546 $13,682,221.10 04/1/2027 The following outstanding debt is subordinate to the Obligation: Title Interest Rate Total Amount Amount Remaining End Date Not Applicable Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-1 c2014 10ix14 The Recipient shall have the primary responsibility to maintain payroll records as described in Section 3(ii)(A), below and for compliance as described in Section 5. Requirements Under The Consolidated Appropriations Act, 2014 (P.L. 113-76) For Recipients That Are Governmental Entities: If a Recipient has questions regarding when DB applies, obtaining the correct DB wage determinations, DB provisions, or compliance monitoring, it may contact the State Water Board. The Recipient may also obtain additional guidance from DOL’s web site at http://www.dol.gov/whd/ 1. Applicability of the Davis- Bacon (DB) prevailing wage requirements. Under the FY 2014 Consolidated Appropriation Act, DB prevailing wage requirements apply to the construction, alteration, and repair of treatment works carried out in whole or in part with assistance made available by a State water pollution control revolving fund and to any construction project carried out in whole or in part by assistance made available by a drinking water treatment revolving loan fund. If the Recipient encounters a unique situation at a site that presents uncertainties regarding DB applicability, the Recipient must discuss the situation with the State Water Board State before authorizing work on that site. 2. Obtaining Wage Determinations. (a) Recipients shall obtain the wage determination for the locality in which a covered activity subject to DB will take place prior to issuing requests for bids, proposals, quotes or other methods for soliciting contracts (solicitation) for activities subject to DB. These wage determinations shall be incorporated into solicitations and any subsequent contracts. Prime contracts must contain a provision requiring that subcontractors follow the wage determination incorporated into the prime contract. (i) While the solicitation remains open, the Recipient shall monitor www.wdol.gov weekly to ensure that the wage determination contained in the solicitation remains current. The Recipients shall amend the solicitation if DOL issues a modification more than 10 days prior to the closing date (i.e. bid opening) for the solicitation. If DOL modifies or supersedes the applicable wage determination less than 10 days prior to the closing date, the Recipients may request a finding from the State State Water Board that there is not a reasonable time to notify interested contractors of the modification of the wage determination. The State Water Board will provide a report of its findings to the Recipient. (ii) If the Recipient does not award the contract within 90 days of the closure of the solicitation, any modifications or supersedes DOL makes to the wage determination contained in the solicitation shall be effective unless the State Water Board, at the request of the Recipient, obtains an extension of the 90 day period from DOL pursuant to 29 CFR 1.6(c)(3)(iv). The Recipient shall monitor www.wdol.gov on a weekly basis if it does not award the contract within 90 days of closure of the solicitation to ensure that wage determinations contained in the solicitation remain current. (b) If the Recipient carries out activity subject to DB by issuing a task order, work assignment or similar instrument to an existing contractor (ordering instrument) rather than by publishing a solicitation, the Recipient shall insert the appropriate DOL wage determination from www.wdol.gov into the ordering instrument. (c) Recipients shall review all subcontracts subject to DB entered into by prime contractors to verify that the prime contractor has required its subcontractors to include the applicable wage determinations. (d) As provided in 29 CFR 1.6(f), DOL may issue a revised wage determination applicable to a Recipient’s contract after the award of a contract or the issuance of an ordering instrument if DOL determines that the Recipient has failed to incorporate a wage determination or has used a wage determination that clearly does not apply to the contract or ordering instrument. If this occurs, the Recipient shall either terminate the contract or ordering instrument and issue a revised solicitation or Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-2 c2014 10ix14 ordering instrument or incorporate DOL’s wage determination retroactive to the beginning of the contract or ordering instrument by change order. The Recipient’s contractor must be compensated for any increases in wages resulting from the use of DOL’s revised wage determination. 3. Contract and Subcontract provisions. (a) The Recipient shall insure that the Recipient(s) shall insert in full in any contract in excess of $2,000 which is entered into for the actual construction, alteration and/or repair, including painting and decorating, of a treatment work under the CWSRF or a construction project under the DWSRF financed in whole or in part from Federal funds or in accordance with guarantees of a Federal agency or financed from funds obtained by pledge of any contract of a Federal agency to make a loan, grant or annual contribution (except where a different meaning is expressly indicated), and which is subject to the labor standards provisions of any of the acts listed in § 5.1 or the FY 2014 Consolidated Appropriations Act, the following clauses: (1) Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in § 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a)(1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. Recipients may obtain wage determinations from the U.S. Department of Labor’s web site, www.dol.gov. (ii)(A) The Recipient(s), on behalf of EPA, shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The State award official shall approve a request for an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the Recipient(s) agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), documentation of the action taken and the request, including the local wage determination shall be sent by the Recipient (s) to the State award official. The State award official will transmit the request, to the Administrator of the Wage and Hour Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-3 c2014 10ix14 Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210 and to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification request within 30 days of receipt and so advise the State award official or will notify the State award official within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the Recipient(s) do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the award official shall refer the request and the local wage determination, including the views of all interested parties and the recommendation of the State award official, to the Administrator for determination. The request shall be sent to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt of the request and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii)(B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (2) Withholding. The Recipient(s), shall upon written request of the EPA Award Official or an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the (Agency) may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records. (i) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-4 c2014 10ix14 approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The contractor shall submit weekly, for each week in which any contract work is performed, a copy of all payrolls to the Recipient, that is, the entity that receives the sub-grant or loan from the State capitalization grant recipient. Such documentation shall be available on request of the State recipient or EPA. As to each payroll copy received, the Recipient shall provide written confirmation in a form satisfactory to the State indicating whether or not the project is in compliance with the requirements of 29 CFR 5.5(a)(1) based on the most recent payroll copies for the specified week. The payrolls shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on the weekly payrolls. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the Recipient(s) for transmission to the State or EPA if requested by EPA , the State, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the Recipient(s). (B) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be provided under § 5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under § 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete; (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph (a)(3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the State, EPA or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the Federal agency or State may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees-- Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-5 c2014 10ix14 (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended and 29 CFR part 30. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-6 c2014 10ix14 (5) Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the EPA determines may by appropriate, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5. (7) Contract termination; debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. (8) Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and Recipient(s), State, EPA, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility. (i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. 4. Contract Provision for Contracts in Excess of $100,000. (a) Contract Work Hours and Safety Standards Act. The Recipient shall insert the following clauses set forth in paragraphs (a)(1), (2), (3), and (4) of this section in full in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by Item 3, above or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (a)(1) of this section the contractor and any subcontractor responsible therefore shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (a)(1) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (a)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The Recipient, upon written request of the EPA Award Official or an authorized representative of the Department of Labor, shall withhold or Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-7 c2014 10ix14 cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (a)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (a)(1) through (4) of this section. (b) In addition to the clauses contained in Item 3, above, in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR 5.1, the Recipient shall insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, the Recipient shall insert in any such contract a clause providing hat the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the USEPA, the Department of Labor, and the State Water Board, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job. 5. Compliance Verification (a) The Recipient shall periodically interview a sufficient number of employees entitled to DB prevailing wages (covered employees) to verify that contractors or subcontractors are paying the appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews must be conducted in confidence. The Recipient must use Standard Form 1445 (SF 1445) or equivalent documentation to memorialize the interviews. Copies of the SF 1445 are available from EPA on request. (b) The Recipient shall establish and follow an interview schedule based on its assessment of the risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract or subcontract. Recipients must conduct more frequent interviews if the initial interviews or other information indicated that there is a risk that the contractor or subcontractor is not complying with DB. Recipients shall immediately conduct interviews in response to an alleged violation of the prevailing wage requirements. All interviews shall be conducted in confidence." (c) The Recipient shall periodically conduct spot checks of a representative sample of weekly payroll data to verify that contractors or subcontractors are paying the appropriate wage rates. The Recipient shall establish and follow a spot check schedule based on its assessment of the risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract or subcontract. At a minimum, if practicable, the Recipient should spot check payroll data within two weeks of each contractor or subcontractor’s submission of its initial payroll data and two weeks prior to the completion date the contract or subcontract . Recipients must conduct more frequent spot checks if the initial spot check or other information indicates that there is a risk that the contractor or subcontractor is not complying with DB. In addition, during the examinations the Recipient shall verify evidence of fringe benefit plans and payments there under by contractors and subcontractors who claim credit for fringe benefit contributions. (d) The Recipient shall periodically review contractors and subcontractors use of apprentices and trainees to verify registration and certification with respect to apprenticeship and training programs approved by either the U.S Department of Labor or a state, as appropriate, and that contractors and subcontractors are not using disproportionate numbers of, laborers, trainees and apprentices. These reviews shall be conducted in accordance with the schedules for spot checks and interviews described in Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT G – DAVIS BACON REQUIREMENTS G-8 c2014 10ix14 Item 5(b) and (c) above. (e) Recipients must immediately report potential violations of the DB prevailing wage requirements to the EPA DB contact listed above and to the appropriate DOL Wage and Hour District Office listed at http://www.dol.gov/contacts/whd/america2.htm. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 EXHIBIT H – MATERIAL LITIGATION, INVESTIGATIONS, AUDITS H-1 c2014 10ix14 None. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 1 c2014 10ix14 This Installment Sale Agreement, including all exhibits and attachments hereto, (Agreement) is dated as of the date set forth on the first page of this Agreement, by and between the State Water Resources Control Board, an administrative and regulatory agency of the State of California (State Water Board), and the local government entity identified on the first page of this Agreement, duly organized and existing under the laws of the State of California (Recipient): WITNESSETH: WHEREAS the United States of America, pursuant to Title VI of the federal Water Pollution Control Act as such has been and may be amended from time to time (Clean Water Act), requires each State to establish a water pollution control revolving fund to be administered by an instrumentality of the State as a condition to receipt of capitalization grants under the Clean Water Act; and WHEREAS the State of California (State) has established a Clean Water State Revolving Fund (CWSRF) pursuant to Chapter 6.5 of Division 7 of the California Water Code (State Act) to be used for purposes of the Clean Water Act; and WHEREAS the State Water Board is the state agency authorized to administer the CWSRF and provide financial assistance from the CWSRF to recipients for the construction of eligible projects, as provided in the State Act; and WHEREAS through the passage of various bond acts, the voters of the State have authorized the State Water Board to make available certain general obligation bond proceeds (GO Bond Proceeds) for projects meeting certain criteria; and WHEREAS the State Water Board determines Project eligibility for financial assistance from the CWSRF, pursuant to the Clean Water Act and the State Act, determines a reasonable schedule for financing and construction of projects, ensures compliance with the Clean Water Act, and establishes the terms and conditions of an applicable financing agreement; and WHEREAS the State Water Board determines eligibility for GO Bond Proceeds made available through the Water Recycling Funding Program, determines a reasonable schedule for financing projects funded through that program, ensures compliance with the State GO Bond Act, and establishes the terms and conditions of an applicable financing agreement; and WHEREAS the Recipient has applied to the State Water Board for financial assistance from the CWSRF, for the purpose of financing or refinancing the Project described below, and the State Water Board has reviewed and approved said application; and WHEREAS the Recipient has or will incur costs incurred in connection with, the planning, design, acquisition, construction, and installation of the Project described in Exhibit A and Exhibit A-FBA hereto; and WHEREAS on the basis of the Recipient’s application and the representations and warranties set forth herein, the State Water Board proposes to assist in financing the costs of the Project and/or to refund outstanding bonds, notes, or other debt obligations of the Recipient, if any, issued to finance the Project, and the Recipient desires to participate as a recipient of financial assistance from the CWSRF and evidence its obligation to pay Installment Payments, which obligation will be secured by Net Revenues, as defined herein, upon the terms and conditions set forth in this Agreement, all pursuant to the Clean Water Act and the State Act and the State GO Bond Act; Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 2 c2014 10ix14 NOW, THEREFORE, in consideration of the premises and of the mutual representations, covenants and agreements herein set forth, the State Water Board and the Recipient, each binding itself, its successors and assigns, do mutually promise, covenant and agree as follows: ARTICLE I DEFINITIONS 1.1 Definitions. Unless otherwise specified, each capitalized term used in this Agreement (including the Exhibits hereto) has the following meaning: "Additional Payments" means the Additional Payments described in Section 3.2(c) of this Agreement. "Agreement" means this Installment Sale Agreement, dated as of the date set forth on the first page hereof, by and between the State Water Board and the Recipient, including all exhibits and attachments hereto. "Allowance" means an amount based on a percentage of the accepted bid for an eligible project to help defray the planning, design, and construction engineering and administration costs of the Project. "Authorized Representative" means the duly appointed representative of the Recipient. For all authorized representatives, a certified original of the authorizing resolution that designates the authorized representative, by title, must accompany the first disbursement request, and any other documents or requests required or allowed under this Agreement. "Bank" means the California Infrastructure and Economic Development Bank. "Bonds" means any series of bonds issued by the Bank all or a portion of the proceeds of which may be applied to fund the Project in whole or in part or that are secured in whole or in part by Installment Payments paid hereunder. "Code" means the Internal Revenue Code of 1986, as amended, and any successor provisions and the regulations of the U.S. Department of the Treasury promulgated thereunder. "Completion of Construction" means the date, as determined by the Division after consultation with the Recipient, that the work of building and erection of the Project is substantially complete. “CWSRF” means the Clean Water State Revolving Fund. "Division" means the Division of Financial Assistance of the State Water Board or any other segment of the State Water Board authorized to administer the CWSRF. “Enterprise Fund” means the enterprise fund of the Recipient in which Revenues are deposited. "Fiscal Year" means the period of twelve (12) months terminating on June 30 of any year, or any other annual period hereafter selected and designated by the Recipient as its Fiscal Year in accordance with applicable law. "Force Account" means the use of the Recipient's own employees or equipment for construction of the Project. "Initiation of Construction" means the date that notice to proceed with work is issued for the Project, or, if notice to proceed is not required, the date of commencement of building and erection of the Project. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 3 c2014 10ix14 "Installment Payments" means Installment Payments due and payable by the Recipient to the State Water Board under this Agreement, the amounts of which are set forth as Exhibit C hereto. “Listed Event” means, so long as the Recipient has outstanding any Material Obligation subject to Rule 15c2-12, any of the events required to be reported pursuant to Rule 15c2-12(b)(5). “Material Event” means any of the following events: (a) revenue shortfalls; (b) unscheduled draws on the reserve fund or the Enterprise Fund; (c) substitution of insurers, or their failure to perform; (d) adverse water quality findings by the Regional Water Quality Control Board; or (e) litigation related to the Revenues or to the Project, whether pending or anticipated. "Material Obligations" means all senior, parity, and subordinate obligations of the Recipient payable from Revenues as identified as of the date of this Agreement in Exhibit F and such additional obligations as may hereafter be issued in accordance with the provisions of such obligations and this Agreement. "Net Revenues" means, for any Fiscal Year, so long as there may be any pre-existing and outstanding Material Obligation other than the Obligation, the definition of the term as defined under such Material Obligation, and thereafter, all Revenues received by the Recipient less the Operations and Maintenance Costs for such Fiscal Year. "Obligation" means the obligation of the Recipient to make Installment Payments and Additional Payments as provided herein, as evidenced by the execution of this Agreement, proceeds of such obligations being used to fund the Project as specified in the Project Description attached hereto as Exhibit A and Exhibit A-FBA and in the documents thereby incorporated by reference. "Operations and Maintenance Costs" means, so long as outstanding Material Obligations other than the Obligation are outstanding, the definition of such term as defined therein, and thereafter, the reasonable and necessary costs paid or incurred by the Recipient for maintaining and operating the System, determined in accordance with generally accepted accounting principles, including all reasonable expenses of management and repair and all other expenses necessary to maintain and preserve the System in good repair and working order, and including all reasonable and necessary administrative costs of the Recipient that are charged directly or apportioned to the operation of the System, such as salaries and wages of employees, overhead, taxes (if any), the cost of permits, licenses, and charges to operate the System and insurance premiums; but excluding, in all cases depreciation, replacement, and obsolescence charges or reserves therefor and amortization of intangibles. "Policy" means the State Water Board's policy for implementing the CWSRF program, as amended from time to time and the WRFP Guidelines. “Project” means the Project financed by this Agreement as described in Exhibit A and in the documents incorporated by reference herein. "Project Completion" means the date, as determined by the Division after consultation with the Recipient, that operation of the Project is initiated or is capable of being initiated, whichever comes first. "Project Costs" means the incurred costs of the Recipient which are eligible for financial assistance from the CWSRF under the federal Clean Water Act under this Agreement, which are allowable costs as defined under the Policy, and which are reasonable, necessary and allocable by the Recipient to the Project under generally accepted accounting principles, plus capitalized interest. “Project Funds” means funds disbursed by the State Water Board to the Recipient for purposes of this Agreement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 4 c2014 10ix14 “Recipient” means the recipient of Project Funds, as identified on the front page of this Agreement. "Revenues" means, for each Fiscal Year, all gross income and revenue received or receivable by the Recipient from the ownership or operation of the System, determined in accordance with generally accepted accounting principles, including all rates, fees, and charges (including connection fees and charges) as received by the Recipient for the services of the System, and all other income and revenue howsoever derived by the Recipient from the ownership or operation of the System or arising from the System, including all income from the deposit or investment of any money in the Enterprise Fund or any rate stabilization fund of the Recipient or held on the Recipient’s behalf, and any refundable deposits made to establish credit, and advances or contributions in aid of construction. “Rule 15c2-12(b)(5)” means Rule 15c2-12(b)(5) promulgated by the Securities and Exchange Commission pursuant to the Securities Exchange Act of 1934, as amended. “State” means State of California. “State Water Board” means the State Water Resources Control Board, an administrative and regulatory agency of the State of California. "System" means all wastewater, water recycling, and/or potable water collection, transport, treatment, storage, and/or disposal facilities, including land and easements thereof, owned by the Recipient, including the Project, and all other properties, structures or works hereafter acquired and constructed by the Recipient and determined to be a part of the System, together with all additions, betterments, extensions or improvements to such facilities, properties, structures, or works, or any part thereof hereafter acquired and constructed. “Water Recycling Funding Program” means the program of that name administered by the State Water Resources Control Board, pursuant to the WRFP Guidelines and state law. “WRFP Guidelines” means the Water Recycling Funding Program Guidelines, as amended by the State Water Board on June 16, 2015. 1.2 Exhibits and Appendices Incorporated. All exhibits and appendices to this Agreement, including any amendments and supplements hereto, are hereby incorporated herein and made a part of this Agreement. ARTICLE II REPRESENTATIONS, WARRANTIES, AND COMMITMENTS The Recipient represents and warrants the following as of the date set forth on the first page hereof and continuing thereafter for the term of the Agreement. 2.1 General Recipient Commitments. The Recipient accepts and agrees to comply with all terms, provisions, conditions, and commitments of this Agreement, including all incorporated documents, and to fulfill all assurances, declarations, representations, and commitments made by the Recipient in its application, accompanying documents, and communications filed in support of its request for financial assistance. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 5 c2014 10ix14 2.2 Authorization and Validity. The execution and delivery of this Agreement, including all incorporated documents, has been duly authorized. This Agreement constitutes a valid and binding obligation of the Recipient, enforceable in accordance with its terms, except as such enforcement may be limited by law. 2.3 Violations. The execution, delivery, and performance by Recipient of this Agreement, including all incorporated documents, do not violate any provision of any law or regulation in effect as of the date set forth on the first page hereof, or result in any breach or default under any contract, obligation, indenture, or other instrument to which Recipient is a party or by which Recipient is bound as of the date set forth on the first page hereof. 2.4 Litigation. There are no pending or, to Recipient’s knowledge, threatened actions, claims, investigations, suits, or proceedings before any governmental authority, court, or administrative agency which affect the financial condition or operations of the System and/or the Project other than as described in Exhibit H hereto. 2.5 Solvency. None of the transactions contemplated by this Agreement will be or have been made with an actual intent to hinder, delay, or defraud any present or future creditors of Recipient. As of the date set forth on the first page hereof, Recipient is solvent and will not be rendered insolvent by the transactions contemplated by this Agreement. Recipient is able to pay its debts as they become due. 2.6 Legal Status and Eligibility. Recipient is duly organized and existing and in good standing under the laws of the State of California, and will remain so during the term of this Agreement. Recipient shall at all times maintain its current legal existence and preserve and keep in full force and effect its legal rights and authority. Recipient shall maintain compliance with provisions of state law that restrict state funding to non-compliant entities. 2.7 Financial Statements. The financial statements of Recipient previously delivered to the State Water Board as of the date(s) set forth in such financial statements: (a) are materially complete and correct; (b) present fairly the financial condition of the Recipient; and (c) have been prepared in accordance with generally accepted accounting principles or other accounting standards reasonably approved by the State Water Board. Since the date(s) of such financial statements, there has been no material adverse change in the financial condition of the Recipient, nor have any assets or properties reflected on such financial statements been sold, transferred, assigned, mortgaged, pledged or encumbered, except as previously disclosed in writing by Recipient and approved in writing by the State Water Board. 2.8 Completion of Project. The Recipient agrees to expeditiously proceed with and complete construction of the Project in substantial accordance with Exhibit A and Exhibit A-FBA. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 6 c2014 10ix14 2.9 Project Completion Report. The Recipient shall submit a Project Completion Report to the Division with a copy to the appropriate Regional Water Quality Control Board on or before the due date established by the Division and the Recipient at the time of final project inspection. The Project Completion Report must address the following: (a) describe the Project, (b) describe the water quality problem the Project sought to address, (c) discuss the Project’s likelihood of successfully addressing that water quality problem in the future, and (d) summarize compliance with environmental conditions, if applicable. Where the Recipient fails to submit a timely Project Completion Report, the State Water Board may stop processing pending or future applications for new financial assistance, withhold disbursements under this Agreement or other agreements, and begin administrative proceedings. 2.10 Award of Construction Contracts. (a) The Recipient agrees to award the prime construction contract no later than the date specified in Exhibit A. (b) The Recipient agrees to promptly notify the Division in writing both of the award of the prime construction contract for the Project and of Initiation of Construction of the Project. The Recipient agrees to make all reasonable efforts to complete construction in substantial conformance with the terms of the contract by the Completion of Construction date established in Exhibit A. Such date shall be binding upon the Recipient unless modified in writing by the Division upon a showing of good cause by the Recipient. The Recipient shall deliver any request for extension of the Completion of Construction date no less than 90 days prior to the Completion of Construction date. The Division will not unreasonably deny such a timely request, but the Division will deny requests received after this time. 2.11 Notice. The Recipient agrees to notify the Division in writing within 5 days of the occurrence of the following: (a) Principal and interest payment delinquencies on this CWSRF Obligation; (b) Non payment related defaults, if material; (c) Unscheduled draws on debt service reserves reflecting financial difficulties; (d) Unscheduled draws on credit enhancements, if any, reflecting financial difficulties; (e) Substitution of credit or liquidity providers, if any, or their failure to perform; (f) Adverse tax opinions, the issuance by the Internal Revenue Service or proposed or final determinations of taxability, Notices of Proposed Issue (IRS Form 5701-TEB) or other material notices of determinations with respect to the tax status of any tax-exempt bonds; (g) Rating changes on tax-exempt bonds, if any; (h) Bankruptcy, insolvency, receivership or similar event of the Recipient; Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 7 c2014 10ix14 (i) Actions taken in anticipation of filing Chapter 9, as required under state law; (j) Any litigation pending or threatened against Recipient regarding its wastewater or water capacity or its continued existence, circulation of a petition to challenge rates, consideration of dissolution, or disincorporation, or any other material threat to the Recipient’s Revenues; (k) Other Material Events or Listed Events; (l) Change of ownership of the Project or change of management or service contract for operation of the Project; or (m) Negotiations regarding proposed parity obligations. The Recipient agrees to notify the Division promptly of the following: (a) Any substantial change in scope of the Project. The Recipient agrees that no substantial change in the scope of the Project will be undertaken until written notice of the proposed change has been provided to the Division and the Division has given written approval for such change; (b) Cessation of all major construction work on the Project where such cessation of work is expected to or does extend for a period of thirty (30) days or more; (c) Any circumstance, combination of circumstances, or condition, which is expected to or does delay Completion of Construction for a period of ninety (90) days or more beyond the estimated date of Completion of Construction previously provided to the Division; (d) Discovery of any potential archeological or historical resource. Should a potential archeological or historical resource be discovered during construction of the Project, the Recipient agrees that all work in the area of the find will cease until a qualified archeologist has evaluated the situation and made recommendations regarding preservation of the resource, and the Division has determined what actions should be taken to protect and preserve the resource. The Recipient agrees to implement appropriate actions as directed by the Division; (e) Discovery of any unexpected endangered or threatened species, as defined in the federal Endangered Species Act. Should a federally protected species be unexpectedly encountered during construction of the Project, the Recipient agrees to promptly notify the Division. This notification is in addition to the Recipient’s obligations under the federal Endangered Species Act; (f) Any monitoring, demonstration, or other implementation activities such that the State Water Board and/or Regional Water Quality Control Board staff may observe and document such activities; (g) Any public or media event publicizing the accomplishments and/or results of this Agreement and provide the opportunity for attendance and participation by state and federal representatives with at least ten (10) working days’ notice to both the Division and USEPA Region IX. The contact for USEPA Region IX is Josh Amaris at Amaris.josh@epa.gov (415) 972-3597; or (h) Completion of Construction of the Project, and actual Project Completion. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 8 c2014 10ix14 2.12 Findings and Challenge Upon consideration of a voter initiative to reduce Revenues, the Recipient shall make a finding regarding the effect of such a reduction on the Recipient's ability to satisfy its Obligation under this Agreement and to operate and maintain the Project for its useful life. The Recipient agrees to make its findings available to the public and to request, if necessary, the authorization of the Recipient’s decision-maker or decision- maker body to file litigation to challenge any such initiative that it finds will render it unable to satisfy either the Obligation or the covenant to operate and maintain, or both. The Recipient shall diligently pursue and bear any and all costs related to such challenge. The Recipient shall notify and regularly update the State Water Board regarding any such challenge. 2.13 Project Access. The Recipient agrees to ensure that the State Water Board, the Governor of the State, the United States Environmental Protection Agency, the Office of Inspector General, any member of Congress, the President of the United States, or any authorized representative of the foregoing, will have safe and suitable access to the Project site at all reasonable times during Project construction and thereafter for the term of the Obligation. The Recipient acknowledges that, except for a subset of archeological records, the Project records and locations are public records, including all of the submissions accompanying the application, all of the documents incorporated by Exhibit A, and all reports, disbursement requests, and supporting documentation submitted hereunder. 2.14 Project Completion; Initiation of Operations. Upon Completion of Construction of the Project, the Recipient agrees to expeditiously initiate Project operations. 2.15 Continuous Use of Project; Lease or Disposal of Project. The Recipient agrees that, except as provided in the Agreement, it will not abandon, substantially discontinue use of, lease, or dispose of the Project or any significant part or portion thereof during the useful life of the Project without prior written approval of the Division. Such approval may be conditioned as determined to be appropriate by the Division, including a condition requiring acceleration of all or any portion of all remaining funds covered by this Agreement together with accrued interest and any penalty assessments which may be due. 2.16 Reports. (a) Quarterly Reports. The Recipient agrees to expeditiously provide status reports no less frequently than quarterly, starting with the execution of this Agreement. At a minimum the reports will contain the following information:  a summary of progress to date including a description of progress since the last report, percent construction complete, percent contractor invoiced, and percent schedule elapsed;  a description of compliance with environmental requirements;  a listing of change orders including amount, description of work, and change in contract amount and schedule;  any problems encountered, proposed resolution, schedule for resolution, and status of previous problem resolutions. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 9 c2014 10ix14 (b) As Needed Reports. The Recipient agrees to expeditiously provide, during the term of this Agreement, such reports, data, and information as may be reasonably required by the Division, including but not limited to material necessary or appropriate for evaluation of the CWSRF or the Water Recycling Funding Program or to fulfill any reporting requirements of the federal government or related to use of the GO Bond proceeds. (c) Recycled water reports. The Recipient shall submit annual reports for a period commencing with Completion of Construction through one (1) full year after all proposed recycled water users included in the Project are connected for service (minimum five [5] years).  Reports will be submitted in hard copy and electronically.  The first annual report is due on February 28th following the first complete calendar year of operation and shall cover the period from the Completion of Construction through the end of the first full calendar year thereafter. Subsequent annual reports are due by February 28th following the year covered. The annual reports shall be prepared in accordance with the “Water Recycling Funding Guidelines”, dated July 2008, or any successor guidelines.  The reports shall briefly review the operation of the Project during the preceding year, identify current users and user contracts, provide monthly Project water deliveries to each user, the amount of fresh/potable water usage offset by the use of recycled water, and monthly amounts of water from each source delivered through Project facilities, list the funds received from other State and federal agencies for this Project during the period by agency, the amount, type of assistance (grants, loans, etc.), and a description of the facilities, components, and items the funds were used for; list the power and maintenance costs associated with the Project for the period, indicate current plans and programs for use of any Project capacity not under contract, summarize Project financial experience, describe compliance with any special conditions of this contract; describe direct and indirect benefits of the project to the state/local water supply and economy; describe other benefits and challenges arising from the project; and provide such other information as may be reasonably required to evaluate Project benefits and use of Project facilities. 2.17 Federal Disadvantaged Business Enterprise (DBE) Reporting. The Recipient agrees to report DBE utilization to the Division on the DBE Utilization Report, State Water Board Form DBE UR334. The Recipient must submit such reports to the Division semiannually within ten (10) calendar days following April 1 and October 1 until such time as the "Notice of Completion" is issued. The Recipient agrees to comply with 40 CFR § 33.301. 2.18 Records. (a) Without limitation of the requirement to maintain Project accounts in accordance with generally accepted accounting principles, the Recipient agrees to: (1) Establish an official file for the Project which shall adequately document all significant actions relative to the Project; (2) Establish separate accounts which will adequately and accurately depict all amounts received and expended on the Project, including all assistance funds received under this Agreement; Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 10 c2014 10ix14 (3) Establish separate accounts which will adequately depict all income received which is attributable to the Project, specifically including any income attributable to assistance funds disbursed under this Agreement; (4) Establish an accounting system which will accurately depict final total costs of the Project, including both direct and indirect costs; (5) Establish such accounts and maintain such records as may be necessary for the State to fulfill federal reporting requirements, including any and all reporting requirements under federal tax statutes or regulations; and (6) If Force Account is used by the Recipient for any phase of the Project, other than for planning, design, and construction engineering and administration provided for by allowance, accounts will be established which reasonably document all employee hours charged to the Project and the associated tasks performed by each employee. Indirect Force Account costs are not eligible for funding. (b) The Recipient shall be required to maintain separate books, records and other material relative to the Project. The Recipient shall also be required to retain such books, records, and other material for itself and for each contractor or subcontractor who performed work on this project for a minimum of thirty-six (36) years after Project Completion. The Recipient shall require that such books, records, and other material be subject at all reasonable times (at a minimum during normal business hours) to inspection, copying, and audit by the State Water Board, the Bureau of State Audits, the United States Environmental Protection Agency (USEPA), the Office of Inspector General, the Internal Revenue Service, the Governor, or any authorized representatives of the aforementioned, and shall allow interviews during normal business hours of any employees who might reasonably have information related to such records. The Recipient agrees to include a similar right regarding audit, interviews, and records retention in any subcontract related to the performance of this Agreement. The provisions of this section shall survive the discharge of the Recipient's Obligation hereunder and shall survive the term of this Agreement. 2.19 Audit. (a) The Division, at its option, may call for an audit of financial information relative to the Project, where the Division determines that an audit is desirable to assure program integrity or where such an audit becomes necessary because of federal requirements. Where such an audit is called for, the audit shall be performed by a certified public accountant independent of the Recipient and at the cost of the Recipient. The audit shall be in the form required by the Division. (b) Audit disallowances will be returned to the State Water Board. 2.20 Signage. The Recipient shall place a sign at least four feet tall by eight feet wide made of ¾ inch thick exterior grade plywood or other approved material in a prominent location on the Project site and shall maintain the sign in good condition for the duration of the construction period. The sign shall include the following color logos (available from the Division) and the following disclosure statement: Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 11 c2014 10ix14 “Funding for this $29,500,000 Phase III Recycled Water Project project has been provided in full or in part by the Clean Water State Revolving Fund and Proposition 1 – the Water Quality, Supply and Infrastructure Improvement Act of 2014 through an agreement with the State Water Resources Control Board. California’s Clean Water State Revolving Fund is capitalized through a variety of funding sources, including grants from the United States Environmental Protection Agency and state bond proceeds.” The Project sign may include another agency's required promotional information so long as the above logos and disclosure statement are equally prominent on the sign. The sign shall be prepared in a professional manner. The Recipient shall include the following disclosure statement in any document, written report, or brochure prepared in whole or in part pursuant to this Agreement: “Funding for this project has been provided in full or in part through an agreement with the State Water Resources Control Board. The contents of this document do not necessarily reflect the views and policies of the State Water Resources Control Board or the United States Environmental Protection Agency, nor does mention of trade names or commercial products constitute endorsement or recommendation for use. (Gov. Code § 7550, 40 CFR § 31.20.)” ARTICLE III FINANCING PROVISIONS 3.1 Purchase and Sale of Project. The Recipient hereby sells to the State Water Board and the State Water Board hereby purchases from the Recipient the Project. Simultaneously therewith, the Recipient hereby purchases from the State Water Board, and the State Water Board hereby sells to the Recipient, the Project in accordance with the provisions of this Agreement. All right, title, and interest in the Project shall immediately vest in the Recipient on the date of execution and delivery of this Agreement without further action on the part of the Recipient or the State Water Board. 3.2 Amounts Payable by the Recipient. (a) Installment Payments. The Recipient’s obligations under this Agreement shall be secured by and payable solely from Net Revenues. Repayment of the Project Funds, together with all interest accruing thereon, shall be repaid in annual installments commencing on the date that is one (1) year after Completion of Construction, and shall be fully amortized by the date specified in Exhibit B. The Installment Payments are based on a standard fully amortized assistance amount with equal annual payments. The remaining balance is the previous balance, plus the disbursements, plus the accrued interest on both, less the Installment Payment. Installment Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 12 c2014 10ix14 calculations will be made beginning one (1) year after Completion of Construction and shall be fully amortized not later than the date specified in Exhibit B. Exhibit C is a payment schedule based on the provisions of this article and an estimated disbursement schedule. Actual payments will be based on actual disbursements. Upon Completion of Construction and submission of necessary reports by the Recipient, the Division will prepare an appropriate payment schedule and supply the same to the Recipient. The Division may amend this schedule as necessary to accurately reflect amounts due under this Agreement. The Division will prepare any necessary amendments to the payment schedule and send them to the Recipient. The Recipient agrees to make each installment payment on or before the due date therefor. A ten (10) day grace period will be allowed, after which time a penalty in the amount of costs incurred to the State Water Board will be assessed for late payment. These costs may include, but are not limited to, lost interest earnings, staff time, bond debt service default penalties, if any, and other costs incurred. Penalties assessed will not change the principal balance of the financing Agreement. Such penalties will be treated as a separate receivable in addition to the annual payment due. For purposes of penalty assessment, payment will be deemed to have been made if payment is deposited in the U.S. Mail within the grace period with postage prepaid and properly addressed. Any penalties assessed will not be added to the assistance amount balance, but will be treated as a separate account and obligation of the Recipient. The interest penalty will be assessed from the payment due date. The Recipient as a whole is obligated to make all payments required by this Agreement to the State Water Board, notwithstanding any individual default by its constituents or others in the payment to the Recipient of fees, charges, taxes, assessments, tolls or other charges ("Charges") levied or imposed by the Recipient. The Recipient shall provide for the punctual payment to the State Water Board of all amounts which become due under this Agreement and which are received from constituents or others in the payment to the Recipient. In the event of failure, neglect or refusal of any officer of the Recipient to levy or cause to be levied any Charge to provide payment by the Recipient under this Agreement, to enforce or to collect such Charge, or to pay over to the State Water Board any money collected on account of such Charge necessary to satisfy any amount due under this Agreement, the State Water Board may take such action in a court of competent jurisdiction as it deems necessary to compel the performance of all duties relating to the imposition or levying and collection of any of such Charges and the payment of the money collected therefrom to the State Water Board. Action taken pursuant hereto shall not deprive the State Water Board of, or limit the application of, any other remedy provided by law or by this Agreement. Attached as Exhibit C is a Payment Schedule based on the provisions of this section and an estimated disbursement schedule. This schedule will be revised based on actual disbursements following Completion of Construction. Each Installment Payment shall be paid by check and in lawful money of the United States of America. The Recipient agrees that it shall not be entitled to interest earned on undisbursed project funds. Upon execution of this Agreement, the State Water Board shall encumber an amount equal to the Obligation. The Recipient hereby agrees to pay Installment Payments and Additional Payments from Net Revenues and/or other amounts legally available to the Recipient therefor. Interest on any funds disbursed to the Recipient shall begin to accrue as of the date of each disbursement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 13 c2014 10ix14 (b) Project Costs. The Recipient agrees to pay any and all costs connected with the Project including, without limitation, any and all Project Costs. If the Project Funds are not sufficient to pay the Project Costs in full, the Recipient shall nonetheless complete the Project and pay that portion of the Project Costs in excess of available Project Funds, and shall not be entitled to any reimbursement therefor from the State Water Board. (c) Additional Payments. In addition to the Installment Payments required to be made by the Recipient, the Recipient shall also pay to the State Water Board the reasonable extraordinary fees and expenses of the State Water Board, and of any assignee of the State Water Board's right, title, and interest in and to this Agreement, in connection with this Agreement, including all expenses and fees of accountants, trustees, attorneys, litigation costs, insurance premiums and all other extraordinary costs reasonably incurred by the State Water Board or assignee of the State Water Board. Additional Payments may be billed to the Recipient by the State Water Board from time to time, together with a statement executed by a duly authorized representative of the State Water Board, stating that the amounts billed pursuant to this section have been incurred by the State Water Board or its assignee for one or more of the above items and a copy of the invoice or statement for the amount so incurred or paid. Amounts so billed shall be paid by the Recipient within thirty (30) days after receipt of the bill by the Recipient. (d) The Recipient may without penalty prepay all or any portion of the outstanding principal amount of the Obligation provided that the Recipient shall also pay at the time of such prepayment all accrued interest on the principal amount prepaid through the date of prepayment. 3.3 Obligation Absolute. The obligation of the Recipient to make the Installment Payments and other payments required to be made by it under this Agreement, from Net Revenues and/or other amounts legally available to the Recipient therefor, is absolute and unconditional, and until such time as the Installment Payments and Additional Payments have been paid in full, the Recipient shall not discontinue or suspend any Installment Payments or other payments required to be made by it hereunder when due, whether or not the System or any part thereof is operating or operable or has been completed, or its use is suspended, interfered with, reduced or curtailed or terminated in whole or in part, and such Installment Payments and other payments shall not be subject to reduction whether by offset or otherwise and shall not be conditional upon the performance or nonperformance by any party of any agreement for any cause whatsoever. 3.4 No Obligation of the State. Any obligation of the State Water Board herein contained shall not be an obligation, debt, or liability of the State and any such obligation shall be payable solely out of the moneys in the CWSRF made available pursuant to this Agreement. 3.5 Disbursement of Project Funds; Availability of Funds. (a) Except as may be otherwise provided in this Agreement, disbursement of Project Funds will be made as follows: (1) Upon execution and delivery of this Agreement, the Recipient may request immediate disbursement of any eligible incurred planning and design allowance as specified in Exhibit B from the Project Funds through submission to the State Water Board of the Disbursement Request Form 260, or any amendment thereto, duly completed and executed. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 14 c2014 10ix14 (2) The Recipient may request disbursement of eligible construction and equipment costs consistent with budget amounts referenced in Exhibit B. (Note that this Agreement will be amended to incorporate Final Budget Approval.) (3) Additional Project Funds will be promptly disbursed to the Recipient upon receipt of Disbursement Request Form 260, or any amendment thereto, duly completed and executed by the Recipient for incurred costs consistent with this Agreement, along with receipt of status reports due under Section 2.16 above. (4) The Recipient agrees that it will not request disbursement for any Project Cost until such cost has been incurred and is currently due and payable by the Recipient, although the actual payment of such cost by the Recipient is not required as a condition of disbursement request. (5) Recipient shall spend Project Funds within 30 days of receipt. Any interest earned on Project Funds shall be reported to the State Water Board and may be required to be returned to the State Water Board or deducted from future disbursements. (6) The Recipient agrees that it will not request a disbursement unless that Project Cost is allowable, reasonable, and allocable. (7) Notwithstanding any other provision of this Agreement, no disbursement shall be required at any time or in any manner which is in violation of or in conflict with federal or state laws, policies, or regulations. (b) The State Water Board's obligation to disburse Project Funds is contingent upon the availability of sufficient funds to permit the disbursements provided for herein. If sufficient funds are not available for any reason, including but not limited to failure of the federal or State government to appropriate funds necessary for disbursement of Project Funds, the State Water Board shall not be obligated to make any disbursements to the Recipient under this Agreement. This provision shall be construed as a condition precedent to the obligation of the State Water Board to make any disbursements under this Agreement. Nothing in this Agreement shall be construed to provide the Recipient with a right of priority for disbursement over any other agency. If any disbursements due the Recipient under this contract Agreement are deferred because sufficient funds are unavailable, it is the intention of the State Water Board that such disbursement will be made to the Recipient when sufficient funds do become available, but this intention is not binding. 3.6 Withholding of Disbursements and Material Violations. (a) The State Water Board may withhold all or any portion of the funds provided for by this Agreement in the event that: (1) The Recipient has materially violated, or threatens to materially violate, any term, provision, condition, or commitment of this Agreement; (2) The Recipient fails to maintain reasonable progress toward completion of the Project; or (3) The Recipient fails to comply with section 5103 of the Water Code, where applicable. (b) For the purposes of this Agreement, the terms “material violation” or “threat of material violation” include, but are not limited to: Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 15 c2014 10ix14 (1) Placement on the ballot of an initiative to reduce revenues securing this Agreement; (2) Passage of such an initiative; (3) Successful challenges by ratepayer(s) to the process used by Recipient to set, dedicate, or otherwise secure revenues used for securing this Agreement; or (4) Any other action or lack of action that may be construed as a material violation or threat thereof. 3.7 Pledge; Rates, Fees and Charges; Additional Debt. (a) Establishment of Enterprise Fund and Reserve Fund. In order to carry out its System Obligations, including the Obligation, the Recipient agrees and covenants that it shall establish and maintain or shall have established and maintained the Enterprise Fund. All Revenues received shall be deposited when and as received in trust in the Enterprise Fund. This requirement applies to Recipients that are public agencies. To the extent required in Exhibit D of this Agreement, the Recipient agrees to establish and maintain a reserve fund. (b) Pledge of Net Revenues, Enterprise Fund, and Reserve Fund. The Obligation hereunder shall be secured by a lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund specified in Exhibit D in priority as specified in Exhibit F. The Recipient hereby pledges and grants such lien on and pledge of the Enterprise Fund, Net Revenues, and any Reserve Fund specified in Exhibit D to secure the Obligation, including payment of Installment Payments and Additional Payments hereunder. The Net Revenues in the Enterprise Fund shall be subject to the lien of such pledge without any physical delivery thereof or further act, and the lien of such pledge shall be valid and binding as against all parties having claims of any kind in tort, contract, or otherwise against the Recipient. (c) Application and Purpose of the Enterprise Fund. Subject to the provisions of any outstanding Material Obligations, money on deposit in the Enterprise Fund shall be applied and used first, to pay Operations and Maintenance Costs, and thereafter, all amounts due and payable with respect to the Material Obligations. After making all payments hereinabove required to be made in each Fiscal Year, the Recipient may expend in such Fiscal Year any remaining money in the Enterprise Fund for any lawful purpose of the Recipient, including payment of subordinate debt. This requirement applies to Recipients that are public agencies. (d) Rates, Fees and Charges. The Recipient agrees, to the extent permitted by law, to fix, prescribe and collect rates, fees and charges for the System during each Fiscal Year which are reasonable, fair and nondiscriminatory and which will be at least sufficient to yield during each Fiscal Year Net Revenues equal to the debt service on Material Obligations, including the Obligation, for such Fiscal Year, plus any coverage ratio specified in Exhibit D of this Agreement. The Recipient may make adjustments from time to time in such fees and charges and may make such classification thereof as it deems necessary, but shall not reduce the rates, fees and charges then in effect unless the Net Revenues from such reduced rates, fees and charges will at all times be sufficient to meet the requirements of this section. (e) Additional Debt Test. (1) The Recipient’s future debt may not be senior to this Obligation, except where: (A) the senior obligation refunds a senior obligation that predates the dated as of date of this Obligation, the new senior obligation has the same or earlier repayment term as Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 16 c2014 10ix14 the refunded senior debt, the new senior debt service is the same or lower than the existing debt service, and the new senior debt will not diminish the applicant’s ability to repay its CWSRF obligations; or (B) the future senior obligation is a CWSRF obligation owed to the State Water Board. (2) The Recipient’s future debt may be on parity with the CWSRF debt if the following conditions are met: (A) The Recipient’s net revenues pledged to pay all senior debts relying on the pledged revenue source are at least 1.2 times the highest year’s debt service and net revenues pledged to pay all debts are at least 1.1 times the highest year’s debt service; and (B) One of the following conditions is met: 1. The Recipient’s proposed additional parity obligation is rated “A,” or higher, by at least two nationally recognized rating agencies; or 2. The Recipient is a disadvantaged community and the Division determines that it would be economically burdensome for the agency to obtain nationally recognized ratings for its parity debt; 3. The Recipient is a disadvantaged community and the Division determines that requiring the proposed additional obligations to be subordinate to the Recipient’s Obligations hereunder will unduly restrict the Recipients from obtaining future system debt necessary for water quality improvements; or 4. The proposed additional obligation is CWSRF debt. 3.8 Financial Management System and Standards. The Recipient agrees to comply with federal standards for financial management systems. The Recipient agrees that, at a minimum, its fiscal control and accounting procedures will be sufficient to permit preparation of reports required by the federal government and tracking of Project funds to a level of expenditure adequate to establish that such funds have not been used in violation of federal or state law or the terms of this Agreement. To the extent applicable, the Recipient agrees to be bound by, and to comply with, the provisions and requirements of the federal Single Audit Act of 1984, Office of Management and Budget (OMB) Circular No. A-133, and updates or revisions, thereto, including but not limited to Section 210(a)-(d). (Pub. L. 98-502.) 3.9 Accounting and Auditing Standards. The Recipient will maintain separate Project accounts in accordance with generally accepted accounting principles. The Recipient shall comply with "Standards for Audit of Governmental Organizations, Programs, Activities and Functions" promulgated by the U.S. General Accounting Office. (40 CFR § 35.3135, subd. (I).) 3.10 Federal or State Assistance. If federal or state funding for Project Costs is made available to the Recipient from sources other than the CWSRF, the Recipient may retain such funding up to an amount which equals the Recipient's local share of Project Costs. To the extent allowed by requirements of other funding sources, any funding received in Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 17 c2014 10ix14 excess of the Recipient's local share, not to exceed the total amount of the CWSRF financing assistance, shall be remitted to the State Water Board to be applied to Installment Payments due hereunder. ARTICLE IV TAX COVENANTS 4.1 Purpose. The purpose of this Article IV is to establish the reasonable expectations of the Recipient regarding the Project and the Project Funds, and is intended to be and may be relied upon for purposes of Sections 103, 141 and 148 of the Code and as a certification described in Section 1.148-2(b)(2) of the Treasury Regulations. This Article IV sets forth certain facts, estimates and circumstances which form the basis for the Recipient’s expectation that neither the Project nor the Project Funds will be used in a manner that would cause the Obligation to be classified as “arbitrage bonds” under Section 148 of the Code or “private activity bonds” under Section 141 of the Code. 4.2 Tax Covenant. The Recipient agrees that it will not take or authorize any action or permit any action within its reasonable control to be taken, or fail to take any action within its reasonable control, with respect to the Project which would result in the loss of the exclusion of interest on the Bonds from gross income for federal income tax purposes under Section 103 of the Code. 4.3 Governmental Unit. The Recipient is a state or local governmental unit as defined in Section 1.103-1 of the Treasury Regulations or an instrumentality thereof (a "Governmental Unit") and is not the federal government or any agency or instrumentality thereof. 4.4 Financing of a Capital Project. The Recipient will use the Project Funds to finance costs it has incurred or will incur for the construction, reconstruction, installation or acquisition of the Project. Such costs have not previously been financed with the proceeds of any other issue of tax-exempt obligations. 4.5 Ownership and Operation of Project. The Recipient exclusively owns and, except as provided in Section 4.12 hereof, operates the Project. 4.6 Temporary Period. The Recipient reasonably expects that at least eighty-five percent (85%) of the Project Funds will be allocated to expenditures for the Project within three (3) years of the earlier of the effective date of this Agreement or the date the Bonds are issued ("Applicable Date"). The Recipient has incurred, or reasonably expects that it will incur within six (6) months of the Applicable Date, a substantial binding obligation (i.e., not subject to contingencies within the control of the Recipient or a related party) to a third party to expend at least five percent (5%) of the Project Funds on the costs of the Project. The completion of acquisition, construction, improvement and equipping of the Project and the allocation of Project Funds to expenditures for the Project will proceed with due diligence. 4.7 Working Capital. No operational expenditures of the Recipient or any related entity are being, have been or will be financed or refinanced with Project Funds. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 18 c2014 10ix14 4.8 Expenditure of Proceeds. Project Funds shall be used exclusively for the following purposes: (i) Reimbursement Expenditures (as defined in Section 4.20 below), (ii) Preliminary Expenditures (as defined in Section 4.20 below) in an aggregate amount not exceeding twenty percent (20%) of the Project Funds, (iii) capital expenditures relating to the Project originally paid by the Recipient on or after the date hereof, (iv) interest on the Obligation through the later of three (3) years after the Applicable Date or one (1) year after the Project is placed in service, and (v) initial operating expenses directly associated with the Project in the aggregate amount not more than five percent (5%) of the Project Funds. 4.9 Private Use and Private Payments. None of the Project Funds or the Project are, have been or will be used in the aggregate for any activities that constitute a Private Use (as defined below). None of the principal of or interest with respect to the Installment Payments will be secured by any interest in property (whether or not the Project) used for a Private Use or in payments in respect of property used for a Private Use, or will be derived from payments in respect of property used for a Private Use. "Private Use" means any activity that constitutes a trade or business that is carried on by persons or entities, other than a Governmental Unit. The leasing of the Project or the access by or the use of the Project by a person or entity other than a Governmental Unit on a basis other than as a member of the general public shall constitute a Private Use. Use by or on behalf of the State of California or any of its agencies, instrumentalities or subdivisions or by any local governmental unit and use as a member of the general public will be disregarded in determining whether a Private Use exists. Use under an arrangement that conveys priority rights or other preferential benefits is generally not use on the same basis as the general public. Arrangements providing for use that is available to the general public at no charge or on the basis of rates that are generally applicable and uniformly applied do not convey priority rights or other preferential benefits. For this purpose, rates may be treated as generally applicable and uniformly applied even if (i) different rates apply to different classes of users, such as volume purchasers, if the differences in rates are customary and reasonable; or (ii) a specially negotiated rate arrangement is entered into, but only if the user is prohibited by federal law from paying the generally applicable rates, and the rates established are as comparable as reasonably possible to the generally applicable rates. An arrangement that does not otherwise convey priority rights or other preferential benefits is not treated, nevertheless, as general public use if the term of the use under the arrangement, including all renewal options, is greater than 200 days. For this purpose, a right of first refusal to renew use under the arrangement is not treated as a renewal option if (i) the compensation for the use under the arrangement is redetermined at generally applicable, fair market value rates that are in effect at the time of renewal; and (ii) the use of the financed property under the same or similar arrangements is predominantly by natural persons who are not engaged in a trade or business. 4.10 No Sale, Lease or Private Operation of the Project. The Project will not be sold or otherwise disposed of, in whole or in part, to any person who is not a Governmental Unit prior to the final maturity date of the Obligation. The Project will not be leased to any person or entity that is not a Governmental Unit prior to the final maturity date of the Obligation. Except as permitted under Section 4.12 hereof, the Recipient will not enter any contract or arrangement or cause or permit any contract or arrangement to be entered (to the extent of its reasonable control) with persons or entities that are not Governmental Units if that contract or arrangement would confer on such persons or entities any right to use the Project on a basis different from the right of members of the general public. The contracts or arrangements contemplated by the preceding sentence include but are not limited to management contracts, take or pay contracts or put or pay contracts, and capacity guarantee contracts. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 19 c2014 10ix14 4.11 No Disproportionate or Unrelated Use. None of the Project Funds or the Project are, have been, or will be used for a Private Use that is unrelated or disproportionate to the governmental use of the Project Funds. 4.12 Management and Service Contracts. With respect to management and service contracts, the determination of whether a particular use constitutes Private Use shall be determined on the basis of applying Section 1.141-3(b)(4) of the Treasury Regulations, Revenue Procedure 97-13, and other applicable rules and regulations. As of the date hereof, none of the Project Funds or the Project are being used to provide property subject to contracts or other arrangements with persons or entities engaged in a trade or business (other than Governmental Units) that involve the management of property or the provision of services that do not comply with the standards of the Treasury Regulations and Revenue Procedure 97-13. Except to the extent the Recipient has received an opinion of counsel expert in the issuance of state and local government bonds the interest on which is excluded from gross income under Section 103 of the Code ("Nationally-Recognized Bond Counsel") and satisfactory to the State Water Board and the Bank to the contrary, the Recipient will not enter into any management or service contracts with any person or entity that is not a Governmental Unit for services to be provided with respect to the Project except with respect to contracts where the following requirements are complied with: (i) the compensation is reasonable for the services rendered; (ii) the compensation is not based, in whole or in part, on a share of net profits from the operation of the Project; (iii) not more than twenty percent (20%) of the voting power of the Recipient in the aggregate may be vested in the service provider and its directors, officers, shareholders, and employees and vice versa; (iv) any overlapping board members between the Recipient and the service provider must not include the chief executive officer or executive director of either, or their respective governing bodies; and (v): (a) At least ninety-five percent (95%) of the compensation for services for each annual period during the term of the contract is based on a periodic fixed fee which is a stated dollar amount for services rendered for a specified period of time. The stated dollar amount may automatically increase according to a specified objective external standard that is not linked to the output or efficiency of a facility, e.g., the Consumer Price Index and similar external indices that track increases in prices in an area or increases in revenues or costs in an industry are objective external standards. A fee shall not fail to qualify as a periodic fixed fee as a result of a one (1) time incentive award during the term of the contract under which compensation automatically increases when a gross revenue or expense target (but not both) is reached if that award is a single stated dollar amount. The term of the contract, including all renewal options, must not exceed the lesser of eighty percent (80%) of the reasonably expected useful life of the financed property and fifteen (15) years (twenty (20) years for "public utility property" within the meaning of Section 168(i)(10) of the Code); (b) At least eighty percent (80%) of the compensation for services for each annual period during the term of the contract is based on a periodic fixed fee. The term of the contract, including all renewal options, must not exceed the lesser of eighty percent (80%) of the reasonably expected useful life of the financed property and ten (10) years. A one (1) time incentive award during the term of the contract similar to the award described in subsection (a) above is permitted under this option as well; (c) At least fifty percent (50%) of the compensation for services for each annual period during the term of the contract is based on a periodic fixed fee or all of the compensation for services is based on a capitation fee or combination of a periodic fixed fee and a capitation fee. A capitation fee is a fixed periodic amount for each person for whom the service provider or the Recipient assumes the responsibility to provide all needed services for a specified period so Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 20 c2014 10ix14 long as the quantity and type of services actually provided to covered persons vary substantially; e.g., a fixed dollar amount payable per month to a service provider for each member of a plan for whom the provider agrees to provide all needed services for a specified period. A capitation fee may include a variable component of up to twenty percent (20%) of the total capitation fee designed to protect the service provider against risks such as catastrophic loss. The term of the contract, including all renewal options, must not exceed five (5) years. The contract must be terminable by the Recipient on reasonable notice without penalty or cause, at the end of the third year of the contract; (d) All of the compensation for services is based on a per-unit fee or a combination of a per-unit fee and a periodic fee. A per-unit fee is defined to mean a fee based on a unit of service provided as specified in the contract or otherwise specifically determined by an independent third party, such as the administrator of the program or the Recipient; e.g., a stated dollar amount for each specified procedure performed, car parked or passenger mile is a per-unit fee. The term of the contract, including all renewal options, must not exceed three (3) years. The contract must be terminable by the Recipient on reasonable notice, without penalty or cause, at the end of the second year of the contract term; or (e) All of the compensation for services is based on a percentage of fees charged or a combination of a per-unit fee and a percentage of revenue or expense fee. During the start up period, however, compensation may be based on a percentage of gross revenues, adjusted gross revenues, or expenses of a facility. The term of the contract, including renewal options, must not exceed two (2) years. The contract must be terminable by the Recipient on reasonable notice without penalty or cause, at the end of the first year. This type of contract is permissible only with respect to contracts under which the service provider primarily provides services to third parties, and management contracts involving a facility during an initial start-up period for which there have been insufficient operations to establish a reasonable estimate of the amount of the annual gross revenues and expenses (e.g., a contract for general management services for the first year of the operations). If the compensation terms of a management or service contract are materially revised, the requirements for compensation terms must be retested as of the date of the material revision and the management or service contract is treated as one that was newly entered into as of the date of the material revision. A renewal option, for purposes of the foregoing, is defined to mean a provision under which the service provider has a legally enforceable right to renew the contract. Thus, for example, a provision under which a contract is automatically renewed for one (1) year periods absent cancellation by either party is not a renewal option, even if it is expected to be renewed. A cancellation penalty is defined to include a limitation on the Recipient's ability to compete with the service provider, a requirement that the Recipient purchase equipment, goods, or services from the service provider, and a requirement that the Recipient pay liquidated damages for cancellation of the contract; in comparison, a requirement effective on cancellation that the Recipient reimburse the service provider for ordinary and necessary expenses or a restriction against the Recipient hiring key personnel of the service provider is generally not a contract termination penalty. Another contract between the service provider and the Recipient, such as a loan or guarantee by the service provider, is treated as creating a contract termination penalty if that contract contains terms that are not customary or arm's length, or that could operate to prevent the Recipient from terminating the contract (e.g., provisions under which the contract terminates if the management contract is terminated or that places substantial restrictions on the selection of a substitute service provider). Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 21 c2014 10ix14 The service provider must not have any role or relationship with the Recipient, that, in effect, substantially limits the Recipient's ability to exercise its rights, including cancellation rights, under the contract, based on all the facts and circumstances. 4.13 No Disposition of Financed Property. The Recipient does not expect to sell or otherwise dispose of any portion of the Project, in whole or in part, prior to the final maturity date of the Obligation. 4.14 Useful Life of Project. The economic useful life of the Project, commencing at Project Completion, is at least equal to the term of this Agreement, as set forth on Exhibit B hereto. 4.15 Installment Payments. Installment Payments generally are expected to be derived from assessments, taxes, fees, charges or other current revenues of the Recipient in each year, and such current revenues are expected to equal or exceed the Installment Payments during each payment period. Any amounts accumulated in a sinking fund or bona fide debt service fund to pay Installment Payments (whether or not deposited to a fund or account established by the Recipient) will be disbursed to pay Installment Payments within thirteen months of the initial date of accumulation or deposit. Any such fund used for the payment of Installment Payments will be depleted once a year except for a reasonable carryover amount not exceeding earnings on such fund or one-twelfth of the Installment Payments in either case for the immediately preceding year. 4.16 No Other Replacement Proceeds. The Recipient will not use any of the Project Funds to replace or substitute other funds of the Recipient that were otherwise to be used to finance the Project or which are or will be used to acquire securities, obligations or other investment property reasonably expected to produce a yield that is materially higher than the yield on the Bonds. 4.17 No Sinking or Pledged Fund. Except as set forth in Section 4.18 below, the Recipient will not create or establish any sinking fund or pledged fund which will be used to pay Installment Payments on the Obligation within the meaning of Section 1.148-1(c) of the Treasury Regulations. If any sinking fund or pledged fund comes into being with respect to the Obligation before the Obligation has been fully retired which may be used to pay the Installment Payments, the Recipient will invest such sinking fund and pledged fund moneys at a yield that does not exceed the yield on the Bonds. 4.18 Reserve Amount. The State Water Board requires that the Recipient maintain and fund a separate account in an amount equal to one (1) year of debt service with respect to the Obligation (the “Reserve Amount”) as set forth in Exhibit D. The Recipient represents that the Reserve Amount is and will be available to pay debt service with respect to the Obligation, if and when needed. The Reserve Amount consists solely of revenues of the Recipient and does not include any proceeds of any obligations the interest on which is excluded from gross income for federal income tax purposes or investment earnings thereon. The aggregate of the Reserve Amount, up to an amount not exceeding the lesser of (i) ten percent of the aggregate principal amount of the Obligation, (ii) the maximum annual debt service with respect to the Obligation, or (iii) 125 percent of the average annual debt service with respect to the Obligation, will be treated as a reasonably required reserve fund. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 22 c2014 10ix14 4.19 Reimbursement Resolution. The “reimbursement resolution” adopted by the Recipient is incorporated herein by reference, pursuant to Exhibit A. 4.20 Reimbursement Expenditures. A portion of the Project Funds may be applied to reimburse the Recipient for Project costs paid before the date hereof, so long as the Project cost was (i) not paid prior to sixty (60) days before the Recipient’s adoption of a declaration of official intent to finance the Project, (ii) not paid more than eighteen (18) months prior to the date hereof or the date the financed facility was placed-in-service, whichever is later, and (iii) not paid more than three (3) years prior to the date hereof (collectively, “Reimbursement Expenditures”), unless such cost is attributable to a “preliminary expenditure.” Preliminary expenditure for this purpose means architectural, engineering, surveying, soil testing and similar costs incurred prior to the commencement of construction or rehabilitation of the Project, but does not include land acquisition, site preparation and similar costs incident to the commencement of acquisition, construction or rehabilitation of the Project. Preliminary expenditures may not exceed 20% of the costs of the Project financed with the Obligation. 4.21 Change in Use of the Project. The Recipient reasonably expects to use all Project Funds and the Project for the entire stated term to maturity of the Obligation. Absent an opinion of Nationally-Recognized Bond Counsel to the effect that such use of Project Funds will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code, the Recipient will use all Project Funds and the Project solely as set forth in the Agreement. 4.22 Rebate Obligations. If the Recipient satisfies the requirements of one of the spending exceptions to rebate specified in Section 1.148-7 of the Treasury Regulations, amounts earned from investments, if any, acquired with the Project Funds will not be subject to the rebate requirements imposed under Section 148(f) of the Code. If the Recipient fails to satisfy such requirements for any period, it will notify the State Water Board and the Bank immediately and will comply with the provisions of the Code and the Treasury Regulations at such time, including the payment of any rebate amount or any yield reduction payments calculated by the State Water Board or the Bank. 4.23 No Federal Guarantee. The Recipient will not directly or indirectly use any of the Project Funds in any manner that would cause the Bonds to be "federally guaranteed" within the meaning of Section 149(b) of the Code, taking into account various exceptions including any guarantee related to investments during an initial temporary period until needed for the governmental purpose of the Bonds, investments as part of a bona fide debt service fund, investments of a reasonably required reserve or replacement fund, investments in bonds issued by the United States Treasury, investments in refunding escrow funds or certain other investments permitted under the Treasury Regulations. 4.24 No Notices or Inquiries From IRS. Within the last 10 years, the Recipient has not received any notice of a final action of the Internal Revenue Service that determines that interest paid or payable on any debt obligation of the Recipient is or was includable in the gross income of an owner or beneficial owner thereof for federal income tax purposes under the Code. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 23 c2014 10ix14 4.25 Amendments. The provisions in this Article may be amended, modified or supplemented at any time to reflect changes in the Code upon obtaining written approval of the State Water Board and the Bank and an opinion of Nationally-Recognized Bond Counsel to the effect that such amendment, modification or supplement will not adversely affect the exclusion from federal gross income of interest on the Bonds pursuant to Section 103 of the Code. 4.26 Application. The provisions in this Article IV shall apply to a Recipient only if any portion of the Project Funds is derived from proceeds of Bonds. 4.27 Reasonable Expectations. The Recipient warrants that, to the best of its knowledge, information and belief, and based on the facts and estimates as set forth in the tax covenants in this Article, the expectations of the Recipient as set forth in this Article are reasonable. The Recipient is not aware of any facts or circumstances that would cause it to question the accuracy or reasonableness of any representation made in the provisions in this Article IV. ARTICLE V MISCELLANEOUS PROVISIONS 5.1 Covenants. (a) Tax Covenant. Notwithstanding any other provision hereof, the Recipient covenants and agrees that it will comply with the Tax Covenants set forth in Article IV attached hereto if any portion of the Project Funds is derived from proceeds of Bonds. (b) Disclosure of Financial Information, Operating Data, and Other Information. The Recipient covenants to furnish such financial, operating and other data pertaining to the Recipient as may be requested by the State Water Board to: (i) enable the State Water Board to cause the issuance of Bonds and provide for security therefor; or (ii) enable any underwriter of Bonds issued for the benefit of the State Water Board to comply with Rule 15c2-12(b)(5). The Recipient further covenants to provide the State Water Board with copies of all continuing disclosure reports and materials concerning the Recipient required by the terms of any financing other than this Agreement and to submit such reports to the State Water Board at the same time such reports are submitted to any dissemination agent, trustee, nationally recognized municipal securities information repository, the Municipal Securities Rulemaking Board’s Electronic Municipal Market Access (EMMA) website or other person or entity. 5.2 Assignability. The Recipient agrees and consents to any pledge, sale, or assignment to the Bank or a trustee for the benefit of the owners of the Bonds, if any, at any time of any portion of the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement and the right to make all related waivers and agreements in the name and on behalf of the State Water Board, as agent and attorney-in-fact, and to perform all other related acts which are necessary and appropriate under this Agreement, if any, and the State Water Board's estate, right, title, and interest and claim in, to and under this Agreement to Installment Payments (but excluding the State Water Board's rights to Additional Payments and to notices, opinions and indemnification under each Obligation). This Agreement is not assignable by the Recipient, either in whole or in part, without the consent of the State Water Board in the form of a formal written amendment to this Agreement. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 24 c2014 10ix14 5.3 State Reviews and Indemnification. The parties agree that review or approval of Project plans and specifications by the State Water Board is for administrative purposes only and does not relieve the Recipient of its responsibility to properly plan, design, construct, operate, and maintain the Project. To the extent permitted by law, the Recipient agrees to indemnify, defend, and hold harmless the State Water Board, the Bank, and any trustee, and their officers, employees, and agents for the Bonds, if any (collectively, "Indemnified Persons"), against any loss or liability arising out of any claim or action brought against any Indemnified Persons from and against any and all losses, claims, damages, liabilities, or expenses, of every conceivable kind, character, and nature whatsoever arising out of, resulting from, or in any way connected with (1) the System or the Project or the conditions, occupancy, use, possession, conduct, or management of, work done in or about, or the planning, design, acquisition, installation, or construction, of the System or the Project or any part thereof; (2) the carrying out of any of the transactions contemplated by this Agreement or any related document; (3) any violation of any applicable law, rule or regulation, any environmental law (including, without limitation, the Federal Comprehensive Environmental Response, Compensation and Liability Act, the Resource Conservation and Recovery Act, the California Hazardous Substance Account Act, the Federal Water Pollution Control Act, the Clean Air Act, the Toxic Substances Control Act, the Occupational Safety and Health Act, the Safe Drinking Water Act, the California Hazardous Waste Control Law, and California Water Code Section 13304, and any successors to said laws), rule or regulation or the release of any toxic substance on or near the System; or (4) any untrue statement or alleged untrue statement of any material fact or omission or alleged omission to state a material fact necessary to make the statements required to be stated therein, in light of the circumstances under which they were made, not misleading with respect to any information provided by the Recipient for use in any disclosure document utilized in connection with any of the transactions contemplated by this Agreement. To the fullest extent permitted by law, the Recipient agrees to pay and discharge any judgment or award entered or made against Indemnified Persons with respect to any such claim or action, and any settlement, compromise or other voluntary resolution. The provisions of this section shall survive the discharge of the Recipient's Obligation hereunder. 5.4 Termination; Immediate Acceleration; Interest. (a) This Agreement may be terminated by written notice during construction of the Project, or thereafter at any time prior to complete satisfaction of the Obligation by the Recipient, at the option of the State Water Board, upon violation by the Recipient of any material provision of this Agreement after such violation has been called to the attention of the Recipient and after failure of the Recipient to bring itself into compliance with the provisions of this Agreement within a reasonable time as established by the Division. (b) In the event of such termination, the Recipient agrees, upon demand, to immediately repay to the State Water Board an amount equal to Installment Payments due hereunder, including accrued interest, and all penalty assessments due. In the event of termination, interest shall accrue on all amounts due at the highest legal rate of interest from the date that notice of termination is mailed to the Recipient to the date of full satisfaction of the Obligation by the Recipient. (c) Where the Recipient is a private entity that has been determined to have violated an applicable prohibition in the Prohibition Statement below or has an employee who is determined by USEPA to have violated an applicable prohibition in the Prohibition Statement below that is either associated with performance under this aware or imputed to the Recipient using the standards and due process for imputing the conduct of an individual to an organization pursuant to 2 CFR Part 180, the Recipient acknowledges and agrees that this Obligation may become immediately due and payable and that penalties up to $175 million may be due by the Recipient to the State Water Board, in addition to any other criminal or civil penalties that may Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 25 c2014 10ix14 become due. The Recipient, its employees, its contractors, and any subrecipients or subcontractors may not engage in trafficking in persons, procure a commercial sex act, or use forced labor. 5.5 Income Restrictions. The Recipient agrees that any refunds, rebates, credits, or other amounts (including any interest thereon) accruing to or received by the Recipient under this Agreement shall be paid by the Recipient to the State, to the extent that they are properly allocable to costs for which the Recipient has been reimbursed by the State under this Agreement. 5.6 Prevailing Wages. The Recipient agrees to be bound by all the provisions of State Labor Code Section 1771 regarding prevailing wages. The Recipient shall monitor all agreements subject to reimbursement from this Agreement to assure that the prevailing wage provisions of State Labor Code Section 1771 are being met. 5.7 Timeliness. Time is of the essence in this Agreement. 5.8 Governing Law. This contract is governed by and shall be interpreted in accordance with the laws of the State of California. 5.9 Amendment. No amendment or variation of the terms of this Agreement shall be valid unless made in writing, signed by the parties and approved as required. No oral understanding or agreement not incorporated in this Agreement is binding on any of the parties. 5.10 Bonding. Where contractors are used, the Recipient shall not authorize construction to begin until each contractor has furnished a performance bond in favor of the Recipient in the following amounts: faithful performance (100%) of contract value; labor and materials (100%) of contract value. This requirement shall not apply to any contract for less than $20,000.00. 5.11 Compliance with Law, Regulations, etc. (a) The Recipient agrees that it will, at all times, comply with and require its contractors and subcontractors to comply with all applicable federal and state laws, rules, guidelines, regulations, and requirements. Without limitation of the foregoing, the Recipient agrees that, to the extent applicable, the Recipient will: (1) Comply with the provisions of the adopted environmental mitigation plan for the term of this Agreement; (2) Comply with the State Water Board's "Policy for Implementing the Clean Water State Revolving Fund,” dated May 7, 2013; Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 26 c2014 10ix14 (3) Comply with and require its contractors and subcontractors on the Project to comply with federal DBE requirements; and (4) Comply with and require its contractors and subcontractors to comply with the list of federal laws attached as Exhibit E. 5.12 Conflict of Interest. The Recipient certifies that it is in compliance with applicable state and/or federal conflict of interest laws. 5.13 Damages for Breach Affecting Tax Exempt Status or Federal Compliance In the event that any breach of any of the provisions of this Agreement by the Recipient shall result in the loss of tax exempt status for any bonds of the State or any subdivision or agency thereof, including Bonds issued on behalf of the State Water Board, or if such breach shall result in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government by reason of any arbitrage profits, the Recipient shall immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. In the event that any breach of any of the provisions of this Agreement by the Recipient shall result in the failure of Project Funds to be used pursuant to the provisions of this Agreement, or if such breach shall result in an obligation on the part of the State or any subdivision or agency thereof to reimburse the federal government, the Recipient shall immediately reimburse the State or any subdivision or agency thereof in an amount equal to any damages paid by or loss incurred by the State or any subdivision or agency thereof due to such breach. 5.14 Disputes. (a) The Recipient may appeal a staff decision within 30 days to the Deputy Director of the Division or designee, for a final Division decision. The Recipient may appeal a final Division decision to the State Water Board within 30 days. The Office of the Chief Counsel of the State Water Board will prepare a summary of the dispute and make recommendations relative to its final resolution, which will be provided to the State Water Board’s Executive Director and each State Water Board Member. Upon the motion of any State Water Board Member, the State Water Board will review and resolve the dispute in the manner determined by the State Water Board. Should the State Water Board determine not to review the final Division decision, this decision will represent a final agency action on the dispute. (b) This clause does not preclude consideration of legal questions, provided that nothing herein shall be construed to make final the decision of the State Water Board, or any official or representative thereof, on any question of law. (c) Recipient shall continue with the responsibilities under this Agreement during any dispute. 5.15 Independent Actor. The Recipient, and its agents and employees, if any, in the performance of this Agreement, shall act in an independent capacity and not as officers, employees, or agents of the State Water Board. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 27 c2014 10ix14 5.16 Non-Discrimination Clause. (a) During the performance of this Agreement, Recipient and its contractors and subcontractors shall not unlawfully discriminate, harass, or allow harassment against any employee or applicant for employment because of sex, race, color, ancestry, religious creed, national origin, sexual orientation, physical disability (including HIV and AIDS), mental disability, medical condition (cancer), age (over 40), marital status, and denial of family care leave, or genetic information, gender, gender identity, gender expression, or military and veteran status. (b) The Recipient, its contractors, and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free from such discrimination and harassment. (c) The Recipient, its contractors, and subcontractors shall comply with the provisions of the Fair Employment and Housing Act and the applicable regulations promulgated thereunder. (Gov. Code, §12990, subds. (a)-(f) et seq.; Cal. Code Regs., tit. 2, § 7285 et seq.) Such regulations are incorporated into this Agreement by reference and made a part hereof as if set forth in full. (d) The Recipient, its contractors, and subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement. (e) The Recipient shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the Agreement. 5.17 No Third Party Rights. The parties to this Agreement do not create rights in, or grant remedies to, any third party as a beneficiary of this Agreement, or of any duty, covenant, obligation, or undertaking established herein. 5.18 Operation and Maintenance; Insurance. The Recipient agrees to sufficiently and properly staff, operate and maintain all portions of the Project during its useful life in accordance with all applicable state and federal laws, rules and regulations. The Recipient will procure and maintain or cause to be maintained insurance on the System with responsible insurers, or as part of a reasonable system of self-insurance, in such amounts and against such risks (including damage to or destruction of the System) as are usually covered in connection with systems similar to the System. Such insurance may be maintained by the maintenance of a self- insurance plan so long as any such plan provides for (i) the establishment by the Recipient of a separate segregated self-insurance fund funded in an amount determined (initially and on at least an annual basis) by an independent insurance consultant experienced in the field of risk management employing accepted actuarial techniques and (ii) the establishment and maintenance of a claims processing and risk management program. In the event of any damage to or destruction of the System caused by the perils covered by such insurance, the net proceeds thereof shall be applied to the reconstruction, repair or replacement of the damaged or destroyed portion of the System. The Recipient shall begin such reconstruction, repair or replacement as expeditiously as possible, and shall pay out of such net proceeds all costs and expenses in connection with such reconstruction, repair or replacement so that the same shall be completed and the System shall be free and clear of all claims and liens. If such net proceeds are insufficient to enable the Recipient to pay all remaining unpaid principal portions of the Installment Payments, the Recipient shall provide additional funds to restore or replace the damaged portions of the System. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 28 c2014 10ix14 5.19 Permits, Subcontracting, and Remedies. The Recipient shall comply in all material respects with all applicable federal, state and local laws, rules and regulations. Recipient shall procure all permits, licenses and other authorizations necessary to accomplish the work contemplated in this Agreement, pay all charges and fees, and give all notices necessary and incidental to the due and lawful prosecution of the work. Signed copies of any such permits or licenses shall be submitted to the Division before construction begins. 5.20 Recipient’s Responsibility for Work. The Recipient shall be responsible for all work and for persons or entities engaged in work performed pursuant to this Agreement, including, but not limited to, contractors, subcontractors, suppliers, and providers of services. The Recipient shall be responsible for any and all disputes arising out of its contracts for work on the Project. The State Water Board will not mediate disputes between the Recipient and any other entity concerning responsibility for performance of work. 5.21 Related Litigation. Under no circumstances may a Recipient use funds from any disbursement under this Agreement to pay costs associated with any litigation the Recipient pursues against the State Water Board or any Regional Water Quality Control Board. Regardless of the outcome of any such litigation, and notwithstanding any conflicting language in this Agreement, the Recipient agrees to complete the Project funded by this Agreement or to repay all of the disbursed funds plus interest. 5.22 Rights in Data. The Recipient agrees that all data, plans, drawings, specifications, reports, computer programs, operating manuals, notes, and other written or graphic work produced in the performance of this Agreement are subject to the rights of the State as set forth in this section. The State shall have the right to reproduce, publish, and use all such work, or any part thereof, in any manner and for any purposes whatsoever and to authorize others to do so. If any such work is copyrightable, the Recipient may copyright the same, except that, as to any work which is copyrighted by the Recipient, the State reserves a royalty-free, nonexclusive, and irrevocable license to reproduce, publish, and use such work, or any part thereof, and to authorize others to do so, and to receive electronic copies from the Recipient upon request. (40 CFR 31.34, 31.36) 5.23 State Water Board Action; Costs and Attorney Fees. The Recipient agrees that any remedy provided in this Agreement is in addition to and not in derogation of any other legal or equitable remedy available to the State Water Board as a result of breach of this Agreement by the Recipient, whether such breach occurs before or after completion of the Project, and exercise of any remedy provided by this Agreement by the State Water Board shall not preclude the State Water Board from pursuing any legal remedy or right which would otherwise be available. In the event of litigation between the parties hereto arising from this Agreement, it is agreed that each party shall bear its own costs and attorney fees. 5.24 Unenforceable Provision. In the event that any provision of this Agreement is unenforceable or held to be unenforceable, then the parties agree that all other provisions of this Agreement have force and effect and shall not be affected thereby. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 29 c2014 10ix14 5.25 Useful Life. The economic useful life of the Project, commencing at Project Completion, is at least equal to the term of this Agreement, as set forth in Exhibit B hereto. 5.26 Venue. The State Water Board and the Recipient hereby agree that any action arising out of this Agreement shall be filed and maintained in the Superior Court in and for the County of Sacramento, California. 5.27 Waiver and Rights of the State Water Board. Any waiver of rights by the State Water Board with respect to a default or other matter arising under the Agreement at any time shall not be considered a waiver of rights with respect to any other default or matter. Any rights and remedies of the State Water Board provided for in this Agreement are in addition to any other rights and remedies provided by law. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 B-1 c2014 10ix14 EXHIBIT B – PROJECT FINANCING AMOUNT 1. Estimated Reasonable Cost. The estimated reasonable cost of the total Project, including associated planning and design costs, is twenty nine million, five hundred thousand dollars and no cents ($29,500,000.00). 2. Project Funding. Subject to the terms of this Agreement, the State Water Board agrees to provide Project Funds to the Recipient in the amount of up to twenty nine million, five hundred thousand dollars and no cents ($29,500,000.00). Of this amount, the estimated amount of principal that will be repayable under this Agreement is twenty-two million one hundred fifty dollars and no cents ($22,150,000.00). Contingent on the Recipient’s performance of its obligations under this Agreement, of the Project Funding, the State Water Board agrees to make a grant from Proposition 1 proceeds of up to seven million, three hundred fifty thousand dollars and zero cents ($7,350,000.00). 3. Payment, Interest Rate, and Charges. The Recipient agrees to make all Installment Payments according to the schedule in Exhibit C at an interest rate of one percent (1.0%) per annum. The Recipient agrees to pay an Administrative Service Charge of zero percent (0.0%) per annum. The Recipient agrees to pay a Small Community Grant Fund Charge at zero percent (0.0%) per annum. 4. The term of this agreement is from November 13, 2014 to June 30, 2047. 5. Budget costs are contained in the Project Cost Table, which is part of Exhibit A-FBA. Carlsbad Municipal Water District Agreement No.: 14-820-550 Project No.: C-06-7899-110 Amendment No. 12 C-1 c2014 10ix14 EXHIBIT C – CWSRF PAYMENT SCHEDULE See the attached preliminary CWSRF Payment Schedule dated January 20, 2016 March 23, 2016. The final CWSRF Payment Schedule will be forwarded to the Recipient after all disbursements have been paid and construction of the Project has been completed. Due Date Principal Payment Interest Rate % Interest Payment Total P and I Payment Total Payment Ending Balance California Clean Water SRF Payment Schedule 30 Years 1.00000% Principal is paid over: Interest rate: CPI Interest Phase III Recycled Water Project Project No. 7899-110 - Carlsbad Municipal Water District Agreement: 14820 - based on Projected Disbursements Date Received Ref Num 6/30/2018 619,100.11 1 161,695.48 780,795.59 780,795.59 19,571,254.50 0.001 6/30/2019 645,934.69 1 212,947.72 858,882.41 858,882.41 20,884,965.20 0.002 6/30/2020 650,032.76 1 208,849.65 858,882.41 858,882.41 20,234,932.44 0.003 6/30/2021 656,533.09 1 202,349.32 858,882.41 858,882.41 19,578,399.35 0.004 6/30/2022 663,098.42 1 195,783.99 858,882.41 858,882.41 18,915,300.93 0.005 6/30/2023 669,729.40 1 189,153.01 858,882.41 858,882.41 18,245,571.53 0.006 6/30/2024 676,426.69 1 182,455.72 858,882.41 858,882.41 17,569,144.84 0.007 6/30/2025 683,190.96 1 175,691.45 858,882.41 858,882.41 16,885,953.88 0.008 6/30/2026 690,022.87 1 168,859.54 858,882.41 858,882.41 16,195,931.01 0.009 6/30/2027 696,923.10 1 161,959.31 858,882.41 858,882.41 15,499,007.91 0.0010 6/30/2028 703,892.33 1 154,990.08 858,882.41 858,882.41 14,795,115.58 0.0011 6/30/2029 710,931.25 1 147,951.16 858,882.41 858,882.41 14,084,184.33 0.0012 6/30/2030 718,040.57 1 140,841.84 858,882.41 858,882.41 13,366,143.76 0.0013 6/30/2031 725,220.97 1 133,661.44 858,882.41 858,882.41 12,640,922.79 0.0014 6/30/2032 732,473.18 1 126,409.23 858,882.41 858,882.41 11,908,449.61 0.0015 6/30/2033 739,797.91 1 119,084.50 858,882.41 858,882.41 11,168,651.70 0.0016 6/30/2034 747,195.89 1 111,686.52 858,882.41 858,882.41 10,421,455.81 0.0017 6/30/2035 754,667.85 1 104,214.56 858,882.41 858,882.41 9,666,787.96 0.0018 6/30/2036 762,214.53 1 96,667.88 858,882.41 858,882.41 8,904,573.43 0.0019 6/30/2037 769,836.68 1 89,045.73 858,882.41 858,882.41 8,134,736.75 0.0020 6/30/2038 777,535.04 1 81,347.37 858,882.41 858,882.41 7,357,201.71 0.0021 6/30/2039 785,310.39 1 73,572.02 858,882.41 858,882.41 6,571,891.32 0.0022 6/30/2040 793,163.50 1 65,718.91 858,882.41 858,882.41 5,778,727.82 0.0023 6/30/2041 801,095.13 1 57,787.28 858,882.41 858,882.41 4,977,632.69 0.0024 6/30/2042 809,106.08 1 49,776.33 858,882.41 858,882.41 4,168,526.61 0.0025 6/30/2043 817,197.14 1 41,685.27 858,882.41 858,882.41 3,351,329.47 0.0026 6/30/2044 825,369.12 1 33,513.29 858,882.41 858,882.41 2,525,960.35 0.0027 6/30/2045 833,622.81 1 25,259.60 858,882.41 858,882.41 1,692,337.54 0.0028 6/30/2046 841,959.03 1 16,923.38 858,882.41 858,882.41 850,378.51 0.0029 6/30/2047 850,378.51 1 8,503.79 858,882.30 858,882.30 0.00 0.0030 22,150,000.00 3,538,385.37 25,688,385.37 25,688,385.37 0.00 3/23/2016   Requirements for Contractors and Consultants CWSRF  A.2‐1  Appendix A.2 Requirements for Contractors and Consultants Clean Water State Revolving Fund Adopted Mitigation Monitoring and Reporting Program This project will be partially funded by the CWSRF. Consultants and Contractors must assist Carlsbad Municipal Water District in meeting all the requirements of the CWSRF. Recipients of CWSRF financing are required to abide by the requirements contained within any Mitigation Monitoring and Reporting Program (MMRP) for the Project. The mitigation measures identified in the MMRP were incorporated into the Conditions of Approval for the project in order to mitigate identified environmental impacts to a level of insignificance. The successful bidder will follow the requirements for the Clean Water State Revolving Fund for all projects covered by this solicitation. Additionally, the City of Carlsbad and the Carlsbad Municipal Water District have incorporated numerous project design features and construction measures into the project design that are included in an effort to reduce the potential for environmental effects. The Phase III Recycled Water Project components would incorporate the applicable Project Design Features that are listed at the end of the MMRP.  Requirements for Contractors and Consultants CWSRF A.2‐2 Mitigation Monitoring and Reporting Program Mitigation Measures Monitoring Type Monitoring Department Shown on PlansVerified Implementation Remarks BIOLOGICAL RESOURCES Bio-1A Avoidance of Nesting Birds and Raptors. To prevent impacts to nesting birds, including raptors, protected under the federal MBTA and CDFG Code, the CMWD shall enforce the following: Prior to construction activities requiring the removal, pruning, or damage of any trees, shrubs, and man-made structures (e.g., buildings, bridges, etc.) during the general breeding season, that being from January 15 to September 15, the City shall retain a qualified biologist to perform a pre-construction survey to determine if there are any active nests within 500 feet of the areas planned for construction. The surveys shall take place no more than 30 days prior to the start of construction for a particular project component. If any active raptor nests are located on or within 500 feet of the areas planned for construction, or if any active passerine (songbird) nests are located on or within 300 feet of the areas planned for construction, the City shall retain a qualified biologist to flag and demarcate the locations of the nests and monitor construction activities. No construction activities shall occur until it is determined by a qualified biologist that the nests are no longer active and all nestlings have fledged the nest or until the end of the general breeding season, whichever occurs later. A qualified biologist shall confirm in writing that no disturbance to active nests or nesting activities would occur as a result of construction activities. Documentation from a qualified biologist consistent with these requirements shall be submitted to the City Planner for review and approval. A note to this effect shall be placed on the construction plans. Project Planning Division & Biological Monitor Bio-1B Pre-Construction Biological Resource Surveys. Prior to construction of project components ES 1, ES 2, ES 5, ES 8, and ES 9 that will occur within disturbed or developed land, but are sited immediately adjacent to an undeveloped open space area (i.e., an area supporting naturalized habitat, sensitive habitat, and/or habitat potentially suitable for special status species), the CMWD shall retain a qualified biologist to perform a pre-construction survey to verify existing biological resources adjacent to the project construction areas. The surveys shall take place no more than 30 days prior to the start of construction for a particular project component. The CMWD shall provide the biologist with a copy of the project plans that clearly depict the construction work limits, including construction staging and storage areas, in order to determine which specific portion(s) of the project will require inspection of adjacent open space areas during the pre-construction survey. At minimum, the biologist shall perform a visual inspection of the adjacent open space area in order to characterize the existing habitat types and determine the likelihood for special status species to occur, including the coastal California gnatcatcher Project Planning Division & Biological Monitor  Requirements for Contractors and Consultants CWSRF A.2‐3 (Polioptila californica californica), migratory songbirds, and other bird species with the potential to breed in the area. The pre-construction survey results shall be submitted to the CMWD prior to construction in order to verify the need for additional construction measures proposed within Bio-1C through Bio-1F.Bio-1C Orange Construction Fencing. If it is confirmed through the implementation of mitigation measure Bio-1B that the project would occur immediately adjacent to sensitive habitat areas and/or habitat potentially suitable for special status species, the CMWD shall retain a qualified biologist to supervise the installation of temporary orange construction fencing, which clearly delineates the edge of the approved limits of grading and clearing, and the edges of environmentally sensitive areas that occur beyond the approved limits. This fencing shall be installed prior to construction, and maintained for the duration of construction activity. Fencing shall be installed in a manner that does not impact habitats to be avoided. If work occurs beyond the fenced or demarcated limits of impact, all work shall cease until the problem has been remedied and mitigation identified. Temporary orange fencing shall be removed upon completion of construction of the project. Implementation of this measure shall be verified by the City Planner prior to and concurrent with construction. Project Planning Division & Biological Monitor Bio-1D Construction-Related Noise. Construction noise created during the general breeding season (January 15 to September 15) that could affect the breeding of the coastal California gnatcatcher, migratory songbirds, and other bird species associated with adjacent undeveloped areas shall be avoided. No loud construction noise (exceeding 60 dBA hourly average, adjusted for ambient noise levels, at the nesting site) may take place within 500 feet of active nesting sites during the general breeding season (January 15 through September 15). If it is confirmed through the implementation of mitigation measure Bio-1B that the project could result in construction-related noise impacts to breeding birds during the general breeding season, the CMWD shall retain a qualified biologist to monitor the construction operations. The biological monitor shall be present to monitor construction activities that occur adjacent to the undeveloped open space area potentially supporting breeding birds. The monitor shall verify that construction noise levels do not exceed 60 dBA hourly average and shall have the ability to halt construction work, if necessary, and confer with the City Planner, USFWS, and CDFG to ensure the proper implementation of additional protection measures during construction. The biologist shall report any violation to the USFWS and/or CDFG within 24 hours of its occurrence. Project Planning Division & Biological Monitor Bio-1E Construction Staging Areas. If it is confirmed through the implementation of mitigation measure Bio-1B that the project would occur immediately adjacent to sensitive habitat areas and/or habitat potentially suitable for special status species, the CMWD shall design final project construction staging areas such that no staging areas shall be located within sensitive habitat areas. The construction contractor shall receive approval by Project Planning Division & Biological Monitor  Requirements for Contractors and Consultants CWSRF A.2‐4 the City Planning & Engineering Divisions prior to mobilizations and staging of equipment outside of the project boundaries.Bio-1F Contractor Training. If it is confirmed through the implementation of mitigation measure Bio-1B that the project would occur immediately adjacent to sensitive habitat areas and/or habitat potentially suitable for special status species, the CMWD shall retain a qualified biologist to attend pre-construction meetings to inform construction crews of the sensitive resources and associated avoidance and/or minimization requirements. Project Planning Division & Biological Monitor HAZARDS AND HAZARDOUS MATERIALSHaz-1 Excavation Monitoring. During excavation activities for ES 2, ES 5, ES 8, ES 9, and ES 18, CMWD shall provide monitoring by an individual licensed in the State of California to assess soil conditions for the potential presence of contaminated soils. In the event of encountering hydrocarbon contaminated soils, these soils shall be properly tested, managed, and disposed of at a licensed facility in accordance with DEH requirements. Project Planning Division & Construction Manager Haz-2 Construction Worker Health and Safety Work Plan. Prior to construction of ES 2, ES 5, ES 8, ES 9, or ES 18, CMWD shall have a project-specific health and safety work plan prepared and distributed to the construction workers to address the potential exposure to hazardous materials associated with working with or near contaminated soil. This work plan shall comply with all County of San Diego DEH work plan requirements including Community Health and Safety Planning to address physical hazards, site security, management of soil and water, and monitoring equipment. A description of engineering controls and measures that would be put in place to prevent and/or reduce the risks posed to site workers, public and the environment in the unlikely event of excavating contaminated soil from the construction area shall be provided in the work plan and submitted to the DEH for approval. The engineering controls and measures to be implemented if potentially contaminated soil is uncovered shall include, but not be limited to the following: 1) An exclusion zone and support zone shall be established prior to start and during excavation activities. No unauthorized personnel shall be allowed in these zones. Personnel authorized to work in these zones shall have the required training and qualifications including OSHA HAZWOPER training. 2) Written notifications shall be posted on the perimeter fencing in advance of start of excavation to notify the general public and hotel staff/operators of the nature and duration of work activities. The postings shall also include emergency contact names and telephone numbers. 3) No eating, drinking or smoking shall be allowed within the exclusion or support zones. 4) Site workers shall be required to wear personal protective equipment including gloves, dust masks or respirators, hard hats, steel toed boots, Tyvek® protective clothing, eye shield and ear plugs or ear muffs. 5) A decontamination zone shall be established for site workers to use prior to exiting the exclusion zone. Project Planning Division & Construction Manager  Requirements for Contractors and Consultants CWSRF A.2‐5 6) All excavated soil shall be underlain and covered by plastic or VisqueenTM ,if stored on site, to prevent or reduce off-gassing into the atmosphere and to protect the stockpile from erosion due to storm runoff. If on-site temporary storage becomes necessary, the stockpiles shall be placed downwind downstream of any sensitive receptors in the area. 7) All work shall stop if ambient air concentrations exceed acceptable thresholds as approved by the San Diego County DEH, and excavation shall be backfilled with inert soil or other material until concentration drop back to normal. 8) Exposure to dust and potential inhalation hazards shall be controlled by lightly spraying the excavated materials with clean water as they are stockpiled on site or as they are transferred to trucks for shipment offsite. A dust monitor shall be used on site to measure airborne dust during activities that are expected to generate dust. If dust levels exceed permissible exposure levels as set by OSHA standards, additional measures for dust control such as the use of industrial non-toxic dust suppressants shall be implemented. 9) Runoff around the excavation site shall be controlled by placing fiber rolls or other similar types of erosion and runoff control means to direct surface runoff and to protect the nearby downstream storm drains. 10) Vehicular and pedestrian traffic shall be directed away from the construction zone prior to and during excavation and follow-on activities in accordance with a traffic plan approved by the City of San Diego or City of Oceanside, as applicable, and in coordination with CMWD.Explanation of Headings: Type = Project, ongoing, cumulative. Monitoring Dept. = Department, or Agency, responsible for monitoring a particular mitigation measure. Shown on Plans = When mitigation measure is shown on plans, this column will be initialed and dated. Verified Implementation = When mitigation measure has been implemented, this column will be initialed and dated. Remarks = Area for describing status of ongoing mitigation measure, or for other information.   Requirements for Contractors and Consultants CWSRF  A.2‐6  REGULATORY COMPLIANCE AND PROJECT DESIGN AND CONSTRUCTION FEATURES Regulatory Compliance Construction and operation of the Phase III project would be conducted in compliance with all applicable federal, state, and local laws and regulations, including a variety of environmental laws and regulations pertaining to various environmental topics, such as the following. Air Quality During construction activities for proposed project components, CMWD would comply with San Diego Air Pollution Control District Rule 55, Fugitive Dust Control. Rule 55 requires the following: 1. No person shall engage in construction or demolition activity in a manner that discharges visible dust emissions into the atmosphere beyond the property line for a period or periods aggregating more than 3 minutes in any 60 minute period; and 2. Visible roadway dust as a result of active operations, spillage from transport trucks, erosion, or track-out/carry-out shall be minimized by the use of effective trackout/carry-out and erosion control measures listed in Rule 55 that apply to the project or operation. These measures include track-out grates or gravel beds at each egress point; wheel-washing at each egress during muddy conditions; soil binders, chemical soil stabilizers, geotextiles, mulching, or seeding; watering for dust control; and using secured tarps or cargo covering, watering, or treating of transported material for outbound transport trucks. Biological Resources Prior to construction activities for projects located within the boundaries of the city, and where it has been demonstrated that the project could result in impacts to biological resources addressed in the Carlsbad Habitat Management Plan (HMP) for Natural Communities, including HMP Species, Narrow Endemic Species, HMP Habitats, Existing and Proposed HMP Hardline Preserve Areas, Special Resource Areas, and HMP Core and Linkage Areas, as defined in the HMP, the CMWD would demonstrate how implementation of the project would comply with the requirements of the HMP, including the established conservation goals and objectives of the HMP, and the avoidance, minimization, and mitigation measures identified for protected resources. The City would use its land-use regulatory authority to fully implement the provisions of the HMP during project review, and would follow the project processing implementation procedures as required by Carlsbad Municipal Code Chapter 21.210, Habitat Preservation and Management Requirements. Cultural Resources During construction activities, CMWD would comply with Public Resources Code Section 5097.98 and California State Health and Safety Code 7050.5, upon unintentional discovery or disturbance of human remains. California State Health and Safety Code Section 7050.5 dictates that no further disturbance will occur until the County Coroner has made the necessary findings as to origin and disposition pursuant to Public Resources Code Section 5097.98. If the remains are determined by the County Coroner to be Native American, the Native American Heritage Commission (NAHC) will be notified within 24 hours, and the guidelines of the NAHC will be met in the treatment and disposition of the remains. A professional archaeologist with Native American burial experience will conduct a field investigation of the specific site and consult with the Most Likely Descendant (MLD), if any, identified by the NAHC. As necessary and appropriate, a professional archaeologist will be retained by CMWD to provide technical assistance to the MLD, including but not limited to, the excavation and removal of the human remains. Geology The design of the project components would implement the relevant requirements of the Uniform Building Code (UBC), the California Building Code (CBC), and the Standards and Specifications for Public Works Construction, as updated or amended, and California Department of Mines and Geology’s Special Publications 117, “Guidelines for Evaluating and Mitigating Seismic Hazards in California.” The CBC provides a minimum seismic standard for certain building designs. Chapter 23 of the CBC contains specific requirements for seismic safety. Chapter 33 of the CBC contains specific requirements pertaining to site demolition, excavation, and construction to protect people and property from hazards associated with excavation cave-ins and falling debris or construction materials. Chapter 70 of the CBC regulates grading activities, including drainage and erosion control. In addition, construction activities are subject to federal and state occupational safety standards for excavation, shoring, and trenching as specified in California Occupational Safety and Health Administration regulations (Title 8 of the California Code of Regulations [CCR]) and in Section A33 of the CBC. California Department of Mines and Geology’s Special Publications 117,   Requirements for Contractors and Consultants CWSRF  A.2‐7  “Guidelines for Evaluating and Mitigating Seismic Hazards in California,” provides guidance for the evaluation and mitigation of earthquake-related hazards for project components within designated zones of required investigations. Hydrology and Water Quality Construction activities would comply with the federal Clean Water Act (CWA), California’s Porter-Cologne Water Quality Control Act, the implementing regulations of the State Water Resources Control Board (SWRCB) and RWQCB, and the National Pollutant Discharge Elimination System (NPDES) Program. In accordance with the CWA and the NPDES program, the SWRCB adopted the California General Permit for Discharge of Storm Water Associated with Construction Activity, Construction General Permit Order 2009-0009 DWQ (General Permit) and the RWQCB has issued an NPDES/Waste Discharge Requirement for Municipal Separate Storm Sewer Systems (MS4s) under Order No. R9-2007-0001, NPDES No. CAS0108758, Waste Discharge Requirements for Discharges of Urban Runoff from the MS4s Draining the Watersheds of the County of San Diego, the Incorporated Cities of San Diego County, the San Diego Unified Port District, and the San Diego County Regional Airport Authority (MS4 permit). Project components not falling within the triggering coverage thresholds of the General Permit would be subject to compliance with the implementing ordinances of the county and cities bound by the MS4 permit to enforce storm water discharge controls required under the MS4 permit. For Phase III project covered under the General Permit (e.g., generally for projects resulting in ground disturbance of greater than one acre), the CMWD would submit a Notice of Intent to be covered under the terms and conditions of the General Permit, prepare a Storm Water Pollution Prevention Plan prescribing Best Management Practices (BMPs), monitoring, inspection, and recordkeeping requirements in accordance with the General Permit provisions, in order to control storm water discharge rates, reduce erosion, and reduce the occurrence of pollutants in surface water runoff. The implementing ordinances of the cities and county under the MS4 permit generally require that storm water control measures of a similar nature be undertaken to ensure their compliance under the permit. BMPs (e.g., berms, straw waddles, silt fencing, swales, and percolation basins) are storm water control measures intended to control the rate of discharge and to prevent pollutants from entering storm water runoff, and may include measures to minimize project disturbance, protect slopes, reduce erosion, and limit or prevent various pollutants from entering surface water runoff, such as the following:  Minimizing disturbed areas. Clearing of land is limited to that which will be actively under construction in the near term, new land disturbance during the rainy season is minimized, and disturbance to sensitive areas or areas that would not be affected by construction is minimized.  Stabilizing disturbed areas. Temporary stabilization of disturbed soils is provided whenever active construction is not occurring on a portion of the site, and permanent stabilization is provided by finish grading and permanent landscaping.  Protecting slopes and channels. Outside of the approved grading plan area, disturbance of natural channels is avoided, slopes and crossings are stabilized, and runoff velocity caused by the project is managed to avoid erosion to slopes and channels.  Controlling the site perimeter. Upstream runoff is diverted around or safely conveyed through the project components and is kept free of excessive sediment and other constituents.  Controlling internal erosion. Sediment-laden waters from disturbed, active areas within the site are detained (e.g., siltation basins). Hazards and Hazardous Materials Construction and operation of the project components would be conducted in compliance with all applicable federal, state, and local laws and regulations governing the use, management, handling, storage, release reporting and response actions, transportation, treatment, and disposal of hazardous materials, hazardous substances, and hazardous waste. These laws include:  U.S. Resource Conservation and Recovery Act (42 U.S.C. Section 6901 et seq.), which provides the ‘cradle to grave’ regulation of hazardous wastes; the Comprehensive Environmental Response, Compensation, and Liability Act (42 U.S.C. Section 9601 et seq.), commonly known as the “superfund” law addressing remediation of contaminated sites. U.S. Hazardous Materials Transportation Act (49 U.S.C. Section 5101 et seq.), which governs hazardous materials transportation on U.S. roadways.  California Hazardous Waste Control Law (Health and Safety Code Section 25100 et seq.) and Hazardous Substances Account Act (Health and Safety Code Sections 25300 et seq.).  California Proposition 65, formally known as "The Safe Drinking Water and Toxic Enforcement Act of 1986” (Health and Safety Code, Chapter 6.6, Sections 25249.5 through 25249.13), requiring persons and entities doing business in California using specific listed chemicals known to the state to cause cancer or   Requirements for Contractors and Consultants CWSRF  A.2‐8  reproductive harm or birth defects to provide a clear and reasonable warning to individuals entering the site regarding the presence of such chemicals, and the implementing regulations for such laws.  County of San Diego Consolidated Fire Code, which regulates the use, handling, and storage requirements for hazardous materials at fixed facilities. During construction, these laws govern the manner in which hazardous materials may be transported, used, stored, and disposed of as well as the handling and disposal of demolition debris containing hazardous waste. During operations, these laws govern the use, management, storage, and transportation of hazardous materials and the management, handling, storage, transportation and disposal of hazardous wastes. Table 1 Federal, State, or Local Permits and Approvals Agency/Department Permit/Approval Action Associated With or Required ForState Agencies State Water Resources Control Board General Construction Activity Storm Water Permit SWRCB Order No. 2009-0009 DWQ Storm Water discharges associated with construction activity. Waste Discharge Requirements (Water Code 13000 et seq.) Discharge of waste that might affect groundwater or surface water (point/nonpoint-source) quality. California Coastal Commission Coastal Development Permit Required for projects located within a deferred certification area in the coastal zone. California Department of Transportation Encroachment Permit (California Streets and Highways Code Sections 660 et seq.) Consider issuance of permits to cross state highways. Local Agencies City of Vista Encroachment Permit Required for construction within city ROW. Conformity with Zoning Required for construction within city ROW. City of Carlsbad Encroachment Permit Required for construction within city ROW. Discretionary Permit Required for construction activities within the city requiring discretionary approval. Habitat Management Plan Take Permit Required for potential impacts to sensitive species or habitats covered by the Carlsbad Habitat Management Plan. Coastal Development Permit Required for projects located within a coastal zone. City of Oceanside Encroachment Permit Required for construction within city ROW. Conformity with Zoning Required for construction within city ROW. Project Design and Construction Features The CMWD has incorporated numerous project design features and construction measures into the project design that are included in an effort to reduce the potential for environmental effects. The Phase III project would incorporate the following project design features. Aesthetics The following measures would be implemented into the design and construction of the Phase III project to minimize potential effects on aesthetics to neighborhoods surrounding the Phase III project:  Demolition debris will be removed in a timely manner for off-site disposal.  Tree and vegetation removal will be limited to those depicted on construction drawings.  All roadway features (signs, pavement delineation, roadway surfaces, etc) and structures within state and private rights-of-way will be protected, maintained in a temporary condition, or restored.  Disturbed areas will be restored following construction consistent with original site conditions and surrounding vegetation. If necessary, a temporary irrigation system will be installed and maintained by   Requirements for Contractors and Consultants CWSRF  A.2‐9  CMWD or the City, or watering trucks will be used at a frequency to be determined by CMWD or the City to maintain successful plant growth. For proposed CIP pipeline projects that would require trenching or that would require the temporary removal of concrete or asphalt, the disturbed area will be repaved to be consistent with the existing material. Air Quality The following BMPs would be implemented to minimize fugitive dust emissions and other criteria pollutant emissions during construction of Phase III project:  Water or dust control agents will be applied to active grading areas, unpaved surfaces, and dirt stockpiles as necessary to prevent or suppress particulate matter from becoming airborne. All soil to be stockpiled over 30 days will be protected with a secure tarp or tackifiers to prevent windblown dust.  Covering/tarping will occur on all vehicles hauling dirt or spoils on public roadways unless additional moisture is added to prevent material blow-off during transport.  Soil handling operations will be suspended when wind gusts exceed 25 miles per hour. The construction supervisor will have a hand-held anemometer for evaluating wind speed.  Dirt and debris spilled onto paved surfaces at the project site and on the adjacent roadway will be swept or vacuumed and disposed of at the end of each workday to reduce resuspension of particulate matter caused by vehicle movement. During periods of soil export or import, when there are more than six trips per hour, dirt removal from paved surfaces will be done at least twice daily.  Disturbed areas will be revegetated as soon as work in the area is complete.  Electrical power will be supplied from commercial power supply wherever feasible, to avoid or minimize the use of engine-driven generators.  Air filters on construction equipment engines will be maintained in clean condition according to manufacturers’ specifications.  The construction contractor will comply with an approved traffic control plan to reduce non-project traffic congestion impacts. Methods to reduce construction interference with existing traffic and the prevention of truck queuing around local sensitive receptors will be incorporated into this plan.  Staging areas for construction equipment will be located as far as practicable from residences.  Trucks and equipment will not idle for more than 15 minutes when not in service. Biological Resources The BMPs identified in the Carlsbad HMP would be implemented during the construction and operation of projects to minimize potential effects on biological resources:  Use BMPs to prevent pollution generated by construction activities from entering surface and groundwater. BMPs will also ensure that non-stormwater discharges are not discharged into stormwater drainage systems. BMPs may include: o Regulatory measures such as erosion control ordinances and floodplain restrictions. o Structural measures such as detention or retention basins, filters, weirs, check dams, or drainage diversions. o Vegetative controls that reduce volume and accomplish pollutant removal by a combination of filtration, sedimentation, and biological uptake. o Maintenance of pump stations, sewer lines, and stormwater conveyance systems. o Cultural practices such as restrictions on pesticide and fertilizer applications, storage or disposal of toxic chemicals, or washing of vehicles or equipment in areas that can drain to the estuary. o Public education programs that educate residences about proper disposal of oil or chemicals and that provide opportunities (e.g. designated locations) for residents to properly dispose of contaminants.  For clearing, grading, and other construction activities within the watershed, ensure that proper irrigation and stormwater runoff mitigation measures are employed to reduce sediment loads and to prevent contamination from pesticide, fertilizers, petroleum products, and other toxic substances.  Restrict or limit recreational or other activities within 200 feet of important forage, breeding, and roosting areas.  Require attenuation measures for activities that generate noise levels greater than 60 dBA if occurring within 200 feet of important breeding habitat during the nesting season.  Restrict construction hours to daytime hours that do not require the use of construction lighting. Cultural and Paleontological Resources   Requirements for Contractors and Consultants CWSRF  A.2‐10  The following procedure for unintentional disturbance of cultural resources will be implemented to minimize impacts to previously unknown archaeological resources during construction of Phase III project:  If subsurface cultural resources are encountered during CIP project construction, or if evidence of an archaeological site or other suspected cultural resources are encountered, all ground-disturbing activity will cease within 100 feet of the resource. A qualified archaeologist will be retained by the City or CMWD to assess the find, and to determine whether the resource requires further study. Any previously undiscovered resources found during construction will be recorded on appropriate Department of Parks and Recreation (DPR) 523 forms and evaluated by a qualified archaeologist retained by the City or CMWD for significance under all applicable regulatory criteria. No further grading will occur in the area of the discovery until the City and CMWD approves the measures to protect the resources. Any archaeological artifacts recovered as a result of mitigation will be donated to a qualified scientific institution approved by the City or CMWD where they would be afforded long-term preservation to allow future scientific study. Geology and Soils The following measures will be implemented into the construction and operation of Phase III project to minimize potential risks from geologic and soil hazards:  A site-specific geotechnical investigation will be completed during the engineering and design of each CIP project that would require excavation in previously undisturbed soil, which would determine the risk to the project associated with fault rupture, groundshaking, liquefaction, landslides, and expansive soils. The geotechnical investigations will describe site-specific conditions and make recommendations that will be incorporated into the construction specifications for the CIP project. Recommendations may include, but would not be limited to the following typical measures: o Over-excavate unsuitable materials and replace them with engineered fill. o Remove loose, unconsolidated soils and replace with properly compacted fill soils, or apply other design stabilization features. o For thicker deposits, implement an applicable compaction technique such as dynamic compaction or compaction piles. o Perform in-situ densification of soils or other alterations to the ground characteristics. o For landslides, implement applicable techniques such as stabilization; remedial grading and removal of landslide debris; or avoidance. Hazards and Hazardous Materials The following measures would be implemented into the construction to minimize potential effects related to hazards and hazardous materials:  Fire safety information will be disseminated to construction crews during regular safety meetings. Fire management techniques will be applied during project construction as deemed necessary by the lead agency and depending on-site vegetation and vegetation of surrounding areas.  A brush management plan will be incorporated during project construction by the City, CMWD, or a contractor, as necessary. Construction within areas of dense foliage during dry conditions will be avoided, when feasible. Hydrology and Water Quality The following measures would be implemented into the construction and operation of project components to minimize potential effects to hydrology and water quality:  A construction spill contingency plan will be prepared for new facilities in accordance with County Department of Environmental Health regulations and retained on site by the construction manager. If soil is contaminated by a spill, the soil will be properly removed and transported to a legal disposal site.  If groundwater is encountered and dewatering is required, then the groundwater will be disposed of by pumping to the sanitary sewer system or discharging to the storm drain system according to the conditions of the appropriate discharge permit. Noise The following measures would be implemented into the construction and operation of the project components to minimize noise effect to surrounding neighborhoods:  Heavy equipment will be repaired at sites as far as practical from nearby residences.   Requirements for Contractors and Consultants CWSRF  A.2‐11   Construction equipment, including vehicles, generators and compressors, will be maintained in proper operating condition and will be equipped with manufacturers’ standard noise control devices or better (e.g., mufflers, acoustical lagging, and/or engine enclosures).  Construction work, including on-site equipment maintenance and repair, will be limited to the hours specified in the noise ordinance of the affected jurisdiction.  Electrical power will be supplied from commercial power supply, wherever feasible, in order to avoid or minimize the use of engine-driven generators.  Staging areas for construction equipment will be located as far as practicable from residences.  Operating equipment will be designed to comply with all applicable local, state, and federal noise regulations.  If lighted traffic control devices are to be located within 500 feet of residences, the devices will be powered by batteries, solar power, or similar sources, and not by an internal combustion engine.  CMWD or their construction contractors will provide advance notice, between two and four weeks prior to construction, by mail to all residents or property owners within 300 feet of the alignment. For projects that would require pile driving or blasting, noticing will be provided to all residents or property owners within 600 feet of the alignment. The announcement will state specifically where and when construction will occur in the area. If construction delays of more than 7 days occur, an additional notice will be made, either in person or by mail.  CMWD will identify and provide a public liaison person before and during construction to respond to concerns of neighboring residents about noise and other construction disturbance. The CMWD will also establish a program for receiving questions or complaints during construction and develop procedures for responding to callers. Procedures for reaching the public liaison officer via telephone or in person will be included in notices distributed to the public in accordance with the information above. Transportation/Traffic The following measures would be implemented during construction of the Phase III project to minimize traffic effects to surrounding neighborhoods:  Prior to construction, the City will prepare a traffic control plan and coordinate with the cities of Oceanside, Vista, and San Marcos to address traffic during construction of project components within the public right-of-ways of the affected jurisdiction(s), including bicycle, pedestrian, and transit facilities. The traffic control plan will include signage and flagmen when necessary to allow the heavy equipment to utilize residential streets. The traffic control plan will also include provisions for coordinating with local school hours and emergency service providers regarding construction times.   Requirements for Contractors and Consultants CWSRF  A.3‐1  Appendix A.3 Requirements for Contractors and Consultants Clean Water State Revolving Fund Requirements Specific to Disadvantaged Business Enterprise This project will be partially funded by the CWSRF. Consultants and Contractors must assist Carlsbad Municipal Water District in meeting all the requirements of the CWSRF. Recipients of CWSRF financing are required to seek, and are encouraged to use, Disadvantaged Business Enterprises (DBEs) for their procurement. The DBE Program is an outreach, education, and objectives program designed to increase the participation of DBEs in the CWSRF Program. The successful bidder will follow the requirements for the Clean Water State Revolving Fund for all projects covered by this solicitation. In the paragraphs referenced below, the term “Recipient” refers to Carlsbad Municipal Water District not the contractor or consultant. Recipients of CWSRF financing that are subject to the DBE requirements (recipients) are required to seek, and are encouraged to use, DBEs for their procurement needs. Recipients should award a "fair share" of sub-agreements to DBEs. This applies to all sub-agreements for equipment, supplies, construction, and services. The key functional components of the DBE Program are as follows.  Fair Share Objectives  DBE Certification  Six Good Faith Efforts  Contract Administration Requirements  DBE Reporting For the purposes of CWSRF, Disadvantaged Business Enterprise’s are:  entities owned and/or controlled by socially and economically disadvantaged individuals as described by Title X of the Clean Air Act Amendments of 1990 (42 U.S.C. 7601 note) (10% statute), and Public Law 102-389 (42 U.S.C. 4370d) (8% statute), respectively;  a Minority Business Enterprise (MBE) are entities that are at least 51% owned and/or controlled by a socially and economically disadvantaged individual as described by Title X of the Clean Air Act Amendments of 1990 (42 U.S.C. 7601 note), and Public Law 102-389 (42 U.S.C. 4370d), respectively.  a Women Business Enterprise (WBE) are entities that are at least 51% owned and/or controlled by women.  a Small Business Enterprise (SBE);  a Small Business in a Rural Area (SBRA);  a Labor Surplus Area Firm (LSAF); or  an Historically Underutilized Business (HUB) Zone Small Business Concern or a concern under a successor program. Under the DBE Program, entities can no longer self-certify and contractors and sub-contractors must be certified at bid opening. Contractors and sub-contractors must provide to the CWSRF recipient proof of DBE certification. Certifications will be accepted from the following:  The US Environmental Protection Agency (USEPA)  The Small Business Administration (SBA);  The Department of Transportation’s State implemented DBE Certification Program (with U.S. citizenship);  Tribal, State and Local governments;  Independent private organization certifications.   Requirements for Contractors and Consultants CWSRF  A.3‐2  If an entity holds one of these certifications, it is considered acceptable for establishing status under the DBE Program. All CWSRF financing recipients are required to complete and ensure that the prime contractor complies with the Good Faith Efforts (GFE) below to ensure that DBEs have the opportunity to compete for financial assistance dollars. 1. Ensure DBEs are made aware of contracting opportunities to the fullest extent practical through outreach and recruitment activities. For Tribal, State and Local Government Recipients, this will include placing DBEs on solicitation lists and soliciting them whenever they are potential sources. 2. Make information on forthcoming opportunities available to DBEs. Posting solicitations for bids or proposals for a minimum of 30 calendar days before the bid opening date. 3. Consider in the contracting process whether firms competing for large contracts could subcontract with DBEs. 4. Encourage contracting with a group of DBEs when a contract is too large for one firm to handle individually. 5. Use the services and assistance of the SBA and Minority Business Development Agency (MBDA) of the US Department of Commerce. 6. If the prime contractor awards subcontracts, require the prime contractor to take the above steps. The forms listed in the table below and attached to this Appendix; must be completed and submitted with the GFE:   FORM NUMBER FORM NAME REQUIREMENT PROVIDED BY COMPLETED BY SUBMITTED TO SWRCB Form 4500-2 or EPA Form DBE Sub-Contractor Participation Form As Needed to Report Issues Recipient Sub-Contractor EPA DBE Coordinator SWRCB Form 4500-3 or EPA Form DBE Sub-Contractor Performance Form Include with Bid or Proposal Package Prime Contractor Sub- Contractor SWRCB by Recipient SWRCB Form 4500-4 or EPA Form DBE Sub-Contractor Utilization Form Include with Bid orProposal Package Recipient Prime Contractor SWRCB byRecipient   The completed forms must be submitted with each Bid or Proposal. The recipient shall review the bidder’s documents closely to determine that the GFE was performed prior to bid or proposal opening date. Failure to complete the GFE and to substantiate completion of the GFE before the bid opening date could jeopardize CWSRF financing for the project. The following situations and circumstances require action as indicated: 1. If the apparent successful low bidder was rejected, a complete explanation must be provided; 2. Failure of the apparent low bidder to perform the GFE prior to bid opening constitutes a non-responsive bid. The construction contract may then be awarded to the next low, responsive, and responsible bidder that meets the requirements or the Recipient may re-advertise the project. 3. If there is a bid dispute, all disputes shall be settled prior to submission of the Final Budget Approval Form. Administration Requirements  A recipient of CWSRF financing must require entities receiving funds to create and maintain a Bidders List if the recipient of the financing agreement is subject to, or chooses to follow, competitive bidding requirements;  The Bidders list must include all firms that bid or quote on prime contracts, or bid or quote on subcontracts, including both DBEs and non-DBEs.  Information retained on the Bidder’s List must include the following: 1. Entity’s name with point of contact; 2. Entity’s mailing address and telephone number; 3. The project description on which the entity bid or quoted and when; 4. Amount of bid/quote; and   Requirements for Contractors and Consultants CWSRF  A.3‐3  5. Entity’s status as a DBE or non-DBE.  The Bidders List must be kept until the recipient is no longer receiving funding under the agreement.  The recipient shall include Bidders List as part of the Final Budget Approval Form.  A recipient must require its prime contractor to pay its subcontractor for satisfactory performance no more than 30 days from the prime contractor’s receipt of payment from the Recipient.  A recipient must be notified in writing by its prime contractor prior to any termination of a DBE subcontractor by the prime contractor.  If a DBE subcontractor fails to complete work under the subcontract for any reason, the recipient must require the prime contractor to employ the six GFEs if soliciting a replacement subcontractor.  A recipient must require its prime contractor to employ the six GFEs even if the prime contractor has achieved its fair share objectives. Reporting Requirements  For the duration of the construction contract(s), the recipient is required to submit to the State Water Resources Control Board DBE reports semi-annually by April 10 and October 10 of each fiscal year on the Utilization Report form (UR-334). Failure to provide this information as stipulated in the financial agreement language may be cause for withholding disbursements. Revised 12/2016 Disadvantaged Business Enterprise (DBE) Program DBE Subcontractor Participation Form A Financial Assistance Agreement Recipient must require its prime contractors to provide this form to its DBE subcontractors. This form gives a DBE1 subcontractor2 the opportunity to describe work received and/or report any concerns regarding the funded project (e.g., in areas such as termination by prime contractor, late payments, etc.). The DBE subcontractor can, as an option, complete and submit this form to the DBE Coordinator at any time during the project period of performance. Subcontractor Name Project Name Bid / Proposal No. Assistance Agreement ID No. (if known) Point of Contact Address Telephone No. Email Address Prime Contractor Name Issuing/Funding Entity Contract Item Number Description of Work Received from the Prime Contractor Involving Construction, Services, Equipment or Supplies Amount Received by Prime Contractor 1 A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certifications as described in 40 CFR 33.204-33.2015 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2 Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an award of financial assistance. FORM 4500-2 (DBE Subcontractor Participation Form) Revised 12/2016 Please use the space below to report any concerns regarding the above funded project: Subcontractor Signature Print Name Title Date FORM 4500-2 (DBE Subcontractor Participation Form) The public reporting and record keeping burden for this collection of information is estimated to average three (3) hours per response. Send comments on the Agency’s need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Do not send the completed form to this address. Send completed Form 4500-2 to: Mr. Joe Ochab, DBE Coordinator US EPA, Region 9 75 Hawthorne Street San Francisco, CA 94105 Revised 12/2016 Disadvantaged Business Enterprise (DBE) Program DBE Subcontractor Performance Form This form is intended to capture the DBE1 subcontractor’s2 description of work to be performed and the price of the work submitted to the prime contractor. A Financial Assistance Agreement Recipient must require its prime contractor to have its DBE subcontractors complete this form and include all completed forms in the prime contractor’s bid or proposal package. Subcontractor Name Project Name Bid / Proposal No. Assistance Agreement ID No. (if known) Point of Contact Address Telephone No. Email Address Prime Contractor Name Issuing/Funding Entity Contract Item Number Description of Work Submitted from the Prime Contractor Involving Construction, Services, Equipment or Supplies Price of Work Submitted to the Prime Contractor DBE Certified By: ___ DOT ___ SBA ___ Other: _______________________________________ Meets/exceeds EPA certification standards? ___ YES ___ NO ___ Unknown 1 A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certifications as described in 40 CFR 33.204-33.2015 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2 Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an award of financial assistance. FORM 4500-3 (DBE Subcontractor Performance Form) Revised 12/2016 I certify under penalty of perjury that the forgoing statements are true and correct. Signing this form does not signify a commitment to utilize the subcontractors above. I am aware that in the event of a replacement of a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302 (c). Prime Contractor Signature Print Name Title Date Subcontractor Signature Print Name Title Date FORM 4500-3 (DBE Subcontractor Performance Form) The public reporting and record keeping burden for this collection of information is estimated to average three (3) hours per response. Send comments on the Agency’s need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Do not send the completed form to this address. Revised 12/2016 Disadvantaged Business Enterprise (DBE) Program DBE Subcontractor Utilization Form This form is intended to capture the prime contractor’s actual and/or anticipated use of identified certified DBE1 subcontractor’s2 and the estimated dollar amount of each subcontract. A Financial Assistance Agreement Recipient must require its prime contractors to complete this form and include it in the bid or proposal package. Prime contractors should also maintain a copy of this form on file. Prime Contractor Name Project Name Bid / Proposal No. Assistance Agreement ID No. (if known) Point of Contact Address Telephone No. Email Address Issuing/Funding Entity I have identified potential DBE certified subcontractors. ___ YES ___ NO If yes, please complete the table below. If no, please explain: Subcontractor Name/ Company Name Company Address / Phone / Email Estimated Dollar Amount Currently DBE Certified? --Continue on back if needed-- 1 A DBE is a Disadvantaged, Minority, or Woman Business Enterprise that has been certified by an entity from which EPA accepts certifications as described in 40 CFR 33.204-33.2015 or certified by EPA. EPA accepts certifications from entities that meet or exceed EPA certification standards as described in 40 CFR 33.202. 2 Subcontractor is defined as a company, firm, joint venture, or individual who enters into an agreement with a contractor to provide services pursuant to an award of financial assistance. FORM 4500-4 (DBE Subcontractor Utilization Form) Revised 12/2016 I certify under penalty of perjury that the forgoing statements are true and correct. Signing this form does not signify a commitment to utilize the subcontractors above. I am aware that in the event of a replacement of a subcontractor, I will adhere to the replacement requirements set forth in 40 CFR Part 33 Section 33.302 (c). Prime Contractor Signature Print Name Title Date FORM 4500-4 (DBE Subcontractor Utilization Form) The public reporting and record keeping burden for this collection of information is estimated to average three (3) hours per response. Send comments on the Agency’s need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including through the use of automated collection techniques to the Director, Collection Strategies Division, U.S. Environmental Protection Agency (2822T), 1200 Pennsylvania Ave., NW, Washington, D.C. 20460. Do not send the completed form to this address. Revised 12/2016 STATE WATER RESOURCES CONTROL BOARD – DIVISION OF FINANCIAL ASSISTANCE DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION CALIFORNIA STATE REVOLVING FUNDS (CASRF) FORM UR-334 1. Grant/Finance Agreement Number: 2. Annual Reporting Period 10/1/ through 09/30/ 3. Purchase Period of Financing Agreement: 4. Total Payments Paid to Prime Contractor or Sub-Contractors During Current Reporting Period: $ 5. Recipient’s Name and Address: 6. Recipient’s Contact Person and Phone Number: 7. List All DBE Payments Paid by Recipient or Prime Contractor During Current Reporting Period: Payment or Purchase Paid by Recipient or Prime Contractor Amount Paid to Any DBE Contractor or Sub-Contractor For Service Provided to Recipient Date of Payment (MM/DD/YY) Procurement Type Code** (see below) Name and Address of DBE Contractor of Sub-Contractor or Vendor MBE WBE 8. Initial here if no DBE contractors or sub-contractors paid during current reporting period: 9. Initial here if all procurements for this contract are completed: 10. Comments: 11. Signature and Title of Recipient’s Authorized Representative 12. Date Email Form UR-334 to: DrinkingWaterSRF@waterboards.ca.gov OR CleanWaterSRF@waterboards.ca.gov Questions may be directed to: Barbara August, SWRCB Barbara.August@waterboards.ca.gov Phone: (916) 341-6952 Fax: (916) 327-7469 **Procurement Type: 1. Construction 2. Supplies 3. Services (includes business services; professional services; repair services and personnel services) 4. Equipment Revised 12/2016 STATE WATER RESOURCES CONTROL BOARD - DIVISION OF FINANCIAL ASSISTANCE DISADVANTAGED BUSINESS ENTERPRISE (DBE) UTILIZATION CALIFORNIA STATE REVOLVING FUNDS INSTRUCTIONS FOR COMPLETING FORM UR-334 Box 1 Grant or Financing Agreement Number. Box 2 Annual reporting period. Box 3 Enter the dates between which you made procurements under this financing agreement or grant. Box 4 Enter the total amount of payments paid to the contractor or sub-contractors during this reporting period. Box 5 Enter Recipient’s Name and Address. Box 6 Enter Recipient’s Contact Name and Phone Number. Box 7 Enter details for the DBE purchases only and be sure to limit them to the current period. 1) Use either an “R” or a “C” to represent “Recipient” or “Contractor.” 2) Enter a dollar total for DBE and total the two columns at the bottom of the section. 3) Provide the payment date. 4) Enter a product type choice from those at the bottom of the page. 5) List the vendor name and address in the right-hand column Box 8 Initial here if no DBE contractors or sub-contractors were paid during this reporting period. Box 9 Initial this box only if all purchases under this financing agreement or grant have been completed during this reporting period or a previous period. If you initial this box, we will no longer send you a survey. Box 10 This box is for explanatory information or questions. Box 11 Provide an authorized representative signature. Box 12 Enter the date form completed.   Requirements for Contractors and Consultants CWSRF  A.4‐1  Appendix A.4 Requirements for Contractors and Consultants Clean Water State Revolving Fund Requirements Specific to American Iron and Steel The Consolidated Appropriations Act of 2014 (Public Law 113-76) includes an "American Iron and Steel (AIS)" requirement for CWSRF assistance recipients to use iron and steel products that are produced in the United States for projects for the construction, alteration, maintenance, or repair of a public water system or treatment works if the project is funded through an assistance agreement executed beginning January 17, 2014 (enactment of the Act), through the end of Fiscal Year 2014. The appropriation language sets forth certain circumstances under which EPA may waive AIS requirements. AIS requirements apply to the Phase III Recycled Water Project. Complete contract language can be found via this weblink: https://www.waterboards.ca.gov/water_issues/programs/grants_loans/srf/docs/american_iron/ais_contract_language. pdf By submitting a sealed bid, the Contractor acknowledges to and for the benefit of the Carlsbad Municipal Water District (“Purchaser”) and the State of California Clean Water State Revolving Fund (the “State”) that it understands the goods and services under this Agreement are being funded with monies made available by the Clean Water State Revolving Fund and/or Drinking Water State Revolving Fund that have statutory requirements commonly known as “American Iron and Steel;” that requires all of the iron and steel products used in the project to be produced in the United States (“American Iron and Steel Requirement”) including iron and steel products provided by the Contactor pursuant to this Agreement. The Contractor hereby represents and warrants to and for the benefit of the Purchaser and the State that (a) the Contractor has reviewed and understands the American Iron and Steel Requirement, (b) all of the iron and steel products used in the project will be and/or have been produced in the United States in a manner that complies with the American Iron and Steel Requirement, unless a waiver of the requirement is approved, and (c) the Contractor will provide any further verified information, certification or assurance of compliance with this paragraph, or information necessary to support a waiver of the American Iron and Steel Requirement, as may be requested by the Purchaser or the State. Notwithstanding any other provision of this Agreement, any failure to comply with this paragraph by the Contractor shall permit the Purchaser or State to recover as damages against the Contractor any loss, expense, or cost (including without limitation attorney’s fees) incurred by the Purchaser or State resulting from any such failure (including without limitation any impairment or loss of funding, whether in whole or in part, from the State or any damages owed to the State by the Purchaser). While the Contractor has no direct contractual privity with the State, as a lender to the Purchaser for the funding of its project, the Purchaser and the Contractor agree that the State is a third-party beneficiary and neither this paragraph (nor any other provision of this Agreement necessary to give this paragraph force or effect) shall be amended or waived without the prior written consent of the State. The successful bidder will be required to provide certification for AIS compliance. A sample AIS compliance form is provided below.   Requirements for Contractors and Consultants CWSRF  A.4‐2  Sample AIS Certifications The following information is provided as a sample letter of step certification for AIS compliance. Documentation must be provided on company letterhead. Date Company Name Company Address City, State Zip Subject: American Iron and Steel Step Certification for Project (XXXXXXXXXX) I, (company representative), certify that the (melting, bending, coating, galvanizing, cutting, etc.) process for (manufacturing or fabricating) the following products and/or materials shipped or provided for the subject project is in full compliance with the American Iron and Steel requirement as mandated in EPA’s State Revolving Fund Programs. Item, Products and/or Materials: 1. Xxxx 2. Xxxx 3. Xxxx Such process took place at the following location:_____________ If any of the above compliance statements change while providing material to this project we will immediately notify the prime contractor and the engineer. Signed by company representative   Requirements for Contractors and Consultants CWSRF  A.5‐1  Appendix A.5 Requirements for Contractors and Consultants Clean Water State Revolving Fund Requirements Specific to Davis-Bacon Requirements (per Agreement No.:14-820-550 Exhibit G) This project will receive funding from the Clean Water State Revolving Fund. Consultants and Contractors must assist Carlsbad Municipal Water District in meeting all the requirements of the Clean Water State Revolving Fund. Davis-Bacon Prevailing Wage Requirements apply to this project. The page numbers referenced below are from the CWSRF funding agreement and are included in order to assist Carlsbad Municipal Water District in responding to any questions a contractor or consultant may have in regard to these requirements. The successful bidder will follow the requirements for the Clean Water State Revolving Fund for all projects covered by this solicitation. In the paragraphs referenced below, the term “Recipient” refers to Carlsbad Municipal Water District not the contractor or consultant. Exhibit G, Pages G-1 to G-8. DAVIS-BACON REQUIREMENTS 1. Contract and Subcontract Provisions (a) The Recipient shall insert in full in any contract in excess of $2,000 which is entered into for the actual construction, alteration and/or repair, including painting and decorating, of a treatment work under the CWSRF the following clauses: (1) Minimum wages. (i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3) ), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in § 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under paragraph (a)(1)(ii) of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. Subrecipients may obtain wage determinations from the U.S. Department of Labor’s web site, www.wdol.gov. (ii)(A) The Recipient, on behalf of EPA, shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be   Requirements for Contractors and Consultants CWSRF  A.5‐2  employed under the contract shall be classified in conformance with the wage determination. The State award official shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the Recipient agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), documentation of the action taken and the request, including the local wage determination shall be sent by the Recipient to the State award official. The State award official will transmit the request, to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210 and to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the State award official or will notify the State award official within the 30-day period that additional time is necessary. (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the Recipient do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the award official shall refer the request and the local wage determination, including the views of all interested parties and the recommendation of the State award official, to the Administrator for determination. The request shall be sent to the EPA DB Regional Coordinator concurrently. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii)(B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (2) Withholding. The Recipient, shall upon written request of the EPA Award Official or an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the (Agency) may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.   Requirements for Contractors and Consultants CWSRF  A.5‐3  (3) Payrolls and basic records. (B) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The contractor shall submit weekly, for each week in which any contract work is performed, a copy of all payrolls to the Recipient, that is, the entity that receives the sub- grant or loan from the State capitalization grant recipient. Such documentation shall be available on request of the State or EPA. As to each payroll copy received, the Recipient shall provide written confirmation in a form satisfactory to the State indicating whether or not the project is in compliance with the requirements of 29 CFR 5.5(a)(1) based on the most recent payroll copies for the specified week. The payrolls shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on the weekly payrolls. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the Recipient for transmission to the State Water Board or EPA if requested by EPA, the State, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the Recipient. (B) Each payroll submitted shall be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be provided under § 5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under § 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete; (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;   Requirements for Contractors and Consultants CWSRF  A.5‐4  (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by paragraph (a)(3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code. (iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the State, EPA or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the Federal agency or State may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to   Requirements for Contractors and Consultants CWSRF  A.5‐5  and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30. (5) Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. (6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the EPA determines may by appropriate, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5. (7) Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. (8) Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the Recipient, State, EPA, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of eligibility. (i) By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).   Requirements for Contractors and Consultants CWSRF  A.5‐6  (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. 2. Contract Provisions for Contracts in Excess of $100,000. (a) Contract Work Hours and Safety Standards Act. The Recipient shall insert the following clauses set forth in paragraphs (a)(1), (2), (3), and (4) of this section in full in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be inserted in addition to the clauses required by Item 3, above or 29 CFF 4.6 . As used in this paragraph, the terms laborers and mechanics include watchmen and guards. (1) Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (a)(1) of this section the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (a)(1) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (a)(1) of this section. (3) Withholding for unpaid wages and liquidated damages. The Recipient, upon written request of the EPA Award Official or an authorized representative of the Department of Labor, shall withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (b)(2) of this section. (4) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraph (a)(1) through (4) of this section and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (a)(1) through (4) of this section. (b) In addition to the clauses contained in Item 3, above, in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other statutes cited in 29 CFR 5.1, the Recipient shall insert a clause requiring that the contractor or subcontractor shall maintain payrolls and basic payroll records during the course of the work and shall preserve them for a period of three years from the completion of the contract for all laborers and mechanics, including guards and watchmen, working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Further, the Recipient shall insert in any such contract a clause providing hat the records to be maintained under this paragraph shall be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the (write the name of agency) and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview employees during working hours on the job.     Requirements for Contractors and Consultants CWSRF  A.5‐7  3. Compliance Verification (a) The Recipient shall periodically interview a sufficient number of employees entitled to DB prevailing wages (covered employees) to verify that contractors or subcontractors are paying the appropriate wage rates. As provided in 29 CFR 5.6(a)(6), all interviews must be conducted in confidence. The Recipient must use Standard Form 1445 or equivalent documentation to memorialize the interviews. Copies of the SF 1445 are available from EPA on request. (b) The Recipient shall establish and follow an interview schedule based on its assessment of the risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract or subcontract. At a minimum, the Recipient must conduct interviews with a representative group of covered employees within two weeks of each contractor or subcontractor’s submission of its initial weekly payroll data and two weeks prior to the estimated completion date for the contract or subcontract. The Recipient must conduct more frequent interviews if the initial interviews or other information indicates that there is a risk that the contractor or subcontractor is not complying with DB. The Recipient shall immediately conduct necessary interviews in response to an alleged violation of the prevailing wage requirements. All interviews shall be conducted in confidence. (c) The Recipient shall periodically conduct spot checks of a representative sample of weekly payroll data to verify that contractors or subcontractors are paying the appropriate wage rates. The Recipient shall establish and follow a spot check schedule based on its assessment of the risks of noncompliance with DB posed by contractors or subcontractors and the duration of the contract or subcontract. At a minimum, if practicable the Recipient must spot check payroll data within two weeks of each contractor or subcontractor’s submission of its initial payroll data and two weeks prior to the completion date of the contract or subcontract . The Recipient must conduct more frequent spot checks if the initial spot check or other information indicates that there is a risk that the contractor or subcontractor is not complying with DB . In addition, during the examinations the Recipient shall verify evidence of fringe benefit plans and payments thereunder by contractors and subcontractors who claim credit for fringe benefit contributions. (d) The Recipient shall periodically review contractors and subcontractors use of apprentices and trainees to verify registration and certification with respect to apprenticeship and training programs approved by either the U.S Department of Labor or a state, as appropriate, and that contractors and subcontractors are not using disproportionate numbers of, laborers, trainees and apprentices. These reviews shall be conducted in accordance with the schedules for spot checks and interviews described in Item 5(b) and (c) above. (e) The Recipient must immediately report potential violations of the DB prevailing wage requirements to the EPA DB contact listed above and to the appropriate DOL Wage and Hour District Office listed at http://www.dol.gov/esa/contacts/whd/america2.htm.   Requirements for Contractors and Consultants CWSRF  A.6‐1  Appendix A.6 Requirements for Contractors and Consultants Clean Water State Revolving Fund CWSRF Signage Contractor shall place a sign at least four feet tall by eight feet wide made of ¾ inch thick exterior grade plywood or other approved material in a prominent location on the Project site and shall maintain the sign in good condition for the duration of the construction period. The Agency’s preferred “General Project Sign” detail is provided below. Each sign is to be displayed at a prominent location designated by the Agency. The signs may need to be moved occasionally to a new location when required by the Agency. The Contractor is responsible for the setup, maintenance and moving of the signs. The Contractor shall provide two mounting frames and support “legs” for the signs. The frames and supports shall be prepared in a professional manner, properly finished and painted white. They shall be of sturdy design to withstand wind, vandalism and other disturbing forces. The Contractor shall develop a support system that allows the signs to be moved to a new location. Contractor shall submit for Engineer’s approval prior to construction and installing the signs. The agency logos can be found at: http://www.waterboards.ca.gov/water_issues/programs/grants_loans/srf/srf_templates.shtml       RECYCLED WATER PHASE III PIPELINE EXPANSION  SEGMENT NO. 9  CITY PROJECT NO. 5208‐A      Funding for this project has been provided in full or in part by the Clean Water State Revolving Fund and  Proposition 1 – the Water Quality, Supply and Infrastructure Improvement Act of 2014 through an  agreement with the State Water Resources Control Board.  California’s Clean Water State Revolving  Fund is capitalized through a variety of funding sources, including grants from the United States  Environmental Protection Agency and state bond proceeds.    GEOTECHNICAL INVESTIGATION CARLSBAD MUNICIPAL WATER DISTRICT RECYCLED WATER PIPELINE EXPANSION SEGMENTS 2, 5, AND 7 CARLSBAD, CALIFORNIA PREPARED FOR: MS. SARAH WILLIAMS KENNEDY JENKS CONSULTANTS 9665 GRANITE RIDGE DRIVE SAN DIEGO, CALIFORNIA, 92123 PREPARED BY: SCST, INC. 6280 RIVERDALE STREET SAN DIEGO, CALIFORNIA 92120 Providing Professional Engineering Services Since 1959 January 12, 2018 SCST No. 170147P4 Report No. 1 Ms. Sarah Williams Kennedy Jenks Consultants 9665 Granite Ridge Drive, Suite 210 San Diego, California 92123 Subject: GEOTECHNICAL INVESTIGATION RECYCLED WATER PIPELINE EXPANSION SEGMENTS 2 (PORTION), 5 (SUBSEGMENTS 5-1 AND 5-3), AND 7 (PORTION) CARLSBAD, CALIFORNIA Dear Ms. Williams: In accordance with your request and our proposal No. 16-0494R3, SCST, Inc. (SCST) performed a geotechnical investigation to assess the geologic conditions at the site, including potential geologic hazards, and provide recommendations based on our findings. Our investigation consisted of excavating exploratory borings, geotechnical laboratory testing, a review of readily available geologic literature, and preparation of this report. If you have any questions regarding this document or if we may be of further service, please contact us at (619) 280-4321. Respectfully Submitted, SCST, Inc. Emil Rudolph, GE 2767 Principal Geotechnical Engineer Andrew K. Neuhaus, CEG 2591 Senior Geologist AKN:ER:hu (1) Addressee via e-mail at sarahwilliams@kennedyjenks.com (1) Corey Young via e-mail at coreyyoung@kennedyjenks.com TABLE OF CONTENTS SECTION PAGE 1. INTRODUCTION ...................................................................................................................... 1 2. SCOPE OF WORK ................................................................................................................... 1 2.2 FIELD INVESTIGATION...................................................................................................... 1 2.3 LABORATORY TESTING ................................................................................................... 1 2.4 ANALYSIS AND REPORT .................................................................................................. 2 3. PROJECT AND SITE DESCRIPTION ..................................................................................... 2 4. SITE GEOLOGY ....................................................................................................................... 4 4.1 GEOLOGIC STRUCTURE .................................................................................................. 5 4.2 FAULTING ........................................................................................................................... 5 4.2.1 GROUND SHAKING ......................................................................................................... 5 4.2.2 SURFACE RUPTURE AND SOIL CRACKING ................................................................. 5 5. GEOLOGIC HAZARDS ............................................................................................................ 6 5.3 LANDSLIDING ..................................................................................................................... 6 5.4 LIQUEFACTION .................................................................................................................. 6 5.5 EXPANSIVE SOILS ............................................................................................................. 6 5.6 FLOODING .......................................................................................................................... 6 6. CONCLUSIONS ....................................................................................................................... 7 7. RECOMMENDATIONS ............................................................................................................ 7 SITE EXCAVATION CHARACTERISTICS ....................................................................... 7 TEMPORARY EXCAVATIONS ......................................................................................... 7 DEWATERING .................................................................................................................. 8 PIPELINE SUPPORT ........................................................................................................ 8 MODULUS OF SOIL REACTION ..................................................................................... 9 PIPE BEDDING ................................................................................................................. 9 TRENCH BACKFILL ......................................................................................................... 9 IMPORTED SOIL ............................................................................................................ 10 BORE AND JACK ........................................................................................................... 10 7.8.1 Tunnel Support .................................................................................................... 10 7.8.2 Underground Obstructions .................................................................................. 10 7.8.3 Tunneling Induced Ground Movement ................................................................ 11 7.8.4 Backstops for Pipe Jacking ................................................................................. 11 SOIL CORROSIVITY ...................................................................................................... 11 PAVEMENT SECTIONS ................................................................................................. 12 8. CLOSURE .............................................................................................................................. 12 8.1 GEOTECHNICAL REVIEW ............................................................................................... 12 8.2 LIMITATIONS .................................................................................................................... 13 9. REFERENCES ....................................................................................................................... 14 TABLE OF CONTENTS (Continued) SECTION PAGE ATTACHMENTS: FIGURES Figure 1 ................................................................................................................ Site Vicinity Map Figure 2 ............................................................................ Boring Locations and Regional Geology Figure 3 ........................................................................ Subsurface Exploration Map (Segment 2) Figure 4 ................................................................ Subsurface Exploration Map (Subsegment 5-1) Figure 5 ............................................. Subsurface Exploration Map (Subsegment 5-3, Segment 7) Figure 6 ........................................................................................ Shoring Lateral Earth Pressures APPENDECIES Appendix I .................................................................................................. Subsurface Exploration Appendix II ........................................................................................................ Laboratory Testing 1. INTRODUCTION This report presents the results of a geotechnical investigation SCST, Inc. (SCST) performed for the planned Recycled Water Pipeline Expansion on a small portion of Segment 2, Segment 5 (Subsegments 5-1 and 5-3), and closing the loop on Segment 7 (Figure 1), and for the potable waterline replacement in the Home Owners Associations (HOA) for Flower Fields and Carlsbad Palisades. We understand the project will consist of the construction of 7.5 miles of pipeline ranging in sizes from 4-inches to 8-inches in diameter and installing metered service connections, The purpose of our work is to provide preliminary conclusions and recommendations regarding the geotechnical aspects of the project. Figure 1 presents the site vicinity map. 2. SCOPE OF WORK 2.2 FIELD INVESTIGATION We explored the subsurface conditions in the project area on August 30th and 31st, and September 1st and 5th, 2017 by drilling 37 borings (B-1 through B-2, B-5 through B-32, and B- 34 through B-36) to depths between about 2 feet and 30½ feet below the existing ground surface. Multiple drilling attempts were performed at boring locations B-1 (shifted 1½ feet south), B-13 (shifted 5 feet southwest), B-18 (shifted 10½ feet north), B-32 (shifted 7 feet north) to achieve planned depths due to encountered underground obstructions. The obstructions may be associated with underground utilities. Additional subsurface exploration methods such as ground penetrating radar, air knife potholing, or similar methods may be performed to assess the conditions further. Borings B-3 and B-4 were not completed due to time constraints. Boring B-33 was not drilled due to access issues. The borings were advanced to planned depths using a truck-mounted drill rig equipped with a hollow stem auger. Figure 2 presents the approximate locations of the borings, which includes the location of the incomplete borings. SCST geologists and engineers logged the borings and collected samples of the materials encountered for laboratory testing. Logs of the borings are presented in Appendix I. Soils were classified according to the Unified Soil Classification System illustrated on Figure I-1. 2.3 LABORATORY TESTING Selected samples from the exploratory drilling were tested to evaluate pertinent soil classification and engineering properties to enable the development of geotechnical conclusions and recommendations. Generally, test samples were assigned within the upper 6½ feet because a majority of the pipeline, with the exception of the trenchless portions, will be within the upper 6 feet. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 2 The laboratory testing consisted of in situ moisture content and density, grain size distribution, corrosivity, and direct shear. The results of the laboratory tests and brief explanations of the test procedures are presented in Appendix II. 2.4 ANALYSIS AND REPORT The results of the subsurface exploration and laboratory testing were evaluated to develop conclusions and recommendations regarding:  Subsurface conditions anticipated along the alignments  Excavation conditions and the potential for encountering difficult excavation conditions  Groundwater levels and the necessity for dewatering  Allowable temporary excavation slopes and the necessity for shoring  Lateral loads on shoring  Support for the pipeline  Potential pipeline settlements  Appropriate types of bedding and backfill materials as well as placement and compaction procedures  Suitability of excavated materials for use as bedding and backfill  Soil modulus E’ for pipeline design  Subgrade compaction beneath pavements  New flexible pavement structural sections using an assumed R-Value  Trenchless construction recommendations  Corrosivity of earth materials 3. PROJECT AND SITE DESCRIPTION SCST understands the existing recycled water pipeline system will be expanded for the Carlsbad Municipal Water District throughout the City of Carlsbad and sections of water distribution system will be replaced. It is anticipated the pipelines will be between depths of approximately 6 feet to 20 feet below the existing ground surface. This report addresses five areas of the project: a portion of Segment 2, Subsegments 5-1 and 5-3, a portion of Segment 7, and waterline replacement in Flower Fields and Carlsbad Palisades. Below are two tables presenting the planned pipeline types, diameters, and linear footages. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 3 Recycled Water   Alignment 6‐Inch  8‐Inch  RW Segment 2 0  1,428  RW Segment 5‐1 23,489  0  RW Segment 5‐3 7,451  6,580  RW Segment 7 712  0  RW Total 31,652  8,008    Potable Water   Alignment 6‐Inch  8‐Inch  PW Flower Fields 306  1,684  PW Carlsbad Palisades 4,061  0  PW Total 4,367  1,684  Segment 2 will consist of approximately 1,428 linear feet of 8-inch PVC C-900 pipeline. The pipeline will extend along Cannon Road from Avenida Encinas to Carlsbad Boulevard. A portion of the pipeline will cross under the railroad. Elevations range from approximately 59 feet near Carlsbad Boulevard to approximately 46 feet near Avenida Encinas. Segment 5 is separated into two Subsegments, 5-1 and 5-3. Subsegment 5-1 will consist of approximately 23,357 linear feet of 6-inch PVC C-900 pipeline. The pipelines will extend off of El Camino Real along Kelly Drive and into the Pacific Palisades Home Owner’s Association (HOA) along Tamarack Avenue. Within the Pacific Palisades HOA, approximately 4,131 linear feet of additional 6-inch PVC C-900 potable water pipeline will be installed. Subsegment 5-3 will consist of approximately 6,580 linear feet of 8-inch and 7,377 linear feet of 6-inch PVC C-900 pipelines. The pipelines will extend along El Camino Real from Chestnut Avenue to Haymar Way and along Marron Road, and into the Flower Fields (HOA) off of Marron Road. Within the Flower Fields HOA, approximately 1,683 linear feet of additional 8-inch and approximately 307 linear feet of 6- inch PVC C-900 potable water pipeline will be installed. Elevations along both Subsegments range from approximately 286 feet near Chestnut Avenue to 21 feet along the west end of Marron Road. Segment 7 will consist of approximately 1,232 linear feet of 6-inch PVC C-900 pipeline that will close the loop for the existing recycled water lines. The proposed pipeline will extend along Tamarack Avenue between Wilshire Avenue and Milford Place. Elevations range from approximately 200 feet on the south to approximately 179 feet near the north end of the pipeline. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 4 4. SITE GEOLOGY Geologically, the materials observed, depending on location, consist of fill, Alluvial flood-plain deposits, Old paralic deposits, and the Santiago Formation. Descriptions of the materials are presented below. Figure 2 presents the regional geology in the vicinity of the site. Fill (Qf): Fill encountered in our borings is up to 15 feet thick. However, fills exceeding 15 feet in depth were encountered in the Flower Fields Development in Borings B-26 and B- 27 within Flower Fields. In general, the fill consists of moist to wet, medium dense silty and clayey sand with gravel, poorly and well-graded sand with silt and gravel, and moist, medium stiff to very stiff sandy clay and sandy silt. Although not encountered in our borings, cobble to boulder size material can be expected. The materials are typically suitable for reuse as trench backfill after processing for oversize material and moisture content. Although not explored as part of the investigation, we anticipate that fill materials similar to the descriptions above underlie the alignment in the Segment 7 section based on a similar investigation conducted in the area (Ninyo & Moore, 2014). Alluvial flood-plain deposits (Qa): Alluvial flood-plain deposits were encountered below the fill in Borings B-1A, B-2, B-8, B-9, B-11 B-12, B-20 through B-25, B-31, and B-32 C. The materials encountered consist of moist to wet, loose to medium dense, silty and clayey sand, and stiff to very stiff, sandy silt and clay. Although not encountered in our borings, cobble to boulder size material can be expected. The materials are typically suitable for reuse as trench backfill after processing for oversize material and moisture content. Old paralic deposits (Qop): Old paralic deposits were encountered in Borings B-30 and B-34 through B-36 within Segment 2. The materials encountered consist of moist to wet weakly to moderately cemented clayey and silty sand. These deposits may contain gravel and cobble conglomerate with scattered boulders, some of which can be strongly cemented yet considered rippable with conventional drilling and earthwork equipment in good working order. The materials excavated as reddish brown clayey sand typically suitable for reuse as trench backfill, provided they are screened of oversize material and processed for moisture content. Santiago Formation (Tsa): Santiago Formation was encountered below the fill and/or Alluvial flood-plain deposits in Borings B-5, B-6, B-7, B-10, B-11, B-12 through B-21, B- 25, B-28, and B-29. The materials encountered consist of moist, hard, sandy siltstone and claystone, and dense to very dense, silty and clayey sandstone. The material is considered rippable with conventional drilling and earthwork equipment in good working order. The materials excavated as sandy silt and clay, and silty to clayey sand and are typically suitable for reuse as trench backfill after processing for moisture content. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 5 Groundwater: Groundwater was encountered in Borings B-1B (10 feet), B-2 (15 feet), B- 8 (14 feet), B-23 (5 feet), and B-35 (21 feet). Groundwater seepage was observed in B-24 (5 feet) but was not considered to be the groundwater table. It should be recognized that groundwater conditions can develop at a site where none were previously present. These are often the result of alteration of the permeability characteristics of the soil, an alteration in drainage patterns, and/or increased precipitation or irrigation water. These types of conditions can be most effectively corrected on an individual basis if and when they develop. 4.1 GEOLOGIC STRUCTURE The geologic structure beneath the site consists of gently to moderately tilted, massive to thinly bedded sedimentary formations. 4.2 FAULTING No faults are mapped to underlie the pipeline alignments. Faulting in the San Diego County area is characterized by a series of Quaternary-age and older fault zones that typically consist of several individual en echelon faults that generally strike in a northerly to northwesterly direction. Per Hart and Bryant, 2007, active fault zones are those that have shown conclusive evidence of faulting during the Holocene Epoch (the most recent 11,000 years) while potentially active fault zones have demonstrated movement during the Pleistocene Epoch (11,000 to 1.6 million years before the present) but no evidence of movement during Holocene time. Faults that can be shown to have experienced no movement within the Holocene or Pleistocene Epochs are generally considered to be inactive. The closest active fault to this site is the Rose Canyon-Newport-Inglewood Fault Zone which is located offshore approximately 1 mile from the coast. 4.2.1 Ground shaking A geologic hazard likely to affect the site is ground shaking as a result of movement along one of the main strands of the active fault zone mentioned above. Probable ground shaking levels at any of the sites could range from slight to strong depending on such factors as the magnitude of the seismic event and the distance to the epicenter. It is likely that the site will experience the effects of at least one moderate to large earthquake during the life of the existing structures. 4.2.2 Surface Rupture and Soil Cracking Based on the information available to us, there is no evidence that active or potentially active faults underlie the subject site; therefore, the site is not considered susceptible to Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 6 surface rupture due to faulting. The likelihood of surface rupture caused by shaking from distant sources is minimal. 5. GEOLOGIC HAZARDS No geologic hazards of sufficient magnitude, to preclude the proposed recycled and water mains are known to exist. Specific geologic hazards are discussed below. 5.3 Landsliding A portion of Subsegment 5-3 and Segment 7 are underlain by potential landslides (Kennedy and Tan, 2007). More specifically, the Borings B-20 and B-21 for Subsegment 5-3 and the portion to close the loop on Segment 7 are mapped as being underlain by potential landslides. Based on the site geology and a review of aerial photography (HistoricAerials.com 2017) and the presence of urban development in and around the areas along these segments, it is our opinion that the potential for deep-seated slope failure to affect the site is low. 5.4 Liquefaction The materials underlying the site are not considered subject to liquefaction due to such factors as soil type and density. 5.5 Expansive Soils Potentially expansive soils were encountered in the fill and Alluvial flood-plain deposits. In our opinion, no significant distress that would be anticipated due to the presence of near- surface detrimentally expansive soils was noted on site. 5.6 Flooding SCST reviewed the Federal Emergency Management Agency (FEMA) Flood Hazard Map online database (2017) to determine if the subject sites are located within areas susceptible to flooding. Most of the project alignments are located in an area designated as Flood Hazard Zone X. Zone X designates the areas determined to be outside the 0.2% annual chance flood-plain. A portion of Subsegment 5-3 along Haymar Drive is located within an area designated as Flood Hazard Zone AE. Zone AE is an area with the 1% annual chance flood (100-year flood), also known as the base flood, that has a 1% chance of being equaled or exceeded in any given year. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 7 6. CONCLUSIONS Based on the results of our investigation, we consider the project feasible from a geotechnical standpoint. In our opinion, the site conditions are suitable to install the pipelines using Bore and Jack, HDD, and traditional open excavation trenching techniques. There are no geologic hazards of sufficient magnitude that preclude the intended improvements. The main geotechnical consideration affecting the project is the presence of shallow groundwater encountered in borings B-1B, B-2, B-8, B-23, and B-35 at depths between about 5 and 21 feet below existing surface, cobbles and possibly boulders in the underlying fill materials, Alluvial flood-plain deposits, and Old paralic deposits, and cemented sandstone and indurated claystone and siltstone layers in the Old paralic deposits and Santiago Formation. The materials anticipated below the pipeline depths are expected to generally provide good pipeline support. 7. RECOMMENDATIONS SITE EXCAVATION CHARACTERISTICS It is anticipated that excavation can be achieved with conventional drilling and earthwork equipment in good working order. Excavations in fills and Alluvial flood-plain deposits may be locally unstable and may contain construction debris, gravels, cobbles, and boulders. Difficult drilling and excavation should be anticipated in cemented zones within the old paralic deposits and Santiago Formation. Although not encountered during this project, unrippable cemented deposits have been encountered in the vicinity of similar projects in the area (Ninyo & Moore, 2014). Gravel, cobbles, and possibly boulders should also be anticipated in fill and Alluvial flood-plain deposits, based on our experience with similar materials in the vicinity of the project alignments. TEMPORARY EXCAVATIONS Temporary excavations will be required for Jack and Bore pits, potential HDD pits, and open cut trenching. Temporary excavations 3 feet or less can be made vertically. Temporary slopes greater than 3 feet should not be steeper than 1½:1 (horizontal: vertical) and in the Very Old Paralic Deposits should not be steeper than ¾:1 (horizontal: vertical). The faces of temporary slopes should be inspected daily by the contractor’s Competent Person before personnel are allowed to enter the excavation. Zones of potential instability, sloughing, or raveling should be brought to the attention of the Engineer and corrective action implemented before personnel begin working in the trench. Slopes steeper than those described above will require shoring. Soldier piles and lagging, corrugated metal pipe, internally braced shoring, trench boxes, or anchor tie-back walls could be used. If trench boxes or metal pipe are used, the soil immediately adjacent to the Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 8 shoring is not directly supported. Ground surface deformations adjacent to the excavation could be greater where these methods are used compared to other methods of shoring. The qualified shoring contractor should evaluate the proper method. Recommended earth pressure values for cantilever shoring (soldier piles and lagging and for shoring with bracing, internally braced or tie-back) are shown on Figure 6. The surcharge loads on shoring from traffic and construction equipment working adjacent to the trench can be modeled by assuming an additional two feet of soil behind the shoring wall. Excavated materials should not be stockpiled behind temporary shoring within a distance equal to the depth of the excavation. SCST should be notified if other surcharge loads are anticipated so that lateral load criteria can be developed for the specific situation. If temporary slopes are to be maintained during the rainy season, berms are recommended along the tops of the slopes to prevent runoff water from entering the excavation and eroding the slope faces. DEWATERING Groundwater seepage into pits and trenches may occur following heavy rain or irrigation. Dewatering such seepage might be accomplished by sloping the excavation bottom to a sump and pumping from the sump. A layer of gravel about 6 inches thick placed in the bottom of the excavation will facilitate groundwater flow and can be used as a working platform. The specialty contractor should evaluate the appropriate method for dewatering. PIPELINE SUPPORT It is anticipated that most of the materials along the pipeline alignment will provide adequate support for the pipe, although loose, soft, and otherwise unsuitable materials should be anticipated locally in fill and as encountered in borings B-26 and B-27 within the Flower Fields HOA. Unsuitable materials encountered near trench bottom levels, as determined during construction by an SCST representative, should be excavated to competent material as determined by an SCST representative. The excavated materials can be replaced as compacted fill or with pipe bedding material as described below. Unsuitable materials should be removed from the full width of the trench. The bottoms of the excavations should be observed by the geotechnical consultant prior to placement of pipe bedding. The use of a stabilizing fabric such as Mirafi® HP 570 can be used to stabilize the bottom of the excavations if needed. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 9 MODULUS OF SOIL REACTION The modulus of soil reaction (E’) is used to characterize the stiffness of soil backfill placed along the side of buried flexible pipelines for evaluating deflection due to the load associated with trench backfill over the pipe. A value of 2,000 psi is recommended for the modulus of soil reaction assuming that granular bedding material is placed adjacent to the pipe and is compacted to a minimum of 90% of the maximum dry density. PIPE BEDDING Pipe bedding as specified in the City of Carlsbad Engineering Standards can be used. Bedding material should consist of clean sand having a sand equivalent not less than 30 or crushed aggregate meeting criteria in Section 306-1.2.1 in the Standard Specifications for Public Works Construction (SSPWC) and should extend to at least 12 inches above the top of the pipe. Alternative materials meeting the intent of the bedding specifications are also acceptable. Samples of materials proposed for use as bedding should be provided to the engineer for inspection and testing before the material is imported for use on the project. The pipe bedding material should be placed over the full width of the trench. Pipe bedding should be in accordance with the City of Carlsbad Engineering Standards. After placement of the pipe, the bedding should be brought up uniformly on both sides of the pipe to reduce the potential for unbalanced loads. No voids or uncompacted areas should be left beneath the pipe haunches. Ponding or jetting the pipe bedding should not be allowed. TRENCH BACKFILL Utility trench backfill should be placed in 6-inch to 8-inch-thick loose lifts, moisture conditioned to near optimum moisture content, and compacted to at least 90% of the laboratory determined maximum density. When fill is to be made and compacted against the existing hillside (inclined steeper than 5:1 horizontal: vertical), benches on the order of every 2 vertical feet should extend through any loose soils to expose competent material. Benches should be as wide as equipment used to excavate and compact trench backfill. It is recommended over steepened slopes (i.e. steeper than an inclination of 2:1 horizontal:vertical) have geotextile placed in the fill during the repair. The top 12 inches of fill beneath paved areas should be moisture conditioned to near optimum moisture content and compacted to at least 95% of the laboratory determined maximum density. Aggregate base material should be compacted to at least 95% of the laboratory determined maximum density. Materials and methods of construction should conform to good engineering practices and the minimum standards of the City of Carlsbad. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 10 Onsite materials, except for soil containing roots, debris, and rocks greater than 4 inches, can be used as compacted fill or trench backfill. The maximum dry density and optimum moisture content for the evaluation of relative compaction should be determined in accordance with ASTM D1557. IMPORTED SOIL Imported soil should consist of predominately granular soil free of organic matter and rocks greater than 6 inches. Imported soil should have an expansion index of 50 or less and should be inspected and, if appropriate, tested by SCST prior to transport to the site. BORE AND JACK SCST understands the trenchless portion of the planned pipelines under the railroad in Segment 2 will be installed using the bore and jack method. The bore and jack method is considered suitable for the conditions encountered in our borings B-35 and B-36. This method consists of jacking a steel casing pipe along the pipeline alignment while simultaneously cutting the soil ahead of the casing pipe with an auger placed within the encasement. After the drilling spoils are removed, the pipe is then installed into the casing pipe. The anticipated alignment of trenchless excavation is expected to pass through fill and Old paralic deposits. Based on our experience with similar materials in the vicinity of the project alignments, scattered boulders have been encountered in these deposits. Additionally, these deposits encountered have been observed to be moderately cemented. Therefore, potential subcontractors should recognize that excavation conditions could vary between test boring locations. The specifications should indicate that the contractor utilize equipment capable of advancing in medium dense to very dense and hard, moderately cemented deposits with gravel, cobbles, and possibly boulders to avoid the potential for delays during trenchless construction. 7.8.1 Tunnel Support Tunnel support systems such as the pipe-jacked casings should be designed to support overburden soil pressure and surcharge loads due to traffic and construction activities. Tunnel support systems should also resist jacking forces applied during pipe jacking. 7.8.2 Underground Obstructions Based on our experience with similar materials in the vicinity of the project alignments, gravel and cobbles should be encountered in the fill, Alluvial flood-plain deposits, Old Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 11 paralic deposits, and Santiago Formation at various depths and thicknesses. In addition, boulders could be encountered along the pipeline alignment. Such obstructions may require accessing the tunnel face for manual removal. The specialty contractor should assess the method for removing such obstructions. 7.8.3 Tunneling Induced Ground Movement Some tunneling-induced ground movement should be anticipated. Ground surface settlement monuments should be installed and monitored during construction. A settlement monument monitoring program plan can be developed prior to the installation of the pipeline. By monitoring ground movements before tunneling beneath existing facilities, ground losses can be detected in time to fill voids quickly and alert the contractor to alter their procedures to reduce further settlement. The geotechnical engineer should review the monument monitoring program plan to check that the intent of the recommendations in this report has been incorporated. 7.8.4 Backstops for Pipe Jacking An allowable passive pressure of 350 pounds per square foot (psf) per foot of depth may be used for the resistance provided by pipe jacking backstops in fill and Alluvial flood-plain deposits. An allowable passive pressure of 450 pounds per square foot (psf) per foot of depth may be used for the resistance provided by pipe jacking backstops in Old paralic deposits, and Santiago Formation. The backstops should expose competent material. SCST recommends a geotechnical engineer be on site to observe the jack and bore installation. If the conditions encountered during construction differ from those anticipated based on the subsurface exploration program, the presence of the geotechnical engineer during construction will enable an evaluation of the conditions and modification of the recommendations in this report or development of additional recommendations in a timely manner. SOIL CORROSIVITY Representative samples of the onsite soils from the project alignment were tested to evaluate corrosion potential. The results are presented on Figure II-19. Type II/V cement is recommended for use in concrete in contact with the ground. A corrosion engineer should be contacted to provide specific corrosion control recommendations. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 12 PAVEMENT SECTIONS The pavement support characteristics of the soils encountered during our investigation vary and are considered low to good. An R-Value of 14 was assumed for the design of preliminary pavement sections. The actual R-Value of the subgrade soils should be evaluated after backfill, and final pavement sections are provided. Based on an R-Value of 14, the following pavement structural sections are recommended for the assumed Traffic Indices. Flexible Pavement Sections Traffic Type Traffic Index Asphalt Concrete (inches) Aggregate Base (inches) Parking Stalls 4.5 3 7 Drive Lanes/Side Streets 6.0 4 12 Heavy Traffic Areas 7.0 4 14 The top 12 inches of subgrade should be scarified, moisture conditioned to near optimum moisture content, and compacted to at least 95% relative compaction. Soft or yielding areas should be removed and replaced with compacted fill or aggregate base. Aggregate base and asphalt concrete should conform to the minimum standards of the City of Carlsbad and should be compacted to at least 95% relative compaction. All materials and methods of construction should conform to good engineering practices and the minimum standards of the City of Carlsbad. 8. CLOSURE 8.1 GEOTECHNICAL REVIEW The utility and earthwork plans and pertinent sections of the project specifications should be reviewed by the geotechnical engineer to evaluate conformance with the intent of the conclusions and recommendations contained in this report. If project conditions or final designs vary from those described in this report, SCST should be contacted regarding the applicability of, and the necessity for any revisions to, the conclusions and recommendations presented in this report. Removal of unsuitable soils and placement and compaction of bedding and backfill should be observed by the geotechnical engineer. Appropriate field tests should be performed to provide quality control and quality assurance for bedding and backfill. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 13 8.2 LIMITATIONS This report is based on the project as described and the information obtained from review of pertinent geologic and geotechnical literature and maps of the approximate locations indicated. The findings are based on the results of borings, field observations of surface conditions, and office investigations. Our recommendations reflect the interpretation of the limited direct evidence obtained. This report has been prepared for the use of the Client in the design of the described project. It may not contain sufficient information for other users, including the Contractor, or other purposes. This report has been prepared in accordance with generally accepted geotechnical practice in San Diego County. No warranty, express or implied, is given or intended with respect to the information contained in this report. Kennedy/Jenks Consultants January 12, 2018 Recycled Water Pipeline Expansion Segment 5 SCST No. 170147P4-1 Carlsbad, California Page 14 9. REFERENCES 1. Federal Emergency Management Agency (FEMA) website, (www.fema.gov), accessed September 2017. 2. Hart, E.W., and Bryant, W.A., 2007, Fault-Rupture Hazard Zones in California, California Department of Conservation, Division of Mines and Geology, Special Publication 42. 3. HistoricAerials.com, accessed September 2017. 4. State Water Resources Control Board, Website, GeoTracker database, (http://www.geotracker.swrcb.ca.gov/), accessed September 2017. 5. Tan, S.S., Kennedy, M.P., 2007, Geologic Map of the Oceanside 30’x60’ Quadrangle, California, United States Geologic Survey (USGS), scale 1:100,000. 6. Moreland, F. O., Farrand, G. T., Kent, J. T., (2014) Geotechnical Evaluation Carlsbad Phase III, Recycled Water Project, Pipeline Expansion Segments 1A and 7, Carlsbad, California, Project No. 107814001, November 25. Figure:SITE VICINITY MAP1Job No.:By:Date: January, 2018MAW©2017 OpenStreetMapSCST, Inc.Recycled Water PipelineCarlsbad, California170174P4-1SCALESUB SEGMENT 5-1SEGMENT 2SUB SEGMENT 5-3, SEGMENT 7 Figure:BORING LOCATIONS AND REGIONAL GEOLOGY 2Job No.: By: Date: January, 2018 MAWSCST, Inc.SCALEApproximate Location ofBoringSCST LEGEND:B-36Recycled Water Pipeline Carlsbad, California 170331P4-1B-24B-26B-25B-23B-32B-31B-30B-29B-28B-22B-21B-20B-19B-18B-17B-7B-6B-5B-1B-2B-8B-14B-13B-15B-16B-10B-9B-11B-12B-36B-35B-34B-27SUB SEGMENT 5-3, SEGMENT 7 (FIGURE 5)SUB SEGMENT 5-1 (FIGURE 4)SEGMENT 2 (FIGURE 3)Alluvial flood-plaindepositsOld alluvial flood-plaindepositsOld paralic depositsVery old paralic depositsSantiago FormationTonalite, undividedMetasedimentary andMetavolcanic rocks,undividedContactInclinedOverturnedVerticalHorizontalStrike and dip of bedsLandslideClosed depressionKgp - Granite pegmatite dikeFaultAnticlineSynclineReference: Kennedy, M.P., & Tan, S.S. (2007),Geologic Map of the Oceanside 30' X 60' Quadrangle, California©2017 OpenStreetMap*B-3*B-4*B-33Approximate Location ofBoring (Not Drilled)*B-33 Figure:SUBSURFACE EXPLORATION MAP,SEGMENT 23Job No.:By:Date: January, 2018MAW©2017 OpenStreetMapSCST, Inc.Recycled Water PipelineCarlsbad, California170147P4-1SCALEApproximate Location ofBoringSCST LEGEND:B-36Proposed Segment 2AlignmentExisting Segment 2Existing Recycled WaterLinesB-35B-34B-36Carlsbad Boulevard Figure:SUBSURFACE EXPLORATION MAP,SUB SEGMENT 5-14Job No.:By:Date: January, 2018MAW©2017 OpenStreetMapSCST, Inc.Recycled Water PipelineCarlsbad, California170147P4-1Approximate Location ofBoringSCST LEGEND:B-16B-16Proposed Segment 5-1Existing Recycled WaterLinesExisting Water LinesB-11B-10B-16B-15B-8B-13B-14B-9B-6B-5B-7B-1B-2TamarackAvenue*B-4*B-3Approximate Location ofBoring (Not Drilled)*B-4SCALE ©2017 OpenStreetMapFigure:BORING LOCATIONS AND REGIONAL GEOLOGY, SUB SEGMENT 5-3, SEGMENT 7 5Job No.: By: Date: January, 2018 MAWSCST, Inc.SCALEApproximate Location ofBoringSCST LEGEND:B-32Recycled Water Pipeline Carlsbad, California 170331P4-1B-32B-31B-30B-29B-28B-24B-22B-25B-26B-27B-21B-20B-19B-18B-17B-23Proposed Segment 5-3Existing Recycled WaterLinesExisting Water LinesProposed Closed Loopof Segment 7PROPOSED CLOSED LOOP OF SEGMENT 7Approximate Location ofBoring (Not Drilled)*B-33*B-33 CANTILEVER SHORING OR MULTIPLE LEVELS OF BRACING 1 LEVEL OF BRACING H 40H 25H pounds per cubic foot pounds per square foot By:Date: Job Number:Figure:6170147P4-1 SHORING LATERAL EARTH PRESSURES MAWSCST, Inc. Recycled Water Pipeline Carlsbad, California January, 2018 APPENDIX I APPENDIX I SUBSURFACE EXPLORATION Relatively undisturbed samples were obtained using a modified California (CAL) sampler, which is a ring-lined split tube sampler with a 3-inch outer diameter and 2½-inch inner diameter. Standard Penetration Tests (SPT) were performed using a 2-inch outer diameter and 1⅜-inch inner diameter split tube sampler. The CAL and SPT samplers were driven with a 140-pound weight dropping 30 inches. The number of blows needed to drive the samplers the final 12 inches of an 18-inch drive is noted on the boring logs as “Driving Resistance (blows/ft of drive).” SPT and CAL sampler refusal was encountered when 50 blows were applied during any one of the three 6-inch intervals, a total of 100 blows was applied, or there was no discernible sampler advancement during the application of 10 successive blows. Because the SPT sampler was driven with a cathead and rope, the driving resistance is representative of a 60% energy transfer ratio (N60). Disturbed bulk samples were obtained from the SPT sampler and the drill cuttings. The soils are classified in accordance with the Unified Soil Classification System as illustrated on Figure I-1. Logs of the borings are presented on Figures I-2 through I-41. SAMPLE SYMBOLS LABORATORY TEST SYMBOLS AL - Atterberg Limits CAL CON - Consolidation CK COR - Corrosivity Tests MS (Resistivity, pH, Chloride, Sulfate) ST DS - Direct Shear SPT EI - Expansion Index MAX - Maximum Density GROUNDWATER SYMBOLS RV - R-Value SA - Sieve Analysis UC - Unconfined Compression By: Job Number: - Modified California sampler - Bulk Sample - Shelby Tube - Standard Penetration Test sampler - Undisturbed Chunk sample - Maximum Size of Particle - Water level at time of excavation or as indicated - Water seepage at time of excavation or as indicated ML CLEAN SANDS Inorganic silts and very fine sands, rock flour, sandy silt or clayey-silt- sand mixtures with slight plasticity. CL Inorganic clays of low to medium plasticity, gravelly clays, sandy clays, silty clays, lean clays. SILTS AND CLAYS (Liquid Limit less than 50) II. FINE GRAINED, more than 50% of material is smaller than No. 200 sieve size. SM SC Silty sands, poorly graded sand and silty mixtures. Clayey sands, poorly graded sand and clay mixtures. SANDS More than half of coarse fraction is smaller than No. 4 sieve size. Poorly graded sands, gravelly sands, little or no fines.SP Organic silts and organic silty clays or low plasticity. PT Peat and other highly organic soils.III. HIGHLY ORGANIC SOILS MH CH Inorganic clays of high plasticity, fat clays. Inorganic silts, micaceous or diatomaceous fine sandy or silty soils, elastic silts. OH Organic clays of medium to high plasticity. SW Well graded sand, gravelly sands, little or no fines. GRAVELS More than half of coarse fraction is larger than No. 4 sieve size but smaller than 3".GRAVELS WITH FINES (Appreciable amount of fines) CLEAN GRAVELS GP Poorly graded gravels, gravel sand mixtures, little or no fines. GM Silty gravels, poorly graded gravel-sand-silt mixtures. GROUP SYMBOL TYPICAL NAMES GW Well graded gravels, gravel-sand mixtures, little or no fines GC Clayey gravels, poorly graded gravel-sand, clay mixtures. SUBSURFACE EXPLORATION LEGEND SILTS AND CLAYS (Liquid Limit greater than 50) Figure: Date:CJM 170147P4-1 January, 2018 I-1 SCST, Inc. Recycled Water Pipeline Expansion Segments 2, 5, and 7 Carlsbad, California UNIFIED SOIL CLASSIFICATION CHART SOIL DESCRIPTION I. COARSE GRAINED, more than 50% of material is larger than No. 200 sieve size. OL Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSM By:Date: Job Number:Figure: 14 I-2170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 18 17 DRY UNIT WEIGHT (pcf) LOG OF BORING B-1A USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 9DEPTH (ft)10 4 5 4 inches of asphalt concrete over 4 inches of aggregate base.FILL (Qf): SILTY SAND, grayish brown, fine to coarse grained, moist, medium dense. 8 AUGER REFUSAL AT 2 FEET Date Drilled: Not Encountered Equipment: Elevation (ft): 6 7 1 2 3 Boring shifted 1½ feet to the south to Boring B-1B 13 16 11 15 12 COR AKN CJM Depth to Groundwater (ft): 9/1/2017 ± 41 Logged by: Project Manager:DRIVENBULKSC Fragments of moderate yellowish brown, silty clay. CL CL 17 14.4 112.3 Groundwater encountered at approximately 10 feet By:Date: Job Number:Figure: Date Drilled: ±10Elevation (ft): Equipment:CME-95 with 8-inch Hollow Stem Auger AKN CJM Depth to Groundwater (ft): 9/1/2017 ± 41 13 16 11 15 12 9DEPTH (ft)10 4 5 4 inches of asphalt concrete over 4 inches of aggregate base. FILL (Qf): CLAYEY SAND, light yellowish brown, fine to medium grained, trace gravel, moist, medium dense. 8 6 7 1 2 3 ALLUVIAL FLOOD-PLAIN DEPOSITS (Qa): SANDY CLAY, moderate olive green/moderate brown, fine grained, trace gravel, moist, very stiff.DRY UNIT WEIGHT (pcf) LOG OF BORING B-1B USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 14 I-3170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 18 17 SPTBecomes fine to medium grained, medium stiff to stiff. BORING TERMINATED AT 16½ FEET CAL SPT Becomes dark brown, wet, medium stiff. SANDY CLAY, moderate yellowish brown, fine grained, trace gravel, moist, medium stiff to stiff. 19 6 10 8 14 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC CL 10 Groundwater encountered at approximately 15 feet SC By:Date: Job Number:Figure: 4 inches of asphalt concrete over 4 inches of aggregate base. Date Drilled: ± 15Elevation (ft): Equipment: DEPTH (ft)AKN DJM/ACL Depth to Groundwater (ft): 9/1/2017 ± 29 11 15 12 9 10 16 BORING TERMINATED AT 16½ FEET CLAYEY SAND, brown, fine to medium grained, wet, very stiff. 8 13 SA ALBecomes dark gray, fine to medium grained. 4 5 ALLUVIAL FLOOD-PLAIN DEPOSITS (Qa): SANDY CLAY, dark gray, fine grained, moist, medium stiff.6 7 1 2 3 23 30 SPT SPT Becomes dark brown, medium to coarse grained, very stiff. 7 17 FILL (Qf): CLAYEY SAND, light brown, medium grained, gravel, moist, medium dense.DRY UNIT WEIGHT (pcf) LOG OF BORING B-2 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 14 I-4170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 18 17 SPT 22 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL By:Date: Job Number:Figure: SPT CALBecomes hard. Carlsbad, California 111/10" 83SPT 50/3"68/3" 20 18 17 BORING TERMINATED AT 16½ FEET LOG OF BORING B-5 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)Equipment: DEPTH (ft)AKN Date Drilled: Not encounteredElevation (ft): 1 2 3 DRY UNIT WEIGHT (pcf)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 I-5170147P4-1 19 DJMSCST, Inc. 14 10 4 5 8 6 7 13 16 11 DS DJM/ACL Depth to Groundwater (ft): 9/1/2017 ± 128 6 inches of asphalt concrete. FILL (Qf): SANDY CLAY, gray, medium to coarse grained sand, gravel encountered, moist, medium stiff. SANTIAGO FORMATION (Tsa): SANDY SILTSTONE, light gray, fine grained, dry, poorly indurated. 15 12 SA 81/10" 61 9 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSP Clay lens encountered CL 18.6 107.5 By:Date: Job Number:Figure: 13 29 17 26 23 18SPT CAL 18 17 SPTBecomes well indurated. BORING TERMINATED AT 16½ FEET SANDY CLAY, mottled dark and light gray, fine grained, moist, stiff SANTIAGO FORMATION (Tsa): SANDY SILTSTONE, light gray, fine grained, moist, poorly indurated. I-6170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-6 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 4 inches of asphalt concrete. 8 FILL (Qf): POORLY GRADED SAND, reddish brown, fine to medium grained, trace gravel and cobbles, moist, loose 6 7 1 2 3 Date Drilled: Not encounteredElevation (ft): Equipment: 13 16 11 15 12 9 14DEPTH (ft)10 4 5 AKN ACL Depth to Groundwater (ft): 9/1/2017 ± 131 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC By:Date: Job Number:Figure: 120/11" I-7170147P4-1 SPT CAL 18 17 SPT BORING TERMINATED AT 16½ FEET 19 DJMSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-7 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 13 16 86/9"11 15 12 9 14 10 88/11" 118/9"DEPTH (ft)4 5 6 inches of asphalt concrete. 8 6 7 1 2 3 FILL (Qf): CLAYEY SAND, gray, fine to coarse grained, moist, medium dense. SANTIAGO FORMATION (Tsa): SILTY SANDSTONE, light yellow brown, fine grained, moist, strongly cemented. 82/2"73 Depth to Groundwater (ft): 9/1/2017 ± 241 Date Drilled: Elevation (ft): Equipment: SA 114.114.9 AKN ACL Not encountered Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC CL 46 13.5 112.1 Becomes yellowish brown to organish brown. SC Groundwater encountered at approximately 14 feet. CL By:Date: Job Number:Figure: Date Drilled: ±14Elevation (ft): Equipment: ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): SANDY CLAY, mottled moderate brown, fine grained, moist, hard. AKN CJM Depth to Groundwater (ft): 9/5/2017 ± 68 6 CALDEPTH (ft)7 inches of asphalt concrete over 9 inches of aggregate base. 52 5 11 15 12 18 BORING TERMINATED AT 16½ FEET17 9 SPTSANDY CLAY, dark brown, fine grained, wet, medium stiff. SPT CLAYEY SAND, dark brownish gray, fine grained, moist, medium dense.10 13 16 7 8 14 1 2 3 Becomes moderate yellowish brown, medium dense to dense. 4 FILL (Qf): CLAYEY SAND, light brown, fine grained, trace gravel, moist, medium dense.DRY UNIT WEIGHT (pcf) LOG OF BORING B-8 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 22 8 I-8170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 16 6 Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL SC SC 9.6 113.5 By:Date: Job Number:Figure: I-9170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-9 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7DEPTH (ft)10 4 5 7 inches of asphalt concrete over 9 inches of aggregate base. 13 16 8 FILL (Qf): SANDY CLAY, light brown, fine grained, moist, hard. BORING TERMINATED AT 16½ FEET 14 18 17 SPT CLAYEY SAND, moderate brown, fine grained, medium dense. 11 15 12 9 Becomes medium dense. SPT CAL ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): CLAYEY SAND, moderate brown, fine grained, moist, very dense, white mineral staining, massive. 52 56 12 50 16 6 7 1 2 3 Date Drilled: Not encounteredElevation (ft): Equipment: AKN CJM Depth to Groundwater (ft): 9/5/2017 ± 91 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL GC 74 8.9 120.8 By:Date: Job Number:Figure: Date Drilled: Not encounteredElevation (ft): Equipment: Becomes dark brown, fine to medium grained,weakly indurated. CLAYEY GRAVEL, gray, coarse grained, moist, medium dense. SANDY CLAYSTONE, light brown, very fine grained, moist, weakly indurated. CAL AKN DJM/ACL Depth to Groundwater (ft): 9/5/2017 ± 111 11 15 12 9 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPT SPTDEPTH (ft)10 4 5 6 inches of asphalt concrete over 3 inches of aggregate base. 8 SANDY SILTSTONE, dark gray, fine grained, moist, moderately cemented FILL (Qf): SANDY CLAY, gray, medium grained, moist, soft. SANTIAGO FORMATION (Tsa): SANDY CLAYSTONE, dark gray to brown, fine to medium grained, moist, weakly indurated. 6 7 1 2 3 DRY UNIT WEIGHT (pcf) LOG OF BORING B-10 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 I-10170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 83 18 18 25 25 Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC Becomes moderate brown.48 DS SC By:Date: Job Number:Figure: I-11170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-11 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 14 34DEPTH (ft)10 4 5 7 inches of asphalt concrete over 6 inches of aggregate base. 13 16 8 BORING TERMINATED AT 16½ FEET 14 18 17 SPT 11 15 12 9 25SANTIAGO FORMATION (Tsa): CLAYEY SANDSTONE, light to orangish brown, fine grained, moist, medium dense, weakly cemented. CAL SPT ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): CLAYEY SAND, light brown, fine grained, moist, medium dense. 54 10 Becomes light brown, trace gravel, dense. 6 7 1 2 3 AKN CJM Depth to Groundwater (ft): 9/5/2017 ± 152 Date Drilled: Not encounteredElevation (ft): Equipment: FILL (Qf): CLAYEY SAND, light yellowish brown, fine grained, moist, medium dense, cobble up to 6-inches in diameter encountered. Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL 29 14.2 114.4 By:Date: Job Number:Figure: 6 inches of asphalt concrete over 3 inches of aggregate base. DJM/ACL Depth to Groundwater (ft): 9/5/2017 ± 242 Date Drilled: Not encounteredElevation (ft): Equipment: AKN DEPTH (ft)8 SPTSANTIAGO FORMATION (Tsa): SANDY CLAYSTONE, dark gray with white mottled sand, fine grained, moist, weakly moderated.21 SILTY SANDSTONE, mottled grey, very fine to fine grained, moist, moderately cement 50 25 44 34 9 7 6 FILL (Qf): SANDY CLAY, greenish gray, fine grained, moist, soft. 4 5 Cobble up to 12-inches in diameter encountered. 1 2 3 10 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPTSILTSTONE, light gray, very fine grained, moist, very dense, strongly indurated. CAL Becomes greenish gray, coarse grained. 11 15 12 DRY UNIT WEIGHT (pcf) LOG OF BORING B-12 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 I-12170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSM Becomes brown. By:Date: Job Number:Figure: AUGER REFUSAL AT 5 FEET ON POSSIBLE UTILITY I-13170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-13A USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 11 15 12 9 10 13 16 14 18 17 4 5 8 6 Date Drilled: Not encounteredElevation (ft): 7 1 2 3 AKN DJM/ACL Depth to Groundwater (ft): 8/30/2017 Approximately 242 DEPTH (ft)3 inches of asphalt concrete over 4 inches of aggregate base. Equipment: Boring shifted to the southwest to Boring B-13B FILL (Qf): SILTY SAND, light gray, fine to medium grained, trace gravel, moist, medium dense. Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKBecomes strongly cemented. 44 DS By:Date: Job Number:Figure: 50/3" SANDY CLAYSTONE, gray, fine grained, dry, well indurated. 44/3" 10 CAL Becomes light gray. SANTIAGO FORMATION (Tsa): CLAYEY SANDSTONE, light brown, fine grained, moist, dense, moderately to strongly cemented. 6 7 2 3 I-14170147P4-1 SCST, Inc.Carlsbad, California SPT 50/4" BORING TERMINATED AT 16½ FEET DJM DRY UNIT WEIGHT (pcf)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 8 11 15 12 9 13 68/4"16 LOG OF BORING B-13B USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)Date Drilled: Not encounteredElevation (ft): AKN DJM/ACL Depth to Groundwater (ft): 8/31/2017 14 18 17 SILTY SANDSTONE, light grey, fine grained, dry, very dense, strongly cemented. 19 20 ± 167 FILL (Qf): POORLY GRADED SAND with SILT, brown, fine grained, trace gravel, moist, medium dense. Equipment: SA SP- SMDEPTH (ft)4 5 6 inches of asphalt concrete over 6 inches of aggregate base. SPT 1 32 Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL Becomes strongly cemented. 68/5" 13.6 108.8 Hard drilling with little penetration. By:Date: Job Number:Figure: Date Drilled: Not encounteredElevation (ft): 1 2 AKN CJM Depth to Groundwater (ft): 8/30/2017 ± 108 Equipment: DEPTH (ft)4 5 3 inches of asphalt concrete. 11 15 12 9 13 16 PRACTICAL REFUSAL AT 13½ FEET14 18 17 10 8 FILL (Qf): SANDY CLAY, light yellowish brown, fine grained, trace gravel, moist, medium dense. 6 7 3 DRY UNIT WEIGHT (pcf) LOG OF BORING B-14 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 I-15170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 SPT CAL SILTY SANDSTONE, light gray, fine grained, moist, very dense, strongly cemented. SANTIAGO FORMATION (Tsa): CLAYEY SANDSTONE, light yellowish brown, fine grained, moist, very dense, moderately cemented, oxidation observed. 50/5" 50/5"44/5" Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC 85 By:Date: Job Number:Figure: 19.5 Date Drilled: Not encounteredElevation (ft): 1 2 AKN DJM/ACL Depth to Groundwater (ft): 8/30/2017 ± 274 SA Equipment: 11DEPTH (ft)4 15 12 9 107.4 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPT 10 I-16170147P4-1 5 6 inches of asphalt concrete. 8 FILL (Qf): CLAYEY SAND, moderate brown, fine to coarse grained, gravel, moist, medium dense. 6 7 3 DRY UNIT WEIGHT (pcf) LOG OF BORING B-15 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 19 DJMSCST, Inc.Carlsbad, California 20 SPT SANTIAGO FORMATION (Tsa): SANDY CLAYSTONE, light gray, fine to medium grained, moist, well indurated, oxidation observed. SILTY SANDSTONE, light brown, fine grained, moist, moderately cemented. SANDY CLAYSTONE, gray, fine grained, moist, well indurated. CAL 62 89/9"122/9" 50 44 Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC SPT 50/5"68/5" By:Date: Job Number:Figure: AKN CJM Depth to Groundwater (ft): 8/31/2017 ± 191 Date Drilled: Not encounteredElevation (ft): Equipment: 11 15 12 9DEPTH (ft)10 4 5 4 inches of asphalt concrete over 8 inches of base. 8 13 16 BORING TERMINATED AT 15½ FEET 14 18 17 SILTY SAND, light gray to orange brown, fine grained, moist, very dense, moderately cemented. 6 7 1 2 3 DRY UNIT WEIGHT (pcf) LOG OF BORING B-16 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 I-17170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 107/9" 44 SPT SANDY CLAYSTONE, light gray, fine grained, moist, very dense, moderately cemented, oxidized observed. FILL (Qf): CLAYEY SAND, light yellowish brown, fine to medium grained, gravel, moist, medium dense. CAL 50/3" 78/9" SANTIAGO FORMATION (Tsa): SILTY SANDSTONE, light gray, fine grained, moist, very dense, weakly to moderately cemented. Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC Becomes dense. 42 By:Date: Job Number:Figure: I-18170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-17 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 10 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPTSANTIAGO FORMATION (Tsa): SANDY CLAYSTONE, medium to coarse grained, moist, well indurated. CAL COR 115.312.1 8 11 15 12 9 90/8"123/8" 50 44 31 DJM/ACL Depth to Groundwater (ft): 8/31/2017 ± 288 Date Drilled: Not encounteredElevation (ft):DEPTH (ft)6 inches of asphalt concrete (Petromat observed) Equipment: AKN 7 1 2 3 4 5 FILL (Qf): CLAYEY SAND, light brown, medium to coarse grained, moist, medium dense. SPT 6 Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC By:Date: Job Number:Figure: FILL (Qf): CLAYEY SAND, light yellow brown to moderate brown, fine to medium grained, trace gravel, moist, medium dense.PRACTICAL REFUSAL AT 2 FEET ON CONCRETE I-19170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-18A USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 11 15 12 9 10 13 16 14 18 17 7 1 2 3 4 5 8 6 CJM Depth to Groundwater (ft): 8/30/2017 ± 228 Date Drilled: Not encounteredElevation (ft):DEPTH (ft)10 inches of asphalt concrete over 4 inches of aggregate base. Equipment: Boring shifted 10½ feet to the north to Boring B-18B AKN Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC 3 By:Date: Job Number:Figure: 120.211.5 I-20170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 44 10 DRY UNIT WEIGHT (pcf) LOG OF BORING B-18B USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 4 5 10 Inches of asphalt concrete over 4 inches of aggregate base 8 FILL (Qf): CLAYEY SAND, yellowish brown, fine to medium grained, trace gravel, moist, medium dense. Becomes moderate yellowish brown, trace gravel. 6 7 1 2 3 SANTIAGO FORMATION (Tsa): CLAYEY SANDSTONE, light yellowish brown, fine to coarse grained, moist, dense, moderately cemented, white mineral staining observed. 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPT CJM Depth to Groundwater (ft): 8/31/2017 ± 228 Date Drilled: Not encounteredElevation (ft): Trace gravel encountered. Becomes dark yellowish brown, fine to coarse grained, very loose. SPT AKN 2 32 44 50/5" Equipment: 11 15 12 9 CALDEPTH (ft)12345678910 Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL 71 9.4 120.3 By:Date: Job Number:Figure: Depth to Groundwater (ft): 8/31/2017 ± 208 6 inches of asphalt concrete over 8 inches of aggregate base. 8 80 Fine grained, dense, interbedded clay and clayey sand layers. FILL (Qf): SANDY CLAY, light yellowish brown, fine to coarse grained, moist, medium dense. 9 6 7 DJMSCST, Inc.Carlsbad, California 20 BORING TERMINATED AT 16½ FEET 14 18 17 SPT SANDY CLAYSTONE, light yellowish brown, fine grained, moist, well indurated.DRY UNIT WEIGHT (pcf)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 63 68 I-21170147P4-1 19 13 16 LOG OF BORING B-19 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)Date Drilled: Not encounteredElevation (ft): Equipment: DEPTH (ft)AKN CJM 46 50 CAL SA AL 11 15 12 SPT SANTIAGO FORMATION (Tsa): CLAYEY SANDSTONE, light yellowish brown, fine to coarse grained, moist, strongly cemented, subhorizontal bedding. 1 2 3 10 4 5 Date Drilled:Logged by:DJM/ACL Equipment:CME-75 with 8-inch Diameter Hollow-Stem Auger Project Manager:AKN Elevation (ft):Not encountered DRIVENBULKSC SA Becomes gray, fine to medium grained. CL 22 18 DS 20 26 Becomes well indurated. 29 38 By:Date: Job Number:Figure: 11 12DEPTH (ft)10 4 5 6 7 1 2 3 8 9 DRY UNIT WEIGHT (pcf) LOG OF BORING B-20 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 Depth to Groundwater (ft): 16 13 SCST, Inc.Carlsbad, California 20 18 17 19 15 14 SPT BORING TERMINATED AT 16½ FEET I-22170147P4-1 BJG SPT SANTIAGO FORMATION (Tsa): SANDY SILTSTONE, light brown, moist, weakly indurated. CALALLUVIAL FLOOD PLAIN DEPOSITS (Qa): SANDY CLAY, dark gray, moist, stiff. 8/31/2017 ± 135 4 inches of asphalt concrete over 6 inches of aggregate base. FILL(Qf): CLAYEY SAND, light brown, fine to coarse grained, trace gravel, moist, loose to medium dense. Becomes moderate brown, medium to fine grained. Date Drilled:Logged by: Equipment:CME-75 with 8-inch Diameter Hollow-Stem Auger Project Manager: Elevation (ft):DRIVENBULKSC SA CL 42 36 11.6 105.4 18 23 26 34 By:Date: Job Number:Figure: DJM/ACL AKN DNE ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): SANDY CLAY, fine to medium grained, moist, medium stiff. Depth to Groundwater (ft): 8/31/2017 ± 87 3 inches of asphalt concrete over 7 inches of aggregate base. SPT SANTIAGO FORMATION (Tsa): SANDY SILTSTONE, light brown, fine to medium grained, moist, well indurated. BORING TERMINATED AT 16½ FEET SANDY CLAYSTONE, dark gray, fine to medium grained, dry, well indurated. I-23170147P4-1 18 17 SPT16 11 12 14 15 FILL (Qf): CLAYEY SAND, olive gray, fine to medium grained, gravel present, moist, medium dense. 19 BJGSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-21 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 13 CALDEPTH (ft)10 4 5 6 7 1 2 3 8 9 Date Drilled:Logged by:DJM/ACL Equipment:CME-75 with 8-inch Diameter Hollow-Stem Auger Project Manager:AKN Elevation (ft):Not encountered DRIVENBULKSM SM 47 39 9.8 111.1 CL 18 23 21 27 By:Date: Job Number:Figure: Depth to Groundwater (ft): FILL (Qf): SILTY SAND, light brown, fine to medium grained, trace gravel, moist, medium dense. ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): SILTY SAND, brown, fine to medium grained, moist, dense. 8/31/2017 ± 31 3 inches asphalt concrete over 4 inches of base. SA SPT SANDY CLAY, reddish brown, fine to medium grained, moist, very stiff. BORING TERMINATED AT 16½ FEET Becomes brownish yellow, medium to coarse grained, moist, very stiff. I-24170147P4-1 18 17 SPT16 11 12 14 15 19 BJGSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-22 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 13 CALDEPTH (ft)10 4 5 6 7 1 2 3 8 9 Date Drilled:CJM Equipment:CME-95 with 8-inch Diameter Hollow-Stem Auger AKN Elevation (ft):5 DRIVENBULKSC 13 12 22.4 103.0 SC 7 9 CL 8 10 By:Date: Job Number:Figure: FILL (Qf): CLAYEY SAND, light to moderate brown, fine to medium grained, gravel present, moist, medium dense. Becomes moderate yellowish brown. Groundwater encountered at approximately 5 feet. Becomes mottled olive green, trace gravel. 8/31/2017 ± 31 2 inches of asphalt concrete over 4 inches of aggregate base. Depth to Groundwater (ft): Logged by: Reviewed by: SPT SPT ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): CLAYEY SAND, gray and dark brown, fine to medium grained, wet, loose, interbedded silty sand. BORING TERMINATED AT 16½ FEET SANDY CLAY, dark gray, fine grained, moist, medium stiff. I-25170147P4-1 19 11 12 14 15 18 17 16 BJGSCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-23 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 13 CALDEPTH (ft)10 4 5 6 7 1 2 3 8 9 Date Drilled:CJM Equipment:CME-95 with 8-inch Diameter Hollow-Stem Auger AKN Elevation (ft):Not encountered DRIVENBULKSC 18 11.3 119.5 CL 6 8 SC 15 21 By:Date: Job Number:Figure: CAL SPT SPT ALLUVIAL FLOOD-PLAIN DEPOSITS (Qa): SANDY CLAY, mottled olive green and brown, fine grained, moist, soft to medium stiff. BORING TERMINATED AT 16½ FEET I-26170147P4-1 19 BJGSCST, Inc.Carlsbad, California 20 18 17 Becomes olive green and black, wet, medium dense, asphalt concrete fragments, groundwater seepage observed. 16 11 12 14 CLAYEY SAND, light brown, fine grained, moist to wet, medium dense. 15 DRY UNIT WEIGHT (pcf) LOG OF BORING B-24 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 13DEPTH (ft)10 4 5 6 7 1 2 3 8 9 Logged by: Project Manager: FILL (Qf): POORLY GRADED SAND with SILT, dark yellowish brown, fine to coarse grained, trace gravel, moist, medium dense, micaceous. 8/31/2017 Approximately 26 SA SP- SM CLAYEY SAND, medium gray, fine to coarse grained, trace gravel, moist, medium dense. 4 inches of asphalt concrete. Depth to Groundwater (ft.): Date Drilled:CJM Equipment:CME-95 with 8-inch Diameter Hollow-Stem Auger AKN Elevation (ft):Not encountered DRIVENBULKSC SM SC 12 16 74/11"66/11"13.4 115.0 Difficult drilling. 37 51 By:Date: Job Number:Figure: Depth to Groundwater (ft.): Project Manager: Logged by: FILL (Qf): CLAYEY SAND, moderate yellowish brown, fine to coarse grained, trace gravel, moist, medium dense to dense. Oxidation, fractured. SILTY SAND, light yellowish brown, fine grained, miost, medium dense, fragments of fine grained sandstone. 8/31/2017 ± 73 6 inches of asphalt concrete over 3 inches of aggregate base.DEPTH (ft)10 4 5 6 7 1 2 3 8 9 DRY UNIT WEIGHT (pcf) LOG OF BORING B-25 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 13 SPT BJGSCST, Inc.Carlsbad, California 20 15 18 17 ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): CLAYEY SAND, moderate yellowish brown, fine grained, moist, medium dense. 19 16 11 12 14 CAL SPT SANTIAGO FORMATION (Tsa): CLAYEY SANDSTONE, moderate yellowish brown, fine grained, moist, strongly cemented. BORING TERMINATED AT 16½ FEET I-27170147P4-1 Date Drilled:DJM/ACL Equipment:CME-75 with 8-inch Diameter Hollow-Stem Auger AKN Elevation (ft):Not encountered DRIVENBULKML 34 30 CL 18 25 ML 11 15 By:Date: Job Number:Figure: 8/31/2017 ± 116 Project Manager: Logged by: FILL (Qf): CLAYEY SAND with GRAVEL, yellowish brown, medium grained, moist, medium dense. Depth to Groundwater (ft.): SANDY SILT, grayish brown, fine grained, moist, very stiff. SPT SPT SANDY CLAY, brown, fine gray, moist, very stiff. BORING TERMINATED AT 16½ FEET I-28170147P4-1 15 18 17 16 11 12 14 BJG SANDY SILT, grayish brown, fine grained, moist, stiff. 19 SCST, Inc.Carlsbad, California 20 DRY UNIT WEIGHT (pcf) LOG OF BORING B-26 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 13 CAL SC SA ALDEPTH (ft)10 4 5 6 7 1 2 3 8 9 3-inches of asphalt concrete over 3-inches of aggregate base. Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL 18 11.6 106.5 By:Date: Job Number:Figure: 20 13 8 CAL 18 11 I-29170147P4-1 19 DJMSCST, Inc.Carlsbad, California 20 11 15 12 SPT 10 DRY UNIT WEIGHT (pcf) LOG OF BORING B-27 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 4 5 4 inches of asphalt concrete. 8 9 6 7 1 2 3 FILL (Qf): POORLY GRADED SAND with SILT and GRAVEL, moderate yellowish brown, fine to coarse grained, moist, medium dense. SANDY CLAY, dark yellowish brown, fine grained, moist, stiff. Becomes moderate brown, fine to medium grained, plastic fabric within sampler. SP- SM 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPT Becomes mottled moderate brown and yellowish brown, fine to medium grained, trace gravel, medium stiff. Date Drilled: Not encounteredElevation (ft): Equipment: SA AL AKN CJM Depth to Groundwater (ft): 8/31/2017 ± 122 DEPTH (ft)Plastic fabric encountered. Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKCL COR SM 21 By:Date: Job Number:Figure: DEPTH (ft)10 4 5 6 inches of asphalt concrete over 12 inches of aggregate base. 8 9 6 7 1 2 3 Equipment: AKN DJM/ACL Depth to Groundwater (ft): 9/5/2017 ± 41 Date Drilled: Not encounteredElevation (ft): 20 18 17 SPTCLAYEY SANDSTONE, light brown, fine to coarse grained, moist, strongly cemented. 19 DRY UNIT WEIGHT (pcf) LOG OF BORING B-28 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 FILL (Qf): SANDY CLAY, light brown, fine grained, moist, soft. 50/5" I-30170147P4-1 DJMSCST, Inc.Carlsbad, California SANTIAGO FORMATION (Tsa): SANDY CLAYSTONE, gray, very fine grained, moist, well indurated. BORING TERMINATED AT 16 FEET 68/5" 105.420.24411 15 12 CAL 50/5" 13 16 14 15SPT Becomes gray, fine grained, moist, stiff. Becomes brownish gray, fine to medium grained. SILTY SAND, light brown, fine to medium grained, trace gravel, moist, medium dense. Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC CAL 50/2"44/2" By:Date: Job Number:Figure: Depth to Groundwater (ft): 9/5/2017 ± 41 8 inches of asphalt concrete over 5 inches of aggregate base. 8 FILL (Qf): CLAYEY SAND with GRAVEL, moderate yellowish brown, fine to coarse grained, trace cobble, moist, medium dense. SILTY SANDSTONE, light brown to white, fine grained, moist, very dense, strongly cemented. 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPTSilty, oxidation. DJMSCST, Inc.Carlsbad, California 20 65 DRY UNIT WEIGHT (pcf)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 107/10" 89 I-31170147P4-1 19 11 15 12 LOG OF BORING B-29 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)Date Drilled: Not encounteredElevation (ft): Equipment: DEPTH (ft)AKN CJM 78/10" 10 4 5 SANTIAGO FORMATION (Tsa): CLAYEY SANDSTONE, light brown, fine to medium grained, gravel, moist, weakly to moderately cemented. SANDY CLAYSTONE interbedded with SILTY SANDSTONE, light brown to olive green, fine grained, moist, well indurated and moderately cemented.SPT 9 6 7 1 2 3 Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC 25 DS By:Date: Job Number:Figure: CAL SPT Becomes medium grayish brown, fine to medium grained, trace gravel, medium dense to dense. 12 28 55 18 SANDY CLAY interbedded with SANDY SILT, light yellowish brown, fine grained, moist,well indurated and moderately cemented. 13 16 10 4 5 8 9 6 OLD PARALIC DEPOSITS (Qop): CLAYEY SAND, moderate yellowish brown, fine to medium grained, moist, medium dense, weakly cemented, massive, oxidation, pinhole porosity. Gravel encountered. Becomes light yellowish brown, dense, white mineral deposits observed. LOG OF BORING B-30 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)Date Drilled: Not encounteredElevation (ft): Equipment: DEPTH (ft)DRY UNIT WEIGHT (pcf)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 38 I-32170147P4-1 19 11 15 BORING TERMINATED AT 16½ FEET 14 18 17 SPT DJMSCST, Inc.Carlsbad, California 20 7 1 AKN CJM Depth to Groundwater (ft): 9/5/2017 ± 41 2 3 8 inches of asphalt concrete over 6 inches of aggregate base. FILL (Qf): CLAYEY SAND, moderate yellowish brown, fine to coarse grained, moist, medium dense, fragments of sandstone. SC CL Logged by: CME-95 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSC CL 79 13.6 110.4 CL SC By:Date: Job Number:Figure: ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): SANDY CLAY, olive brown and gray, fine to medium grained, moist, hard.SPT 34 CAL 46 25 I-33170147P4-1 19 BJGSCST, Inc.Carlsbad, California 20 11 15 12 18 CLAYEY SAND, mottled moderate yellowish brown and gray, fine to medium grained, moist, medium dense.DRY UNIT WEIGHT (pcf) LOG OF BORING B-31 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 10 4 5 8 9 6 7 1 2 3 Becomes mottled olive green and moderate brown, hard. 5 inches of asphalt concrete and Petromat over 12 inches of aggregate base. FILL (Qf): CLAYEY SAND, moderate yellowish brown, fine to medium grained, gravel present, moist, medium dense to dense, fragments of sandstone. SANDY CLAY, moderate yellowish brown to olive green, fine grained, trace gravel, moist, stiff to very stiff. 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 SPT Date Drilled: Not encounteredElevation (ft):DEPTH (ft)Equipment: AKN CJM Depth to Groundwater (ft): 8/30/2017 ± 23 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULK3 inches of asphalt concrete over 5 inches of aggregate base. SC By:Date: Job Number:Figure: AUGER REFUSAL AT 6 FEET ON CONCRETE FILL (Qf): CLAYEY SAND, reddish brown, fine to medium grained, trace gravel, moist, medium dense. Boring shifted 3 feet to the north to Boring B-32B SPT 25/2" Becomes reddish brown, trace cobble. Becomes moderate brown. I-34170147P4-1 19 BJGSCST, Inc.Carlsbad, California 20 11 15 12 DRY UNIT WEIGHT (pcf) LOG OF BORING B-32A USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7DEPTH (ft)10 4 5 8 9 6 7 1 2 3 13 16 14 18 17 Date Drilled: Not encounteredElevation (ft): Equipment: AKN DJM/ACL Depth to Groundwater (ft): 9/5/2017 ± 23 12345678910 Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULK3 inches of asphalt concrete over 5 inches of aggregate base. SC By:Date: Job Number:Figure: Date Drilled: Not encounteredElevation (ft): Equipment: AKN DJM/ACL Depth to Groundwater (ft): 9/5/2017 ± 23 13 16 14 18 17DEPTH (ft)10 4 5 8 9 6 7 1 2 3 DRY UNIT WEIGHT (pcf) LOG OF BORING B-32B USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 I-35170147P4-1 19 BJGSCST, Inc.Carlsbad, California 20 11 15 12 AUGER REFUSAL AT 6 FEET ON CONCRETE FILL (Qf): CLAYEY SAND, reddish brown, fine to medium grained, trace gravel, moist, medium dense. Boring shifted 4 feet to the north to Boring B-32C Becomes reddish brown, trace cobble. Becomes moderate brown. Logged by: CME-75 with 8-inch Hollow Stem Auger Project Manager:DRIVENBULKSP SC SP 14 19 SC 17.6 109.6 SM By:Date: Job Number:Figure: AKN DJM/ACL Depth to Groundwater (ft): 9/5/2017 ± 23 Date Drilled: Not encounteredElevation (ft): Equipment: DEPTH (ft)10 4 5 3 inches of asphalt concrete over 5 inches aggregate base. 8 FILL (Qf): POORLY GRADED SAND, reddish brown, fine to medium grained, gravel and cobbles present, moist, medium dense. 9 6 7 1 13 16 14 18 17 SPT 2 3 POORLY GRADED SAND, reddish brown, fine to medium grained, gravel and cobbles present, moist, medium dense. Becomes light brown. CLAYEY SAND, medium gray, fine to medium grained, gravel present, moist, medium dense.DRY UNIT WEIGHT (pcf) LOG OF BORING B-32C USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 11 15 12 13 ALLUVIAL FLOOD PLAIN DEPOSITS (Qa): SILTY SAND, medium gray, fine grained, moist, medium dense. I-36170147P4-1 19 BJGSCST, Inc.Carlsbad, California 20 SA CLAYEY SAND, olive gray, fine to medium grained, moist, stiff.CAL 29 BORING TERMINATED AT 16½ FEET SPT 26 18 Logged by: Project Manager:DRIVENBULKSM 14 19 DS By:Date: Job Number:Figure: DEPTH (ft)10 4 5 6 inches of asphalt concrete over 8 inches of aggregate base. 8 FILL (Qf): POORLY GRADED SAND with SILT, dark orange brown, fine to coarse grained, gravel present, moist, medium dense. 9 6 7 1 2 3 SILTY SAND, dark orange brown, fine grained, moist, medium dense. AKN CJM Depth to Groundwater (ft): 9/5/2017 ± 44 Equipment: CME-95 with 8-inch Hollow Stem Auger Date Drilled: Not encounteredElevation (ft): 20 18 17 SPT 19 DRY UNIT WEIGHT (pcf) LOG OF BORING B-34 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 49 I-37170147P4-1 BJGSCST, Inc.Carlsbad, California BORING CONTINUED ON I-38 SPT SA AL 11 15 12 36 SANDY SILT, orange brown, fine grained, moist, well indurated. Becomes medium gray. OLD PARALIC DEPOSITS (Qop): SILTY SAND, light yellowish brown fine grained moist moderately cemented CAL 37 SP- SM 13 16 14 SA AL 12345678910 SM ML Date Drilled:Logged by: Equipment:CME-95 with 8-inch Diameter Hollow-Stem Auger Project Manager: Elevation (ft):DRIVENBULKSPT 50/5" By:Date: Job Number:Figure: 110.217.6 SA AL CJM AKN Not encountered DEPTH (ft)30 24 25 26 27 21 22 23 28 34 I-38170147P4-1 39 CJMSCST, Inc.Carlsbad, California 40 38 37 DRY UNIT WEIGHT (pcf) LOG OF BORING B-34 (Continued)USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 33 36 31 35 32 29 9/1/2017 ± 44 OLD PARALIC DEPOSITS (Qop): SILTY SAND interbedded with SANDY CLAY, moderate gray, fine grained, moist, strongly cemented and well indurated, subhorizontal bedding, oxidation observed. Depth to Groundwater (ft): 50/5" BORING TERMINATED AT 30½ FEET CAL SILTY SAND, light grayish brown, fine grained, moist, very dense, strongly cemented, massive. CLAYEY SAND, medium gray, fine grained, moist, hard, well indurated, silty, subhorizontal bedding.SPT 76/10" SM SC SM Logged by: Project Manager:DRIVENBULKSC 6 5 DS 12.5 112.7 By:Date: Job Number:Figure: CAL 11 15 12 SM 13 11 10 I-39170147P4-1 BJGSCST, Inc.Carlsbad, California BORING CONTINUED ON I-40 11Becomes fine to medium grained. OLD PARALIC DEPOSITS (Qop): CLAYEY SAND, dark brown, fine grained, moist, loose to medium dense, weakly cemented, massive.SPT 8 DRY UNIT WEIGHT (pcf) LOG OF BORING B-35 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 16 14 18 17 CAL 19 20 AKN CJM Depth to Groundwater (ft): 9/1/2017 Approximately 44 Equipment: CME-95 with 8-inch Hollow Stem Auger Date Drilled: ± 21Elevation (ft): SA ALDEPTH (ft)10 4 5 6 inches of asphalt concrete over 9 inches of aggregate base. 8 FILL (Qf): SILTY SAND, dark orange brown, fine to coarse grained, gravel, moist, medium dense. Becomes dark brown to black, fine to medium grained, slight organic scent. 9 6 7 1 2 3 CLAYEY SAND, mottled dark brown, fine grained, moist, loose. SC Date Drilled:Logged by: Equipment:CME-95 with 8-inch Diameter Hollow-Stem Auger Project Manager: Elevation (ft):DRIVENBULKSPT 50/5"44 By:Date: Job Number:Figure: 26 27 CJM AKN ± 21 Depth to Groundwater (ft):DEPTH (ft)9/1/2017 ± 44 111 21 22 23 24 25 28 34 38 37 33 36 30 31 35 32 29 I-40170147P4-1 39 CJMSCST, Inc.Carlsbad, California 40 DRY UNIT WEIGHT (pcf) LOG OF BORING B-35 (Continued)USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 BORING TERMINATED AT 30½ FEET SPT 2 3 OLD PARALIC DEPOSITS (Qop): CLAYEY SAND, moderate yellowish brown to dark brown, fine to medium grained, moist, very loose, weakly cemented, subhorizontal bedding. Groundwater encountered at 21 feet. SILTY SAND, light yellowish brown, fine grained, wet, very dense, strongly cemented.SPT 83 SA AL SM SC Logged by: Project Manager:DRIVENBULKSP COR 5.8 111.3 38 52 By:Date: Job Number:Figure: AKN DJM/ACL Depth to Groundwater (ft): 9/5/2017 ± 48 Equipment: CME-75 with 8-inch Hollow Stem Auger Date Drilled: Not encounteredElevation (ft): 11 15 12 9 13 16 BORING TERMINATED AT 16½ FEET 14 18 17 Becomes strongly cemented.SPTDEPTH (ft)10 4 5 12-inches of aggregate base. 8 6 7 1 2 3 FILL (Qf): POORLY GRADED SAND, moderate brown, fine to coarse grained, gravel encountered, moist, medium dense.DRY UNIT WEIGHT (pcf) LOG OF BORING B-36 USCSSUMMARY OF SUBSURFACE CONDITIONS SAMPLES LABORATORY TESTSDRIVING RESISTANCE (blows/ft of drive)N60MOISTURE CONTENT (%)January, 2018 Recycled Water Pipeline Expansion Segments 2, 5, and 7 I-41170147P4-1 19 CJMSCST, Inc.Carlsbad, California 20 45SPT Becomes loose, less gravel. CAL 8 33 OLD PARALIC DEPOSITS (Qop): SILTY SAND, light brown, fine to medium grained, moist, very dense, weakly to moderately cemented. 7 SM APPENDIX II APPENDIX II LABORATORY TESTING Laboratory tests were performed to provide geotechnical parameters for engineering analyses. The following tests were conducted:  CLASSIFICATION: Field classifications were verified in the laboratory by visual examination. The final soil classifications are in accordance with the Unified Soil Classification System.  ATTERBERG LIMITS: The grain size distribution was determined on two soil samples in accordance with ASTM D422. Figures II-1, II-6, II-11, II-12, and II-14 through II-18 show the test results.  GRAIN SIZE DISTRIBUTION: The grain size distribution was determined on two soil samples in accordance with ASTM D422. Figures II-1 through II-18 show the test results.  CORROSIVITY: Corrosivity tests were performed on one sample. The pH and minimum resistivity were determined in general accordance with California Test 643. The soluble sulfate content was determined in accordance with California Test 417. The total chloride ion content was determined in accordance with California Test 422. The test results are presented on Figure II-19.  DIRECT SHEAR: Direct shear tests were performed on two soil samples in accordance with ASTM D3080. The shear stress was applied at a constant rate of strain of 0.003 inch per minute. Figures II-20 and II-27 present the test results. Soil samples not tested are now stored in our laboratory for future reference and analysis, if needed. Unless notified to the contrary, all samples will be disposed of 30 days from the date of this report. N/A N/A N/A Date: Job Number:Figure:170147P4-1 January, 2018 II-1 By:CLF ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SC Recycled Water Pipeline Expansion Segments 2, 5, and 7 SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-2 at 1 to 5 feet CLAYEY SAND 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - Date: Job Number:Figure:170147P4-1 January, 2018 II-2 By:CLF ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA CL Recycled Water Pipeline Expansion Segments 2, 5, and 7 SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-5 at 1 to 5 feet SANDY CLAY 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - Date: Job Number:Figure:170147P4-1 January, 2018 II-3 By:CLF ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA Recycled Water Pipeline Expansion Segments 2, 5, and 7 SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-7 at 1½ foot to 5 feet SILTY SANDSTONE 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - Date: Job Number:Figure:170147P4-1 January, 2018 II-4 By:CLF ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SM Recycled Water Pipeline Expansion Segments 2, 5, and 7 SILTY SAND SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: B-13 at ½ to 5 feet DESCRIPTION 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - Date: Job Number:Figure: SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: B-15 at 1 to 1½ feet CLAYEY SANDDESCRIPTION ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA Recycled Water Pipeline Expansion Segments 2, 5, and 7 170147P4-1 January, 2018 II-5 By:PD 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 42 24 18 Date: Job Number:Figure: DESCRIPTION SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: B-19 at 1 to 5 feet SCST, Inc. ATTERBERG LIMITS Recycled Water Pipeline Expansion Segments 2, 5, and 7 Carlsbad, CA LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX SANDY CLAY 170147P4-1 January, 2018 II-6 By:CLF 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - Date: Job Number:Figure: SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-20 at 1 to 5 feet CLAYEY SAND ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SC Recycled Water Pipeline Expansion Segments 2, 5, and 7 170147P4-1 January, 2018 II-7 By:CLF 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - Date: Job Number:Figure: SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-21 at 1 to 5 feet CLAYEY SAND ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SC Recycled Water Pipeline Expansion Segments 2, 5, and 7 170147P4-1 January, 2018 II-8 By:CLF 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 Date: Job Number:Figure:170147P4-1 January, 2018 II-9 By:CLF ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SM Recycled Water Pipeline Expansion Segments 2, 5, and 7 SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-22 at 1 to 5 feet SILTY SAND 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - - - - Date: Job Number:170147P4-1 Figure: SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: B-24 at ½ to 1½ feet DESCRIPTION January, 2018 II-10 By:CLF ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SW-SM Recycled Water Pipeline Segments 2, 5, and 7 WELL GRADED SAND WITH SILT 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 40 18 22 Date: Job Number:Figure: SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-26 at ½ to 5 feet CLAYEY SAND with ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SC Recyled Water Pipeline Expansion Segments 2, 5, and 7 GRAVEL 170147P4-1 January, 2018 II-11 By:CLF 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 43 17 26 Date: Job Number:Figure: SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-27 at 2 to 3½ feet SANDY CLAY ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA CL Recycled Water Pipeline Expansion Segments 2, 5, and 7 170147P4-1 January, 2018 II-12 By:CLF 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 - - - Date: Job Number:Figure: SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-32 C at ½ to 5 feet CLAYEY SAND ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SC Recycled Water Pipeline Expansion Segments 2, 5, and 7 170147P4-1 January, 2018 II-13 By:CLF 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 N/A NP NP Date: Job Number:Figure:140147P4-1 January, 2018 II-14 By:CLFSCST, Inc. SM SILTY SAND ATTERBERG LIMITS Recycled Water Pipeline Expansion Segments 2, 5, and 7 Carlsbad, CA LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-34 at 5½ to 6½ feet 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 48 29 19 Date: Job Number:Figure: SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-34 at 16 to 16½ feet SCST, Inc. ML SANDY SILT ATTERBERG LIMITS Recycled Water Pipeline Expansion Segments 2, 5, and 7 Carlsbad, CA LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX 170147P4-1 January, 2018 II-15 By:CLF 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 39 25 14 Date: Job Number:Figure:170147P4-1 January, 2018 II-16 By:CLFSCST, Inc. CLAYEY SAND ATTERBERG LIMITS Recylced Water Pipeline Ecpansion Segments 2, 5, and 7 Carlsbad, CA LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-34 at 25½ to 26½ feet 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 N/A NP NP Date: Job Number:Figure:170147P4-1 January, 2018 II-17 By:CLF ATTERBERG LIMITS LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX Carlsbad, CA SM Recycled Water Pipeline Expansion Segments 2, 5, and 7 SCST, Inc. SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-35 at 1½ to 3½ feet SILTY SAND 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 N/A NP NP Date: Job Number:Figure:170147P4-1 January, 2018 II-18 By:CLFSCST, Inc. SILTY SAND ATTERBERG LIMITS Recycled Water Pipeline Expansion Segments 2, 5, and 7 Carlsbad, CA LIQUID LIMIT PLASTIC LIMIT PLASTICITY INDEX SAMPLE LOCATION UNIFIED SOIL CLASSIFICATION: DESCRIPTIONB-35 at 26 to 26½ feet 0 10 20 30 40 50 60 70 80 90 100 0.010.11101001000 Grain Size in Millimeters U.S. Standard Sieve Sizes Percent Finer by WeightCobbles Gravel Coarse Fine Sand Coarse Medium Fine Silt or Clay 6" 3" 3/4" 1-½" 3/8" #4 #10 #8 #30 #16 #50 #40 #100 #200 Classification of Corrosive Environment 2 Date: Job Number:Figure: RESISTIVITY, pH, SOLUBLE CHLORIDE and SOLUBLE SULFATE B-36 at 1 to 5 feet B-17 at 1 to 5 feet 0.002 0.001 0.006 B-28 at 1 to 5 feet 2240 901 1730 6.69 7.96 8.08 0.003 California Tests 643, 417 and 422 SAMPLE RESISTIVITY (Ω-cm)pH CHLORIDE (%)SULFATE (%) 2. Based on California Department of Transportation, Division of Engineering Services, Materials Engineering and Testing Services, Corrosion and Structural Concrete, Field Investigation Branch, Corrosion Guidelines, Version 2.0, November 2012 ≥ 0.05 ≥ 0.20 pH CHLORIDE CONTENT (%)SULFATE CONTENT (%) 170147P4-1 II-19 2530 9.38 0.003 0.002 SCST, Inc. Recycled Water Pipeline Expansion Segments 2, 5, and 7 Carlsbad, California By:BJG January, 2018 B-1 at 1 to 2 feet 0.002 0.024 ≤ 5.5 B-5 at 5 to 5½ feet Φ 35 o 35 o c 1104 psf 949 psf NOTES:Insitu γd 116.8 pcf 116.8 pcf Strain Rate: 0.003 in/min wc 11.4 %17.4 % Sample was consolidated and drained Saturation 71 %100 % By:Date: Job Number:Figure:II-20 SCST Inc.January, 2018DRB 170147P4-1 Carlsbad Recycled Water Line Carlsbad, California SANDY SILT Peak Ultimate SAMPLE ID: Initial Final 0 1000 2000 3000 4000 5000 6000 7000 0 1000 2000 3000 4000 5000 6000 7000Shear Stress (psf)Normal Stress (psf) Peak Strength 35 degrees, 1104 psf Ultimate Strength 35 degrees, 949 psf 0 1000 2000 3000 4000 5000 6000 0 2 4 6 8 10Shear Stress (psf)Shear Strain (%) 1075 3225 6091 Normal Stress (psf) B-11 at 6 to 6½ feet Φ 27 o 26 o c 1366 psf 1397 psf NOTES:In situ γd 103.9 pcf 103.9 pcf Strain Rate: 0.003 in/min wc 16.9 %23.0 % Sample was consolidated and drained Saturation 74 %100 % By:Date: Job Number:Figure:II-21 SCST Inc.January, 2018DRB 170147P4-1 Carlsbad Recycled Water Line Carlsbad, California CLAYEY SAND Peak Ultimate SAMPLE ID: Initial Final 0 1000 2000 3000 4000 5000 6000 7000 0 1000 2000 3000 4000 5000 6000 7000Shear Stress (psf)Normal Stress (psf) Peak Strength 27 degrees, 1366 psf Ultimate Strength 26 degrees, 1397 psf 0 1000 2000 3000 4000 5000 0 2 4 6 8 10Shear Stress (psf)Shear Strain (%) 1075 3225 6091 Normal Stress (psf) B-13B at 10 to 10½ feet Φ 49 o 44 o c 804 psf 1144 psf NOTES:Insitu γd 115.8 pcf 115.8 pcf Strain Rate: 0.003 in/min wc 13.5 %18.3 % Sample was consolidated and drained Saturation 81 %100 % By:Date: Job Number:Figure:II-22 SCST Inc.January, 2018DRB 170147P4-1 Carlsbad Recycled Water Line Carlsbad, California SANDY CLAYSTONE Peak Ultimate SAMPLE ID: Initial Final 0 1000 2000 3000 4000 5000 6000 7000 8000 9000 0 1000 2000 3000 4000 5000 6000 7000 8000 9000Shear Stress (psf)Normal Stress (psf) Peak Strength 49 degrees, 804 psf Ultimate Strength 44 degrees, 1144 psf 0 1000 2000 3000 4000 5000 6000 7000 8000 9000 0 2 4 6 8 10Shear Stress (psf)Shear Strain (%) 1075 3225 6091 Normal Stress (psf) B-20 at 6 to 6½ feet Φ 13 o 13 o c 1782 psf 1760 psf NOTES:In situ γd 103.7 pcf 103.7 pcf Strain Rate: 0.003 in/min wc 20.8 %22.6 % Sample was consolidated and drained Saturation 91 %99 % By:Date: Job Number:Figure:II-23 SANDY CLAY Peak Ultimate SAMPLE ID: Initial Final SCST Inc.January, 2018DRB 170147P4-1 Carlsbad Recycled Water Line Carlsbad, California 0 1000 2000 3000 4000 5000 6000 7000 0 1000 2000 3000 4000 5000 6000 7000Shear Stress (psf)Normal Stress (psf) Peak Strength 13 degrees, 1782 psf Ultimate Strength 13 degrees, 1760 psf 0 1000 2000 3000 4000 0 2 4 6 8 10Shear Stress (psf)Shear Strain (%) 1075 3225 6091 Normal Stress (psf) B-34 at 11 to 11½ feet Φ 32 o 33 o c 1474 psf 1318 psf NOTES:Insitu γd 97.8 pcf 97.8 pcf Strain Rate: 0.003 in/min wc 5.9 %23.8 % Sample was consolidated and drained Saturation 22 %90 % By:Date: Job Number:Figure: SCST Inc.January, 2018DRB 170147P4-1 Carlsbad Recycled Water Line II-24 SILTY SAND Peak Ultimate SAMPLE ID: Initial Final 0 1000 2000 3000 4000 5000 6000 7000 0 1000 2000 3000 4000 5000 6000 7000Shear Stress (psf)Normal Stress (psf) Peak Strength 32 degrees, 1474 psf Ultimate Strength 33 degrees, 1318 psf 0 1000 2000 3000 4000 5000 6000 0 2 4 6 8 10Shear Stress (psf)Shear Strain (%) 1075 3225 6091 Normal Stress (psf) B-35 at 6 to 6½ feet Φ 27 o 27 o c 1353 psf 1356 psf NOTES:Insitu γd 107.1 pcf 107.1 pcf Strain Rate: 0.003 in/min wc 13.6 %20.9 % Sample was consolidated and drained Saturation 65 %100 % By:Date: Job Number:Figure: SCST Inc.January, 2018DRB 170147P4-1 Carlsbad Recycled Water Line II-25 CLAYEY SAND Peak Ultimate SAMPLE ID: Initial Final 0 1000 2000 3000 4000 5000 6000 7000 0 1000 2000 3000 4000 5000 6000 7000Shear Stress (psf)Normal Stress (psf) Peak Strength 27 degrees, 1353 psf Ultimate Strength 27 degrees, 1356 psf 0 1000 2000 3000 4000 5000 0 2 4 6 8 10Shear Stress (psf)Shear Strain (%) 1075 3225 6091 Normal Stress (psf) KENNEDY/JENKS CONSULTANTS Carlsbad Ph III Recycled Water Pipeline Project Subsurface Utility Report December 19, 2017 Your First Choice For Potholing Services 120 N. Andreasen Dr., Escondido, CA 92029 Ph# 760/ 294-9449 Fax# 760/ 294-9490 December 19, 2017 Ms. Sarah Williams, PE Kennedy/Jenks Consultants 9665 Granite Ridge Dr, Suite 210 San Diego, CA 92123 Dear Ms. Williams: I would like to take this opportunity to personally thank you for putting your trust in Underground Solutions, Inc. to perform the utility locating on this project. Over the last 13 years USI has prided itself on being the potholing company of choice of our clients, we have a 99% repeat customer base. Your opinion matters to us. We welcome any comments or suggestions that will help us improve our service and keep you coming back. The following proprietary report details our findings for the pothole locations identified by your company, complete with photographs of individual utilities found during our investigation. Underground Solutions’ mission statement has never changed; we strive to provide the most professional and accurate state-of-the-art service. This is achieved by our top of the line equipment and professional field team. Once again, thank you for this opportunity and we look forward to a continued working relationship with you and your firm! Sincerely, Michael E Arme President Underground Solutions, Inc. Table of Contents Pothole Summary Sheet(s) Area Map(s) / Pothole Exhibit Pothole Report Data and Photo Logs Traffic Control Plans (if applicable) Picture Thumbnails Legends POTHOLE SUMMARY SHEET(S) AREA MAP(S) / POTHOLE EXHIBIT POTHOLE REPORT DATA & PHOTO LOGS TRAFFIC CONTROL PLANS PICTURE THUMBNAILS * UTILITY TYPE * MATERIAL TYPE LEGENDS Utility Types AV Air Vac B/O Blow Off BL Brine Line C/O Clean Out CATV Cable Television CATV/MH Cable Television Manhole CHW Chilled Water COMM Communication DBW Direct Bury Wire DRY HOLE No Utility EElectrical E/MH Electrical Manhole FFuel F/O Fiber Optic F/O/MH Fiber Optic Manhole FH Fire Hydrant FM Force Main FO Fuel Oil GGas HH Hand Hole ICV Irrigation Control Valve IRR Irrigation MH Manhole OOil PETRO Petroleum RD Roof Drain RW Reclaimed Water S/MH Sewer Manhole SD Storm Drain SD/MH Storm Drain Manhole STLT Street Light SWR Sewer T Telephone T/MH Telephone Manhole T/S Traffic Signal UNK Unknown VV Valve Vault WWater WM Water Meeter WS Water Service WV Water Valve Material Types ABS Acrylonitrile-Butadiene-Styrene ACP Asbestos Cement Pipe CAP Corrugated Aluminum Pipe CIP Cast Iron Pipe CIPP Cast in Place Pipe CLMP Concrete Lined Metal Pipe CMP Concrete Metal Pipe COPP Copper CPVC Corrugated PVC CSP Corrugated Steel Pipe DB Direct Bury DIP Ductile Iron Pipe ENC Encasement GIP Galvanized Iron Pipe MLC Mortar Lined Concrete MTD Multiple Tile Duct PE Poly PVC Polyvinyl Chloride RCP Reinforced Concrete Pipe STL Steel STLCS Steel Casing VALVE Valve VCP Vitrified Clay Pipe WIRE Wire WSTL Wrapped Steel Pipe APPENDIX “D” Project InfoFields in grey are not meant to be editedValueFieldDescription5208PROJECTNUMThe project number (e.g. CT 99-17).DWGSIGNDATThe date the design was finalized.5208-BDWGNUMBERThe design drawing number (e.g. 385-5).INSTALLDATThe asset installation date.TBDContractorThe prime contractor that installed the asset.5208-BContractNumberThe project contract number.ProjectCostThe total cost of the project. The cost will include design, procurement, and installation of the asset and will include both hard and soft costs for permitting, mobilization, traffic control, restoration, construction management, and actual change orders. Special InstructionsThe "ProjectInfo" tab is intended to document attributes that are consistent throughout the project. If the field is edited in the ProjectInfo tab, the data will be applied to all assets. Once the DesignID is populated for each asset, those values will update on the asset automatically if the values in the ProjectInfo tab are edited. ASSET MANAGEMENT TABLE 1MAIN ASSETSDesignID MATERIAL DIAMETER WATERTYPE DWGNUMBER DWGSHEET PROJECTNUM INSTALLDAT DWGSIGNDAT MAINTYPE PIPEPRESSU MINPIPEDEPTH MAXPIPEDEPTH HASCATHODI PROTLEVEL1 PROTLEVEL2 Contractor Manufacturer InstallCostAllocation InstallCost Warranty WarrantyPeriod ContractNumber EstimatedUsefulLife Function AssetReplaced Notes2-A PVC 8 Reclaimed 5208-B C-07 5208 1/0/1900 1/0/1900 TRANS CL235No NA NATBD-$ 5208-B2-BPVC8 Reclaimed 5208-BC-08-0952081/0/19001/0/1900 TRANSCL235NoTBD-$ 5208-Bwith 30" steel casing2-CPVC8 Reclaimed 5208-BC-0852081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-APVC6 Reclaimed 5208-BC-11-1352081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-BPVC6 Reclaimed 5208-BC14-2152081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-CPVC6 Reclaimed 5208-BC22-2452081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-DPVC6 Reclaimed 5208-BC-2652081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-EPVC6 Reclaimed 5208-BC-2752081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-FPVC6 Reclaimed 5208-BC-28-2952081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-GPVC6 Reclaimed 5208-BC-30-3452081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-HPVC6 Reclaimed 5208-BC-3552081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-IPVC6 Reclaimed 5208-BC-3652081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-JPVC6 Reclaimed 5208-BC-3752081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-KPVC6 Reclaimed 5208-BC-3852081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-LPVC6 Reclaimed 5208-BC-3952081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-MPVC6 Reclaimed 5208-BC-40-4152081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-1-NPVC6 Reclaimed 5208-BC-2552081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-3-A-1PVC8 Reclaimed 5208-BC-42-4852081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-3-A-2PVC6 Reclaimed 5208-BC-48-5052081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-3-BPVC6 Reclaimed 5208-BC-52-5752081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B5-3-CPVC6 Reclaimed 5208-BC-5852081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B7PVC6 Reclaimed 5208-BC-5952081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-FF-A PVC8 Potable5208-BC-6152081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-FF-B PVC8 Potable5208-BC-6152081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-FF-C PVC6 Potable5208-BC-6152081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-A PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-B PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-C PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-D PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-E PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-F PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-G PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-H PVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-BPW-CP-IPVC6 Potable5208-BC-6252081/0/19001/0/1900 TRANSCL235NoNANATBD-$ 5208-B2-A-S1COPPER2 Reclaimed 5208-BC-0752081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-A-S2 COPPER2 Reclaimed 5208-BC-1152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-A-S3 COPPER2 Reclaimed 5208-BC-1152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S4 COPPER2 Reclaimed 5208-BC-1652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S5 COPPER2 Reclaimed 5208-BC-1952081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S6 COPPER2 Reclaimed 5208-BC-1952081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S7 COPPER2 Reclaimed 5208-BC-2052081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S8 COPPER2 Reclaimed 5208-BC-2152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S9 COPPER2 Reclaimed 5208-BC-2152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S10 COPPER2 Reclaimed 5208-BC-2152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-B-S11 COPPER2 Reclaimed 5208-BC-2152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-C-S12 COPPER2 Reclaimed 5208-BC-2252081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-C-S13 COPPER2 Reclaimed 5208-BC-2252081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-C-S14 COPPER2 Reclaimed 5208-BC-2252081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-C-S15 COPPER2 Reclaimed 5208-BC-2252081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-C-S16 COPPER2 Reclaimed 5208-BC-2252081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-C-S17 COPPER1 Reclaimed 5208-BC-2352081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-C-S18 COPPER2 Reclaimed 5208-BC-2452081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-N-S19 COPPER2 Reclaimed 5208-BC-2552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-D-S20 COPPER2 Reclaimed 5208-BC-2652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-D-S21 COPPER2 Reclaimed 5208-BC-2652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-D-S22 COPPER2 Reclaimed 5208-BC-2652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-D-S23 COPPER2 Reclaimed 5208-BC-2652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-E-S24 COPPER2 Reclaimed 5208-BC-2752081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-F-S25 COPPER2 Reclaimed 5208-BC-2852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-F-S26 COPPER2 Reclaimed 5208-BC-2852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-F-S27 COPPER2 Reclaimed 5208-BC-2852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-G-S28 COPPER2 Reclaimed 5208-BC-3052081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-G-S29 COPPER2 Reclaimed 5208-BC-3152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-G-S30 COPPER2 Reclaimed 5208-BC-3152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-G-S31 COPPER2 Reclaimed 5208-BC-3252081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-G-S32 COPPER2 Reclaimed 5208-BC-3352081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-G-S33 COPPER2 Reclaimed 5208-BC-3452081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-G-S34 COPPER2 Reclaimed 5208-BC-3452081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-H-S35 COPPER2 Reclaimed 5208-BC-3552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-I-S36 COPPER2 Reclaimed 5208-BC-3652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-J-S37 COPPER2 Reclaimed 5208-BC-3752081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-K-S38 COPPER2 Reclaimed 5208-BC-3852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-L-S39 COPPER2 Reclaimed 5208-BC-3952081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-M-S40 COPPER2 Reclaimed 5208-BC-4052081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-M-S41 COPPER2 Reclaimed 5208-BC-4052081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-1-M-S42 COPPER2 Reclaimed 5208-BC-4152081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S43 COPPER2 Reclaimed 5208-BC-4252081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S44 COPPER1 Reclaimed 5208-BC-4352081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S45 COPPER2 Reclaimed 5208-BC-4552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S46 COPPER2 Reclaimed 5208-BC-4552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S47 COPPER2 Reclaimed 5208-BC-4552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S48 COPPER1 Reclaimed 5208-BC-4552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S49 COPPER1 Reclaimed 5208-BC-4552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S50 COPPER2 Reclaimed 5208-BC-4652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S51 COPPER1 Reclaimed 5208-BC-4652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S52 COPPER2 Reclaimed 5208-BC-4652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S53 COPPER1 Reclaimed 5208-BC-4652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S54 COPPER1 Reclaimed 5208-BC-4652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S55 COPPER2 Reclaimed 5208-BC-4652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S56 COPPER2 Reclaimed 5208-BC-4652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S57 COPPER2 Reclaimed 5208-BC-4752081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S58 COPPER2 Reclaimed 5208-BC-4752081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S59 COPPER1 Reclaimed 5208-BC-4852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S60 COPPER1 Reclaimed 5208-BC-4852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S61 COPPER2 Reclaimed 5208-BC-4852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S62 COPPER2 Reclaimed 5208-BC-4852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S63 COPPER2 Reclaimed 5208-BC-4852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S64 COPPER1 Reclaimed 5208-BC-4852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-1-S65 COPPER2 Reclaimed 5208-BC-4952081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-A-2-S66 COPPER2 Reclaimed 5208-BC-5052081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-2-S67 COPPER2 Reclaimed 5208-BC-5352081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S68 COPPER2 Reclaimed 5208-BC-5352081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S69 COPPER2 Reclaimed 5208-BC-5452081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S70 COPPER2 Reclaimed 5208-BC-5552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S71 COPPER2 Reclaimed 5208-BC-5552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S72 COPPER2 Reclaimed 5208-BC-5552081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S73 COPPER2 Reclaimed 5208-BC-5652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S74 COPPER2 Reclaimed 5208-BC-5652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S75 COPPER2 Reclaimed 5208-BC-5652081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-B-S76 COPPER2 Reclaimed 5208-BC-5752081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-C-S77 COPPER2 Reclaimed 5208-BC-5852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral5-3-C-S78 COPPER1 Reclaimed 5208-BC-5852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BService Lateral2-A-FSCOPPER2 Reclaimed 5208-BC-0852081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BFill Station5-1-B-FSCOPPER2 Reclaimed 5208-BC-5752081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BFill Station7-FSCOPPER2 Reclaimed 5208-BC-5952081/0/19001/0/1900 DISTRCL150YesABTBD-$ 5208-BFill Station Main-Standards Fields in grey are not meant to be edited Field DesignID MATERIAL DIAMETER WATERTYPE DWGNUMBER DWGSHEET PROJECTNUM INSTALLDAT DWGSIGNDAT MAINTYPE PIPEPRESSU HASCATHODI MINPIPEDEPTH MAXPIPEDEPTH PROTLEVEL1 PROTLEVEL2 Contractor Manufacturer Special Instructions The "Main" tab is intended to document new recycled and potable water main pipe. Services, including the fire services and pipe connecting the main to a hydrant, should be documented in the "Service Line" tab. Each row in the Main tab is intended to document a unique water main asset. The extents of a water main asset are defined by mainline valves, crosses, tees, and any changes in the fields associated with the main (e.g. diameter, material, installtion date). Apprertenances associated with service connections into the main (e.g. service tees) should not result in splitting the mainline asset. InstallCostAllocation InstallCost Warranty WarrantyPeriod ContractNumber EstimatedUsefulLife Function AssetReplaced Fields in grey are not meant to be edited Description A unique value to the project which, for each asset, relates the excel speadsheet to the design drawings The new asset material. The diameter of the new asset in inches. Is the asset in the potable or recycled water system? The design drawing number (e.g. 385-5). The design drawing sheet number (e.g. 5) The project number (e.g. CT 99-17). The asset installation date. The date the design was finalized. Is the main a distribution or transmission main? Pressure class of the pipe. Does the pipe have cathodic protection? The estimated minimum depth of the asset in feet. The estimated maximum depth of the asset in feet. The type of pipe protection. The type of pipe protection (if more than one). The prime contractor that installed the asset. The manufacterer of the asset. The "Main" tab is intended to document new recycled and potable water main pipe. Services, including the fire services and pipe connecting the main to a hydrant, should be documented in the "Service Line" tab. Each row in the Main tab is intended to document a unique water main asset. The extents of a water main asset are defined by mainline valves, crosses, tees, and any changes in the fields associated with the main (e.g. diameter, material, installtion date). Apprertenances associated with service connections into the main (e.g. service tees) should not result in splitting the mainline asset. Field Description The percent of the total project cost to be allocated to each asset in the primary work type. The intent is to use this information to support future planning by estimating the actual asset installation cost. This allocation will be applied by the City to the final project cost to estimate the installation cost of each asset. The cost will include design, procurement, and installation of the asset and will include both hard and soft costs for permitting, mobilization, traffic control, restoration, construction management, and actual change orders. Only provide an installation cost allocation for the primary work type. For example, in a valve replacement project, small sections of pipe and appurtenances will need to be replaced. The cost associated with replacing these small segments and appurtenances is difficult to estimate, would unnecessarily complicate future valve replacement cost estimating, and would have limited value in estimating future “pipe and appurtenance replacement” work. Therefore, in a valve replacement project, a cost allocation would only be associated to the valves installed. Note, if as part of the valve replacement project, the City determined to replace adjacent pipe and appurtenances in suspect condition (beyond the extents that would normally be required for valve replacement), a cost allocation would be added for that “pipe and appurtenance replacement” work. If a project includes many assets with a similar cost, it is appropriate to spread the allocation equally amongst all assets. However, if significant variation in costs exists from asset to asset (e.g. asset size/type, traffic, depth), capturing this variation is required. For every project, the total project cost allocation shall equal 100%. The estimated installation cost as calculated by the multiplication of the Project Cost and the InstallCostAllocation Does a warranty exist? If yes, does the warranty require particular maintenance and/or inspection to ensure the warranty is not voided? The period, in years, from installation to the end of the warranty. The project contract number. The estimated useful life of the asset in years. If available, use an AWWA standard. Otherwise, use engineering judgement. Designates whether the asset being installed replaces an asset that performs a similiar function. For example, if a AC pipe is being replaced by a PVC pipe and a valve, the PVC pipe should be designated as an "Replace Function" (since both the AC and PVC pipes function is to convey water) and the valve should be designated as a "New Function" (since a valve has a different function than a pipe). If this asset has a function of "Replace Function", this fields designates the FacilityID of the asset that was replaced. If this asset has a function of "New Function", this field should be null. Code Name HDPE High Density Polyethylene CL150 Potable CMLC Cement Mortar Lined & Coated Steel Pipe CL165 Reclaimed DI Ductile Iron CL200 STL Steel CL205 PVC Poly Vinyl Chloride CL235 CI Cast Iron CL250 COPPER Copper CL300 ACP Asbestos Cement Pipe CL305 PCCP Prestressed Concrete Cylinder Pipe CL350 CONC Concrete The "Main" tab is intended to document new recycled and potable water main pipe. Services, including the fire services and pipe connecting the main to a hydrant, should be documented in the "Service Line" tab. Each row in the Main tab is intended to document a unique water main asset. The extents of a water main asset are defined by mainline valves, crosses, tees, and any changes in the fields associated with the main (e.g. diameter, material, installtion date). Apprertenances associated with service connections into the main (e.g. service tees) should not result in splitting the mainline asset. PIPEPRESSU WATERTYPE MATERIAL Code Name Code Name Code Yes AB Anode Beds CMT Cement None VIRT No CMT Cement NA None Exists - Requires Maintenance/InspectionDISTR Unk NA None PC Polymer Coated Exists - No Maintenance/InspectionTRANS PC Polymer Coated TP Tape TP Tape TS Test Station TS Test Station PROTLEVEL1 PROTLEVEL2 MAINTYPE The "Main" tab is intended to document new recycled and potable water main pipe. Services, including the fire services and pipe connecting the main to a hydrant, should be documented in the "Service Line" tab. Each row in the Main tab is intended to document a unique water main asset. The extents of a water main asset are defined by mainline valves, crosses, tees, and any changes in the fields associated with HASCATHODI Warranty Lookup Tables Name Code Name Virtual 1 1 inch Replace Function Distribution Main 1.5 1.5 inch New Function Transmission Main 2 2 inch 2.5 2.5 inch 3 3 inch 3.5 3.5 inch 4 4 inch 6 6 inch 8 8 inch 9 9 inch 10 10 inch 12 12 inch MAINTYPE DIAMETER The "Main" tab is intended to document new recycled and potable water main pipe. Services, including the fire services and pipe connecting the main to a hydrant, should be documented in the "Service Line" tab. Each row in the Main tab is intended to document a unique water main asset. The extents of a water main asset are defined by mainline valves, crosses, tees, and any changes in the fields associated with Function ASSET MANAGEMENT TABLE 2VALVE ASSETSDesignIDINSTALLDATDIAMETERVALVETYPECLOCKTOCLONORMALLYOPTURNSTOCLOHYDRFLAGDWGNUMBERDWGSHEETPROJECTNUMDWGSIGNDATISINTERTIEHASDISCONNISINSIDESTWATERTYPEContractorManufacturerInstallCostAllocationInstallCostWarrantyWarrantyPeriodContractNumberEstimatedUsefulLifeDepthFunctionAssetReplacedHoldsWaterNotes2-A-S11/0/19002BV115208-BC-0752081/0/1900ReclaimedTBD-$ 5208-BService Lateral2-A-V11/0/19002AVAR115208-BC-0752081/0/1900ReclaimedTBD-$ 5208-B2-A-V21/0/19008GV115208-BC-0752081/0/1900ReclaimedTBD-$ 5208-B2-A-V31/0/19002MAR115208-BC-0752081/0/1900ReclaimedTBD-$ 5208-B2-B-V11/0/19008GV115208-BC-0852081/0/1900ReclaimedTBD-$ 5208-B2-B-V21/0/19008GV115208-BC-0852081/0/1900ReclaimedTBD-$ 5208-B2-C-V11/0/19002MAR115208-BC-0852081/0/1900ReclaimedTBD-$ 5208-B5-1-A-S21/0/19002BV115208-BC-1152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-A-S31/0/19002BV115208-BC-1152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-A-V11/0/19002BO115208-BC-1152081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V101/0/19006GV115208-BC-1352081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V21/0/19002AVAR115208-BC-1152081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V31/0/19002BO115208-BC-1152081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V41/0/19002MAR115208-BC-1252081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V51/0/19006GV115208-BC-1252081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V61/0/19002BO115208-BC-1252081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V71/0/19002AVAR115208-BC-1352081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V81/0/19002BO115208-BC-1352081/0/1900ReclaimedTBD-$ 5208-B5-1-A-V91/0/19002MAR115208-BC-1352081/0/1900ReclaimedTBD-$ 5208-B5-1-B-FS-V11/0/19002BV115208-BC-5752081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-S101/0/19002BV115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-S111/0/19002BV115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-S51/0/19002BV115208-BC-1952081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-S61/0/19002BV115208-BC-1952081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-S71/0/19002BV115208-BC-2052081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-S81/0/19002BV115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-S91/0/19002BV115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-B-V11/0/19002MAR115208-BC-1452081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V101/0/19006GV115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V111/0/19006GV115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V121/0/19002BO115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V131/0/19006GV115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V141/0/19006GV115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V151/0/19002MAR115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V161/0/19002BV115208-BC-1652081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V171/0/19002MAR115208-BC-1652081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V181/0/19002BO115208-BC-1652081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V191/0/19002BO115208-BC-1652081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V201/0/19002BO115208-BC-1652081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V211/0/19002AVAR115208-BC-1652081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V21/0/19006GV115208-BC-1452081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V201/0/19002MAR115208-BC-1752081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V211/0/19002BO115208-BC-1752081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V221/0/19006GV115208-BC-1752081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V231/0/19002BO115208-BC-1752081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V241/0/19002AVAR115208-BC-1852081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V251/0/19002MAR115208-BC-1852081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V261/0/19006GV115208-BC-1852081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V271/0/19006GV115208-BC-1852081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V281/0/19002BO115208-BC-1852081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V291/0/19002MAR115208-BC-1952081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V31/0/19002BO115208-BC-1452081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V301/0/19006GV115208-BC-1952081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V311/0/19002BO115208-BC-1952081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V321/0/19002MAR115208-BC-2052081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V331/0/19006GV115208-BC-2052081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V341/0/19002BO115208-BC-2052081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V351/0/19002MAR115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V361/0/19006GV115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V371/0/19002BO115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V381/0/19002AVAR115208-BC-2152081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V41/0/19006GV115208-BC-1452081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V51/0/19002MAR115208-BC-1452081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V61/0/19002AVAR115208-BC-1452081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V71/0/19002BO115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V81/0/19006GV115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-B-V91/0/19002MAR115208-BC-1552081/0/1900ReclaimedTBD-$ 5208-B5-1-C-S121/0/19002BV115208-BC-2252081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-S131/0/19002BV115208-BC-2252081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-S141/0/19002BV115208-BC-2252081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-S151/0/19002BV115208-BC-2252081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-S161/0/19002BV115208-BC-2252081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-S171/0/19001BV115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-S181/0/19002BV115208-BC-2452081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-S41/0/19002BV115208-BC-1652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-C-V11/0/19002BO115208-BC-2252081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V101/0/19002BO115208-BC-2452081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V101/0/19002AVAR115208-BC-2552081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V111/0/19002BO115208-BC-2552081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V111/0/19002AVAR115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V121/0/19002AVAR115208-BC-2552081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V121/0/19002BO115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V131/0/19002BO115208-BC-2552081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V131/0/19006GV115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V21/0/19002MAR115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V31/0/19006GV115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V41/0/19006GV115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V51/0/19002AVAR115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V61/0/19002BO115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V71/0/19006GV115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V81/0/19006GV115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V91/0/19002MAR115208-BC-2352081/0/1900ReclaimedTBD-$ 5208-B5-1-C-V91/0/19006GV115208-BC-2552081/0/1900ReclaimedTBD-$ 5208-B5-1-D-S201/0/19002BV115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-D-S211/0/19002BV115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-D-S221/0/19002BV115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-D-S231/0/19002BV115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-D-V11/0/19002AVAR115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-B5-1-D-V21/0/19006GV115208-BC-2652081/0/1900ReclaimedTBD-$ 5208-B5-1-D-V31/0/19002MAR115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-D-V41/0/19006GV115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-D-V51/0/19002BO115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-E-S241/0/19002BV115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-E-V11/0/19002AVAR115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-E-V21/0/19006GV115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-E-V31/0/19002BO115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-E-V41/0/19002BO115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-E-V51/0/19002AVAR115208-BC-2752081/0/1900ReclaimedTBD-$ 5208-B5-1-F-S251/0/19002BV115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-F-S261/0/19002BV115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-F-S271/0/19002BV115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-F-V11/0/19002AVAR115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V11/0/19002AVAR115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V21/0/19002BO115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V21/0/19002BO115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V31/0/19006GV115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V31/0/19002AVAR115208-BC-2952081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V41/0/19002BO115208-BC-2852081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V41/0/19006GV115208-BC-2952081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V51/0/19002AVAR115208-BC-2952081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V51/0/19002BO115208-BC-2952081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V61/0/19006GV115208-BC-2952081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V61/0/19002AVAR115208-BC-2952081/0/1900ReclaimedTBD-$ 5208-B5-1-F-V71/0/19006GV115208-BC-2952081/0/1900ReclaimedTBD-$ 5208-B5-1-G-S281/0/19002BV115208-BC-3052081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-G-S291/0/19002BV115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-G-S301/0/19002BV115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-BService Lateral ASSET MANAGEMENT TABLE 2VALVE ASSETSDesignIDINSTALLDATDIAMETERVALVETYPECLOCKTOCLONORMALLYOPTURNSTOCLOHYDRFLAGDWGNUMBERDWGSHEETPROJECTNUMDWGSIGNDATISINTERTIEHASDISCONNISINSIDESTWATERTYPEContractorManufacturerInstallCostAllocationInstallCostWarrantyWarrantyPeriodContractNumberEstimatedUsefulLifeDepthFunctionAssetReplacedHoldsWaterNotes5-1-G-S311/0/19002BV115208-BC-3252081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-G-S321/0/19002BV115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-G-S331/0/19002BV115208-BC-3452081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-G-S341/0/19002BV115208-BC-3452081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-G-V11/0/19002BO115208-BC-3052081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V101/0/19006GV115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V111/0/19006GV115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V121/0/19002BO115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V131/0/19002AVAR115208-BC-3252081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V141/0/19002BO115208-BC-3252081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V151/0/19006GV115208-BC-3252081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V161/0/19006GV115208-BC-3252081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V171/0/19002MAR115208-BC-3252081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V181/0/19002BO115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V191/0/19006GV115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V21/0/19002MAR115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V201/0/19006GV115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V211/0/19002MAR115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V221/0/19002BO115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V231/0/19006GV115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V241/0/19006GV115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V251/0/19002MAR115208-BC-3352081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V261/0/19002BO115208-BC-3452081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V271/0/19006GV115208-BC-3452081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V31/0/19006GV115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V41/0/19006GV115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V51/0/19002BO115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V61/0/19002MAR115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V71/0/19006GV115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V81/0/19002BO115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-G-V91/0/19002MAR115208-BC-3152081/0/1900ReclaimedTBD-$ 5208-B5-1-H-S351/0/19002BV115208-BC-3552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-H-V11/0/19002BO115208-BC-3552081/0/1900ReclaimedTBD-$ 5208-B5-1-H-V21/0/19006GV115208-BC-3552081/0/1900ReclaimedTBD-$ 5208-B5-1-H-V31/0/19002AVAR115208-BC-3552081/0/1900ReclaimedTBD-$ 5208-B5-1-I-S361/0/19002BV115208-BC-3652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-I-V11/0/19002BO115208-BC-3652081/0/1900ReclaimedTBD-$ 5208-B5-1-I-V21/0/19006GV115208-BC-3652081/0/1900ReclaimedTBD-$ 5208-B5-1-I-V31/0/19002AVAR115208-BC-3652081/0/1900ReclaimedTBD-$ 5208-B5-1-J-S371/0/19002BV115208-BC-3752081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-J-V11/0/19002AVAR115208-BC-3752081/0/1900ReclaimedTBD-$ 5208-B5-1-J-V21/0/19002BO115208-BC-3752081/0/1900ReclaimedTBD-$ 5208-B5-1-J-V31/0/19006GV115208-BC-3752081/0/1900ReclaimedTBD-$ 5208-B5-1-K-S381/0/19002BV115208-BC-3852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-K-V11/0/19002AVAR115208-BC-3852081/0/1900ReclaimedTBD-$ 5208-B5-1-K-V21/0/19002BO115208-BC-3852081/0/1900ReclaimedTBD-$ 5208-B5-1-K-V31/0/19006GV115208-BC-3852081/0/1900ReclaimedTBD-$ 5208-B5-1-L-L391/0/19002BV115208-BC-3952081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-L-V11/0/19002AVAR115208-BC-3952081/0/1900ReclaimedTBD-$ 5208-B5-1-L-V21/0/19002BO115208-BC-3952081/0/1900ReclaimedTBD-$ 5208-B5-1-L-V31/0/19006GV115208-BC-3952081/0/1900ReclaimedTBD-$ 5208-B5-1-M-S401/0/19002BV115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-M-S411/0/19002BV115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-M-S421/0/19002BV115208-BC-4152081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-1-M-V11/0/19006GV115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V101/0/19002MAR115208-BC-4152081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V111/0/19002BO115208-BC-4152081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V121/0/19006GV115208-BC-4152081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V21/0/19002MAR115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V31/0/19002BO115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V41/0/19006GV115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V51/0/19006GV115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V61/0/19002MAR115208-BC-4052081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V71/0/19002BO115208-BC-4152081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V81/0/19006GV115208-BC-4152081/0/1900ReclaimedTBD-$ 5208-B5-1-M-V91/0/19006GV115208-BC-4152081/0/1900ReclaimedTBD-$ 5208-B5-1-N-S191/0/19002BV115208-BC-2552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S431/0/19002BV115208-BC-4252081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S441/0/19001BV115208-BC-4352081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S451/0/19002BV115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S461/0/19002BV115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S471/0/19002BV115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S481/0/19001BV115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S491/0/19001BV115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S501/0/19002BV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S511/0/19001BV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S521/0/19002BV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S531/0/19001BV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S541/0/19001BV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S551/0/19002BV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S561/0/19002BV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S571/0/19002BV115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S581/0/19002BV115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S591/0/19001BV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S601/0/19001BV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S611/0/19002BV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S621/0/19002BV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S631/0/19002BV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S641/0/19001BV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-1-S651/0/19002BV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-2-S661/0/19002BV115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-2-S671/0/19002BV115208-BC-5052081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-A-2-V11/0/19006GV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-2-V21/0/19002MAR115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-2-V31/0/19002BO115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-2-V41/0/19006GV115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-2-V51/0/19002BO115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-2-V61/0/19006GV115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-2-V71/0/19002BO115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-2-V81/0/19002AVAR115208-BC-5052081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V11/0/19002BO115208-BC-4252081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V101/0/19002BO115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V111/0/19008GV115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V121/0/19002MAR115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V131/0/19002BO115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V141/0/19002AVAR115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V151/0/19002MAR115208-BC-4552081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V161/0/19002BO115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V171/0/19008GV115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V181/0/19002MAR115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V191/0/19002BO115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V21/0/19008GV115208-BC-4252081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V201/0/19002AVAR115208-BC-4652081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V211/0/19002BO115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V221/0/19008GV115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V231/0/19002MAR115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V241/0/19002BO115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V251/0/19008GV115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V261/0/19008GV115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V271/0/19002MAR115208-BC-4752081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V281/0/19002AVAR115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V291/0/19002BO115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V31/0/19002AVAR115208-BC-4252081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V301/0/19008GV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V311/0/19008GV115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V321/0/19002AVAR115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V331/0/19002AVAR115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V341/0/19002BO115208-BC-4852081/0/1900ReclaimedTBD-$ 5208-B ASSET MANAGEMENT TABLE 2VALVE ASSETSDesignIDINSTALLDATDIAMETERVALVETYPECLOCKTOCLONORMALLYOPTURNSTOCLOHYDRFLAGDWGNUMBERDWGSHEETPROJECTNUMDWGSIGNDATISINTERTIEHASDISCONNISINSIDESTWATERTYPEContractorManufacturerInstallCostAllocationInstallCostWarrantyWarrantyPeriodContractNumberEstimatedUsefulLifeDepthFunctionAssetReplacedHoldsWaterNotes5-3-A-V351/0/19002BO115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V361/0/19002BO115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V371/0/19002BO115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V381/0/19008GV115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V391/0/19002AVAR115208-BC-4952081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V41/0/19002BO115208-BC-4352081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V401/0/19002AVAR115208-BC-5052081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V51/0/19008GV115208-BC-4352081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V61/0/19002MAR115208-BC-4352081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V71/0/19002BO115208-BC-4452081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V81/0/19008GV115208-BC-4452081/0/1900ReclaimedTBD-$ 5208-B5-3-A-V91/0/19002MAR115208-BC-4452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-S681/0/19002BV115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S691/0/19002BV115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S701/0/19002BV115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S711/0/19002BV115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S721/0/19002BV115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S731/0/19002BV115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S741/0/19002BV115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S751/0/19002BV115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-S761/0/19002BV115208-BC-5752081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-B-V11/0/19002BO115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V11/0/19002BO115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V101/0/19002MAR115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V101/0/19002AVAR115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V111/0/19002BO115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V111/0/19002AVAR115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V121/0/19002AVAR115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V121/0/19002BO115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V131/0/19006GV115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V131/0/19002BO115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V141/0/19002MAR115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V141/0/19002BO115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V151/0/19002BO115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V151/0/19008GV115208-BC-5452081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V161/0/19002MAR115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V161/0/19002AVAR115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V171/0/19002BO115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V171/0/19002AVAR115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V181/0/19002AVAR115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V181/0/19002BO115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V191/0/19006GV115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V191/0/19002BO115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V21/0/19006GV115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V21/0/19002BO115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V201/0/19006GV115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V201/0/19006GV115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V211/0/19002BO115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V211/0/19006GV115208-BC-5552081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V221/0/19002MAR115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V221/0/19002BO115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V231/0/19006GV115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V231/0/19002BO115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V241/0/19002BO115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V241/0/19002AVAR115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V251/0/19002AVAR115208-BC-5752081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V251/0/19002AVAR115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V261/0/19006GV115208-BC-5652081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V271/0/19002AVAR115208-BC-5752081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V281/0/19002AVAR115208-BC-5752081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V31/0/19002MAR115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V31/0/19006GV115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V41/0/19006GV115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V41/0/19002AVAR115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V51/0/19002BO115208-BC-5252081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V51/0/19002AVAR115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V61/0/19002AVAR115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V61/0/19002AVAR115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V71/0/19006GV115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V71/0/19002BO115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V81/0/19002MAR115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V81/0/19002BO115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V91/0/19002BO115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-B-V91/0/19006GV115208-BC-5352081/0/1900ReclaimedTBD-$ 5208-B5-3-C-S771/0/19002BV115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-C-S781/0/19001BV115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-BService Lateral5-3-C-V11/0/19002MAR115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B5-3-C-V11/0/19002AVAR115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B5-3-C-V21/0/19006GV115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B5-3-C-V21/0/19002AVAR115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B5-3-C-V31/0/19002BO115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B5-3-C-V31/0/19002BO115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B5-3-C-V41/0/19002BO115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B5-3-C-V51/0/19006GV115208-BC-5852081/0/1900ReclaimedTBD-$ 5208-B7-FS-V11/0/19002BV115208-BC-5952081/0/1900ReclaimedTBD-$ 5208-BFill Station7-V11/0/19002BO115208-BC-5952081/0/1900ReclaimedTBD-$ 5208-B7-V11/0/19002BO115208-BC-5952081/0/1900ReclaimedTBD-$ 5208-B7-V21/0/19002AVAR115208-BC-5952081/0/1900ReclaimedTBD-$ 5208-B7-V21/0/19002BO115208-BC-5952081/0/1900ReclaimedTBD-$ 5208-B7-V31/0/19002AVAR115208-BC-5952081/0/1900ReclaimedTBD-$ 5208-B7-V41/0/19002AVAR115208-BC-5952081/0/1900ReclaimedTBD-$ 5208-BPW-FF-A-V11/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V101/0/19002BO115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V111/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V121/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V131/0/19002MAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V141/0/19002BO115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V151/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V161/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V171/0/19002MAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V181/0/19002BO115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V21/0/19002BO115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V31/0/19002MAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V41/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V51/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V61/0/19002BO115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V71/0/19002MAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V81/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-A-V91/0/19002AVAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-B-V11/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-B-V21/0/19002BO115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-B-V31/0/19002MAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-B-V41/0/19008GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-C-V11/0/19006GV115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-C-V21/0/19002MAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-C-V31/0/19002BO115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-FF-C-V41/0/19002MAR115208-BC-6152081/0/1900PotableTBD-$ 5208-BPW-CP-A-V11/0/19002AVAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V21/0/19002AVAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V31/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V41/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V51/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V61/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V71/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V81/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V91/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V101/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V111/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-B ASSET MANAGEMENT TABLE 2VALVE ASSETSDesignIDINSTALLDATDIAMETERVALVETYPECLOCKTOCLONORMALLYOPTURNSTOCLOHYDRFLAGDWGNUMBERDWGSHEETPROJECTNUMDWGSIGNDATISINTERTIEHASDISCONNISINSIDESTWATERTYPEContractorManufacturerInstallCostAllocationInstallCostWarrantyWarrantyPeriodContractNumberEstimatedUsefulLifeDepthFunctionAssetReplacedHoldsWaterNotesPW-CP-A-V121/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V131/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V141/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V151/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V161/0/19003MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V171/0/19004MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V181/0/19005MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-A-V191/0/19002MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-B-V11/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-B-V21/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-C-V11/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-C-V21/0/19002MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-D-V11/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-D-V21/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V11/0/19002MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V21/0/19002MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V31/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V41/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V51/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V61/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V71/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V81/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V91/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V101/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-E-V111/0/19002AVAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V11/0/19002MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V21/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V31/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V41/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V51/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V61/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V71/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V81/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V91/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V101/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-F-V111/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-G-V11/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-G-V21/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-G-V31/0/19002AVAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-G-V41/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V11/0/19002MAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V21/0/19002AVAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V31/0/19002AVAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V41/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V51/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V61/0/19006GV115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V71/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V81/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-H-V91/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-I-V11/0/19002AVAR115208-BC-6252081/0/1900PotableTBD-$ 5208-BPW-CP-I-V21/0/19002BO115208-BC-6252081/0/1900PotableTBD-$ 5208-B Valve-Standards Special Instructions Fields in grey are not meant to be edited Field DesignID INSTALLDAT DIAMETER VALVETYPE CLOCKTOCLO NORMALLYOP TURNSTOCLO HYDRFLAG DWGNUMBER DWGSHEET PROJECTNUM DWGSIGNDAT ISINTERTIE HASDISCONN ISINSIDEST WATERTYPE Contractor Manufacturer For each new valve in the project, determine which tab it applicable (ControlValve or the Valve) based on the VALVETYPE. Create one line in the appropirate tab to describe each valve. InstallCostAllocation InstallCost Warranty WarrantyPeriod ContractNumber EstimatedUsefulLife Depth Function AssetReplaced HoldsWater Fields in grey are not meant to be edited Description A unique value to the project which, for each asset, relates the excel speadsheet to the design drawings The asset installation date. The diameter of the new asset in inches. The type of valve. Indicates whether to turn clockwise to close the valve (1 - True) or counter-clockwise (0 - False). In a normal operating context, is this valve left open? The number of turns to open or close the valve. Does this valve isolate a fire hydrant from the system? The design drawing number (e.g. 385-5). The design drawing sheet number (e.g. 5) The project number (e.g. CT 99-17). The date the design was finalized. Is the valve at an intertie point with another agency? Indicates whether the valve is in a disconnect valut (Yes), not inside a disconnect valut (No), or not known (UNK). Indicates whether the valve is in station (Yes), not inside a station (No), or not known (UNK). Is the asset in the potable or recycled water system? The prime contractor that installed the asset. The manufacterer of the asset. For each new valve in the project, determine which tab it applicable (ControlValve or the Valve) based on the VALVETYPE. Create one line in the appropirate tab to describe each valve. Field Description The percent of the total project cost to be allocated to each asset in the primary work type. The intent is to use this information to support future planning by estimating the actual asset installation cost. This allocation will be applied by the City to the final project cost to estimate the installation cost of each asset. The cost will include design, procurement, and installation of the asset and will include both hard and soft costs for permitting, mobilization, traffic control, restoration, construction management, and actual change orders. Only provide an installation cost allocation for the primary work type. For example, in a valve replacement project, small sections of pipe and appurtenances will need to be replaced. The cost associated with replacing these small segments and appurtenances is difficult to estimate, would unnecessarily complicate future valve replacement cost estimating, and would have limited value in estimating future “pipe and appurtenance replacement” work. Therefore, in a valve replacement project, a cost allocation would only be associated to the valves installed. Note, if as part of the valve replacement project, the City determined to replace adjacent pipe and appurtenances in suspect condition (beyond the extents that would normally be required for valve replacement), a cost allocation would be added for that “pipe and appurtenance replacement” work. If a project includes many assets with a similar cost, it is appropriate to spread the allocation equally amongst all assets. However, if significant variation in costs exists from asset to asset (e.g. asset size/type, traffic, depth), capturing this variation is required. For every project, the total project cost allocation shall equal 100%. The estimated installation cost as calculated by the multiplication of the Project Cost and the InstallCostAllocation Does a warranty exist? If yes, does the warranty require particular maintenance and/or inspection to ensure the warranty is not voided? The period, in years, from installation to the end of the warranty. The project contract number. The estimated useful life of the asset in years. The depth in feet as measured from the top of can to top of nut. Designates whether the asset being installed replaces an asset that performs a similiar function. For example, if a AC pipe is being replaced by a PVC pipe and a valve, the PVC pipe should be designated as an "Replace Function" (since both the AC and PVC pipes function is to convey water) and the valve should be designated as a "New Function" (since a valve has a different function than a pipe). If this asset has a function of "Replace Function", this fields designates the FacilityID of the asset that was replaced. If this asset has a function of "New Function", this field should be null. After valve testing, describes whether the valve holds water. Code Name Code Name BV Butterfly Valve 0 False Yes Yes GV Gate Valve 1 True No No PV Plug Valve UNK UNK IV Insertion Valve SCV Swing Check Valve FL-METER Flow Meter BV Ball Valve MAR Manual Air Vacuum Relief Valve AVAR Automatic Air Vacuum Relief Valve BO Blow Off Valve Lookup Tables For each new valve in the project, determine which tab it applicable (ControlValve or the Valve) based on the VALVETYPE. Create one line in the appropirate tab to describe each valve. VALVETYPE NORMALLYOP HYDRFLAG ISINTERTIE Potable None Replace Function Yes Reclaimed Exists - Requires Maintenance/InspectionNew Function No Exists - No Maintenance/Inspection Acceptable HoldsWat erWATERTYPE Warranty Function ASSET MANAGEMENT TABLE 3FITTING ASSETSDesignIDINSTALLDATFITTINGTYPDWGNUMBERDWGSHEETPROJECTNUMDWGSIGNDATHASDISCONNISINSIDESTWATERTYPEJOINTTYPE1JOINTTYPE2JOINTTYPE3JOINTTYPE4DIAMETER1DIAMETER2DIAMETER3DIAMETER4BENDANGLEContractorManufacturerInstallCostAllocationInstallCostWarrantyWarrantyPeriodContractNumberEstimatedUsefulLifeDepthFunctionAssetReplacedNotes2-A-F11/0/1900ENDCAP5208-BC-0752081/0/1900ReclaimedBF8TBD-$ 5208-B2-A-F21/0/1900BEND5208-BC-0752081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B2-A-F31/0/1900BEND5208-BC-0752081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B2-A-F41/0/1900BEND5208-BC-0852081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B2-A-F51/0/1900BEND5208-BC-0852081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-1-A-F11/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-A-F21/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-A-F31/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F41/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F51/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F61/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F71/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F81/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F91/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F101/0/1900BEND5208-BC-1252081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-A-F111/0/1900BEND5208-BC-1252081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-A-F121/0/1900BEND5208-BC-1252081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-A-F131/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F141/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F151/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F161/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F171/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-A-F181/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-A-F191/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-A-F201/0/1900BEND5208-BC-1352081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F11/0/1900TEE5208-BC-1452081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-B-F21/0/1900BEND5208-BC-1452081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F31/0/1900BEND5208-BC-1452081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F41/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F51/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F61/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F71/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F81/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F91/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F101/0/1900TEE5208-BC-1552081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-B-F111/0/1900TEE5208-BC-1552081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-B-F121/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F131/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F141/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F151/0/1900BEND5208-BC-1552081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-B-F161/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F171/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F181/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F191/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F201/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F211/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F221/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F231/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F241/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F251/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F261/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F271/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F281/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F291/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-B-F301/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F311/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F321/0/1900BEND5208-BC-1752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F331/0/1900BEND5208-BC-1752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F341/0/1900BEND5208-BC-1752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F351/0/1900BEND5208-BC-1752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F361/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F371/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F381/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F391/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F401/0/1900TEE5208-BC-1852081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-B-F411/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F421/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F431/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F441/0/1900BEND5208-BC-1852081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F451/0/1900BEND5208-BC-2052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F461/0/1900BEND5208-BC-2052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F471/0/1900BEND5208-BC-2052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F481/0/1900BEND5208-BC-2052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F491/0/1900BEND5208-BC-2052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F501/0/1900BEND5208-BC-2052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F511/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F521/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F531/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F541/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-B-F551/0/1900ENDCAP5208-BC-2152081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-C-F11/0/1900ENDCAP5208-BC-2252081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-C-F21/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-C-F31/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-C-F41/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-C-F51/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-C-F61/0/1900TEE5208-BC-2352081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-C-F71/0/1900TEE5208-BC-2352081/0/1900ReclaimedFLFL66TBD-$ 5208-B5-1-C-F81/0/1900BEND5208-BC-2452081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-C-F91/0/1900BEND5208-BC-2452081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-C-F101/0/1900BEND5208-BC-2452081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-C-F111/0/1900BEND5208-BC-2452081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-C-F121/0/1900ENDCAP5208-BC-2452081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-C-F131/0/1900TEE5208-BC-2552081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-C-F141/0/1900BEND5208-BC-2552081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-C-F151/0/1900BEND5208-BC-2552081/0/1900ReclaimedPJPJ6690TBD-$ 5208-B5-1-C-F161/0/1900BEND5208-BC-2552081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-C-F171/0/1900BEND5208-BC-2552081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-C-F181/0/1900ENDCAP5208-BC-2552081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-D-F11/0/1900ENDCAP5208-BC-2652081/0/1900ReclaimedBF66TBD-$ 5208-B5-1-D-F21/0/1900BEND5208-BC-2652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-D-F31/0/1900BEND5208-BC-2652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-D-F41/0/1900TEE5208-BC-2652081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-D-F51/0/1900TEE5208-BC-2752081/0/1900ReclaimedFLFL666TBD-$ 5208-B5-1-D-F61/0/1900BEND5208-BC-2752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-D-F71/0/1900BEND5208-BC-2752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-D-F81/0/1900BEND5208-BC-2752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-D-F91/0/1900BEND5208-BC-2752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-D-F101/0/1900BEND5208-BC-2752081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-D-F111/0/1900BEND5208-BC-2752081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-1-D-F121/0/1900ENDCAP5208-BC-2752081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-F-F11/0/1900ENDCAP5208-BC-2852081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-F-F21/0/1900TEE5208-BC-2952081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-G-F11/0/1900ENDCAP5208-BC-3052081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-G-F21/0/1900BEND5208-BC-3052081/0/1900ReclaimedPJPJ645TBD-$ 5208-B5-1-G-F31/0/1900BEND5208-BC-3052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F41/0/1900BEND5208-BC-3052081/0/1900ReclaimedPJPJ6690TBD-$ 5208-B5-1-G-F51/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F61/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F71/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F81/0/1900TEE5208-BC-3152081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-G-F91/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F101/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F111/0/1900TEE5208-BC-3152081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-G-F121/0/1900TEE5208-BC-3152081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-G-F131/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F141/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-G-F151/0/1900TEE5208-BC-3252081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B ASSET MANAGEMENT TABLE 3FITTING ASSETSDesignIDINSTALLDATFITTINGTYPDWGNUMBERDWGSHEETPROJECTNUMDWGSIGNDATHASDISCONNISINSIDESTWATERTYPEJOINTTYPE1JOINTTYPE2JOINTTYPE3JOINTTYPE4DIAMETER1DIAMETER2DIAMETER3DIAMETER4BENDANGLEContractorManufacturerInstallCostAllocationInstallCostWarrantyWarrantyPeriodContractNumberEstimatedUsefulLifeDepthFunctionAssetReplacedNotes5-1-G-F161/0/1900TEE5208-BC-3352081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-G-F171/0/1900TEE5208-BC-3352081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-G-F181/0/1900TEE5208-BC-3452081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-H-F11/0/1900TEE5208-BC-3552081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-H-F21/0/1900BEND5208-BC-3552081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-H-F31/0/1900BEND5208-BC-3552081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-H-F41/0/1900BEND5208-BC-3552081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-H-F51/0/1900BEND5208-BC-3552081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-H-F61/0/1900ENDCAP5208-BC-3552081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-I-F11/0/1900TEE5208-BC-3652081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-I-F21/0/1900BEND5208-BC-3652081/0/1900ReclaimedPJPJ6622.5TBD-$ 5208-B5-1-I-F31/0/1900BEND5208-BC-3652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-I-F41/0/1900BEND5208-BC-3652081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-I-F51/0/1900ENDCAP5208-BC-3652081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-J-F11/0/1900ENDCAP5208-BC-3752081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-J-F21/0/1900BEND5208-BC-3752081/0/1900ReclaimedPJPJ6690TBD-$ 5208-B5-1-J-F31/0/1900BEND5208-BC-3752081/0/1900ReclaimedPJPJ6690TBD-$ 5208-B5-1-J-F41/0/1900TEE5208-BC-3752081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-K-F11/0/1900ENDCAP5208-BC-3852081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-K-F21/0/1900TEE5208-BC-3852081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-L-F11/0/1900ENDCAP5208-BC-3952081/0/1900ReclaimedBF6TBD-$ 5208-B5-1-L-F21/0/1900TEE5208-BC-3952081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-M-F11/0/1900TEE5208-BC-4052081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-M-F21/0/1900TEE5208-BC-4052081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-1-M-F31/0/1900BEND5208-BC-4052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-M-F41/0/1900BEND5208-BC-4052081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-1-M-F51/0/1900BEND5208-BC-4152081/0/1900ReclaimedFLFL66TBD-$ 5208-B5-1-M-F61/0/1900BEND5208-BC-4152081/0/1900ReclaimedFLFL66TBD-$ 5208-B5-1-M-F71/0/1900TEE5208-BC-4152081/0/1900ReclaimedFLFL66TBD-$ 5208-B5-1-M-F81/0/1900TEE5208-BC-4152081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-3-A-F11/0/1900BEND5208-BC-4252081/0/1900ReclaimedPJPJ8811.25TBD-$ 5208-B5-3-A-F21/0/1900BEND5208-BC-4252081/0/1900ReclaimedPJPJ8811.25TBD-$ 5208-B5-3-A-F31/0/1900BEND5208-BC-4252081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F41/0/1900BEND5208-BC-4252081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F51/0/1900BEND5208-BC-4352081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F61/0/1900BEND5208-BC-4352081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F71/0/1900BEND5208-BC-4352081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F81/0/1900BEND5208-BC-4352081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F91/0/1900BEND5208-BC-4452081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F101/0/1900BEND5208-BC-4452081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F111/0/1900BEND5208-BC-4452081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F121/0/1900BEND5208-BC-4452081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F131/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F141/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F151/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F161/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F171/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F181/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F191/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F201/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F211/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F221/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F231/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F241/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F251/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F261/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F271/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F281/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F291/0/1900BEND5208-BC-4752081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F301/0/1900BEND5208-BC-4752081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F311/0/1900CROSS5208-BC-4752081/0/1900ReclaimedFLFLFLFL8888TBD-$ 5208-B5-3-A-F321/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F331/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ8845TBD-$ 5208-B5-3-A-F341/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F351/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ8822.5TBD-$ 5208-B5-3-A-F361/0/1900TEE5208-BC-4852081/0/1900ReclaimedFLFLFL888TBD-$ 5208-B5-3-A-F371/0/1900ENDCAP5208-BC-5052081/0/1900ReclaimedBF6TBD-$ 5208-B5-3-B-F11/0/1900TEE5208-BC-5252081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-3-B-F21/0/1900BEND5208-BC-5552081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-B5-3-B-F31/0/1900RED5208-BC-5552081/0/1900ReclaimedFLFL68TBD-$ 5208-B5-3-B-F41/0/1900CROSS5208-BC-5552081/0/1900ReclaimedFLFLFLFL6688TBD-$ 5208-B5-3-B-F51/0/1900RED5208-BC-5552081/0/1900ReclaimedFLFL68TBD-$ 5208-B5-3-B-F61/0/1900BEND5208-BC-5752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-B5-3-B-F71/0/1900BEND5208-BC-5752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-3-B-F81/0/1900BEND5208-BC-5752081/0/1900ReclaimedPJPJ6690TBD-$ 5208-B5-3-B-F91/0/1900BEND5208-BC-5752081/0/1900ReclaimedPJPJ6645TBD-$ 5208-B5-3-B-F101/0/1900BEND5208-BC-5752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-B5-3-C-F11/0/1900TEE5208-BC-5852081/0/1900ReclaimedFLFLFL666TBD-$ 5208-B5-3-C-F21/0/1900ENDCAP5208-BC-5852081/0/1900ReclaimedBF6TBD-$ 5208-B7-F11/0/1900ENDCAP5208-BC-5952081/0/1900ReclaimedBF6TBD-$ 5208-B7-F21/0/1900BEND5208-BC-5952081/0/1900ReclaimedPJPJ6611.25TBD-$ 5208-BPW-FF-A-F11/0/1900ENDCAP5208-BC-6152081/0/1900PotableBF8TBD-$ 5208-BPW-FF-A-F21/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8845TBD-$ 5208-BPW-FF-A-F31/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8822.5TBD-$ 5208-BPW-FF-A-F41/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8811.25TBD-$ 5208-BPW-FF-A-F51/0/1900TEE5208-BC-6152081/0/1900PotableFLFLFL888TBD-$ 5208-BPW-FF-A-F61/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8890TBD-$ 5208-BPW-FF-A-F71/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8890TBD-$ 5208-BPW-FF-A-F81/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8890TBD-$ 5208-BPW-FF-A-F91/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8890TBD-$ 5208-BPW-FF-A-F101/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8845TBD-$ 5208-BPW-FF-A-F111/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8845TBD-$ 5208-BPW-FF-A-F121/0/1900TEE5208-BC-6152081/0/1900PotableFLFLFL886TBD-$ 5208-BPW-FF-A-F131/0/1900TEE5208-BC-6152081/0/1900PotableFLFLFL888TBD-$ 5208-BPW-FF-A-F141/0/1900BEND5208-BC-6152081/0/1900PotablePJPJ8845TBD-$ 5208-BPW-FF-A-F151/0/1900ENDCAP5208-BC-6152081/0/1900PotableBF8TBD-$ 5208-BPW-FF-C-F11/0/1900ENDCAP5208-BC-6152081/0/1900PotableBF6TBD-$ 5208-BPW-CP-A-F11/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF6TBD-$ 5208-BPW-CP-A-F21/0/1900TEE5208-BC-6252081/0/1900PotableFLFLFL666TBD-$ 5208-BPW-CP-A-F31/0/1900TEE5208-BC-6252081/0/1900PotableFLFLFL666TBD-$ 5208-BPW-CP-A-F41/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6622.5TBD-$ 5208-BPW-CP-A-F51/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6622.5TBD-$ 5208-BPW-CP-A-F61/0/1900TEE5208-BC-6252081/0/1900PotableFLFLFL666TBD-$ 5208-BPW-CP-A-F71/0/1900TEE5208-BC-6252081/0/1900PotableFLFLFL666TBD-$ 5208-BPW-CP-A-F81/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF4TBD-$ 5208-BPW-CP-B-F11/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF6TBD-$ 5208-BPW-CP-C-F11/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF6TBD-$ 5208-BPW-CP-D-F11/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF6TBD-$ 5208-BPW-CP-E-F11/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6622.5TBD-$ 5208-BPW-CP-E-F21/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6690TBD-$ 5208-BPW-CP-E-F31/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6690TBD-$ 5208-BPW-CP-E-F31/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6690TBD-$ 5208-BPW-CP-E-F41/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6660TBD-$ 5208-BPW-CP-E-F51/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-E-F61/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-E-F71/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-E-F81/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-E-F91/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-E-F101/0/1900TEE5208-BC-6252081/0/1900PotableFLFLFL666TBD-$ 5208-BPW-CP-E-F101/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6645TBD-$ 5208-BPW-CP-E-F111/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ66TBD-$ 5208-BPW-CP-F-F11/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6622.5TBD-$ 5208-BPW-CP-F-F21/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6645TBD-$ 5208-BPW-CP-F-F31/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6645TBD-$ 5208-BPW-CP-F-F41/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6645TBD-$ 5208-BPW-CP-F-F51/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-F-F61/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-F-F71/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF6TBD-$ 5208-B ASSET MANAGEMENT TABLE 3FITTING ASSETSDesignIDINSTALLDATFITTINGTYPDWGNUMBERDWGSHEETPROJECTNUMDWGSIGNDATHASDISCONNISINSIDESTWATERTYPEJOINTTYPE1JOINTTYPE2JOINTTYPE3JOINTTYPE4DIAMETER1DIAMETER2DIAMETER3DIAMETER4BENDANGLEContractorManufacturerInstallCostAllocationInstallCostWarrantyWarrantyPeriodContractNumberEstimatedUsefulLifeDepthFunctionAssetReplacedNotesPW-CP-G-F11/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6690TBD-$ 5208-BPW-CP-G-F21/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6690TBD-$ 5208-BPW-CP-G-F31/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6690TBD-$ 5208-BPW-CP-H-F11/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF4TBD-$ 5208-BPW-CP-H-F21/0/1900TEE5208-BC-6252081/0/1900PotableFLFLFL666TBD-$ 5208-BPW-CP-H-F31/0/1900TEE5208-BC-6252081/0/1900PotableFLFLFL666TBD-$ 5208-BPW-CP-H-F41/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF6TBD-$ 5208-BPW-CP-I-F11/0/1900BEND5208-BC-6252081/0/1900PotablePJPJ6611.25TBD-$ 5208-BPW-CP-I-F11/0/1900ENDCAP5208-BC-6252081/0/1900PotableBF6TBD-$ 5208-B2-A-S11/0/1900BEND5208-BC-0752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-A-S21/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-A-S31/0/1900BEND5208-BC-1152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-C-S41/0/1900BEND5208-BC-1652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-B-S51/0/1900BEND5208-BC-1952081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-B-S61/0/1900BEND5208-BC-1952081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-B-S71/0/1900BEND5208-BC-2052081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-B-S81/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-B-S91/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-B-S101/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-B-S111/0/1900BEND5208-BC-2152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-C-S121/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-C-S131/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-C-S141/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-C-S151/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-C-S161/0/1900BEND5208-BC-2252081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-C-S181/0/1900BEND5208-BC-2452081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-N-S191/0/1900BEND5208-BC-2552081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-D-S201/0/1900BEND5208-BC-2652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-D-S211/0/1900BEND5208-BC-2652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-D-S221/0/1900BEND5208-BC-2652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-D-S231/0/1900BEND5208-BC-2652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-E-S241/0/1900BEND5208-BC-2752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-F-S251/0/1900BEND5208-BC-2852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-F-S261/0/1900BEND5208-BC-2852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-F-S271/0/1900BEND5208-BC-2852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-G-S281/0/1900BEND5208-BC-3052081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-G-S291/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-G-S301/0/1900BEND5208-BC-3152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-G-S311/0/1900BEND5208-BC-3252081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-G-S321/0/1900BEND5208-BC-3352081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-G-S331/0/1900BEND5208-BC-3452081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-G-S341/0/1900BEND5208-BC-3452081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-H-S351/0/1900BEND5208-BC-3552081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-I-S361/0/1900BEND5208-BC-3652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-J-S371/0/1900BEND5208-BC-3752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-K-S381/0/1900BEND5208-BC-3852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-S-S391/0/1900BEND5208-BC-3952081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-M-S401/0/1900BEND5208-BC-4052081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-M-S411/0/1900BEND5208-BC-4052081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-1-M-S421/0/1900BEND5208-BC-4152081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S431/0/1900BEND5208-BC-4252081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S451/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S461/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S471/0/1900BEND5208-BC-4552081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S501/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S521/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S551/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S561/0/1900BEND5208-BC-4652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S571/0/1900BEND5208-BC-4752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S581/0/1900BEND5208-BC-4752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S611/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S621/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S631/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-1-S651/0/1900BEND5208-BC-4852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-2-S661/0/1900BEND5208-BC-4952081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-A-2-S671/0/1900BEND5208-BC-5052081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S681/0/1900BEND5208-BC-5352081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S691/0/1900BEND5208-BC-5352081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S701/0/1900BEND5208-BC-5452081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S711/0/1900BEND5208-BC-5452081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S721/0/1900BEND5208-BC-5552081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S731/0/1900BEND5208-BC-5652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S741/0/1900BEND5208-BC-5652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S751/0/1900BEND5208-BC-5652081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-B-S761/0/1900BEND5208-BC-5752081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral5-3-C-S771/0/1900BEND5208-BC-5852081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BLateral7-FS-F11/0/1900BEND5208-BC-5952081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BFill Station7-FS-F21/0/1900BEND5208-BC-5952081/0/1900ReclaimedPJPJ2290TBD-$ 5208-BFill StationNote: Contractor shall complete the Asset Management Table, complete with all High Deflection Couplings and all As-Built information Fittings-Standards Special Instructions Fields in grey are not meant to be edited Field DesignID INSTALLDAT FITTINGTYP DWGNUMBER DWGSHEET PROJECTNUM DWGSIGNDAT HASDISCONN ISINSIDEST WATERTYPE JOINTTYPE1 JOINTTYPE2 JOINTTYPE3 JOINTTYPE4 DIAMETER1 DIAMETER2 DIAMETER3 DIAMETER4 BENDANGLE Contractor Manufacturer For each new fitting create one line to describe it. InstallCostAllocation InstallCost Warranty WarrantyPeriod ContractNumber EstimatedUsefulLife Depth Function AssetReplaced Fittings-Standards Fields in grey are not meant to be edited Description A unique value to the project which, for each asset, relates the excel speadsheet to the design drawings The asset installation date. The type of fitting. The design drawing number (e.g. 385-5). The design drawing sheet number (e.g. 5) The project number (e.g. CT 99-17). The date the design was finalized. Indicates whether the valve is in a disconnect valut (Yes), not inside a disconnect valut (No), or not known (UNK). Indicates whether the valve is in station (Yes), not inside a station (No), or not known (UNK). Is the asset in the potable or recycled water system? First joint type Second joint type (if applicable) Third joint type (if applicable) Fourth joint type (if applicable) First joint diameter in inches. Second joint diameter in inches (if applicable). Third joint diameter in inches (if applicable). Fourth joint diameter in inches (if applicable). If the fitting is a bend, the angle in degrees. The prime contractor that installed the asset. The manufacterer of the asset. For each new fitting create one line to describe it. Field Description The percent of the total project cost to be allocated to each asset in the primary work type. The intent is to use this information to support future planning by estimating the actual asset installation cost. This allocation will be applied by the City to the final project cost to estimate the installation cost of each asset. The cost will include design, procurement, and installation of the asset and will include both hard and soft costs for permitting, mobilization, traffic control, restoration, construction management, and actual change orders. Only provide an installation cost allocation for the primary work type. For example, in a valve replacement project, small sections of pipe and appurtenances will need to be replaced. The cost associated with replacing these small segments and appurtenances is difficult to estimate, would unnecessarily complicate future valve replacement cost estimating, and would have limited value in estimating future “pipe and appurtenance replacement” work. Therefore, in a valve replacement project, a cost allocation would only be associated to the valves installed. Note, if as part of the valve replacement project, the City determined to replace adjacent pipe and appurtenances in suspect condition (beyond the extents that would normally be required for valve replacement), a cost allocation would be added for that “pipe and appurtenance replacement” work. If a project includes many assets with a similar cost, it is appropriate to spread the allocation equally amongst all assets. However, if significant variation in costs exists from asset to asset (e.g. asset size/type, traffic, depth), capturing this variation is required. For every project, the total project cost allocation shall equal 100%. The estimated installation cost as calculated by the multiplication of the Project Cost and the InstallCostAllocation Does a warranty exist? If yes, does the warranty require particular maintenance and/or inspection to ensure the warranty is not voided? The period, in years, from installation to the end of the warranty. The project contract number. The estimated useful life of the asset in years. The depth in feet as measured to the top of the fitting. Designates whether the asset being installed replaces an asset that performs a similiar function. For example, if a AC pipe is being replaced by a PVC pipe and a valve, the PVC pipe should be designated as an "Replace Function" (since both the AC and PVC pipes function is to convey water) and the valve should be designated as a "New Function" (since a valve has a different function than a pipe). If this asset has a function of "Replace Function", this fields designates the FacilityID of the asset that was replaced. If this asset has a function of "New Function", this field should be null. Code Name ADAPTER ADAPTER Potable BEND BEND Reclaimed CROSS CROSS ENDCAP ENDCAP RED RED SADDLE SADDLE TAP TAP TEE TEE WYE WYE HDCPLG HDCPLG FITTINGTYP WATERTYPE None Replace Function Yes BF Exists - Requires Maintenance/Inspection New Function No FL Exists - No Maintenance/Inspection UNK FLXFL MJ PJ PO RT W WT SD Saddle JOINTTYP E Lookup Tables Warranty Function HASDISCO NN DesignID INSTALLDAT DIAMETER VALVETYPE DWGNUMBER DWGSHEET PROJECTNUM DWGSIGNDAT HASDISCONN ISABOVEGRO ISINSIDEST WATERTYPE Contractor Manufacturer InstallCostAllocation InstallCost Warranty WarrantyPeriod ContractNumber EstimatedUsefulLife Depth Function AssetReplaced ControlValve-Standards Special Instructions Fields in grey are not meant to be edited Field DesignID INSTALLDAT DIAMETER VALVETYPE DWGNUMBER DWGSHEET PROJECTNUM DWGSIGNDAT HASDISCONN ISABOVEGRO ISINSIDEST WATERTYPE Contractor Manufacturer InstallCostAllocation InstallCost For each new valve in the project, determine which tab it applicable (ControlValve or the Valve) based on the VALVETYPE. Create one line in the appropirate tab to describe each valve. Warranty WarrantyPeriod ContractNumber EstimatedUsefulLife Depth Function AssetReplaced ControlValve-Standards Fields in grey are not meant to be edited Description A unique value to the project which, for each asset, relates the excel speadsheet to the design drawings The asset installation date. The diameter of the new asset in inches. The type of valve. The design drawing number (e.g. 385-5). The design drawing sheet number (e.g. 5) The project number (e.g. CT 99-17). The date the design was finalized. Indicates whether the valve is in a disconnect valut (Yes), not inside a disconnect valut (No), or not known (UNK). Does the valve protrude above the ground surface? Indicates whether the valve is in station (Yes), not inside a station (No), or not known (UNK). Is the asset in the potable or recycled water system? The prime contractor that installed the asset. The manufacterer of the asset. The percent of the total project cost to be allocated to each asset in the primary work type. The intent is to use this information to support future planning by estimating the actual asset installation cost. This allocation will be applied by the City to the final project cost to estimate the installation cost of each asset. The cost will include design, procurement, and installation of the asset and will include both hard and soft costs for permitting, mobilization, traffic control, restoration, construction management, and actual change orders. Only provide an installation cost allocation for the primary work type. For example, in a valve replacement project, small sections of pipe and appurtenances will need to be replaced. The cost associated with replacing these small segments and appurtenances is difficult to estimate, would unnecessarily complicate future valve replacement cost estimating, and would have limited value in estimating future “pipe and appurtenance replacement” work. Therefore, in a valve replacement project, a cost allocation would only be associated to the valves installed. Note, if as part of the valve replacement project, the City determined to replace adjacent pipe and appurtenances in suspect condition (beyond the extents that would normally be required for valve replacement), a cost allocation would be added for that “pipe and appurtenance replacement” work. If a project includes many assets with a similar cost, it is appropriate to spread the allocation equally amongst all assets. However, if significant variation in costs exists from asset to asset (e.g. asset size/type, traffic, depth), capturing this variation is required. For every project, the total project cost allocation shall equal 100%. The estimated installation cost as calculated by the multiplication of the Project Cost and the InstallCostAllocation For each new valve in the project, determine which tab it applicable (ControlValve or the Valve) based on the VALVETYPE. Create one line in the appropirate tab to describe each valve. Field Description Does a warranty exist? If yes, does the warranty require particular maintenance and/or inspection to ensure the warranty is not voided? The period, in years, from installation to the end of the warranty. The project contract number. The estimated useful life of the asset in years. The depth in feet as measured from the top of can to top of nut. Designates whether the asset being installed replaces an asset that performs a similiar function. For example, if a AC pipe is being replaced by a PVC pipe and a valve, the PVC pipe should be designated as an "Replace Function" (since both the AC and PVC pipes function is to convey water) and the valve should be designated as a "New Function" (since a valve has a different function than a pipe). If this asset has a function of "Replace Function", this fields designates the FacilityID of the asset that was replaced. If this asset has a function of "New Function", this field should be null. Code Name 2WM 2WayMeter Potable None AVA AirVacuumAssemblyReclaimed Exists - Requires Maintenance/Inspection BO BlowOff Exists - No Maintenance/Inspection DCVD DoubleCheckValveDetector Flow Flow MAR ManualAirRelease PR ReducedPressureDevice RPZ RPZ SC SimpleCheck VB VacuumBreaker For each new valve in the project, determine which tab it applicable (ControlValve or the Valve) based on the VALVETYPE. Create one line in the appropirate tab to describe each valve. Lookup Tables VALVETYPE WATERTYPE Warranty Replace Function Yes New Function No Exists - No Maintenance/Inspection UNK HASDISCO NNFunction Mains - Existing GIS Fields OBJECTID FACILITYID INSTALLDATMATERIAL DIAMETER WATERTYPEENABLED ACTIVEFLAGOWNEDBY Valves - Existing GIS Fields OBJECTID FACILITYID INSTALLDATLOCDESC ROTATION DIAMETER VALVETYPEBYPASSVALVCLOCKTOCLO GIS field; will be populated when entered into GIS Control Valves - Existing GIS Fields OBJECTID FACILITYID INSTALLDATLOCDESC ROTATION DIAMETER VALVETYPEENABLED ACTIVEFLAG Fittings - Existing GIS Fields OBJECTID FACILITYID INSTALLDATFITTINGTYPLOCDESC ROTATION ENABLED ACTIVEFLAGOWNEDBY Asset Management - New Fields (from 16-10-20 Commissioning Specification Section Draft.xls) ASSET ID Location Descriptio n Diameter (dimensio n)/size, area KTR MFG Serial Number INSTALL DATE Install Cost Condition Score rename to contractor potentiall y populate for other asset Will not be populated in On-boarding Populated by Designer (exists in GIS) Already included elsewhere These values are highly dependent upon evaluation standards. If those are available, we can include. Otherwise, my initial impression is the data collected will be inconsistent, the value of the data will be low, and this could be costly to collect if the Designer must develop their own standards they are confortable Legend Populated by script Populated by technitial or by script (TBD) Populated by Designer (add to GIS) Need more info MAINTBY UNITID UNITID2 MAINCOMP1MAINCOMP2GRIDNUMBERQUADGRIDNUDWGNUMBERDWGSHEET NORMALLYOPTURNSTOCLOOPERABLE HYDRFLAG CURROPENENABLED ACTIVEFLAGOWNEDBY MAINTBY OWNEDBY MAINTBY UNITID GRIDNUMBERQUADGRIDNUDWGNUMBERDWGSHEETPROJECTNUMCMWDNO MAINTBY UNITID GRIDNUMBERQUADGRIDNUDWGNUMBERDWGSHEETPROJECTNUMCMWDNO DWGSIGNDAT CoF PoF Redundan cy BRE Estimated Useful Life EUL Remaining Useful Life Current Cost/Valu e Escalation Factor Maintena nce Activity These values are highly dependent upon evaluation standards. If those are available, we can include. Otherwise, my initial impression is the data collected will be inconsistent, the value of the data will be low, and this could be costly to collect if the Designer must develop their own standards they are confortable putting their stamp on. PROJECTNUMCMWDNO DWGSIGNDATDWGASBUILTACCEPTANCESTATUS MAINTYPE UNITTYPE PIPEPRESSU no longer used UNITID GRIDNUMBERQUADGRIDNUDWGNUMBERDWGSHEETPROJECTNUMCMWDNO DWGSIGNDATDWGASBUILT Not used for new plans DWGSIGNDATDWGASBUILTACCEPTANCESTATUS WATERTYPEUNITTYPE TOPELEVATIHASDISCONNISABOVEGRO DWGASBUILTACCEPTANCESTATUS UNITTYPE WATERTYPEJOINTTYPE1JOINTTYPE2 JOINTTYPE3JOINTTYPE4 Maintena nce Frequency Salvage Value Soil Type Sensitive Customer Region Depth X,Y,Z Geocode GPS location Warranty ContractN umber Function These values are highly dependent upon evaluation standards. If those are available, we can include. Otherwise, my initial impression is the data collected will be inconsistent, the value of the data will be low, and this could be costly to collect if the Designer must develop their own standards they are confortable WALLTHICKNHASCATHODIPROTLEVEL1PROTLEVEL2PIPEDEPTH MAXPIPEDEPTHPRESSURERAPRESSUREZOPARLINENO change name in GIS to MINPIPEDEPTH ACCEPTANCEUNITTYPE JOINTTYPE1JOINTTYPE2MAINTENANCPRESSURESEISINTERTIE TOPELEVATIHASDISCONN ISINSIDEST PRESSUREZONOTES QUADRANTDISTRICT STREETID CENTERLINEMAINTENANCPRIMARYIMA DIAMETER1DIAMETER2DIAMETER3DIAMETER4BENDANGLEHASDISCONNISINSIDEST PRESSUREZONOTES AssetReplacedInstallCostAllocation renamed to InstallCost NOT INCLUDED NOTES QUADRANTDISTRICT STREETID CENTERLINE PIPELENGTH WATERMODEL ISINSIDEST PRESSUREZONOTES DISTRICT QUADRANT STREETID PRIMARYIMA COMPKEY COMPTYPEMODIFIEDBYMODIFIEDDA CREATEBY CREATEDATE GlobalID MAINTENANCDISTRICT QUADRANTSTREETID CENTERLINE PRIMARYIMA COMPTYPE PRIMARYIMA COMPTYPE COMPKEY MODIFIEDBY MODIFIEDDA CREATEBY FIELDNOTES CATEGORY COMPTYPE COMPKEY MODIFIEDBY MODIFIEDDA COMPKEY MODIFIEDBY MODIFIEDDA CREATEBY CREATEDATE GlobalID CREATEDATE GlobalID SHAPE_STLe CREATEBY CREATEDATE WATERTYPE CENTERLINE STATUS GlobalID HoldsWater ENCINA WASTEWATER AUTHORITY SOURCE CONTROL DIVISION SPECIAL USE NON-SIGNIFICANT WASTEWATER DISCHARGE (NSWD) APPLICATION FORM (25,000 Gallons or Less / Lasting Less Than One Month) Mailing Information For EWA Use Only Attention:Form #: Company:Approved/Denied: Street:Reviewer: City:State: ___Zip:Date: Facility Information Contact:Title:Phone:Fax: Facility Name: Facility Address: Billing Address (if different: Wastewater Information Describe the activity generating the wastewater: List known or suspected contaminants and their sources: Describe proposed treatment system: Volume of wastewater to be discharged:Flow rate: Description of discharge point: include address and map as needed. Proposed Discharge Date(s):Time(s): Completed Application Forms Must Be Accompanied by All of the Following Attachments: A. Detailed Analysis of Disposal Alternatives, B. Description of the Environmental Risk or Health Hazard Being Mitigated, C. Proof of Liability Insurance, D. Signed Indemnity Agreement, and E. Lab Analysis For hydrocarbon only contaminated sites, lab analysis must include: Oil & Grease, TPH, Total Lead, Benzene, and Flash Port. For all others, please contact the EWA Source Control Division at (760) 438-3941 extension 3601, for guidance prior to having lab analysis performed. Samples used for analysis must be representative of the wastewater to be discharged. Approval does not relieve the discharger of obligations regarding compliance with any and all applicable local, State, and Federal pretreatment standards or hazardous waste disposal requirements, including any such standards or requirements that may become effective after the issuance of approval. Signature Date Print Name Encina Wastewater Authority SPECIAL USE DISCHARGE PERMIT APPLICATION Mail completed Encina Wastewater Authority Permit No. ___________ and signed 6200 Avenida Encinas Reviewer _____________ application to:Carlsbad, CA 92011 Date ________________ Phone: (760) 438-3941 SECTION A – GENERAL INFORMATION 1. Company/Applicant Name: _____________________________________________________________________________ 2. Facility/Site Address: __________________________________________________________________________________ Street City Zip ฀ Corporation ฀ Partnership ฀ Sole Proprietor 3. Corporate/Owner(s) Names:______________________________________________________________________________ 4. Head Office Address:___________________________________________________________________________________ Street City Zip 5. Other Address(es): ____________________________________________________________________________________ Street City Zip (Circle: Mailing, Billing, Landlord, Property Manager, Property Owner, Pretreatment Equipment Operator, etc.) (Attach Additional Sheet(s).) 6. Persons to contact concerning this application: (Indicate at which address contact may be reached: F – Facility, HO – Head Office, O – Other) _________________________________ ________________________ ________________ ___________ ______ Administration 1 Title Phone No. Ext. Address _________________________________ ________________________ ________________ ___________ ______ Inspection/Sampling Title Phone No. Ext. Address _________________________________ ________________________ ________________ ___________ ______ Other (Attach Additional Sheet(s).)Title Phone No. Ext. Address __________________________________________ ______________________________ ____________________ _____________ _______ (Person Who Can Be Served Notice at the Site)Title Phone No. Ext. Address 1 Person with signatory authority to whom legal documents should be directed. See Page 4 of application for signatory requirements and statement. 7. Sewer Agency:฀ Buena Sanitation District ฀ City of Vista ฀ City of Carlsbad ฀ Leucadia Wastewater District ฀ City of Encinitas ฀ Vallecitos Water District 8. Discharge Alternatives: Provide a detailed description of the alternatives investigated for disposal including reasons why all other alternatives were not chosen. Attach additional sheet(s). 9. Environmental Risk or Health Hazard: Explain why the discharge is necessary to mitigate an environmental risk or health hazard or to protect the beneficial reuse of wastewater byproducts. Attach additional sheet(s). 10. Waste Origin: The source of the proposed discharge is within the Encina Service Area. ____________________ (Initial) 11. Using the criteria established by regulations of the EPA and the State, the proposed discharge is not considered to be toxic or hazardous. _________________ (Initial) SECTION B – DISCHARGE CHARACTERISTICS WATER QUALITY INFORMATION 1. Describe all present and past business or other activity(s) occurring at the facility/site that may have an effect on the water quality of the proposed discharge. Attach additional sheet(s). ____________________________________________________________________________________________________ ____________________________________________________________________________________________________ ____________________________________________________________________________________________________ 2. Describe the known or suspected pollutant source(s) and history of the wastewater contaminants. Attach additional sheet(s). ____________________________________________________________________________________________________ ____________________________________________________________________________________________________ ____________________________________________________________________________________________________ 3. Give common and technical names of any materials suspected to be present in the discharge. Briefly describe the physical and chemical properties and concentrations of each substance. Attach additional sheet(s) if necessary including all existing laboratory reports. Name Description Concentration FLOW INFORMATION 1.Describe each proposed discharge by Well #, Pump # or Sample Point #. Attach additional sheet(s) if necessary. Well, Pump or Sample # Flow1 Metered Estimated Discharge Type2 Daily Max Flow3 Peak Hydraulic Flow4 Hours of Discharge Days of Discharge Discharge Period (Mo/Yr) Pretreat- ment (Y or N) 1- Average Gallons Per Discharge Day 2 - B = Batch; C = Continuous; I = Intermittent 3 - Maximum Gallons Per Discharge Day 4 - Instantaneous Maximum Gallons FLOW INFORMATION (Cont.) 2.Is the discharge from your system controlled: ฀ Manually ฀ Automatically 3. Describe any engineering controls and/or planned procedures for preventing flows greater than your permitted amount from entering the sewer system. Attach additional sheet(s). 4. Is there any existing or planned discharge to storm drains? ฀ Yes ฀ No If yes, list NPDES Permit Numbers(s) and attach a copy of the Monitoring and Reporting Requirements. ________________ 5. Describe your plan for mitigating the need to discharge to the sewer in the future. Attach additional sheet(s). PRIORITY POLLUTANT INFORMATION Place an “x” by each listed chemical which may be present in your discharge. Some compounds are also known by other names. Include the estimated concentration in mg/L, if known. ฀ Asbestos (fibrous)฀ Carbon tetrachloride ฀ Endrin aldehyde ฀ Cyanide (total)฀ Chlordane ฀ Ethylbenzene ฀ Antimony (total)฀ 4-chloro-3methylphenol ฀ Fluoranthene ฀ Arsenic (total)฀ Chlorobenzene ฀ Fluorene ฀ Beryllium (total)฀ Chloroethane ฀ Heptachlor ฀ Cadmium (total)฀ 2-chloroethyl vinyl ether ฀ Heptachlor epoxide ฀ Chromium (total)฀ Chloroform ฀ Hexachlorobenzene ฀ Copper (total)฀ Chloromethane ฀ Hexacholorobutadiene ฀ Lead (total)฀ 2-chloronaphthalene ฀ Hexachlorocyclopentadiene ฀ Mercury (total)฀ 2-chlorophenol ฀ Hexachloroethane ฀ Nickel (total)฀ 4-chlorophenyl phenyl ether ฀ Indeno (1,2,3-c,d) pyrene ฀ Selenium (total0 ฀ Chrysene ฀ Isophorone ฀ Silver (total0 ฀ 4,4’-DDD ฀ Methylene chloride ฀ Thallium (total)฀ 4,4’-DDE ฀ Naphthalene ฀ Zinc(total)฀ 4,4’DDT ฀ Nitrobenzene ฀ Acenaphthene ฀ Dibenzo (a,b) anthracene ฀ 2-nitrophenol ฀ Acenaphthylene ฀ Dibromochloromethane ฀ 4-nitrophenol ฀ Acrolein ฀ 1,2-dichlorobenzene ฀ n-nitrosodimethylamine ฀ Acrylonitrile ฀ 1,3-dichlorobenzene ฀ n-nitrosodi-n-propylamine ฀ Aldrin ฀ 1,4-dichlorobenzene ฀ n-nitrosodiphenylamine ฀ Anthracene ฀ 3,3’-dichlorobenzidine ฀ PCB-1016 ฀ Benzene ฀ 1,1-dichloroethane ฀ PCB-1221 ฀ Benzidine ฀ 1,2-dichloroethane ฀ PCB-1232 ฀ Benzo (a) anthracene ฀ 1,1-dichloroethylene ฀ PCB-1242 ฀ Benzo (b) fluoroanthene ฀ 1,2-trans-dichloroethylene ฀ PCB-1248 ฀ Benzo (k) fluoroanthene ฀ 2,4-dichlorophenol ฀ PCB-1254 ฀ Benzo (g,h,i) perylene ฀ 1,2-dichloropropane ฀ PCB-1260 ฀ Benzo (a) pyrene ฀ 1,3-dichloropropylene ฀ Pentachlorophenol ฀ a-BHC (alpha)฀ Dieldrin ฀ Phenanthrene ฀ b-BHC (beta)฀ Diethyl phthalate ฀ Phenol ฀ d-BHC (delta)฀ 2,4-dimethyl phenol ฀ Pyrene ฀ g-BHC (gamma)฀ Dimethyl phthalate ฀ 2,3,7,8-tetrachlorodibenzo-p-dioxin ฀ Bis (2-chloroethyl) ether ฀ di-n-butyl phthalate ฀ 1,1,2,2-tetrachloroethane ฀ Bis (2-chloroethoxy) methane ฀ di-n-octyl phthalate ฀ Tetrachloroethylene ฀ Bis (2-chloroisopropyl) ether ฀ 4,6-dinitro-o-cresol ฀ Toluene ฀ Bis (chloromethyl) ether ฀ 2,4-dinitrophenol ฀ Toxaphene ฀ Bis (2-ethylhexyl) phthalate ฀ 2,4-dinitrotoluene ฀ 1,2,4-trichlorobenzene ฀ Bromodichloromethane ฀ 2,6-dinitrotoluene ฀ 1,1,1-trichloroethane ฀ Bromoform ฀ 1,2-diphenylhydrazine ฀ 1,1,2-trichloroethane ฀ Bromomethane ฀ a-endosulfan (alpha)฀ Trichloroethylene ฀ 4-bromophenyl phenyl ether ฀ b-endosulfan (beta)฀ 2,4,6-trichlorophenol ฀ Butyl benzyl phthalate ฀ Endosulfan sulfate ฀ Vinyl chloride ฀ Endrin SECTION C – DRAWING AND INFORMATION SUBMITTAL REQUIREMENTS (Diagrams may be submitted separately or combined as long as the required information is included.) 1. Assessor’s Parcel Number(s): Provide the parcel numbers for all properties in the affected drainage area. 2. Facility/Site Diagram(s): Attach a diagram of the facility/site which includes the plume and/or drainage area, directional flow of water, all existing or proposed wells, pumps, sample points, flow meters, sewer drains, sewer laterals, manholes, discharge point(s), and containment structures (berms). 3. Wastewater Treatment Diagram(s): Attach a diagram of the wastewater pretreatment system (if any) and give expected pollutant removal efficiencies. Include engineering calculations supporting the sizing of the proposed pretreatment equipment. 4. Cleanup and Abatement Order: Attach a copy of any Cleanup and Abatement Order issued by any other regulatory agency having jurisdiction over the discharge, including the pretreatment proposed or required by that order. 5. Remediation Plan: Attach a copy of any proposed or approved Remediation Plan prepared for the property. 6. Sampling Schedule: Attach a proposed sampling schedule including sampling points and constituents. 7. Liens: Attach a copy of any liens against the property. 8. General Liability: Attach proof of general liability and environmental impairment liability insurance of at least $5,000,000 naming EWA and the Member Agencies as additional insureds, and covering all liability for damages resulting from the discharge. 9. Indemnity Agreement: Attach the signed Indemnity Agreement provided to you with this application. SECTION D – CERTIFICATION The certification statement below must be signed as required in items 1, 2, 3 or 4 below: 1. By a responsible corporate officer, if the User submitting the reports is a corporation. For the purpose of this section, a responsible corporate officer means: a. a president, secretary, treasurer, or vice-president of the corporation in charge of a principal business function, or any person who performs similar policy or decision-making functions for the corporation; or b. the manager of one or more manufacturing, production or operation facilities employing more than 250 persons or having gross annual sales or expenditures exceeding $25 million (in second-quarter 1980 dollars), if authority to sign documents has been assigned or delegated to the manager in accordance with corporate procedures. 2. By a general partner or proprietor, if the User submitting the reports is a partnership or sole proprietorship, respectively. 3. By the principal executive officer or director having responsibility for the overall operation of the discharging facility, if the User submitting the reports is a Federal, State, or local governmental entity, or their agents. 4. By a duly authorized representative of the individual designated in item 1,2 or 3 of this section if: a. the authorization is made in writing by the individual described in item 1,2, or b. the authorization specifies either an individual or a position having responsibility for the overall operation of the facility from which the Discharge originates, such as the position of plant manager, operator of a well, or a well field superintendent, or a position of equivalent responsibility, or having overall responsibility for environmental matters for the company; and c. the written authorization is submitted to the Encina Wastewater Authority. “I certify under penalty of law that this document and all attachments were prepared under my direction or supervision in accordance with a system designed to assure that qualified personnel properly gather and evaluate the information submitted. Based on my inquiry of the person or persons who manage the system, or those persons directly responsible for gathering the information, the information submitted is, to the best of my knowledge and belief, true, accurate, and complete. I am aware that there are significant penalties for submitting false information including the possibility of fines and imprisonment for knowing violations.” SIGNATURE _____________________________________________ TITLE ___________________________________________ PRINT NAME ___________________________________________ DATE _____________________________________________ Local Limits Encina Water Pollution Control Facility and Meadowlark Water Reclamation Facility Pollutant MWRF Local Limits (mg/L)EWPCF Local Limits (mg/L) Arsenic, Total 1.5 1.5 Boron, Total 7.4 - Cadmium, Total 0.77 0.77 Chromium, Total 3.5 3.5 Copper, Total 11 11 Iron, Total 67 - Lead, Total 5.1 5.1 Manganese, Total 1.7 - Mercury, Total 0.27 0.27 Molybdenum, Total 4.1 4.1 Nickel, Total 15 15 Selenium, Total 2.5 2.5 Silver, Total 4.2 4.2 Zinc, Total 29 29 Oil & Grease 400 400 Total Toxic Organics (TTO)2 2 Biological Oxygen Demand (BOD)250 mg/L*500 lb/day Total Suspended Solids (TSS)250 mg/L 500 lb/day pH 5.5 - 12.0 su 5.5 - 12.0 su Temperature 140oF 140oF Encina Water Pollution Control Facility and Meadowlark Water Reclamation Facility 1 INDEMNITY AGREEMENT THIS AGREEMENT is made on , by and between the MEMBER AGENCY DISTRICT OR CITY AND THE ENCINA WASTEWATER AUTHORITY (hereinafter "Licensors"), and _________________________________(hereinafter "Licensee"); Licensors and Licensee shall sometimes hereinafter be referred to as the "Parties". R E C I T A L S A. Licensors are the owner/operator of the sewer treatment plant located at 6200 Avenida Encinas in Carlsbad, California (the "Property") and the associated collection system; B. Licensee now desires to discharge to the sanitary sewer system as described in the Special Use Discharge Application attached hereto and made a part hereof. NOW THEREFORE, in consideration of the granting of the foregoing, the mutual premises, covenants, conditions and agreements hereinafter set forth, and other good and valuable consideration, the receipt and adequacy of which are acknowledged, the Parties agree as follows: 1. Grant of License - Licensors hereby grant to Licensee, and its employees, representatives and contractors a non-exclusive license (hereinafter the "License") to discharge to the sanitary sewer system as described in Recitals Paragraph B above. This License shall commence on ______________, and shall end on , unless the parties agree in writing to extend the term of the License. Prior to the expiration of the License, Licensee shall, at its sole cost and expense, (a) permanently close the connection to the sanitary sewer system and (b) remove all debris resulting from operations. 2. Compliance with Laws - Licensee shall conduct all operations, which are the subject of this License in compliance with all federal, state, and municipal statutes and ordinances, and with all regulations, orders, and directives of appropriate governmental agencies, as such statutes, ordinances, regulations, orders and directives now exist or provide. 3. Permits - Licensee, at no cost or expense to Licensors, shall be responsible for obtaining any and all governmental permits and approvals, which may be necessary for it to conduct any work or activities under this License Agreement. 4. Liens and Claims - Licensee will not permit any mechanics', vendor’s, or similar liens or claims to stand against the Licensors for labor or material furnished in connection with any work performed by Licensee under this License Agreement. Upon reasonable and timely notice of any such lien or claim delivered to Licensee, Licensee may bond and contest the validity and the amount of such lien, but Licensee will immediately pay any judgment rendered, will pay all proper costs and charges, and will have the lien or claim released at its sole expense. 5. Cooperation - Licensee agrees to coordinate its activities with Licensors to minimize any impairment of access by customers or business invitees of Licensors to the Property. 6. Indemnification - Licensee agrees that it will indemnify and hold Licensors, their officers, directors, agents and employees, harmless from and against any claims, demands, liens, 2 actions, suits, judgments, losses, damages, attorney's fees, costs or expenses, and civil criminal or administrative penalties based upon or arising out of or claimed to have arisen out of alleged acts, errors or omissions of Licensee or its authorized contractors, employees and agents in conducting the activities under this License Agreement, including the activities authorized under the Wastewater Discharge Permit issued by the Encina Wastewater Authority (EWA). This indemnification is expressly conditioned on the following: (a) In the event Licensors identify any matter to which this indemnification may apply or receive a notice or claim from any third party of such matter, it shall immediately, and in every case within ninety (90) days of said notice or claim, notify Licensee in writing of such matter. (b) Licensors shall cooperate with Licensee by allowing Licensee, its agents, representatives, contractors and consultants, prompt and ready access to the sanitary sewer system for the purpose of investigating any matter to which this indemnity may apply. Licensors shall provide Licensee with copies of all investigative reports, data or other information in any form which Licensors, its consultants, agents or attorneys may have pertaining to any such matter, on request of Licensee. (c) Notwithstanding anything in this agreement to the contrary, in no event shall Licensee be liable for any special, indirect or consequential damages, including but not limited to claims for loss of use, rents, anticipated profit or business opportunity, or business interruption or mental or emotional distress or fear of injury or disease. (d) This indemnification shall survive termination of this Agreement and expiration of the Permit and shall be effective until the expiration of any applicable statutes of limitations. 7. Compliance with Wastewater Discharge Permit - Licensee agrees to comply with the EWA Pretreatment Ordinance and the terms of the Wastewater Discharge Permit issued by the EWA. Licensee shall not add to the sanitary sewer any material not authorized under the Permit. In the event Licensee adds any material to the sewer that causes a violation of EWA's NPDES Permits, as defined in the EWA Pretreatment Ordinance, Licensee shall indemnify Licensors in accordance with paragraph 6 above. 8. Severability - In case any one or more of the provisions contained in this Agreement shall be invalid, illegal or unenforceable in any respect, the validity, legality, and enforceability of the remaining provisions contained herein shall not in any way be affected or impaired thereby. 9. Notices - Any notice provided for herein or otherwise required to be given hereunder shall be deemed received when personally served or three (3) days after mailing by certified or registered United States mail, return receipt requested, postage prepaid, or by facsimile machine, with transmission and receipt confirmed, or by nationally recognized overnight delivery service, addressed as follows: To Licensors: Encina Wastewater Authority District or City 6200 Avenida Encinas Address Carlsbad, California 92011 3 To Licensee: With Copies to: The person and place to which notices are to be mailed may be changed by either party by providing written notice of same to the other. 10. Assignment Successors and Assigns - This Agreement may be assigned by either party and in and in such event shall be binding upon and inure to the benefit of the Parties' respective representatives, successors and assigns. 11. Entire Agreement - This License Agreement represents the full, complete and entire agreement between the parties with respect to the subject matter hereof, and the rights and remedies of the Parties shall be solely and exclusively those herein contained, and in lieu of any remedies otherwise available at law or in equity. 12. Governing Law - This Agreement shall be construed and interpreted and governed by and in accordance with the local law of the State of California without reference to any choice of law, rules or policies which may refer the resolution of any dispute arising hereunder to the laws of any other jurisdiction. 13. Counterparts - This Agreement may be executed in one or more counterparts, each of which shall be deemed an original, and all of which, taken together, shall constitute one and the same Agreement. IN WITNESS WHEREOF, the Parties have executed this License Agreement by their duly authorized representative on the date first above written. LICENSORS:LICENSEE: DISTRICT OR CITY & ENCINA WASTEWATER AUTHORITY By: By: Name: Name: Title: Title: Date: Date: _ TotalTotal ToxicToxic OrganicsOrganics (TTO)(TTO) ListList Acenaphthene 2,4-dimethyl phenol Acenaphthylene Dimethyl phthalateAcroleindi-n-butyl phthalate Acrylonitrile di-n-octyl phthalateAldrin4,6-dinitro-o-cresol Anthracene 2,4-dinitrophenolBenzene2,4-dinitrotoluene Benzidine 2,6-dinitrotolueneBenzo (a) anthracene 1,2-diphenylhydrazine Benzo (b) fluoroanthene a-endosulfan (alpha)Benzo (k) fluoroanthene b-endosulfan (beta) Benzo (g,h,i) perylene Endosulfan sulfateBenzo (a) pyrene Endrin a-BHC (alpha)Endrin aldehydeb-BHC (beta)Ethylbenzene d-BHC (delta)Fluorantheneg-BHC (gamma)Fluorene Bis (2-chloroethyl) ether HeptachlorBis (2-chloroethoxy) methane Heptachlor epoxide Bis (2-chloroisopropyl) ether HexachlorobenzeneBis (2-ethylhexyl) phthalate Hexacholorobutadiene Bromoform HexachlorocyclopentadieneBromomethaneHexachloroethane 4-bromophenyl phenyl ether Indeno (1,2,3-c,d) pyreneButyl benzyl phthalate Isophorone Carbon tetrachloride Methylene chlorideChlordaneNaphthalene 4-chloro-3methylphenol NitrobenzeneChlorobenzene2-nitrophenol Chlorodibromomethane 4-nitrophenolChloroethanen-nitrosodimethylamine 2-chloroethyl vinyl ether n-nitrosodi-n-propylamineChloroformn-nitrosodiphenylamine Chloromethane PCB-10162-chloronaphthalene PCB-1221 2-chlorophenol PCB-12324-chlorophenyl phenyl ether PCB-1242 Chrysene PCB-12484,4’-DDD PCB-1254 4,4’-DDE PCB-12604,4’DDT Pentachlorophenol Dibenzo (a,h) anthracene Phenanthrene1,2-dichlorobenzene Phenol 1,3-dichlorobenzene Pyrene1,4-dichlorobenzene 2,3,7,8-tetrachlorodibenzo-p-dioxin 3,3’-dichlorobenzidine 1,1,2,2-tetrachloroethaneDichlorobromomethaneTetrachloroethylene 1,1-dichloroethane Toluene1,2-dichloroethane Toxaphene 1,1-dichloroethylene 1,2,4-trichlorobenzene1,2-trans-dichloroethylene 1,1,1-trichloroethane 2,4-dichlorophenol 1,1,2-trichloroethane1,2-dichloropropane Trichloroethylene 1,3-dichloropropylene 2,4,6-trichlorophenolDieldrinVinyl chloride Diethyl phthalate EPA APPROVED SAMPLING AND ANALYTICAL METHODS Parameter Analytical Method1 Container2 Preservation Method3 Maximum Holding  Time4 BOD or CBOD SM5210B*P, G, FP COOL, 0‐6°C 48 HOURS COD HACH 8000*; EPA 410.3 &  410.4 REV 2.0; SM5220C &  5220D P, G, FP COOL, 0‐6°C, H2SO4 TO pH <2 28 DAYS CN,  AMENABLE SM4500‐CN (G)P, G, FP COOL, 0‐6°C, NaOH TO pH >  12, 0.6g ASCORBIC ACIDŦ 14 DAYS CN, TOTAL EPA 335.4 REV 1.0; SM4500‐ CN (F) & 4500‐CN(G) & 4500‐ CN (E)P, G, FP COOL, 0‐6°C, NaOH TO pH >  12, 0.6g ASCORBIC ACIDŦ 14 DAYS METALS:  Cd,  Cr, Cu, Pb, Ni,  Ag SM3111B or C, 3113B,  3120B; EPA 200.9 Rev 2.2,  200.7 Rev 4.4*, 200.8 Rev  5.4 P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Sb SM3111B, 3113B, 3120B;  EPA 200.9 Rev 2.2, 200.7 Rev  4.4*, 200.8 Rev 5.4 P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: As SM3114B, 3113B, 3120B;  EPA 200.9 Rev 2.2, 200.7 Rev  4.4*, 200.8 Rev 5.4; SM3500‐ As (C or B)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Be SM3111D, 3113B, 3120B;  EPA 200.9 Rev 2.2, 200.7 Rev  4.4*, 200.8 Rev 5.4; SM3500‐ Be (D)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: B SM4500‐B (B), 3120B; EPA  200.7 Rev 4.4*P, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Cd  (optional) SM3500 Cd (D)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Cr  (optional) SM3500 Cr (B or D)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Cu  (optional) SM3500 Cu (B, C, D, or E)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS EPA APPROVED SAMPLING AND ANALYTICAL METHODS Parameter Analytical Method1 Container2 Preservation Method3 Maximum Holding  Time4 METALS:  Fe SM3111B or C, 3113B,  3120B; EPA 200.9 Rev 2.2,  200.7 Rev 4.4*; SM3500‐Fe  (B or D) P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Pb  (optional) SM3500 Pb (B or D)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS:  Hg SM3112B, EPA 245.1 Rev  3.0*, 245.2, 245.7 Rev 2.0,  1631E P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 28 DAYS METALS:  Mn SM3111B, 3113B, 3120B;  EPA 200.9 Rev 2.2, 200.7 Rev  4.4*, 200.8 Rev 5.4; SM3500‐ Mn (B or D)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS:  Mo SM3111D, 3113B, 3120B;  EPA 200.7 Rev 4.4*, 200.8  Rev 5.4 P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Ni  (optional) SM3500 Ni (D)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS:  Se SM3113B, 3120B, 3114B;  EPA 200.9 Rev 2.2, 200.7 Rev  4.4*, 200.8 Rev 5.4 P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS:  Tl SM3111B, 3120B; EPA 279.2,  200.9 Rev 2.2, 200.7 Rev  4.4*, 200.8 Rev 5.4 P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS METALS: Zn SM3111B or C, 3120B; EPA  289.2, 200.7 Rev 4.4*, 200.8  Rev 5.4; SM3500 Zn (B, E, or  F)P, G, FP HNO3 TO pH < 2 OR HNO3 TO  pH < 2 AT LEAST 24 HOURS  PRIOR TO ANALYSIS 6 MONTHS OIL & GREASE SM5520B; EPA 1664A G COOL, 0‐6°C, HCl OR H2SO4 TO  pH < 228 DAYS pH SM4500‐H+B*; EPA 150.2 P, G, FP NONE ANALYZE WITHIN 15  MIN TDS SM2540C*P, G, FP COOL, 0‐6°C7 DAYS TSS SM2540D*P, G, FP COOL, 0‐6°C7 DAYS TTO EPA 624 & 625; EPA 1624  &1625 G COOL, 0‐6°C, 624/1624 = HCl  TO pH < 2 624/1624 = 14 DAYS;  625/1625 = 7 DAYS EPA APPROVED SAMPLING AND ANALYTICAL METHODS Parameter Analytical Method1 Container2 Preservation Method3 Maximum Holding  Time4 PHARM.  ORGANICS:   ACETONE EPA 524.2; ASTM D3695,  D4763 G COOL, 0‐6°C, 1666/524.2 =  HCl TO pH < 2 524.2 = 14 DAYS;  D3695 = 28 DAYS PHARM.  ORGANICS:   METHYLENE  CHLORIDE EPA 502.2, 524.2 G COOL, 0‐6°C, 1666/524.2 =  HCl TO pH < 2 502.2/524.2 = 14  DAYS PHARM.  ORGANICS:   ETHYL  ACETATE EPA 1666; ASTM D3695 G COOL, 0‐6°C, 1666/524.2 =  HCl TO pH < 2 1666 = 14 DAYS;  D3695 = 28 DAYS PHARM.  ORGANICS:  N‐ AMYL  ACETATE EPA 1666; ASTM D3695 G COOL, 0‐6°C, 1666/524.2 =  HCl TO pH < 2 1666 = 14 DAYS;  D3695 = 28 DAYS PHARM.  ORGANICS:   ISOPROPYL  ACETATE EPA 1666; ASTM D3695 G COOL, 0‐6°C, 1666/524.2 =  HCl TO pH < 2 1666 = 14 DAYS;  D3695 = 28 DAYS 1 Refer to 40 CFR Part 136 for complete list of approved test procedures.   2 "P" is Polyethylene; "G" is Glass; "FP" is Fluoropolymer, PTFE, or Teflon. 3 Confirm with EPA certified lab the preservation and holding times for each specific method. 4 Holding time starts at the end of the composite period. * Methods currently performed by the Encina Wastewater Authority (EWA). Ŧ Only added if residual chlorine is present TABLE 1: FILL STATION DATA TABLECarlsbad Municipal Water DistrictService No. on ExhibitExhibit No. Customer NameExisting Account No.Proposed Account TypeProposed Service SizeRecycled Water Main Size & MaterialTraffic Constraints inNo. StreetW1 W1 CMWD Fill Station New Wharf Head 2 30-inch DIOn Avenida Encinas in front of CWRF 8:30 AM - 4:30 PM: Monday through FridayW2 W2 CMWD Fill Station New Wharf Head 2 8-inch PVCKestrel Dr and Batiquitos Dr8:30 AM - 4:30 PM: Monday through FridayW3 W3 CMWD Fill Station New Wharf Head 2 6-inch PVCOn far east side of Lionshead Avenue 8:30 AM - 4:30 PM: Monday through FridayTotal Fill Station Installations 3Notes:(1) Service Nos are assigned identification numbers for the proposed services contained in this data table and the corresponding Exhibits.AddressPage 1 of 17/18/2018 AVENIDA ENCINASFS1 NO.VICINITY MAPEXHIBIT W1: LOCATION MAPCONTRACT NO. 5208-BRECYCLED WATER PHASE IIISEGMENT 5EXISTING RECLAIMED WATER MAININSTALL CMWD FILL STATIONPER SHEET C-02, DETAIL1: RECYCLED WATER FILL STATION(SIZED PER TABLE 1: FILL STATION DATA TABLE)ELCAMINOPALOMARCA N N O N RD . CO L L E G EAVIARAFARADAYINTERSTATE 5AGUAHEDIONDALAGOONPOIN L N SE T T I A AIRPORTRDFILL STATIONLOCATIONFS1 NO.KESTREL DRIVEBATIQUITOS DRFS2EXHIBIT W2: LOCATION MAPCONTRACT NO. 5208-BRECYCLED WATER PHASE IIISEGMENT 5EXISTING RECLAIMED WATER MAININSTALL CMWD FILL STATIONPER SHEET C-02, DETAIL1: RECYCLED WATER FILL STATION(SIZED PER TABLE 1: FILL STATION DATA TABLE)PALOMARAIR P O R T RD.COL LEGE AVIARALACOSTAAVE.INTERSTATE 5PKWY.BATIQUITOS LAGOONVICINITY MAPFILL STATIONLOCATIONFS2 NO.LIONS HEAD AVE PO I N S E T T IA A V E BUSINESS PARK DRBUSINESS PARK DRFS3 EXHIBIT W3: LOCATION MAPCONTRACT NO. 5208-BRECYCLED WATER PHASE IIISEGMENT 5CITY OF CARLSBAD BOUNDARYEXISTING RECLAIMED WATER MAININSTALL CMWD FILL STATIONPER SHEET C-02, DETAIL1: RECYCLED WATER FILL STATION(SIZED PER TABLE 1: FILL STATION DATA TABLE)ELCAMINOREALP A L O M A R AIRPORTRD.PO I N S E T T I A LN.ALGARD.MELROSEDR.FILL STATIONLOCATIONFS3VICINITY MAP