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LCG Landscape; 2008-11-13; PWS09-01ENG
DOC # 2009-05921 99 Recording requested by: ) OCT 26,2009 1 :34 PM ) CITY OF CARLSBAD ) ) When recorded mail to: 1 ) City Clerk City of Carlsbad 1200 Carlsbad Village Dr OFFICIAL RECURDS SAN DlEGU COUNTY RECORDER'S OFFICE DAVID L BUTLER, CUUNT'Y RECURDER FEES: 0.00 PAGES: 1 Carlsbad, CA 92008 ) Space above this line for Recorder's Use NOVICE OF COMPLETION Notice is hereby given that: 1. The undersigned is owner of the interest or estate stated below in the property hereinafter described. 2. The full name of the undersigned is Carlsbad Municipal Water District (CMWD), a municipal corporation. 3. The full address of the undersigned is 1200 Carlsbad Village Drive, Carlsbad, California 92008. 4. The nature of the title of the undersigned is: In fee. 5. A work or improvement on the property hereinafter described was completed on May 21, 2009. 6. The name of the contractor for such work of improvement is LCG Corporation, dba LCG Landscape. 7. The property on which the work of improvement was completed is in the City of Carlsbad, County of San Diego, State of California, and is described as Mitigation Landscape Improvements, Lake Calavera Remedial Improvements, Project No. 3821 1-A. CARLSBAD NlClPAL WATER DISTRICT & GLENN PRUlM Public Works Director VERIFICATION OF SECRETARY I, the undersigned, say: I am the Secretary of the Carlsbad Municipal Water District, 1200 Carlsbad Village Drive, Carlsbad California, 92009. The Executive Board of said District on 0 e. aOL , 2009, accepted the above described work as completed and ordered that a Notice of Completion be filed. I declare under penalty of perjury that the foregoing is true and correct Executed on , 2009, at Carlsbad, California AB# 699 Resolution No. 1379 .\Cllfl!l,. CARLSBAD MUNICIPAL WATER DISTRICT ,~,~~G>~~~.p~~~c,, *~."';.Q h!~~~'' .. .a9 $.$>.->. Q :q .;::: : C"; I' *< . -," - .: El: $ u. :.-:) ." LORRAINE WM 7- to, .. ' ..+ .; , _I.," : .-, -1 . ,. Secretary ..,'+~~~;~t,rcqI';.~;",~<~ '," se ....... A , Z. . .. ) :.I I. ,I.' CARLSBAD MUNICIPAL WATER DISTRICT San Diego County California CONTRACT DOCUMENTS, GENERAL, AND TECHNICAL PROVISIONS FOR MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A BID NO. PWS09-01ENG Revised 5/01 707 Contract No. 38211-A Page 1 of 103 Pages TABLE OF CONTENTS Item Page Notice Inviting Bids 5 Contractor's Proposal 9 Bid Security Form 20 Bidder's Bond to Accompany Proposal 21 Guide for Completing the "Designation Of Subcontractors" Form 23 Designation of Subcontractor and Amount of Subcontractor's Bid Items 25 Bidder's Statement of Technical Ability and Experience 26 Bidder's Certificate of Insurance for General Liability, Employers' Liability, Automotive Liability and Workers' Compensation 27 Bidder's Statement of Re Debarment 28 Bidder's Disclosure of Discipline Record 29 Non-Collusion Affidavit to Be Executed by Bidder and Submitted with Bid 31 Contract Public Works 32 Labor and Materials Bond 38 Faithful Performance/Warranty Bond 40 Optional Escrow Agreement for Surety Deposits in Lieu of Retention 42 Revised 5/01/07 Contract No. 3821 1-A Page 2 of 103 Pages GENERAL PROVISIONS Section 1 Terms, Definitions Abbreviations and Symbols 1-1 Terms 45 1-2 Definitions 46 1-3 Abbreviations 50 1-4 Units of Measure 53 Section 2 Scope and Control of The Work 2-1 Award and Execution of Contract 55 2-2 Assignment 55 2-3 Subcontracts 55 2-4 Contract Bonds 56 2-5 Plans and Specifications 57 2-6 Workto be Done 60 2-7 Subsurface Data 60 2-8 Right-of-Way 60 2-9 Surveying 61 2-10 Authority of Board and Engineer 64 2-11 Inspection 64 Section 3 Changes in Work 3-1 Changes Requested by the Contractor 65 3-2 Changes Initiated by the Agency 65 3-3 Extra Work 66 3-4 Changed Conditions 69 3-5 Disputed Work 70 Section 4 Control of Materials 4-1 Materials and Workmanship 73 4-2 Materials Transportation, Handling and Storage 78 Section 5 Utilities 5-1 Location 78 5-2 Protection 79 5-3 Removal 79 5-4 Relocation 79 5-5 Delays 80 5-6 Cooperation 80 Section 6 Prosecution, Progress and Acceptance of the Work 6-1 Construction Schedule and Commencement of Work 81 6-2 Prosecution of Work 85 6-3 Suspension of Work 86 6-4 Default by Contractor 86 6-5 Termination of Contract 87 6-6 Delays and Extensions of Time 87 6-7 Time of Completion 88 6-8 Completion, Acceptance, and Warranty 89 6-9 Liquidated Damages 89 6-10 Use of Improvement During Construction 89 Revised 5/01/07 Contract No. 38211-A Page 3 of 103 Pages Section 7 Responsibilities of the Contractor 7-1 Contractor's Equipment and Facilities 90 7-2 Labor 90 7-3 Liability Insurance 90 7-4 Workers' Compensation Insurance 90 7-5 Permits 91 7-6 The Contractor's Representative 91 7-7 Cooperation and Collateral Work 92 7-8 Project Site Maintenance 92 7-9 Protection and Restoration of Existing Improvements 94 7-10 Public Convenience and Safety 95 7-11 Patent Fees or Royalties 95 7-12 Advertising 95 7-13 Laws to be Observed 96 7-14 Antitrust Claims 96 Section 8 Facilities for Agency Personnel - NOT USED Section 9 Measurement and Payment 9-1 Measurement of Quantities for Unit Price Work 96 9-2 Lump Sum Work 97 9-3 Payment 97 PART 3 Construction Methods Section 300 Earthwork 300-13 Storm Water Pollution Prevention Plan 101 APPENDIX A APPENDIX B APPENDIX C California Regional Water Quality Control Board 401 Water Quality Certification (File No. 04C-077) California Department of Fish and Game Streambed Alteration Agreement (Notification No. 1600-2004-0101-R5) Department of the Army Nationwide Permit Authorization (No. 200400983-KJC) Revised 5/01/07 Contract No. 38211-A Page 4 of 103 Pages CARLSBAD MUNICIPAL WATER DISTRICT, CALIFORNIA NOTICE INVITING BIDS UNTIL 2:00 PM ON SEPTEMBER 3, 2008, the Carlsbad Municipal Water District (District) shall accept sealed bids, clearly marked as such, at the Faraday Center, 1635 Faraday Avenue, Carlsbad, CA 92008-7314, Attn: Purchasing Officer, by mail, delivery service or by deposit in the Bid Box located in the first floor lobby, at which time they will be opened and read, for performing the work as follows: grading and drainage improvements, irrigation, plantings, fencing, and maintenance. MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 3821 1 -A BID NO. PWS09-01ENG INSTRUCTIONS TO BIDDERS AND BID REQUIREMENTS This bid and the terms of the Contract Documents and General Provisions constitute an irrevocable offer that shall remain valid and in full force for a period of 90 days and such additional time as may be mutually agreed upon by the Carlsbad Municipal Water District and the Bidder. No bid will be received unless it is made on a proposal form furnished by the Purchasing Department. Each bid must be accompanied by security in a form and amount required by law. The bidder's security of the second and third next lowest responsive bidders may be withheld until the Contract has been fully executed. The security submitted by all other unsuccessful bidders shall be returned to them, or deemed void, within ten (10) days after the Contract is awarded. Pursuant to the provisions of law (Public Contract Code section 10263), appropriate securities may be substituted for any obligation required by this notice or for any monies withheld by the District to ensure performance under this Contract. Section 10263 of the Public Contract Code requires monies or securities to be deposited with the District or a state or federally chartered bank in California as the escrow agent. The escrow agent shall maintain insurance to cover negligent acts and omissions of the agent in connection with the handling of retentions under this section in an amount not less than $100,000 per contract. The Carlsbad Municipal Water District may disqualify a contractor or subcontractor from participating in bidding when a contractor or subcontractor has been debarred by the Carlsbad Municipal Water District or another jurisdiction in the State of California as an irresponsible bidder. The work shall be performed in strict conformity with the plans and specifications as approved by the Carlsbad Municipal Water District on file with the Engineering Department. The specifications for the work include City of Carlsbad Standard Specifications and the Standard Specifications for Public Works Construction. Sections 2 & 3.. all hereinafter designated "SSPWC" as issued by the Southern California Chapter of the American Public Works Association, as amended. Specification Reference is hereby made to the plans and specifications for full particulars and description of the work. The General Provisions (Part 1) to the SSPWC do not apply. The Carlsbad Municipal Water District encourages the participation of minority and women-owned businesses. The Carlsbad Municipal Water District encourages all bidders, suppliers, manufacturers, fabricators and contractors to utilize recycled and recyclable materials when available, appropriate and approved by the Engineer. Am¥ Revised 5/01/07 Contract No. 3821 1 -A Page 5 of 103 Pages BID DOCUMENTS The documents which comprise the Bidder's proposal and that must be completed and properly executed including notarization where indicated are: 1. Contractor's Proposal 2. Bidder's Bond 3. Non-Collusion Affidavit 4. Designation of Subcontractor and Amount of Subcontractor's Bid 5. Bidder's Statement of Technical Ability and Experience 6. Acknowledgement of Addendum(a) 7. Certificate of Insurance. The riders covering the City, its officials, employees and volunteers may be omitted at the time of bid submittal but shall be provided by the Bidder prior to award of this contract. 8. Bidder's Statement Re Debarment 9. Bidder's Disclosure Of Discipline Record 10. Escrow Agreement for Security Deposits -(optional, must be completed if the Bidder wishes to use the Escrow Agreement for Security) ENGINEER'S ESTIMATE: All bids will be compared on the basis of the Engineer's Estimate. The estimated quantities are approximate and serve solely as a basis for the comparison of bids. The Engineer's Estimate is $250,000. TIME OF COMPLETION: The contractor shall complete the Work within the time set in the contract as defined in the General Provisions Section 6-7. SPECIALTY CONTRACTORS: ACCEPTABLE LICENSE TYPES Except as provided herein a bid submitted to the District by a Contractor who is not licensed as a contractor pursuant to the Business and Professions Code shall be considered nonresponsive and shall be rejected by the District. In all contracts where federal funds are involved, no bid submitted shall be invalidated by the failure of the bidder to be licensed in accordance with California law. Where federal funds are involved the contractor shall be properly licensed at the time the contract is awarded. In all other cases the contractor shall state their license number, expiration date and classification in the proposal, under penalty of perjury. This invitation to bid does not involve federal funds. The following classifications are acceptable for this contract: Classification A C27 Description General Engineering Landscaping Classification Description ESCROW AGREEMENT If the Contractor intends to utilize the escrow agreement included in the contract documents in lieu of the usual 10% retention from each payment, these documents must be completed and submitted with the signed contract. The escrow agreement may not be substituted at a later date. Revised 5/01/07 Contract No. 38211-A Page 6 of 103 Pages OBTAINING PLANS AND SPECIFICATIONS Sets of plans, various supplemental provisions, and Contract documents may be obtained at the Cashier's Counter of the Faraday Center located at 1635 Faraday Avenue, Carlsbad, California 92008-7314, for a non-refundable fee of $35.00 per set. If plans and specifications are to be mailed, the cost for postage should be added. INTENT OF PLANS AND SPECIFICATIONS Any prospective bidder who is in doubt as to the intended meaning of any part of the drawings, specifications or other contract documents, or finds discrepancies in or omissions from the drawings and specifications may submit to the Engineer a written request for clarification or correction. Any response will be made only by a written addendum duly issued by the Engineer a copy of which will be mailed or delivered to each person receiving a set of the contract documents. No oral response will be made to such inquiry. Prior to the award of the contract, no addition to, modification of or interpretation of any provision in the contract documents will be given by any agent, employee or contractor of the Carlsbad Municipal Water District except as hereinbefore specified. No bidder may rely on directions given by any agent, employee or contractor of the Carlsbad Municipal Water District except as hereinbefore specified. REJECTION OF BIDS The Carlsbad Municipal Water District reserves the right to reject any or all bids and to waive any minor irregularity or informality in such bids. PREVAILING WAGE TO BE PAID The general prevailing rate of wages for each craft or type of worker needed to execute the Contract shall be those as determined by the Director of Industrial Relations pursuant to the sections 1770, 1773, and 1773.1 of the Labor Code. Pursuant to section 1773.2 of the Labor Code, a current copy of applicable wage rates is on file in the Office of the City Engineer. The Contractor to whom the Contract is awarded shall not pay less than the said specified prevailing rates of wages to all workers employed by him or her in the execution of the Contract. The Prime Contractor shall be responsible for insuring compliance with provisions of section 1777.5 of the Labor Code and section 4100 et seq. of the Public Contracts Code, "Subletting and Subcontracting Fair Practices Act." The City Engineer is the District's "duly authorized officer" for the purposes of section 4107 and 4107.5. The provisions of Part 7, Chapter 1, of the Labor Code commencing with section 1720 shall apply to the Contract for work. PRE BID MEETING A pre-bid meeting will not be held. UNIT PRICES AND COMPUTATION OF BIDS All bids are to be computed on the basis of the given estimated quantities of work, as indicated in this proposal, times the unit price as submitted by the bidder. In case of a discrepancy between words and figures, the words shall prevail. In case of an error in the extension of a unit price, the corrected extension shall be calculated and the bids will be computed as indicated above and compared on the basis of the corrected totals. All prices must be in ink or typewritten. Changes or corrections may be crossed out and typed or written in with ink and must be initialed in ink by a person authorized to sign for the Contractor. W Revised 5/01/07 Contract No. 3821 1 -A Page 7 of 103 Pages ADDENDUMS Bidders are advised to verify the issuance of all addenda and receipt thereof one day prior to bidding. Submission of bids without acknowledgment of addenda may be cause of rejection of bid. BOND AND INSURANCE REQUIREMENTS The Contractor shall provide bonds to secure faithful performance and warranty of the work in an amount equal to one hundred percent (100%) of the Contract price on this project. The Contractor shall provide bonds to secure payment of laborers and materials suppliers, in an amount equal to one hundred percent (100%) of the total amount payable by the terms of the contract. These bonds shall be kept in full force and effect during the course of this project, and shall extend in full force and effect and be retained by the District until they are released as stated in the General Provisions section of this contract. All bonds are to be placed with a surety insurance carrier admitted and authorized to transact the business of insurance in California and whose assets exceed their liabilities in an amount equal to or in excess of the amount of the bond. The bonds are to be accompanied by the following documents: 1) An original, or a certified copy, of the unrevoked appointment, power of attorney, by laws, or other instrument entitling or authorizing the person who executed the bond to do so. 2) A certified copy of the certificate of authority of the insurer issued by the insurance commissioner. If the bid is accepted, the District may require copies of the insurer's most recent annual statement and quarterly statement filed with the Department of Insurance pursuant to Article 10 (commencing with section 900) of Chapter 1 of Part 2 of Division 1 of the Insurance Code, within 10 calendar days of the insurer's receipt of a request to submit the statements. Insurance is to be placed with insurers that: 1) Have a rating in the most recent Best's Key Rating Guide of at least A-:VII 2) Are admitted and authorized to transact the business of insurance in the State of California by the Insurance Commissioner. Auto policies offered to meet the specification of this contract must: 1) Meet the conditions stated above for all insurance companies. 2) Cover any vehicle used in the performance of the contract, used onsite or offsite, whether owned, non-owned or hired, and whether scheduled or non-scheduled. Workers' compensation insurance required under this contract must be offered by a company meeting the above standards with the exception that the Best's rating condition is waived. The District does accept policies issued by the State Compensation Fund meeting the requirement for workers' compensation insurance. The Contractor shall be required to maintain insurance as specified in the Contract. Any additional cost of said insurance shall be included in the bid price. The award of the contract by the District is contingent upon the Contractor submitting the required bonds and insurance, as described in the contract, within twenty days of bid opening. If the Contractor fails to comply with these requirements, the District may award the contract to the second or third lowest bidder and the bid security of the lowest bidder may be forfeited. BUSINESS LICENSE The prime contractor and all subcontractors are required to have and maintain a valid City of Carlsbad Business License for the duration of the contract. Approved by the Board of Directors of the Carlsbad Municipal Water District, California, by Resolution No. 1330, adopted on the 22ND day of July, 2008. July 23.2008 ^ ^ ^ Date Deputy City CletR Revised 5/01/07 Contract No. 38211-A Page 8 of 103 Pages LCG Landscape CARLSBAD MUNICIPAL WATER DISTRICT MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A CONTRACTOR'S PROPOSAL Board of Directors Carlsbad Municipal Water District 1200 Carlsbad Village Drive Carlsbad, California 92008 The undersigned declares he/she has carefully examined the location of the work, read the Notice Inviting Bids, examined the Plans, Specifications, General Provisions, Contract Documents, and addenda thereto, and hereby proposes to furnish all labor, materials, equipment, transportation, and services required to do all the work to complete Contract No, 38211-A in accordance with the Plans, Specifications, General Provisions, Contract Documents, and addenda thereto and that he/she will take in full payment therefore the following unit prices for each item complete, to wit: SCHEDULE"A" Item No.Description GRADING Mobilization at Five Thousand Approximate Quantity and Unit LS Dollars {Lump Sum) Construction Staking at Unit Price $ 5.000 LS 9,500.00 Total $ 5.000 9,500.00 Dollars (Lump Sum) 3 Clearing and Grubbing at Dollars per Square Foot Excavation & Export at Dollars per Cubic Yard 24,000 SF $_0.18 3,730 CY $21.35 4,320.00 79,635.50 Revised 5/01/0?Contract No, 38211-A Page 9 of 103 Pages LCG Landscape Item No. Description 5 Construction Fence at Dollars per Linear Foot at 6 Construction Entrance at Dollars per Square Foot 7 Environmental Fence at Dollars per Linear Foot 8 Silt Fence at Dollars (Lump Sum) DRAINAGE 11 18"RCPat Dollars per Linear Foot 12 Rip Rap at Approximate Quantity and Unit 1.52QLF $ Dollars per Linear Foot 9 Trail Closure at Dollars (Lump Sum) 10 Trail Closure/Construction Signage at LS LS Unit Price 3 .82 700 SF $6.00 725 LF $ 1-85 575 LF $ 2 •12 1,500.00 500.00 70 LF $26.53 17 CY $60.00 Total $ 5,806.40 | 4,200.00 $1,341.25 $ 1,219.00 $ 1,500.00 * 500.00 2,122.40 $ 1,020.00 Dollars per Cubic Yard Revised 5/01/0?Contract No. 38211-A Page 10 of 103 Pages Item No. Description 13 Geofabric at 15 16 18 Approximate Quantity Unit and Unit Price 400 SF $ 1-50 Dollars per Square Foot 14 Concrete Protection (SP-03)5Cy Dollars per Cubic Yard IRRIGATION RP Backflow with Concrete Pad, Cage, Pipe Stand & Copper Pipe & Fittings at Dollars Each Master Valve with Potable Box with Union at 1 EA Dollars Each Automatic Control Valves and Potable Boxes with Unions at Dollars Each 19 Battery Operated Controllers at 5 EA Dollars Each 20 2" Schedule 40 Mainline (at 12" deep) at 165.00 1 EA $ 1,278.88 2, 1 70 FT $ Dollars per Foot 350.00 Dollars Each 17 Seven (7) Ball Valves (Brass) 7EA $ 102.21 and Potable Boxes at 15 EA $ 175.00 365.00 5.96 LCG Landscape Total $ 600.00 825.00 1,278.88 350.00 715.47 2,625.00 $ 1,825.00 12,933.20 Revised 5/01/07 Contract No. 38211 -A Page 11 of 103 Pages LCG Landscape Item No, Description 21 22 23 1-1/2" Schedule 40 Mainline (at 12" deep) at Dollars per Foot Schedule 40 On-Grade Lateral Line, Fittings at Dollars per Linear Foot Hunter PGS Rotors on 12" Risers (includes Street Ells and Clamps) at Approximate Quantity and Unit 280 FT $ 4,500 LF $_ 96 EA $ Unit Price 5.37 1.89 27.28 Total 1,503.60 8,505.00 $ 2,618.88 **>*,< Dollars Each 24 Rainbird Nozzles on 12" Risers (Includes Street Ells and Clamps) at 107 EA $19.19 $ 2,053.33 Dollars Each 25 #4 J-Bar and Rebar Staking of Risers and Laterals as Necessary at 325 EA $3.25 $ 1,056.25 Dollars Each 26 Asphalt Cutting and Repair (Including Sleeve) at 20 LF $ 12-50 250.00 27 Dollars per Linear Foot Seed Mix "A" (Plots 1-4) installed at 0.51 ACRE $ 4,348.57 2,217.77 Dollars per Acre oRevised 5/01/0?Contract No. 38211-A Page 12 of 103 Pages s"" Item Quantity Unit Dollars Each LCG Landscape Approximate Quantity No. Description and Unit Price Total 28 Seed Mix "B" (Plots 1-4) 0,25 ACRE $ 4,733.17 $ 1,183.29 installed at Dollars per Acre 29 Seed Mix "C" (Plots 5 & 6) 0.5 ACRE $ 4,442.44 $ 2,221.22 installed at Dollars per Acre 30 Seed Mix "D" (Plots 8) 0.12 ACRE $ 3,580.00 $ 508.97 installed at Dollars per Acre 31 Seed Mix "E" (Plots 9, 10,11} 1.07 ACRE $ 4,241.45 $ 4,538.35 installed at Dollars per Acre 32 Baccharis salicifolia (1 gal) 76 EA $ 8-88 $ 674.88 installed at Dollars Each 33 Distichlis spicata (4" pot) 76 EA $ 4'50 $ 342.00 installed at Dollars Each 34 Salix exrgua (1 gai) installed 48 EA $ 8-89 $ 426.72 at Dollars Each 35 Iva hayesiana (1 gal) installed 39 EA $.. 9.00 $ 351.00 at Revised 5/01/07 Contract No, 38211-A Page 13 of 103 Pages LCG Landscape Approximate Item Quantity Unit No. Description and Unit Price Iota! 36 Carex spissa (4H pot) installed 25 EA $ 4-50 $ 112.50 at o Dollars Each 37 Juncusa. lepopldii (1 gal) 25 EA $ 9.10 $ 227.50 installed at Dollars Each 38 Salix gooddlngii (30" cutting 41 EA $ 10-08 $ 413.28 harvested from site) installed at Dollars Each 39 Safix fasiolepis (30" cutting 152EA $ 10-08 $ 1,532.16 harvested from site) installed at Dollars Each 40 Typha lattfotia (1 gat) installed 75 EA $ 9.00 $ 675.00 at Dollars Each 41 Sciprus acutus var. 75 EA $ 9'05 $ 678.75 Occidentalis (1 gal) installed at Dollars Each MISCELLANEOUS 42 RevegetationSigns(12'x 15EA $... 46.00 $ 690.00 18", U-Bolts, Tee-Post) at Dollars Each Revised 5/01/07 Contract No. 38211-A Page 14 of 103 Pages LCG Landscape Item No. 43 Description Construction Fence, Plots 9- 11 at Approximate Quantity and Unit 705 LF $ Unit Price 3.82 Total $ 2,693.10 Dollars per Linear Foot 44 Construction Fence, Staging/Storage Areas at Dollars per Linear Foot 45 Tee-Post and Rope Environmental Fence at 360 LF $ 850 LF $ 3.82 1.80 1,375.20 $ 1,530.00 Dollars per Linear Foot 46 Straw Wattles, Plots 9-11, with Wooden Stakes at 1.150LF $ 2-13 $ 2,449.50 Dollars per Linear Foot 47 Minor Grading, Plots 9-11 (Small Tractor Work) at Dollars per Square Foot 48 Ripping Soil to 6" Deep at 49 Dollars Each 50 120-Day Maintenance, Irrigated at Dollars per Square Foot 3,000 SF $.. °-50 Dollars per Square Foot Collect Soil Samples; Provide Complete Analysis (Wallace or Clarkson Lab) at 46,600 SF $ 0-08 3 EA $... 150.00 58,900 SF $_0.08 $ 1,500.00 $ 3,728.00 450.00 $ 4,712.00 Revised 5/01/0?Contract No. 38211-A Page 15 of 103 Pages OPENED, WITNESSED AND RECORDED LCG Landscape Approximate Item Quantity No, Description and Unit 51 120-Day Maintenance, 46,600 SF $ 0.07 Non-Irrigated at Dollars per Square FootTotal amount of bid in words for Schedule "A": One Hundred Ninety-One Thousand Seven Hundred Nin.ety-S.evep. ppJLlars. and.Thirty-Six Cents Total amount of bid in numbers for Schedule "A": $ 191,797.36 _„_,„,..._. Price(s) given above are firm for 90 days after date of bid opening. Addendum(a) No(s),mNorie has/have been received and is/are included in this proposal. The Undersigned has carefully checked all of the above figures and understands that the District will not be responsible for any error or omission on the part of the Undersigned in preparing this bid. The Undersigned agrees that in case of default in executing the required Contract with necessary bonds and insurance policies within twenty (20) days from the date of award of Contract by the Board of Directors of the Carlsbad Municipal Water District, the District may administratively authorize award of the contract to the second or third lowest bidder and the bid security of the lowest bidder may be forfeited. The Undersigned bidder declares, under penalty of perjury, that the undersigned is licensed to do business or act in the capacity of a contractor within the State of California, validly licensed under license number 9 07 918 t classification C27 which expires on 12/31/09 , and that this statement is true and correct and has the legal effect of an affidavit, A bid submitted to the District by a Contractor who is not licensed as a contractor pursuant to the Business and Professions Code shall be considered nonresponsive and shall be rejected by the District § 7028.15(e). In all contracts where federal funds are involved, no bid submitted shall be invalidated by the failure of the bidder to be licensed in accordance with California law, However, at the time the contract is awarded, the contractor shall be properly licensed. The Undersigned bidder hereby represents as follows: 1. That no Board member, officer agent, or employee of the City of Carlsbad is personalty interested, directly or indirectly, in this Contract, or the compensation to be paid hereunder; that no representation, oral or in writing, of the Board of Directors, its officers, agents, or employees has inducted him/her to enter into this Contract, excepting only those contained in this form of Contract and the papers made a part hereof by its terms; and 2. That this bid is made without connection with any person, firm, or corporation making a bid for the same work, and is in all respects fair and without collusion or fraud. Accompanying this proposal is Bidder's Bond _(Cash, Certified Check, Bond or Cashier's Check) for ten percent (10%) of the amount bid. Revised 5/01/0? Contract No. 38211-A Page 18 of 103 Pages Check A License: Contractor's License Detail Page 1 of2 Skip to: CSLB Home | Content | Footer | Accessibility Search CSLB ( Department of Consumer Affairs GOV Contractors State License Board StllLDW OFFICIALS ' GENERAUNFO About CSLB Newsroom Board and CoiTIIYliitSB Meetings Disaster information Center CSLB Frequently Questions Online Services * Check A License or HIS Registration • Filing a Construction Complaint * Processing Times « Check Application Status * Search for a Surety Bond Insurance Company « Search for a Workers' Compensation Company How to Participate £fjt DISCLAIMER: A license status check provides information taken from the CSLB license database. Before relying on this information, you should be aware of the following limitations. • CSLB complaint disclosure is restricted by law (B&P 7124.6). If this entity is subject to public complaint disclosure, a link for complaint disclosure will appear below. Click on the link or button to obtain complaint and/or legal action information. • Per B&P 7071.17, only construction related civil judgments reported to the CSLB are disclosed. • Arbitrations are not listed unless the contractor fails to comply with the terms of the arbitration. • Due to workload, there may be relevant information that has not yet been entered onto the Board's license database. License Number: Business Information: Entity: Issue Date: Expire Date: License Status: Classifications: Bonding: 907918 Extract Date: 09/03/2008 L C G CORPORATION 127 BUSINESS CENTER DRIVE STE#C CORONA, CA 92880 Business Phone Number: (951) 549-0075 Corporation 12/12/2007 12/31/2009 This license is current and active. All information below should be reviewed. CLASS DESCRIPTION C27 LANDSCAPING CONTRACTOR'S BOND This license filed Contractor's Bond number 100037723 in the amount of $12,500 with the bonding company AMERICAN CONTRACTORS INDEMNITY COMPANY. Effective Date: 11/29/2007 http://www2.cslb.ca.gov/General-Information/interactive-tools/check-a-license/License+Detail.asp 09/03/2008 Check A License: Contractor's License Detail Page 2 of2 BOND OF QUALIFYING INDIVIDUAL Workers' Compensation: 1. The Responsible Managing Officer (RMO) VEERANAT RATANABHOKA certified that he/she owns 10 percent or more of the voting stock/equity of the corporation. A bond of qualifying individual is not required. Effective Date: 12/12/2007 This license has workers compensation insurance with the ENDURANCE REINSURANCE CORPORATION OF AMERICA Policy Number: WEN003493001 Effective Date: 12/03/2007 Expire Date: 12/03/2008 Personnel listed on this license (current or disassociated) are listed on other licenses. Consunt|g;| (ntractors |' l^^^yumeymen | fHpc Works | Building Officials | General Info :^ T)' CSLB Hon!g.:J;4G^8lti(3ns 6fUse {, Privacy | Contact CSLB Copyright © 2007 State of California http://www2.cslb.ca.gov/General-Information/interactive-tools/check-a-license/License+Detail.asp 09/03/2008 LCG Landscape The Undersigned is aware of the provisions of section 3700 of the Labor Code which requires every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and agrees to comply with such provisions before commencing the performance of the work of this Contract and continue to comply until the contract is complete. The Undersigned is aware of the provisions of the Labor Code, Part 7, Chapter 1, Article 2, relative to the general prevailing rate of wages for each craft or type of worker needed to execute the Contract and agrees to comply with its provisions. IF A SOLE OWNER OR SOLE CONTRACTOR SIGN HERE: N/A (1) Name under which business is conducted _ ________ _ _ (2) Signature (given and surname) of proprietor _ _ _ __ (3) Place of Business ___ City and State., (4) Zip Code _ ___ Telephone No (5) E-Mail _ (Street and Number) IF A PARTNERSHIP, SIGN HERE: N/A (1) Name under which business is conducted_ (2) Signature (given and surname and character of partner) (Note; Signature must be made by a general partner) (3), Place of Business _ City and State _ (4) Zip Code, (5) E-Mail (Street and Number) Telephone No. Revised 5/01/0?Contract No. 3821 1-A Page 17 of 103 Pages IF A CORPORATION, SIGN HERE: (1) Name under which business is conducted LCGCorporation dba LCG Landscape (Signature) President (Title) Impress Corporate Seal here (3) Incorporated under the laws of the Stateof California (4) Place of Business 127 Business Center Drive, Suite C „ (Street and Number) City and State Corona, CA (5) Zip Code 9288° Telephone No. (951) 549-0075 (6) E-Mail chrisweaver@lcgofcalifornia.com NOTARIAL ACKNOWLEDGMENT OF EXECUTION BY ALL SIGNATORIES MUST BE ATTACHED Revised 5/01/07 Contract No. 38211-A Page 18 of 103 Pages CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County of C_ before me personally appeared V ^ > I ("S^o•/ \\J> ' Uoa Here Insert Name1 and Title of the Officei Name(s) of Signer(s) ROBINS 1580372 NOTARY PUBLIC-CALIFORNIA ORANGE COUNTY to who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and Place Notary Seal Above WITN Signatu OPTIONAL official seal. Signature of Notary Public Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attache Title or Type of Document: Document Date: Signer(s) Other Than Named Above: \ I (j^- Capacity(ies) Claimed by Signer(s) Signer's Name? D Individual B^Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here Signer's Name: D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing:. RIGHT THUMBPRINT OF SIGNER Top of thumb here ©2007 National Notary Association • 9350 De Soto Ave., P.O. Box 2402 • Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toll-Free 1 -800-876-6827 LCG Landscape List below names of president, vice president, secretary and assistant secretary, if a corporation; if a partnership, list names of all general partners, and managing partners: Chris Weaver, President Veerenat Ratanabhoka, Secretary James Promlap, Treasurer No Vice President No Assistant Secretary oRevised 5/01/07 Contract No. 38211-A Page 19 of 103 Pages LCG Landscape BID SECURITY FORM (Check to Accompany Bid) MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A (NOTE: The following form shall be used if check accompanies bid.) N/A Accompanying this proposal is a "Certified "Cashiers check payable to the order of CARLSBAD MUNICIPAL WATER DISTRICT, in the sum of, . dollars ($ . ), this amount being ten percent (10%) of the total amount of the bid, The proceeds of this check shall become the property of the District, provided this proposal shall be accepted by the District through action of its legally constituted contracting authorities and the undersigned shall fail to execute a contract and furnish the required Performance, Warranty and Payment Bonds and proof of insurance coverage within the stipulated time; otherwise, the check shall be returned to the undersigned. The proceeds of this check shall also become the property of the District if the undersigned shall withdraw his or her bid within the period of fifteen (15) days after the date set for the opening thereof, unless otherwise required by law, and notwithstanding the award of the contract to another bidder. BIDDER *De!ete the inapplicable word. (NOTE: If the Bidder desires to use a bond instead of check, the Bid Bond form on the following pages shall be executed-the sum of this bond shall be not less than ten percent (10%) of the total amount of the bid,) Revised 5/01/07 Contract No. 38211-A Page 20 of 103 Pages Bid Bond No. 277622-11 BIDDER'S BOND TO ACCOMPANY PROPOSAL MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A KNOW ALL PERSONS BY THESE PRESENTS: That we, LCG Landscape 9S Principal, and American Contractors Indemnity Company. as Surety are held and firmly bound unto the Carlsbad Municipal Water District, California, in an amount as follows: (must be at least ten percent (10%) of the bid amount) Twenty Five Thpmand Three Hundred and 00/100 DollarsfOF WhlCH payment, WOll 8hd tlUty made, W6 bind OUfSelVeS, OUf heirs, executors and administrators, successors or assigns, jointly and severally, firmly by these presents. THE CONDITION OF THE FOREGOING OBLIGATION IS SUCH that if the proposal of the above- bounden Principal for: MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A in the City of Carlsbad, is accepted by the Board of Directors, and if the Principal shall duly enter into and execute a Contract including required bonds and insurance policies within twenty (20) days from the date of award of Contract by the Board of Directors of the Carlsbad Municipal Water District of the City of Carlsbad, being duly notified of said award, then this obligation shall become null and void; otherwise, it shall be and remain in full force and effect, and the amount specified herein shall be forfeited to the said District. In the event Principal executed this bond as an individual, it is agreed that the death of Principal shall Revised 5/01 /07 Contract No. 38211 -A Page 21 of 103 Pages not exonerate the Surety from its obligations under this bond. Executed by PRINCIPAL this Rrd day of PRINCIPAL: LCG Landscape (name of Principal) By: (print name here) A / A/ (print name here) *e(title and organization of signatory) Executed by SURETY this of August 29th ,day SURETY: American Contractors Indemnity Company (name of Surety) (Title and Organization of Signatory) By: (sign here) 625 The City Drive South #130, Orange, CA 92868 (address of Surety) 800-316-5695 gnature of Attorney-in-Fact) Shaunna Rozelle Burchfiel, Attorney-In-Fact (printed name of Attorney-in-Fact) (Attach corporate resolution showing current power of attorney.) (Proper notarial acknowledgment of execution by PRINCIPAL and SURETY must be attached.) (President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering that officer to bind the corporation.) APPROVED AS TO FORM: RONALD R. BALL General Counsel Revised 5/01/07 Contract No. 38211-A Page 22 of 103 Pages ^PB^-™. t ACKNOWLEDGMENT State of California County of Los Angeles On August 29th, 2008 before me, Traci Larson, Notary Public (insert name and title of the officer) personally appeared Shaunna Rozelle Burchfiel, Attorney-in-Fact who proved to me on the basis of satisfactory evidence to be the person£g} whose subscribed to the within instrument and acknowledged^ me that he/|h^/they executed the same in hiSirfiefhheir authorized capacity£j0s), and that by hi^he//their signature^ on the instrument the person(sf, or the entity upon behalf of which the person^) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature •+*«»««««»««+44*«++*4*««*» TRACI LARSON * COMM# 1642285 £ NOTARY PUBLIC-CALIFORNIA 2 LOS ANGELES COUNTY ^2Trifili;!lli£iI!i>lani!i.20.1oj (Seal) American Contractors Indemnity Company 9841 Airport Blvd., 9tn Floor Los Angeles, California 90045 POWER OF KNOW ALL MEN BY THESE PRESENTS: That American Contractors Indemnity Company of the State of California^ a California corporation, does hereby appoint, George Burchfiel, Shaunna Rozelle Burchfiel, or Veronica L. Pratt of Corona, California its true and lawful Attomey(s)-in-Faets withflill authority to execute on its behalf bonds, undertakings, recognizances artf ether contracts of indemnity and writings obligatory in the nature thereof, issued in the course of its business and to bind the Company thereby, in an Amount sot te*neeed $ *** 3,000,000.00 *** . ThipJowsr eff Attoaiiy shall expire without furthef wdta on Juse 29, 2009. This Power of Attorney is granted and is signed and sealed by facsimile under arafby the authority of the following Resolution adopted by the Board of Directors of AMERICAN CONTRACTORS INDEMNITY COMPANY at a meeting duly called and held an the 6* day of December, 1990. "RESOLVED that the Chief Executive typcer, Presidentm-any Vice President, Executive Vice President, SecteiaiyorAssjs&mfiSeere&ify^haUhave the power and authority 1, f& appoint Attorney(s)-in-Fact and to authorize therm-fa exeeut&GBitehay^Bf Ik&fompany, and attach the seal of the Company thefsto, tssnds- andundertakings, contracts of indemnity andotherwritingsobS^afaeg if&ewsture thereof and, 2. lo remove, at any time, any such Attomey-in-Fact and revoke the,mffeorUygivGf, RESOLVED FURTHER, that the signatures of such officers and the seal of the Company may be affixed ta any suchJtswer efMe&iey or certificate relating thereto by facsimile, and any such Fewetrsf AWgmey or certificate bearing such facsimile signature^ne jsesiisHe seal stfH bmndV and bmijiltg upon the Company and any suebpswer so ejceeuiefanfcertified by facsimile signatures and facsimile seal shaJUs valid and binding upon the Company in the future with respect to any tend or undertaking t&wtich it is attached." IN WITNESS^ WHEREOF, American Contractors Indemnity Company has caused iis=seal to be affixed hereto and executed by its Executive- Vise President on the 9th day of January, 2007. INDEMNITY COMPANY By:. STATE OF CALIFORNIA T»^---^."7 ^ Adam S. Pessin, ExecutiveHitJe COUNTY OF LOS ANGELES _ On this 9th day of January, 2007, before me, Steve Fedunak ^a notary public, personally appeared Adam S. Pessin Executive Vice President irf American Contractors Indemnity Company , personally kaswstose (srjMSserffJo me oa the basis Of Satisfactory evidence) ta be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his?her/tiieir authorized capacity(ies), and that by his/her/their sipatureCsJsntheiJastrfflHgnt the persoti(s), or the entity upftti behalf of which the person(s) acted, executed the instrument. _ A ^^^^ ^ ^ ^^^t ^ t ^ ^ ^^AA WITNESS mv hand and official seal. Signature of Notary My ComfaissieB spires June 29.2009 I, Jeannie*?. ^fa, Corporate Secretary of American ContractoreJhiierrMty Campany^lalfereby certify that the Powpr of Attorney and fee resolution adopted by the Board of Directors of said Company as set forth above, are true and correct transcripts thereof" and that neither the said Power of Attorney nor die resokitioahavefeeen revoked and they are now in fell force and effect IN WITNESS HEREOF, I save hesunte^etaylianffihis day of C 0 .BondNo. rTi y <<?-<**' ']( Agency No.101 13 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County ofC JT^/VVJ/-—^ On S\ personally appeared before me, XS Here iHsert Name and TiU6 of thte Offi Name(s) of Signer(s) LORI ROBINSON COMM,# 1530372 % NOTARY PUBLIC-CALiFORNIA ft r ORANGE COUNTY^IO HyComm. Expires JUNE 17, who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correc Place Notary Seal Above WITNE Signaturl OPTIONAL icial seal. Signalu^st,Notary Public Though the information below is not required by law, it may prove valuable to persons relying on the docui and could prevent fraudulent removal and reattachment of this form to another document. Description of Attache Title or Type of Docu Document Date: Signer(s) Other Than Named Above Kuirtent : \ foere ryg-V" Capacity(ies) Claimed by Signer(s) Signer's Name: D Individual (T^b-^ * J ^ Corporate Officer — Title(s):%^S_C^Q D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is,Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here j/g Signer's Name: D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here ©2007 National Notary Association • 9350 De Soto Ave., P.O. Box 2402 •Chatsworth, CA 91313-2402-www.NationalNotary.org Item #5907 Reorder: CallToll-Free 1-800-876-6827 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County personally appeared Name(s) of Signer(s) LOR! ROBINSON COMiV!, # 1580372 NOTARY PUBLIC-CALIFORNIA J ORANGE COUNTY J My Comm. Expiras JUNE 17, 2009 who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and WIT! Place Notary Seal Above Sign OPTIONAL official seal. ilgnafOtakpf NolSigiNotary Public Though the information below is not required by law, it may prove valuable to persons relying on and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached-Document<fS\ "Title or Type of Document: <—>*» Document Date: the docuiiment Signer(s) Other Than Named Above: Number of Pages: Capacity(ies) Claimed by Signer(s) Signer's Name: D Individual ^ Corporate Officer — in Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: Signer's Name:_ D Individual RIGHT THUMBPRINT OF SIGNER 'X^r n Corporate Officer — Title(s):. Top of thumb here D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHTTHUMBPRINT OF SIGNER Top of thumb here ©2007 National Notary Association • 9350 De Soto Ave., RO. Box 2402 • Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toil-Free 1 -800-876-6827 Company Profile Page 1 of 1 Company Profile AMERICAN CONTRACTORS INDEMNITY COMPANY 9841 AIRPORT BLVD, 9TH FLOOR LOS ANGELES, CA 90045 310395733136 Agent for Service of Process JEANNIE J. KIM, 9841 AIRPORT BLVD. 9TH FLOOR LOS ANGELES, CA 90045 Unable to Locate the Agent for Service of Process? Reference Information NAIC Group #: 0984 Date authorized in California: May 23, 1994 Wlinse^nis; ' 7», -^,m*t£: UNL'jygW Company Type: Property & Casualty Lines of Insurance Authorized to Transact ! company is authorized to transact business within these lines of insurance. For an explanation of any of these terms, please refer to the SURETY Company Complaint Information Company Enforcement Action Documents Company Performance & Comparison Data Composite Complaint Studies Want More? Help Me Find a Company Representative in My Area Financial Rating Organizations Last Revised - June 27, 2008 09:13 AM Copyright © California Department of Insurance http://interactive.web.insurance.ca.gov/webuser/idb_co_prof_utl.get_co_prof?p_EID=r70264 09/03/2008 LCG Landscape GUIDE FOR COMPLETING THE "DESIGNATION OF SUBCONTRACTORS" FORM REFERENCES Prior to preparation of the following "Subcontractor Disclosure Form" Bidders are urged to review the definitions in section 1-2 of the General Provisions to this Contract, especially, "Bid", "Bidder", "Contract", "Contractor", "Contract Price", "Contract Unit Price", "Engineer", "Own Organization", "Subcontractor", and "Work". Bidders are further urged to review sections 2-3 SUBCONTRACTS of the General Provisions. CAUTIONS This form will be used by the Agency to determine the percentage of work that the Bidder proposes to perform. Bidders are cautioned that failure to provide complete and correct information may result in rejection of the bid as non-responsive. Any bid that proposes performance of more than 50 percent of the work by subcontractors or otherwise to be preformed by forces other than the Bidder's own organization will be rejected as non-responsive. Specialty items of work that may be so designated by the Engineer on the "Contractor's Proposal" are not included in computing the percentage of work proposed to be performed by the Bidder, INSTRUCTIONS The Bidder shall set forth the name and location of business of each and every subcontractor whom the Bidder proposes to perform work or labor or render service in or about the work or improvement, and every subcontractor licensed as a contractor by the State of California whom the Bidder proposes to specially fabricate and install any portion of the work or improvement according to detailed drawings contained in the plans and specifications in excess of one-half of one percent (0.5%) of the Bidder's total bid or, in the case of bids or offers for the construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($10,000) whichever is greater. Said name(s) and location(s) of business of subcontractor(s) shall be set forth and included as an integral part of the bid offer. The Designation of Subcontractors form must be submitted as a part of the Bidder's sealed bid. Failure...to... provide complete and correct information may result in rejection ofjhe bid as non- responsiye, Suppliers of materials from sources outside the limits of work are not subcontractors. The value of materials and transport of materials from sources outside the limits of work, as shown on the plans, shall be assigned to the Contractor or the Subcontractor as the case may be, that the Bidder proposes as installer of said materials. The value of material incorporated in any Subcontractor- installed bid item that is supplied by the Bidder shall be included as a part of the work that the Bidder proposes to be performed by the Subcontractor installing said item. When a Subcontractor has a Carlsbad business license, the number must be entered on the proper form. If the Subcontractor does not have a valid business license, enter "NONE" in the appropriate space. When the Bidder proposes using a Subcontractor to construct or install less than 100 percent of a bid item, the Bidder shall attach an explanation sheet to the Designation of Subcontractor form. The explanation sheet shall clearly apprise the District of the specific facts that show the Bidder proposes to perform no less than fifty percent (50%) of the work with its own forces. Revised 5/01/07 Contract No. 38211-A Page 23 of 103 Pages LCG Landscape Determination of the subcontract amounts for purposes of award of the contract shall be determined by the Board of Directors in conformance with the provisions of the contract documents and the various supplemental provisions. The decision of the Board of Directors shall be final, Contractor is prohibited from performing any work on this project with a subcontractor who is ineligible to perform work on a public works project pursuant to Labor Code Sections 1771.1 or 1777,7. Bidders shall make any additional copies of the disclosure forms as may be necessary to provide the required information. The page number and total number of additional form pages shall be entered in the location provided on each type of form so duplicated. Revised 5/01/0? Contract No. 38211-A Page 24 of 103 Pages LCG Landscape DESIGNATION OF SUBCONTRACTOR AND AMOUNT OF SUBCONTRACTOR'S BID ITEMS (To Accompany Proposal) MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A The Bidder certifies that it has used the sub-bid of the following listed subcontractors in preparing this bid for the Work and that the listed subcontractors will be used to perform the portions of the Work as designated in this list in accordance with applicable provisions of the specifications and section 4100 et seq. of the Public Contract Code, "Subletting and Subcontracting Fair Practices Act." The Bidder further certifies that no additional subcontractor will be allowed to perform any portion of the Work in excess of one-half of one percent (0.5%) of the Bidder's total bid, or in the case of bids or offers for construction of streets and highways, including bridges, in excess of one-half of one percent (0.5%) or ten thousand dollars ($10,000), whichever is greater, and that no changes in the subcontractors listed work will be made except upon the prior approval of the Agency. SUBCONTRACTOR'S BID ITEMS . 'taton of Work Clearing & Grubbing Excavation & Export Ripping Soil Construction Staking/ Surveying Hydroseeding SUbcontrac'tor Name and .: : Location of Business South Coast Grading P.O. Box 890997 Temecula, CA 92589 Guida Surveying, Inc. 79440 Corporate Center Dr., #114 La Quint a, CA 952 53 Pacific Rim Hydroseeding 28319 Valley Center Road Valley Center, CA 92082 Subcontractor's • UeMttft£k». urn! • ;Cfasslfieirti*m* ' 463990 A "' 7076 N/A """" 886257 D-59 Amount of ' Work by Subcontractor • In Dollars* $79,837.00 $8,488. 00 $9, 090.10 Page of pages of this Subcontractor Designation form Pursuant to-section 4104 (a)(2)(A) California Public Contract Code, receipt of the information preceded by an asterisk may be submitted tjy the Bidder up to 24 hours after the deadline for submitting bids contained in the "Notice inviting Bids." COPY Revised 6/01/0?Contract No. 38211-A Page 25 of 103 Pages LCG Landscape BIDDER'S STATEMENT OF TECHNICAL ABILITY AND EXPERIENCE (To Accompany Proposal) MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A The Bidder is required to state what work of a similar character to that included in the proposed Contract he/she has successfully performed and give references, with telephone numbers, which will enable the City to judge his/her responsibility, experience and skill. An attachment can be used. Date Contract Completed ! Name and Address of the Employer See Attached Name and Phon© No. of Person to Contract Typa of Work 1 ,„„„„„,„ — i Amoynt 1 of 1 Contract !; COPY Revised 5/01/07 Contract No. 38211-A Page 26 of 103 Pages LCG Landscape Reference List Covote Canvon Fontana. CA Sally Davis Phone: (949)837-0404 Fax: (949)837-5834 Owner: Centex Homes Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $427,146.00 12.26 acres of riversidian sage scrub and wetlands habitats revegetation including irrigation installation, planting, seeding and maintenance. Period of Performance 5/08 - Present Four Seasons Beaumont, CA Sally Davis Phone: (949)837-0404 Fax: (949)837-5834 Owner: K. Hovnanian Homes Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $341,824.00 Maintenance of 22 acres of riparian, chaparral and riversidian sage scrub habitats Period of Performance 7/08 - Present Lake Los Serranos Chino Hills. CA Jay Greening Phone: (909) 597-1791 Fax: (909)597-1791 Owner: Lake Los Serranos Company Lake Los Serranos Company 158111 Pipeline Avenue Chino Hills, CA 91709 Contract Amount: $134,456.50 2.5 acre riparian and upland restoration including planting, irrigation installation, erosion control and maintenance. Period of Performance 11/07 - Present Tesoro High School Mission Vieio. CA Sally Davis Phone: (949)837-0404 Fax: (949)837-5834 Owner: San Juan Capistrano Valley School District Maintenance of 2.5 acres of coastal sage scrub habitat. Period of Performance 2/08 - Present Tesoro High School Exotics Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $12,504.00 Mission Vieio. CA Sally Davis Phone: (949)837-0404 Fax: (949)837-5834 Owner: San Juan Capistrano Valley School District Removal of 1.35 acres of Spanish Sunflower Period of Performance 2/08 - Present Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $7.380.00 f Seneca Springs Beaumont. CA Stuart Hatch Phone: (949) 261-5789 Fax: (949)261-6153 Owner: Empire Homes Maintenance of 12 acres of riparian and wetlands habitats. Period of Performance 6/08 - Present Presidio Riverside Empire Homes 20 Corporate Park, Suite 240 Irvine, CA 92606 Contract Amount: $110,400.00 Riverside. CA Stuart Hatch Phone: (949) 261-5789 Fax: (949)261-6153 Owner: Empire Homes Maintenance of 2 acres of riparian habitat. Period of Performance 6/08 - Present Chino Majestic Empire Homes 20 Corporate Park, Suite 240 Irvine, CA 92606 Contract Amount: $28,800.00 Chino. CA Ann Guithues Bender Phone: (562) 692-9581 Fax: (562)695-0441 Owner: Majestic Management Co. Majestic Management Co. 13191 Crossroads Pkwy North City of Industry, CA 91746 Contract Amount: $46,540.00 Initial weed removal, planting, seeding and maintenance of 1.6 acres of wetland and CSS habitat. Period of Performance 1/08 - Present San Miguel Ranch Chula Vista. CA Sally Davis Phone: (949)837-0404 Fax: (949)837-5834 Owner: Trimark Pacific Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $22,246.00 Maintenance of 2.34 acres of wetlands and coastal sage scrub habitat. Plus 10,000 sf of perennial pepperweed control. Period of Performance 5/08 - Present Amberhill Corona. CA Alisa Flint Phone: (949)837-0404 Fax: (949)837-5834 Owner: Amberhill Four, Inc. Maintenance of 0.69 acres of riparian habitat. Period of Performance 7/08 - Present Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $23,460.00 r Whittier Narrows El Monte. CA Sally Davis Phone: (949)837-0404 Fax: (949)837-5834 Owner: City of La Habra Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $15,600.00 5 acres of arundo removal and maintenance of riparian habitat Period of Performance 5/08 - Present Lake Forest Drive Lake Forest. CA Alisa Flint Phone: (949)837-0404 Fax: (949)837-5834 Owner: Irvine Company Maintenance of 0.2 acres of riparian habitat. Period of Performance 7/08 - Present Glenn Lukos Associates 29 Orchard Lake Forest, CA 92630 Contract Amount: $4,200.00 Dohenv North Creek Dana Point. CA Julie Fontaine Phone: (949) 246-3117 Fax: (760)231-9500 Owner: COM Development EARSI -.nd223 62™ Street Newport Beach, CA 92663 Contract Amount: $11,165.00 Maintenance of 0.25 acres of sand dune and riparian habitats. Period of Performance 12/07 - Present Talega San Clemente. CA Julie Fontaine Phone: (949) 246-3117 Fax: (760)231-9500 Owner: COM Development Maintenance of 0.9 acres of riparian and wetland habitats. Period of Performance 12/07 - Present EARSI 223 62nd Street Newport Beach, CA 92663 Contract Amount: $12,500.00 LCG Landscape BIDDER'S CERTIFICATE OF INSURANCE FOR GENERAL LIABILITY, EMPLOYERS' LIABILITY, AUTOMOTIVE LIABILITY AND WORKERS' COMPENSATION (To Accompany Proposal) MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A As a required part of the Bidder's proposal the Bidder must attach either of the following to this page. 1) Certificates of insurance showing conforrnance with the requirements herein for each of; D Comprehensive General Liability D Automobile Liability G Workers Compensation D Employer's Liability 2) Statement with an insurance carrier's notarized signature stating that the carrier can, and upon payment of fees and/or premiums by the Bidder, will issue to the Bidder Policies of insurance for Comprehensive General Liability, Automobile Liability, Workers Compensation and Employer's Liability in conforrnance with the requirements herein and Certificates of insurance to the Agency showing conforrnance with the requirements herein. All certificates of insurance and statements of willingness to issue insurance for auto policies offered to meet the specification of this contract must: 1) Meet the conditions stated in The Notice Inviting Bids and the General Provisions for this project for each insurance company that the Contractor proposes. 2} Cover any vehicle used in the performance of the contract, used onsite or off site, whether owned, non-owned or hired, and whether Scheduled or non-scheduled. Revised 5/01/07 Contract No. 38211-A Page 27 of 103 Pages iu LOUIS Kiein ins Y e. ACQfflX CERTIFICATE OF LIABILITY INSURANCE 1 fl/S/Sooa P?RC1E)CER Louis Klein Insurance Agency1451 S. Rimpau #202 Corona, CA 92879 951-272-3860 INSURED LCG Corporation 127 Business Center Dr. #C Corona, Ca 92880 i THIS CERTIFICATE IS ISSUED AS A MATTER OF INFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. INSURERS AFFORDING COVERAGE INSURER*: Gemini Insurance Co. NAIC* INSURERS: United Financial Casualty I INSURER C: ' INSURER D: INSURER E: COVERAGES ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER DOCUMENT WITH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR MAY PERTAIN, THE INSURANCE AFFORDED BY THE POLICIES DESCRIBED HEREIN IS SUBJECT TO ALL THE TERMS, EXCLUSIONS AND CONDITIONS OF SUCH POLICIES. AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS. WSR Attb'L LTK UNSRD A B X ; ! i TYPE OF INSURANCE POLICY NUMBER ; DATE(MM/DD/YY) GENERAL LIABILITY X 1 COMMERCIAL GENERAL LIABILITY j J CLAIMSMADE | X ! OCCUR GEN'L AGGREGATE LIMIT APPLIES PER 1 1 1 oon I 1 1 POLICY] 'JECT 1 ILOC AUTOMOBILE LIABILITY ANY AUTO X ALL OWNED AUTOS X SCHEDULED AUTOS X HIRED AUTOS X NON OWNEDAUTOS GARAGE LIABILITY ANY AUTO EXCESS/UMBRELLA LIABILITY | OCCUR 1 1 CLAIMSMADE DEDUCTIBLE ! RETENTION * WORKERS COMPENSATION AND EMPLOYERS' LIABILITY AMY PROPRIETOfttPARTNER/TiXECUnVEOFFKJEHMEMBER EXCUJOeO? If yas. describe underSPECIAL PROVISIONS below OTHER i VCGPO 16074 06107962-0 i i I 06-11-08 12-12-07 ^^Mwaorm" 06-11-09 12-12-08 LIMITS EACH OCCURRENCE UAMAUE IU RfcN IfcU PREMISES (Ea occuw.ce) MEO eXP (Any ono person) PERSONAL &ADVINJURY GENERAL AGGREGATE 1,000,000 50,000 5,000 1,000,000 2,000,000 PRODUCTS - COMP/OP AGG \ 1,000,000 Ii COMBINED SINGLE LIMIT<Ea accident) BODILY INJURY ;P« person) BODILY INJURY (Per accident) PROPERTY DAMAGE (Per accident) AUTO ONLY - EA ACCIDENT OTHER THAN ^ ACC AUTOONt.Y: AQG EACH OCCURRENCE AGGREGATE I WCSTATU- I IOTHITORYLIMITSl 1 ER E.L. EACH ACCIDENT E.L. DISEASE - EA EMPLOYE EL. DISEASE - POLICY LIMIT s 1,000,000 $ * $ s $ *s $ J 1 t $ 1 4 DESCRIPTION OF OPERATIONS / LOCATIONS / VEHICLES ' EXCLUSIONS ADDED BY ENDORSEMENT/ SPECIAL PROVISIONS :: The City of Carlsbad, its officials, employees and volunteers named as • additional insureds per attached endorsement. Project: Mitigation Landscape improvements Lake Calavera Remedial Improvements i Project, Bid No. PWS09-01 ENG, Project No, 38211-A CERTIFICATE HOLDER ! ; City of Carlsbad Public Works Purchasing Dept. 1635 Faraday Avenue Carlsbad, Ca. 92008-7314 Attn: Kevin Davis BfCCtT CANCELLATION SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WILL ENDEAVOR TO MiflP DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT. BUT FAILURE TO DO SO SHAU. IMPOSE NO OBLIGATION OR LIABILITY OF ANY KIND UPON THE INSURER. IIS AGENTS OR REPRESENTATIVES.^ j*if\ * AUTHORIZEbl ^ E^W/V«^f ^*"t^^ /£J*Ar*l"i ACORO 25(2001/08)<§> ACORD CORPORATION 1988 COPY tfijH iuuis Mem m» yj\c.tcvi Policy Number: VCGP016074 VE °224 W6 °6 Insured Name; LCQ Corporation Number; Effective Daiu: 06/11/2008 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. ADDITIONAL INSURED—OWNERS, LESSEES OR CONTRACTORS- SCHEDULED PERSON OR ORGANIZATION—INCLUDING PRODUCTS- COMPLETED OPERATIONS (AMENDED) This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART PRODUCTS/COMPLETED OPERATIONS LIABILITY COVERAGE PART SCHEDULE For a flat fully earned additional premium of Name of Person or Organization: The City of Carlsbad, its officials, employees and volunteers improvements Lake Calavera Remedial Improvements^ .,,..,, -..^K i ; ; ;- \\ \ L. ;.. • ' ,- (If no entity ajspears^i&^ilSfoiffiationreqiured to complete this endorseraeat will be shown in the Declarations as applicable to (his endorsement.) A) Section II - Who Is An Insured is amended to include as an insured the person or organization shown in the Schedule, but only with respect to liability caused by your ongoing and completed operations performed for that insured. B) With respect to the insurance afforded to these additional insureds, the following exclusions are added: 2) Exclusions a) This insurance does not apply to "bodily injury" or "property damage" arising out of "y°ur work" that has been completed by or for you prior to the Policy Period. "Your work" will be deemed completed at the earliest of the following times: (1) When all of the work called for in your contract has been completed. (2) When all of the work to be done m the job site has been completed 1 1" youi contract calls for work at more than one job site. (3) When that part of the work done at a job site has been put to its intended use VE 0224 0606 __„.,„_ - „ , ..Page 1 01 2ITC tuww ,"M ,v i,.^ ^u.s *ICIM nra rj.ticuf.3 by any person or organization other than another contractor or subcontractor working on the same project. Work that may need service, maintenance, correction, repair or replacement, but which is otherwise complete, will be treated as completed. b) This insurance does not apply to liability caused by the sole negligence onlv person or organization shown in the Schedule. .'J'sjii '.'•-.,. . • •• J( ! .1 UJ?*™* VE 0224 06 06 iv- iu it tuuis Mem ins PoHcy Number: VCGP016074 Insured Name: LCG Corporation Number: VE 0116 01 02 Effective Date: 06/ 1 1 /2008 THIS ENDORSEMENT CHANGES THE POLICY. PLEASE READ IT CAREFULLY. AMENDMENT PRIMARY WORDING This endorsement modifies insurance provided under the following: COMMERCIAL GENERAL LIABILITY COVERAGE PART PRODUCTS/COMPLETED OPERATIONS LIABILITY COVERAGE PART it is agreed that this policy shall be considered primary to any similar insurance held by third parties in respect of work performed by you, under written contractual agreemem(s) with said third parlies. The third party(ies) to whom this endorsement applies is as follows: The City of Carlsbad, its officials, employees and volunteers Project: Bid No. PWS09-01 ENG, Project No. 38211-A VE 01 16 01 02 DPage I oi CUUO" IU" IU I I:33 LOUIS KLEIN INS AGY 1451 S RIMPAU #202 CORONA, CA 92879 Mem ins \c.icvt r o PROGRESSIVE LCG CORP 127 BUSINESS CT DR#C CORONA, CA 92880 Additional insured endorsement Name of Person or Organization The City of Carlsbad, its officials, employees and volunteers. Policy number; 06107962-0 Underwritten oy: United Financial Casualty Company insured: LCG COR? September! 6.2008 Policy Period: Dec 12,2007 - Dec ;2, 2008 Mailing Address United Financial Casualty Company TO Box 94739 Gevesand.OH44':01 800-444-44*7 For customer ieivics, 24 hour:; a day, 7 days a wee* The person or organization named above is an insured with respect to such liability coverage as is afforded by the policy, but this insurance applies to said insured only as a person liable for the conduct of another insured and then only to the extent of that liability. We also agree with you that insurance provided by this endorsement will be primary for any power unit specifically described on the Declarations Page. Not applicable Not applicable $1,000,000 each accident Limit of Liability Bodily injury Property Damage Combined Liability All other terms, limits and provisions of this policy remain unchanged, This endorsement applies to Policy Number: 06107962-0 Issued to (Name of Insured): LCG CORP Effective date of endorsement: 09/15/2008 Policy expiration date: 12/12/2008 Project: Mitigation Landscape improvements Lake Calavera Remedial Improvements Bid No. PWS09-01 ENG, Project No. 38211- Oct 10 2008 9:15RM flltamont Insurance 209-835-7395 ACOffl?m CERTIFICATE OF LIABILITY INSURANCE DATEOAWDCWVW) 10/090008 PRODUCER Phone: (2»| 835-8395 F«K (208)035-7305 ALTAMONT INSURANCE BROKERS, INC. 4598 S. TRACY BLVD. STE. 120 TRACY CA 95377 Aosncy Uc* OC1SOM THIS CEMTRtCATE IS ISSUED AS A MATTER OF MFORMATION ONLY AND CONFERS NO RIGHTS UPON THE CERTIFICATE HOLDER. THIS CERTIFICATE DOES NOT AMEND, EXTEND OR ALTER THE COVERAGE AFFORDED BY THE POLICIES BELOW. IN HJRER8 AFFORDING COVERAGE MAIC* INSURED LCG CORPORATION 127 BUSINESS CENTER DRIVE SUITE C CORONA CA 92880 INSURER A: Endurance Reinsurance Corporation of America INSURERS: INSJRERC INSJRERD: INSJREHE: COVERAGES THE POLICES OF INSURANCE LISTED BELOW HAVE BEEN ISSUED TO THE ANY REQUIREMENT, TERM OR CONDITION OF ANY CONTRACT OR OTHER MAY PERTAIN. THE W8URANCE AFFORDED BY WE POLICIES OE8CRBED HEREIN POUClEa AGGREGATE LIMITS SHOWN MAY HAVE BEEN REDUCED BY PAID CLAIMS, INSURED NAMED ABOVE FOR THE POLICY PERIOD INDICATED, NOTWITHSTANDING DOCUMENT VWTH RESPECT TO WHICH THIS CERTIFICATE MAY BE ISSUED OR IS SUBJECT TO ALL THE TERMS. EXCLUSIONS AMD CONDITIONS OF SUCH INSR ADOlLTR TYPE OF MSURANCE GENBRAL LIABILITY COMMERCIAL GENERAL LIABLITY CIAJM8MADE[~~| OCCUR SEN! AGGREGATE LIMIT APPLIES PER:g£n POUCY NUMBER LUSTS EACHOCCURREMCE DAMAOE TO RENTED MED EXP [Any one pif«on) PERSONAL « ADV HIURY GENERAL AGGREGATE PROOUCT8-COMP/OPAGG AUTOMOBILE LIABILITY ANY AUTO ALL OWNED AUTOS SCHEDULED AUTOS HIRED AUTOS NON-OWNED AUTOS COMBINED SINGLE LIMIT(EBKcfdent) BODILY MJURY (Perperwn) BODILY INJURY PROPERTY DAMAGE OARAGE UABMJTY ANY AUTO AUTO ONLV - £A ACCIDENT OTHER THAN AUTO ONLY. EAAQC AGO eXCCSS/UNBREUAIJABIurY ~^j OCCUR |~~| CLAIMS MADE EACH OCCURRENCE AQGREOATE DEDUCTIBLE RETENnONS WORKERS COMPENSATION AND EMPLOYERS' UA8UTY MRTfenEXtCUTIVIDCCLUPEO? WEN0034SWWJ1 12/03/07 12/03/08 WQ CTA1V- I TORY UMffg OTHER E.L.EACHACCOENT I.WQjOOO S.L. OISEASE-CA EMPLOYEE 1,000,000 E.L. DffiEAS&POUCr UMTT 1,000,000 OTHER: DESCRIPTION OF OPERATION3/UOCATION3WEHICLES/EXCLUSIONJ ADDED BY ENDORSEMENT/ SPECIAL PROVISIONS "PROOF OP INSURANCE ONLY 'JOB REF: MITIGATION LANDSCAPE PROJECT *BID#: PWS094I1ENO, PROJECT #: 38211-A IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS CERTIFICATE HOLDER CANCELLATION CITY OF CARLSBAD PUBLIC WORKS PURCHASING DEPARTMENT 1635 FARADAY AVE. CARLSBAD, CA. 92008-7314 Attention: KEVM DAVIS SHOULD ANY OF THE ABOVE DESCRIBED POLICIES BE CANCELLED BEFORE THE EXPIRATION DATE THEREOF, THE ISSUING INSURER WLL ENDEAVOR TO MAI. 10 DAYS WRITTEN NOTICE TO THE CERTIFICATE HOLDER NAMED TO THE LEFT, BUT FAILURE TO DO 80 SHALL IMPOSE NO OBLIGATION OR UABUTY OF ANY KIND UPON THE INSURER.rr a AGENTS OR REPRESENTATIVES. « ACORD CORPORATION 1988 BIDDER'S STATEMENT RE DEBARMENT (To Accompany Proposal) MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A 1) Have you or any of your subcontractors ever been debarred as an irresponsible bidder by another jurisdiction in the State of California? x yes no 2) If yes, what was/were the narne(s) of the agency(ies) and what was/were the period(s) of debarment(s)? Attach additional copies of this page to accommodate more than two debarments. N/A party debarred party debarred agency agency S,,,,: period of debarment period of debarment BY CONTRACTOR: LCG Landscape (name of Contractor) By: (sign here) Chris Weaver, President (print name/title) of pages of this Re Debarment form Revised 5/01/07 Contract No. 38211-A Page 28 of 103 Pages BIDDER'S DISCLOSURE OF DISCIPLINE RECORD (To Accompany Proposal) MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A Contractors are required by law to be licensed and regulated by the Contractors' State License Board which has jurisdiction to investigate complaints against contractors if a complaint regarding a patent act or omission is filed within four years of the date of the alleged violation. A complaint regarding a latent act or omission pertaining to structural defects must be filed within 10 years of the date of the alleged violation. Any questions concerning a contractor may be referred to the Registrar, Contractors' State License board, P.O. Box 26000, Sacramento, California 95826. 1) Have you ever had your contractor's license suspended or revoked by the California Contractors' State license Board two or more times within an eight year period? x yes no 2) Has the suspension or revocation of your contractor's license ever been stayed? N/A yes no 3) Have any subcontractors that you propose to perform any portion of the Work ever had their contractor's license suspended or revoked by the California Contractors' State license Board two or more times within an eight year period? x yes no 4) Has the suspension or revocation of the license of any subcontractor's that you propose to perform any portion of the Work ever been stayed? N/A yes no 5) If the answer to either of 1, or 3, above is yes fully identify, in each and every case, the party disciplined, the date of and violation that the disciplinary action pertain to, describe the nature of the violation and the disciplinary action taken therefore. N/A (If needed attach additional sheets to provide full disclosure.) •*•of 2 pages of this Disclosure of Discipline form Revised 5/01/07 Contract No. 38211 -A Page 29 of 103 Pages LCG Landscape BIDDER'S DISCLOSURE OF DISCIPLINE RECORD (CONTINUED) (To Accompany Proposal) MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A 6) If the answer to either of 2. or 4, above is yes fully identify, in each and every case, the party who's discipline was stayed, the date of the violation that the disciplinary action pertains to, describe the nature of the violation and the condition (if any) upon which the disciplinary action was stayed. N/A (If needed attach additional sheets to provide full disclosure.) BY CONTRACTOR: LCG Landscape (name of Contractor) Bv; ^W'«? \Mgcx\xM J {sign here) Chris Weaver, President (print name/title} •**»«•• o Page j/;;;;J of _. 2 pages of this Disclosure of Discipline form Revised 5/01/07 Contract No. 38211-A Page 30 of 103 Pages NON-COLLUSION AFFIDAVIT TO BE EXECUTED BY BIDDER AND SUBMITTED WITH BID PUBLIC CONTRACT CODE SECTION 7106 MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO, 38211-A State of California } ) ss. County of Orange ) chris Weaver i , being first duty sworn, deposes (Name of Bidder) and says that he or she is President (Title) LCG Landscapeof (Name of Firm) the party making the foregoing bid that the bid is not made in the interest of, or on behalf of, any undisclosed person, partnership, company, association, organization, or corporation; that the bid is genuine and not collusive or sham; that the bidder has not directly or indirectly induced or solicited any other bidder to put in a false or sham bid, and has not directly or indirectly colluded, conspired, connived, or agreed with any bidder or anyone else to put in a sham bid, or that anyone shall refrain from bidding; that the bidder has not in any manner, directly or indirectly, sought by agreement, communication, or conference with anyone to fix the bid price of the bidder or any other bidder, or to fix any overhead, profit, or cost element of the bid price, or of that of any other bidder, or to secure any advantage against the public body awarding the contract of anyone interested in the proposed contract; that all statements contained in the bid are true; and, further, that the bidder has not, directly or indirectly, submitted his or her bid price or any breakdown thereof, or the contents thereof, or divulged information or data relative thereto, or paid, and will not pay, any fee to any corporation, partnership, company association, organization, bid depository, or to any member or agent thereof to effectuate a collusive or sham bid. I declare under penalty of perjury that the foregoing is true and correct and that this affidavit was executed on the 3rd day of September . 2008 . Signature of Bidder Subscribed and sworn to before me on tl ROBINSON COMM. # 1580372 NOTARY PUBLIC-CALIFORNIA ?± ^ •— Signature of Notary ORANGE COUNTY NJ My Comm. Expires JUNE 17, 2009. Revised 5/01/07 Contract No. 38211-A Page 31 of 103 Pages CONTRACT PUBLIC WORKS This agreement is made this |J day of cxS^ywJhOy _ , 20£&_, by and between the Carlsbad Municipal Water District of theVQity of CarlsbadT^California, a municipal corporation, (hereinafter called "District"), and LCG Landscape whose principal place of business is 127 Business Center Drive Suite #C Corona CA 92880 (hereinafter called "Contractor"). District and Contractor agree as follows: 1. Description of Work. Contractor shall perform all work specified in the Contract documents for: MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211 -A (hereinafter called "project") 2. Provisions of Labor and Materials. Contractor shall provide all labor, materials, tools, equipment, and personnel to perform the work specified by the Contract Documents. 3. Contract Documents. The Contract Documents consist of this Contract, Notice Inviting Bids, Contractor's Proposal, Bidder's Bond, Designation of Subcontractors, Technical Ability and Experience, Re Debarment, Non-collusion Affidavit, Escrow Agreement, Release Form, the Plans and Specifications, the General Provisions, addendum(s) to said Plans and Specifications and General Provisions, and all proper amendments and changes made thereto in accordance with this Contract or the Plans and Specifications, and all bonds for the project; all of which are incorporated herein by this reference. Contractor, her/his subcontractors, and materials suppliers shall provide and install the work as indicated, specified, and implied by the Contract Documents. Any items of work not indicated or specified, but which are essential to the completion of the work, shall be provided at the Contractor's expense to fulfill the intent of said documents. In all instances through the life of the Contract, the District will be the interpreter of the intent of the Contract Documents, and the District's decision relative to said intent will be final and binding. Failure of the Contractor to apprise subcontractors and materials suppliers of this condition of the Contract will not relieve responsibility of compliance. 4. Payment. For all compensation for Contractor's performance of work under this Contract, District shall make payment to the Contractor per section 9-3 PAYMENT of the General Provisions section of this contract. The Engineer will close the estimate of work completed for progress payments on the last working day of each month. The District shall withhold retention as required by Public Contract Code Section 9203. Revised 5/01/07 Contract No. 38211-A Page 32 of 103 Pages 5. Independent Investigation. Contractor has made an independent investigation of the jobsite, the soil conditions at the jobsite, and all other conditions that might affect the progress of the work, and is aware of those conditions. The Contract price includes payment for all work that may be done by Contractor, whether anticipated or not, in order to overcome underground conditions. Any information that may have been furnished to Contractor by District about underground conditions or other job conditions is for Contractor's convenience only, and District does not warrant that the conditions are as thus indicated. Contractor is satisfied with all job conditions, including underground conditions and has not relied on information furnished by District. 6. Hazardous Waste or Other Unusual Conditions. If the contract involves digging trenches or other excavations that extend deeper than four feet below the surface Contractor shall promptly, and before the following conditions are disturbed, notify District, in writing, of any: A. Hazardous Waste. Material that Contractor believes may be material that is hazardous waste, as defined in section 25117 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class III disposal site in accordance with provisions of existing law. B. Differing Conditions. Subsurface or latent physical conditions at the site differing from those indicated. C. Unknown Physical Conditions. Unknown physical conditions at the site of any unusual nature, different materially from those ordinarily encountered and generally recognized as inherent in work of the character provided for in the contract. District shall promptly investigate the conditions, and if it finds that the conditions do materially so differ, or do involve hazardous waste, and cause a decrease or increase in contractor's costs of, or the time required for, performance of any part of the work shall issue a change order under the procedures described in this contract. In the event that a dispute arises between District and Contractor whether the conditions materially differ, or involve hazardous waste, or cause a decrease or increase in the contractor's cost of, or time required for, performance of any part of the work, contractor shall not be excused from any scheduled completion date provided for by the contract, but shall proceed with all work to be performed under the contract. Contractor shall retain any and all rights provided either by contract or by law which pertain to the resolution of disputes and protests between the contracting parties. 7. Immigration Reform and Control Act. Contractor certifies it is aware of the requirements of the Immigration Reform and Control Act of 1986 (8 USC sections 1101-1525) and has complied and will comply with these requirements, including, but not limited to, verifying the eligibility for employment of all agents, employees, subcontractors, and consultants that are included in this Contract. 8. Prevailing Wage. Pursuant to the California Labor Code, the director of the Department of Industrial Relations has determined the general prevailing rate of per diem wages in accordance with California Labor Code, section 1773 and a copy of a schedule of said general prevailing wage rates is on file in the office of the City Engineer, and is incorporated by reference herein. Pursuant to California Labor Code, section 1775, Contractor shall pay prevailing wages. Contractor shall post copies of all applicable prevailing wages on the job site. Revised 5/01/07 Contract No. 38211-A Page 33 of 103 Pages 9. Indemnification. Contractor shall assume the defense of, pay all expenses of defense, and indemnify and hold harmless the District, and its officers and employees, from all claims, loss, damage, injury and liability of every kind, nature and description, directly or indirectly arising from or in connection with the performance of the Contract or work; or from any failure or alleged failure of Contractor to comply with any applicable law, rules or regulations including those relating to safety and health; and from any and all claims, loss, damages, injury and liability, howsoever the same may be caused, resulting directly or indirectly from the nature of the work covered by the Contract, except for loss or damage caused by the sole or active negligence or willful misconduct of the District. The expenses of defense include all costs and expenses including attorneys' fees for litigation, arbitration, or other dispute resolution method. Contractor shall also defend and indemnify the District against any challenges to the award of the contract to Contractor, and Contractor will pay all costs, including defense costs for the District. Defense costs include the cost of separate counsel for District, if District requests separate counsel. Contractor shall also defend and indemnify the District against any challenges to the award of the contract to Contractor, arising in whole or in part from alleged inaccuracies or misrepresentation by the Contractor, whether intentional or otherwise, and Contractor will pay all costs, including defense costs for the District. Defense costs include the cost of separate counsel for District, if District requests separate counsel. 10. Insurance. Contractor shall procure and maintain for the duration of the contract insurance against claims for injuries to persons or damage to property which may arise from or in connection with the performance of the work hereunder by the Contractor, his or her agents, representatives, employees or subcontractors. Said insurance shall meet the City of Carlsbad's policy for insurance as stated in City Council Policy # 70. (A) Coverages And Limits Contractor shall maintain the types of coverages and minimum limits indicted herein: a. Commercial General Liability Insurance: $1,000,000 combined single limit per occurrence for bodily injury and property damage. If the policy has an aggregate limit, a separate aggregate in the amounts specified shall be established for the risks for which the District or its agents, officers or employees are additional insured. b. Business Automobile Liability Insurance: $1,000,000 combined single limit per accident for bodily injury and property damage. In addition, the auto policy must cover any vehicle used in the performance of the contract, used onsite or offsite, whether owned, non-owned or hired, and whether scheduled or non-scheduled. c. Workers' Compensation and Employers' Liability Insurance: Workers' compensation limits as required by the Labor Code of the State of California. Workers' compensation offered by the State Compensation Insurance Fund is acceptable to the District. (B) Additional Provisions: Contractor shall ensure that the policies of insurance required under this agreement with the exception of Workers' Compensation and Business Automobile Liability Insurance contain, or are endorsed to contain, the following provisions. a. The District, its officials, employees and volunteers are to be covered as additional insured as respects: liability arising out of activities performed by or on behalf of the Contractor; products and completed operations of the contractor; premises owned, leased, hired or borrowed by the contractor. The coverage shall contain no special limitations on the scope of protection afforded to the District, its officials, employees or volunteers. All additional insured endorsements must be evidenced using separate documents attached to the certificate of insurance; one for each company affording general liability, and employers' liability coverage. Revised 5/01/07 Contract No. 38211-A Page 34 of 103 Pages b. The Contractor's insurance coverage shall be primary insurance as respects the District, its officials, employees and volunteers. Any insurance or self-insurance maintained by the District, its officials, employees or volunteers shall be in excess of the contractor's insurance and shall not contribute with it. c. Any failure to comply with reporting provisions of the policies shall not affect coverage provided to the District, its officials, employees or volunteers. d. Coverage shall state that the contractor's insurance shall apply separately to each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability. (C) Notice Of Cancellation. Each insurance policy required by this agreement shall be endorsed to state that coverage shall not be nonrenewed, suspended, voided, canceled, or reduced in coverage or limits except after ten (10) days' prior written notice has been sent to the District by certified mail, return receipt requested. (D) Deductibles And Self-Insured Retention (S.I.R.) Levels. Any deductibles or self-insured retention levels must be declared to and approved by the District. At the option of the District, either: the insurer shall reduce or eliminate such deductibles or self-insured retention levels as respects the District, its officials and employees; or the contractor shall procure a bond guaranteeing payment of losses and related investigation, claim administration and defense expenses. (E) Waiver Of Subrogation. All policies of insurance required under this agreement shall contain a waiver of all rights of subrogation the insurer may have or may acquire against the District or any of its officials or employees. (F) Subcontractors. Contractor shall include all subcontractors as insured under its policies or shall furnish separate certificates and endorsements for each subcontractor. Coverages for subcontractors shall be subject to all of the requirements stated herein. (G) Acceptability Of Insurers. Insurance is to be placed with insurers that have a rating in Best's Key Rating Guide of at least A-:VII. Insurers must also be authorized to transact the business of insurance by the State of California Insurance Commissioner as admitted carriers as evidenced by a listing in the official publication of the Department of Insurance of the State of California and/or under the standards specified by City Council Policy # 70. (H) Verification Of Coverage. Contractor shall furnish the District with certificates of insurance and original endorsements affecting coverage required by this clause. The certificates and endorsements for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificates and endorsements are to be in forms approved by the District and are to be received and approved by the District before the Contract is executed by the District. (I) Cost Of Insurance. The Cost of all insurance required under this agreement shall be included in the Contractor's bid. 11. Claims and Lawsuits. All claims by contractor for $375,000 or less shall be resolved in accordance with the provisions in the Public Contract Code, Division 2, Part 3, Chapter 1, Article 1.5 (commencing with section 20104) which are incorporated by reference. A copy of Article 1.5 is included in Section 3 of the General Provisions. The contractor shall initially submit all claims over $375,000 to the City using the informal dispute resolution process described in Public Contract Code subsections 20104.2(a), (c), (d). Notwithstanding the provisions of this section of the contract, all claims shall comply with the Government Tort Claim Act (section 900 et seq., of the California Government Code) for any claim or cause of action for money or damages prior to filing any lawsuit for breach of this agreement. Revised 5/01/07 Contract No. 3821 1-A Page 35 of 103 Pages (A) Assertion of Claims. Contractor hereby agrees that any contract claim submitted to the District must be asserted as part of the contract process as set forth in this agreement and not in anticipation of litigation or in conjunction with litigation. (B) False Claims. Contractor acknowledges that if a false claim is submitted to the District, it may be considered fraud and the Contractor may be subject to criminal prosecution. (C) Government Code. Contractor acknowledges that California Government Code sections 12650 et seq., the False Claims Act, provides for civil penalties where a person knowingly submits a false claim to a public entity. These provisions include false claims made with deliberate ignorance of the false information or in reckless disregard of the truth or falsity of the information. (D) Penalty Recovery. If the Carlsbad Municipal Water District seeks to recover penalties pursuant to the False Claims Act, it is entitled to recover its litigation costs, including attorney's fees. (E) Debarment for False Claims. Contractor hereby acknowledges that the filing of a false claim may subject the Contractor to an administrative debarment proceeding wherein the Contractor may be prevented from further bidding on public contracts for a period of up to five years. (F) Carlsbad Municipal Code. The provisions of Carlsbad Municipal Code sections 3.32.025, 3.32.026, 3.32.027 and 3.32.028 pertaining to false claims are incorporated herein by reference. (G) Debarment from Other Jurisdictions. Contractor hereby acknowledges that debarment by another jurisdiction is grounds for the Board of Directors of the Carlsbad Municipal Water District of the City of Carlsbad to disqualify the Contractor or subcontractor from participating in future contract bidding. (H) Jurisdiction. Contractor agrees and hereby stipulates that the proper venue and jurisdiction for resolution of any disputes between the parties arising out of this agreement is San Diego County, California. I have read and understand all provisions of Section 1 1 above. -(u init V*"' init 12. Maintenance of Records. Contractor shall maintain and make available at no cost to the District, upon request, records in accordance with sections 1776 and 1812 of Part 7, Chapter 1, Article 2, of the Labor Code. If the Contractor does not maintain the records at Contractor's principal place of business as specified above, Contractor shall so inform the District by certified letter accompanying the return of this Contract. Contractor shall notify the District by certified mail of any change of address of such records. 13. Labor Code Provisions. The provisions of Part 7, Chapter 1, commencing with section 1720 of the Labor Code are incorporated herein by reference. 14. Security. Securities in the form of cash, cashier's check, or certified check may be substituted for any monies withheld by the District to secure performance of this contract for any obligation established by this contract. Any other security that is mutually agreed to by the Contractor and the District may be substituted for monies withheld to ensure performance under this Contract. Revised 5/01/07 Contract No. 38211-A Page 36 of 103 Pages 15. Unfair Business Practices. In entering into a public works contract or a subcontract to supply goods, services, or materials pursuant to a public works contract, the contractor or subcontractor offers and agrees to assign to the awarding body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with Section 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, services, or materials pursuant to the public works contract or the subcontract. This assignment shall be made and become effective at the time the awarding body tenders final payment to the contractor, without further acknowledgment by the parties. 16. Provisions Required by Law Deemed Inserted. Each and every provision of law and clause required by law to be inserted in this Contract shall be deemed to be inserted herein and included herein, and if, through mistake or otherwise, any such provision is not inserted, or is not correctly inserted, then upon application of either party, the Contract shall forthwith be physically amended to make such insertion or correction. 17. Additional Provisions. Any additional provisions of this agreement are set forth in the "General Provisions" or "Supplemental Provisions" attached hereto and made a part hereof. NOTARIAL ACKNOWLEDGMENT OF EXECUTION BY ALL SIGNATORIES MUST BE ATTACHED (CORPORATE SEAL) CONTRACTOR: (name of Contractor) By: (sign here) (print name and title) (print name and fifle) President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under the corporate seal empowering that officer to bind the corporation. APPROVED AS TO FORM: RONALD R. BALL General Counsel By: Deputy General Counsel Revised 5/01/07 Contract No. 38211-A Page 37 of 103 Pages CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County of. On before me, personally appeared Insert Name and Title of the/Officer "All Name(s) of Signer(s) 1 ^ LORI ROBINSON COMM. #1580372 ^ NOTARY PUSLIC-CALIFORNIA fa ORANGE COUNTY Jsj My Coiim. Expires JUNE 17, 2009 j who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and cor WITN Place Notary Seal Above Signa OPTIONAL Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Title or Type of Document: 1 Document Date: Signer(s) Other Than Named Above: Number of Pages: Capacity(ies) Claimed by Signer(s) 'Oh*/'' Ir — Title(s):r1 Kbia Signer's CU Individual 'TNCorporate Officer - D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: M^LV/ RIGHTTHUMBPRINT OF SIGNER Top of thumb here Signer's Name: D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHTTHUMBPRINT OF SIGNER Top of thumb here ©2007 National Notary Association • 9350 De Soto Ave., P.O. Box 2402 • Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toll-Free 1 -800-876-6827 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County of On ™I Date personally appeared NameTs) of Signer(s) who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. CM GFU R031NSON COMM. #1580372 2 NOTARY PUBLIC-CALIFORNIA fij ORANGE COUNTY K» ' My Comsr,. Espirw JUNE 17, 2009 | I certify under PENALTY OF PERJURY under the laws of the State qf_Qalifoinia that the foregoing paragraph is true and WITNE Place Notary Seal Above Signatun OPTIONAL Signature of Notary-Public Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached .Document4J40 i (Title or Type of Document: \ LID I \ v— Document Date: Signer(s) Other Than Named Above: Number of Pages: Capacity(ies) Claimed by Signer(s) Signer's Name: D Individual * Corporate Officer D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: iigner Is/Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here Signer's Name: D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here ©2007 National Notary Association • 9350 De Soto Ave., P.O.Box 2402 •Chatsworth, CA 91313-2402-www.NationalNotary.org Item #5907 Reorder:Call Toll-Free 1-800-876-6827 Premium for contract term and is subject to adjustment based on final contract price Bond No. 277636 Premium: $5,754.00 Issued in two original counterparts FAITHFUL PERFORMANCE/WARRANTY BOND ''»*»»" Board of Directors of the Carlsbad Municipal Water District located in the State of California, by Resolution No. 1340, adopted October 7, 2008, has awarded to LCG Landscape (hereinafter designated as the "Principal"), a Contract for: MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A in the City of Carlsbad, in strict conformity with the contract, the drawings and specifications, and other Contract Documents now on file in the Office of the Secretary of the Carlsbad Municipal Water District, all of which are incorporated herein by this reference. WHEREAS, Principal has executed or is about to execute said Contract and the terms thereof require the furnishing of a bond for the faithful performance and warranty of said Contract; NOW, THEREFORE, WE, LCG Landscape, as Principal, (hereinafter designated as the "Contractor"), and U.S. Specialty Insurance Company as Surety, are held firmly bound unto the Carlsbad Municipal Water District in the sum of One Hundred Ninety One Thousand Seven Hundred Ninety Seven Dollars and Thirty Six Cents ($191,797.36), said sum being an amount equal to: One hundred percent (100%) of the total amount payable under the terms of the contract by the Carlsbad Municipal Water District, and for which payment well and truly to be made we bind ourselves, our heirs, executors and administrators, successors, or assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH that if the above bounden Contractor, their heirs, executors, administrators, successors or assigns, shall in all things stand to and abide by, and well and truly keep and perform the covenants, conditions, and agreements in the Contract and any alteration thereof made as therein provided on their part, to be kept and performed at the time and in the manner therein specified, and in all respects according to their true intent and meaning, and shall indemnify and save harmless the Carlsbad Municipal Water District, its officers, employees and agents, as therein stipulated, then this obligation shall become null and void; otherwise it shall remain in full force and effect. As a part of the obligation secured hereby and in addition to the face amount specified therefore, there shall be included costs and reasonable expenses and fees, including reasonable attorney's fees, incurred by the District in successfully enforcing such obligation, all to be taxed as costs and included in any judgment rendered. Surety stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract, or to the work to be performed there under or the specifications accompanying the same shall affect its obligations on this bond, and it does hereby waive notice of any change, extension of time, alterations or addition to the terms of the contract or to the work or to the specifications. Revised 5/01/07 Contract No. 38211-A Page 40 of 103 Pages /*"""*• >**••' In the event that Contractor is an individual, it is agreed that the death of any such Contractor shall ' not exonerate the Surety from its obligations under this bond. Executed by CONTRACTOR this 4 day of r)f\f\GQ/' , 20. CONTRACTOR. LCG Landscape (name of Contractor) By; (sign here) Executed by SURETY this 23rd day of October , 2Q08__ SURETY: U.S. Specialty Insurance Company (name of Surety) 625 The City Drive South #130, Orange, CA 92868 (address of Surety) 800-316-5695 (print name here)(telephone number of Surety) (Title and Organization of Signatory) (sign here) (print name here) ,QyV( (signature^ AttorfTey-irpFact) George BurchfieL Attorney-In-Fact (printed name of Attorney-in-Fact) (Attach corporate resolution showing current power of attorney.) (Title and Organization of signatory) (Proper notarial acknowledgment of execution by CONTRACTOR and SURETY must be attached.) (President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering that officer to bind the corporation.) APPROVED AS TO FORM: RONALD R. BALL General Counsel Deputy General Coun Revised 5/01/07 Contract No. 38211-A Page 41 of 103 Pages ACKNOWLEDGMENT State of California County of Los Angeles On October 23rd. 2008 before me, Traci Larson. Notary Public (insert name and title of the officer) personally appeared George Burchfiel. Attornev-In-Fact who proved to me on the basis of satisfactory evidence to be the person^ whose namej ^ttbscribed to the within instrument and acknowledgjed to me thal(he/she/they executed the same in his/ier/their authorized capacity^e^, and that b/hi^/her/their signature^on the instrument the Taersonj^, or the entity Upon behalf of which the persoij^f acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature TRACI LARSON COMM # 1642285 NOTARY PUBLIC-CALIFORNIA LOS ANGELES COUNTY My Commission Expires Jan. 31,2010 m Seal) POWER OF ATTORNEY AMERICAN CONTRACTORS INDEMNITY COMPANY UNITED STATES SURETY COMPANY U.S. SPECIALTY INSURANCE COMPANY KNOW ALL MEN BY THESE PRESENTS: That American Contractors Indemnity Company, a California corporation, United States Surety Company, a Maryland corporation and U.S. Specialty Insurance Company, a Texas corporation (collectively, the "Companies"), do by these presents make, constitute and appoint: George Burchfiel, Shaunna Rozelle Burchfiel or Veronica L. Pratt of Corona, California its true and lawful Attorney(s)-in-fact, each in their separate capacity if more than one is named above, with full power and authority hereby conferred in its name, place and stead, to execute, acknowledge and deliver any and all bonds, recognizances, undertakings or other instruments or contracts of suretyship to include riders, amendments, and consents of surety, providing the bond penalty does not exceed *****Thrce Million***** Dollars f$ **3.000.000.00** ). This Power of Attorney shall expire without further action on March 18, 2011. This Power of Attorney is granted under and by authority of the following resolutions adopted by the Boards of Directors of the Companies: Be it Resolved, that the President, any Vice-President, any Assistant Vice-President, any Secretary or any Assistant Secretary shall be and is hereby vested with full power and authority to appoint any one or more Suitable persons as Attomey(s)-in-Fact to represent and act for and on behalf of the Company subject to the following provisions: Attomey-in-Fact may be given full power and authority for and in the name of and on behalf of the Company, to execute, acknowledge and deliver, any and all bonds, recognizances, contracts, agreements or indemnity and other conditional or obligatpry undertakings and any and all notices and documents canceling or terminating the Company's liability thereunder, and any such instruments so executed by any such Attorney-in-Fact shall be binding upon the Company as if signed by the President and sealed and effected by the Corporate Secretary. Be it Resolved, that the signature of any authorized officer and seal of the Company heretofore or hereafter affixed to any power of attorney or any certificate relating thereto by facsimile, and any power of attorney or certificate bearing facsimile signature or facsimile seal shall be valid and binding upon the Company with respect to any bond or undertaking to which it is attached. IN WITNESS WHEREOF, The Companies have caused this instrument to be signed and their corporate seals to be hereto affixed, this 15th day of July, 2008. AMERICAN CONTRACTORS INDEMNITY COMPANY UNITED STATES SURETY COMPANY U.S, SPECIALTY INSURANCE COMPANY Corporate Seals Daniel P. Aguilar, Vice President State of California County of Los Angeles SS: On this 15th day of July, 2008, before me, Deborah Reese, a notary public, personally appeared Daniel P. Aguilar, Vice President of American Contractors Indemnity Company, United States Surety Company and U.S. Specialty Insurance Company who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to the within instrument and acknowledged to me that he executed the same in his authorized capacity, and that by his signature on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal, Signature (Seal) I, Jeannie J. Kim, Assistant Secretary of American Contractors Indemnity Company, United States Surety Company and U.S. Specialty Insurance Company, do hereby certify that the above and foregoing is a true and correct copy of a Power of Attorney, executed by said Companies, which is still in full force and effect; furthermore, the resolutions of the Boards of Directors, set out in the Power of Attorney are in full force and effect. In Witness Whereof, I have hereunto set my hand and affixed the seals of said Companies at Los Angeles, California this 23rd day of October ,2008 Corporate Seals Bond No. 277636 Agency No. mm Jeannie J. Kim, Assistant Secretary CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County On be ore me personally appeared . Lin A Usry Here Insert Name and Title of Unp Officer Name(s) of Signer(s) LORI ROBINSON COMM.# 1580372 NOTARY PUBLIC-CALIFORNIA ORANGE COUNTY MyComm. Expires JUNE 17, 2009 who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and Place Notary Seal Above WITN Signati OPTIONAL official seal. \ Signature of Notary Public Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document:. Document Date: _ Signer(s) Other Than Named Above: Number of Pages:. hhdfcj^ Capacity(ies) Claimed by Signer(s) Signer's Name> D Individual Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: £ier Is Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here Signer Is R /-C - ' _ / C( pO_ Signer's Name: D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing:. RIGHTTHUMBPRINT OF SIGNER Top of thumb here ©2007 National Notary Association • 9350 De Soto Ave., P.O. Box 2402 • Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toll-Free 1 -800-876-6827 CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California County of On ID personally appeared CM LOR! ROBINSON CC',,Vf, #1580372 I f.;]Ai-,Y:-J8UC-CALIFORNIA { CHANGE COUNTY J MyCornm.tsM<'esJUNE17, 2009 who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true anc Place Notary Seal Above WITN Signature OPTIONAL lal seal. Signatureofwetary Public Though the information below is not required by law, it may prove valuable to persons relying on the documt and could prevent fraudulent removal and reattachment of this form to another document. Description of AttachedJDgcument Title or Type of Document: , v~., Document Date: / U//j Signer(s) Other Than Named Above: jment Capacity(ies) Claimed by Signer(s) Signer's Name: D Individual <{g^Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Js Representing:. RIGHT THUMBPRINT OF SIGNER Top of thumb here Signer's Name: D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: RIGHT THUMBPRINT OF SIGNER Top of thumb here Signer Is Representing:. ©2007 National Notary Association • 9350 De Soto Ave., P.O. Box 2402 -Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toil-Free 1 -800-876-6827 COPY Bond No. 277636 Premium, for contract term Premium Included in Performance Bondand is subject to adjustment based on final contract price Issued in two original counterparts ^ LABOR AND MATERIALS BOND Board of Directors of the Carlsbad Municipal Water District located in the State of California, by Resolution No. 1340, adopted October 7, 2008, has awarded to LCG Landscape (hereinafter designated as the "Principal"), a Contract for: MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A in the City of Carlsbad, in strict conformity with the drawings and specifications, and other Contract Documents now on file in the Office of the Secretary of the Carlsbad Municipal Water District and all of which are incorporated herein by this reference. WHEREAS, Principal has executed or is about to execute said Contract and the terms thereof require the furnishing of a bond, providing that if Principal or any of their subcontractors shall fail to pay for any materials, provisions, provender or other supplies or teams used in, upon or about the performance of the work agreed to be done, or for any work or labor done thereon of any kind, the Surety on this bond will pay the same to the extent hereinafter set forth. NOW, THEREFORE, WE, LCG Landscape, as Principal, (hereinafter designated as the "Contractor"), and U.S. Specialty Insurance Company as Surety, are held firmly bound unto the Carlsbad Municipal Water District in the sum of One Hundred Ninety One Thousand Seven Hundred Ninety "'" Seven Dollars and Thirty Six Cents ($191,797.36), said sum being an amount equal to: One hundred percent (100%) of the total amount payable under the terms of the contract by the Carlsbad Municipal Water District, and for which payment well and truly to be made we bind ourselves, our heirs, executors and administrators, successors, or assigns, jointly and severally, firmly by these presents. THE CONDITION OF THIS OBLIGATION IS SUCH that if the Contractor or his/her subcontractors fail to pay for any materials, provisions, provender, supplies, or teams used in, upon, for, or about the performance of the work contracted to be done, or for any other work or labor thereon of any kind, consistent with California Civil Code section 3181, or for amounts due under the Unemployment Insurance Code with respect to the work or labor performed under this Contract, or for any amounts required to be deducted, withheld, and paid over to the Employment Development Department from the wages of employees of the contractor and subcontractors pursuant to section 13020 of the Unemployment Insurance Code with respect to the work and labor, that the Surety will pay for the same, and, also, in case suit is brought upon the bond, reasonable attorney's fees, to be fixed by the court consistent with California Civil Code section 3248. This bond shall inure to the benefit of any of the persons named in California Civil Code section 3181, so as to give a right of action to those persons or their assigns in any suit brought upon the bond. Surety stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract, or to the work to be performed hereunder or the specifications accompanying the same shall affect its obligations on this bond, and it does hereby waive notice of any change, extension of *""*' time, alterations or addition to the terms of the contract or to the work or to the specifications. In the event that Contractor is an individual, it is agreed that the death of any such Contractor shall not exonerate the Surety from its obligations under this bond. Executed by CONTRACTOR this. day of OCVsWr- 20 0%. CONTRACTOR. LCG Landscape (name of Contractor) By: L-\t^=> V\>&aj>HX (sign here) Executed by SURETY this. Of October 23rd day ., 20 08 . SURETY: U.S. Specialty Insurance Company (name of Surety) 625 The City Drive South #130, Orange, CA 92868 (address of Surety) 800-316-5695 (print name here) itle and organization of sign (print name here) George Burchfiel, Attorney-In-Fact (printed name of Attomey-in-Fact) (attach corporate resolution showing current power of attorney) (title and organization of signatory) (Proper notarial acknowledgment of execution by CONTRACTOR and SURETY must be attached.) (President or vice-president and secretary or assistant secretary must sign for corporations. If only one officer signs, the corporation must attach a resolution certified by the secretary or assistant secretary under corporate seal empowering that officer to bind the corporation.) APPROVED AS TO FORM: RONALD R. BALL General Counsel Deputy General Counsel ACKNOWLEDGMENT State of California County of Los Angeles On October 23rd. 2008 before me, Traci Larson. Notary Public (insert name and title of the officer) personally appeared George Burchfiel. Attornev-In-Fact who proved to me on the basis of satisfactory evidence to be the owson|$ whose namejXI (s)are subscribed to the within instrument and acknowledged to me thal(he/she/they executed the same in ^his/her/their authorized capacity^ip^, and that by hpr/her/their signature^ on the instrument the , or the entity upon behalf of which the person^ acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. WITNESS my hand and official seal. Signature »»»»*+*«*»»+»»»»***»**»»»#**»»»«»»»»»»»»» TRACI LARSON *COMM# 1642285 £ NOTARY PUBLIC-CALIFORNIA ^ LOS ANGELES COUNTY i My Commission Expires Jan. 31,20101.«»««««««»»«««««#«««««««««*«««*«« CAC CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT State of California , Lfr\ ^A^ OSPn, personally appeared Here Insert Name and Title bf the Officer Name(s) of Signer(s) LORI ROBINSON COMM. # 1580372 E NOTARY PUBLIC-CALIFORNIA f ORANGE COUNTY £ My Comm. Expires JUNE 17, 2009 who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correc Place Notary Seal Above WITN Signatui OPTIONAL •fficial seal. Signature of Notary Public Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attached Document Title or Type of Document: Document Date: Signer(s) Other Than Named Above: Number of Pages:8<- Capacity(ies) Claimed by Signer(s) Signer's Name: D Individual Corporate Officer — D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here Signer's Name: D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHT THUMBPRINT OF SIGNER Top of thumb here ©2007 National Notary Association • 9350 De Solo Ave., P.O. Box 2402 • Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toll-Free 1 -800-876-6827 o CALIFORNIA ALL-PURPOSE ACKNOWLEDGMENT mjQQ, Here" Insert Name and Title of the Officer State of California County of On IU feO 1.09 Date personally appeared Name(s) of Signer(s) COPY LG^I ROBINSON Cv '••'?!.••;. #1580372 SOTAi<YHIi<UC CALIFORNIA os ,.VGE COUNTY My Corr.ru. expires JUNE 17, 2009' [ who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/sheAhey executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument. I certify under PENALTY OF PERJURY under the laws of the State ofJSalifornia that the foregoing paragraph is true and j Place Notary Seal Above WITN Signaturl OPTIONAL icial seal. Signature ofWotery Public Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal and reattachment of this form to another document. Description of Attachec Title or Type of Document: Document Date:11)1"! Document ^—^ flfora \TftWate- QT-^ Signer(s) Other Than Named Above: Number of Pages:: /~5*— Capacity(ies) Claimed by Signer(s) Signer's Name: D Individual XTCorP°rate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: igner Is Representing: Lo AcLS CC , lP^N RIGHTTHUMBPRINT OF SIGNER Top of thumb here Signer's Name: ' D Individual D Corporate Officer — Title(s): D Partner — D Limited D General D Attorney in Fact D Trustee D Guardian or Conservator D Other: Signer Is Representing: RIGHTTHUMBPRINT OF SIGNER Top of thumb here © 2007 National Notary Association • 9350 De Soto Ave., P.O. Box 2402 • Chatsworth, CA 91313-2402 • www.NationalNotary.org Item #5907 Reorder: Call Toll-Free 1 -800-876-6827 Company Profile Page 1 of 2 Company Profile U.S. SPECIALTY INSURANCE COMPANY 13403 NORTHWEST FREEWAY HOUSTON, TX 77040-6094 Former Names for Company Old Name: U.S. SPECIALTY INSURANCE COMPANY DBA USSPECIALTY INSURANCE COMPANY Effective Date: 05-16-1996 Old Name: EASTERN AVIATION & MARINE INSURANCE COMPANY Effective Date: 12-21-1993 Agent for Service of Process CHARLES BACLET, 2875 MICHELLE DRIVE SUITE 100 IRVINE, CA 92606 Unable to Locate the Agent for Service of Process? Reference Information NAIC Group #: 0984'• '.<•• ^i^iiiii:* ' •">,; Date authorized in California: October 30, 1989 Company Type: Property & Casualty . , • , TEXAS Lines of Insurance Authorized to Transact The company is authorized to transact business within these lines of insurance. For an explanation of any of these terms, please refer to the glossary. AIRCRAFT AUTOMOBILE CREDIT DISABILITY FIRE LIABILITY MARINE MISCELLANEOUS SURETY TEAM AND VEHICLE WORKERS' COMPENSATION Company Complaint Information Company Enforcement Action Documents Company Performance & Comparison Data Composite Complaint Studies http://interactive.web.insurance.ca.gov/webuser/idb_co_prof_utl.get_co_prof?p_EID=6955 10/30/2008 Company Profile Page 2 of 2 Want More? Help Me Find a Company Representative in My Area Financial Rating Organizations Last Revised - June 27, 2008 09:13 AM Copyright © California Department of Insurance http ://interactive. web. insurance. ca. gov/webuser/idb_co_prof_utl. get_co_prof?p_EID=69 5 5 10/3 0/2008 OPTIONAL ESCROW AGREEMENT FOR SECURITY DEPOSITS IN LIEU OF RETENTION This Escrow Agreement is made and entered into by and between the Carlsbad Municipal Water District whose address is 5950 El Camino Real, Carlsbad, California, 92008, hereinafter called "District" and whose address is hereinafter called "Contractor" and whose address is hereinafter called "Escrow Agent." For the consideration hereinafter set forth, the District, Contractor and Escrow Agent agree as follows: 1. Pursuant to sections 22300 and 10263 of.the Public Contract Code of the State of California, the Contractor has the option to deposit securities with the Escrow Agent as a substitute for retention earnings required to be withheld by the District pursuant to the Construction Contract entered into between the City and Contractor for MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A in the amount of dated (hereinafter referred to as the "Contract"). Alternatively, on written request of the Contractor, the District shall make payments of the retention earnings directly to the Escrow Agent. When the Contractor deposits the securities as a substitute for Contract earnings, the Escrow Agent shall notify the District within 10 days of the deposit. The Escrow Agent shall maintain insurance to cover negligent acts and omissions of the Escrow Agent in connection with the handling of retentions under these sections in an amount not less than $100,000 per contract. The market value of the securities at the time of the substitution shall be a least equal to the cash amount then required to be withheld as retention under the terms of the contract between the District and Contractor. Securities shall be held in the name of the District and shall designate the Contractor as the beneficial owner. 2. The District shall make progress payments to the Contractor for such funds which otherwise would be withheld from progress payments pursuant to the Contract provisions, provided that the Escrow Agent holds securities in the form and amount specified above. 3. When the District makes payment of retentions earned directly to the Escrow Agent, the Escrow Agent shall hold them for the benefit of the Contractor until such time as the escrow created under this contract is terminated. The Contractor may direct the investment of the payments into securities. All terms and conditions of this agreement and the rights and responsibilities of the parties shall be equally applicable and binding when the District pays the Escrow Agent directly. 4. The Contractor shall be responsible for paying all fees for the expenses incurred by the Escrow Agent in administering the Escrow Account and all expenses of the District. These expenses and payment terms shall be determined by the District, Contractor and Escrow Agent. 5. The interest earned on the securities or the money market accounts held in escrow and all interest earned on that interest shall be for the sole account of Contractor and shall be subject to withdrawal by Contractor at any time and from time to time without notice to the District. A•^ Revised 5/01/07 Contract No. 38211-A Page 42 of 103 Pages 6. Contractor shall have the right to withdraw all or any part of the principal in the Escrow Account only by written notice to Escrow Agent accompanied by written authorization from District to the Escrow Agent that the District consents to the withdrawal of the amount sought to be withdrawn by Contractor. 7. The District shall have a right to draw upon the securities in the event of default by the Contractor. Upon seven days' written notice to the Escrow Agent from the District of the default, the Escrow Agent shall immediately convert the securities to cash and shall distribute the cash as instructed by the District. 8. Upon receipt of written notification from the City certifying that the Contract is final and complete and that the Contractor has complied with all requirements and procedures applicable to the Contract, the Escrow Agent shall release to Contractor all securities and interest on deposit less escrow fees and charges of the Escrow Account. The escrow shall be closed immediately upon disbursement of all moneys and securities on deposit and payments of fees and charges. 9. The Escrow Agent shall rely on the written notifications from the District and the Contractor pursuant to sections (1) to (8), inclusive, of this agreement and the District and Contractor shall hold Escrow Agent harmless from Escrow Agent's release, conversion and disbursement of the securities and interest as set forth above. 10. The names of the persons who are authorized to give written notices or to receive written notice on behalf of the District and on behalf of Contractor in connection with the foregoing, and exemplars of their respective signatures are as follows: For District: Title FINANCE DIRECTOR Name Signature Address 1635 Faradav Avenue. Carlsbad. CA 92008 For Contractor: Title Name Signature Address _ For Escrow Agent: Title Name Signature Address At the time the Escrow Account is opened, the District and Contractor shall deliver to the Escrow Agent a fully executed counterpart of this Agreement. Revised 5/01/07 Contract No. 38211-A Page 43 of 103 Pages IN WITNESS WHEREOF, the parties have executed this Agreement by their proper officers on the date first set forth above. For District:Title PRESIDENT Name Signature Address 1200 Carlsbad Village Drive. Carlsbad. CA 92008 For Contractor:Title Name Signature. Address For Escrow Agent:Title Name Signature Address Revised 5/01/07 Contract No. 38211-A Page 44 of 103 Pages GENERAL PROVISIONS FOR MITIGATION LANDSCAPE IMPROVEMENTS LAKE CALAVERA REMEDIAL IMPROVEMENTS PROJECT CONTRACT NO. 38211-A CARLSBAD MUNICIPAL WATER DISTRICT BIDDERS ARE ADVISED THAT THIS SECTION REPLACES PART 1, GENERAL PROVISIONS, OF THE STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION SECTION 1 - TERMS, DEFINITIONS ABBREVIATIONS AND SYMBOLS 1-1 TERMS - Unless otherwise stated, the words directed, required, permitted, ordered, instructed, designated, considered necessary, prescribed, approved, acceptable, satisfactory, or words of like meaning, refer to actions, expressions, and prerogatives of the Engineer. 1-1.1 Reference to Drawings. Where words "shown", "indicated", "detailed", "noted", "scheduled", or words of similar import are used, it shall be understood that reference is made to the plans accompanying these provisions, unless stated otherwise. 1-1.2 Directions. Where words "directed", "designated", "selected", or words of similar import are used, it shall be understood that the direction, designation or selection of the Engineer is intended, unless stated otherwise. The word "required" and words of similar import shall be understood to mean "as required to properly complete the work as required and as approved by the Engineer," unless stated otherwise! 1-1.3 Equals and Approvals. Where the words "equal", "approved equal", "equivalent", and such words of similar import are used, it shall be understood such words are followed by the expression "in the opinion of the Engineer", unless otherwise stated. Where the words "approved", "approval", "acceptance", or words of similar import are used, it shall be understood that the approval, acceptance, or similar import of the Engineer is intended. 1-1.4 Perform. The word "perform" shall be understood to mean that the Contractor, at its expense, shall perform all operations, labor, tools and equipment, and further, including the furnishing and installing of materials that are indicated, specified or required to mean that the Contractor, at its expense, shall furnish and install the work, complete in place and ready to use, including furnishing of necessary labor, materials, tools, equipment, and transportation. Revised 5/01/07 Contract No. 38211-A Page 45 of 103 Pages 1-2 Definitions. The following words, or groups of words, shall be exclusively defined by the definitions assigned to them herein. Addendum - Written or graphic instrument issued prior to the opening of Bids which clarifies, corrects, or changes the bidding or Contract Documents. The term Addendum shall include bulletins and all other types of written notices issued to potential bidders prior to opening of Bids. Agency - the Carlsbad Municipal Water District. Agreement - See Contract. Assessment Act Contract - A Contract financed by special assessments authorized under a State Act or procedural ordinance of a City or County. Base - A layer of specified material of planned thickness placed immediately below the pavement or surfacing. Bid - The offer or proposal of the Bidder submitted on the prescribed form setting forth the prices for the Work. Bidder - Any individual, firm, partnership, corporation, or combination thereof, submitting a Bid for the Work, acting directly or through a duly authorized representative. Board - The officer or body constituting the awarding authority of the Agency, the Board of Directors of Carlsbad Municipal Water District. Bond - Bid, performance, and payment bond or other instrument of security. Cash Contract - A Contract financed by means other than special assessments. Change Order - A written order to the Contractor signed by the Agency directing an addition, deletion, or revision in the Work, or an adjustment in the Contract Price or the Contract time issued after the effective date of the Contract. A Change Order may or may not also be signed by the Contractor. Code - The terms Government Code, Labor Code, etc., refer to codes of the State of California. Construction Manager- the Project Inspector's immediate supervisor and first level of appeal for informal dispute resolution. Contract - The written agreement between the Agency and the Contractor covering the Work. Contract Documents - Including but not limited to; the Contract, any Addendum (which pertain to the contract documents), Notice Inviting Bids, Instructions to Bidders; Bid (including documentation accompanying the Bid and any post-bid documentation submitted prior to the Notice of Award) when attached as an exhibit to the Contract, the Bonds, the general conditions, permits from other agencies, the Special Provisions, the Plans, Standard Plans, Standard Specifications, Reference Specifications, and all Modifications issued after the execution of the Contract. Revised 5/01/07 Contract No. 38211-A Page 46 of 103 Pages Contractor - The individual, partnership, corporation, joint venture, or other legal entity having a Contract with the Agency to perform the Work. In the case of work being done under permit issued by the Agency, the permittee shall be constructed to be the Contractor. The term "prime contractor" shall mean Contractor. Contract Price - The total amount of money for which the Contract is awarded. Contract Unit Price - The amount stated in the Bid for a single unit of an item of work. County Sealer - The Sealer of Weights and Measures of the county in which the Contract is let. Days - Days shall mean consecutive calendar's days unless otherwise specified. Deputy City Engineer, Construction Management & Inspection - The Construction Manager's immediate supervisor and second level of appeal for informal dispute resolution. Dispute Board - persons designated by the City Manager of the City of Carlsbad or Executive Manager of the Carlsbad Municipal Water District, to hear and advise the City Manager on claims submitted by the Contractor. The City Manager for the City of Carlsbad or the Executive Manager for the Carlsbad Municipal Water District is the last appeal level for informal dispute resolution. Electrolier - Street light assembly complete, including foundation, standard, luminaire arm, luminaire, etc. Engineer - the City Engineer of the City of Carlsbad or his/her approved representative. The Engineer is the third level of appeal for informal dispute resolution. Geotextile - Synthetic fiber used in civil engineering applications, serving the primary functions of separation and filtration. House Connection Sewer - A sewer, within a public street or right-of-way, proposed to connect any parcel, lot, or part of a lot with a mainline sewer. House Sewer - A sewer, wholly within private property, proposed to connect any building to a house connection sewer. Luminaire - The lamp housing including the optical and socket assemblies (and ballast if so specified). Luminaire Arm - The structural member, bracket, or mast arm, which, mounted on the standard, supports the luminaire. Minor Bid Item - a single contract item constituting less than 10 percent (10%) of the original Contract Price bid. Modification - Includes Change Orders and Supplemental Agreements. A Modification may only be used after the effective date of the Contract. Notice of Award - The written notice by the Agency to the successful Bidder stating that upon compliance by it with the required conditions, the Agency will execute the Contract. Am¥ Revised 5/01/07 Contract No. 38211-A Page 47 of 103 Pages Notice to Proceed - A written notice given by the Agency to the Contractor fixing the date on which the Contract time will start. Own Organization - When used in Section 2-3.1 - Employees of the Contractor who are hired, directed, supervised and paid by the Contractor to accomplish the completion of the Work. Further, such employees have their employment taxes, State disability insurance payments, State and Federal income taxes paid and administered, as applicable, by the Contractor. When used in Section 2-3.1 "own organization" means construction equipment that the Contractor owns or leases and uses to accomplish the Work. Equipment that is owner operated or leased equipment with an operator is not part of the Contractor's Own Organization and will not be included for the purpose of compliance with Section 2-3.1. Person - Any individual, firm, association, partnership, corporation, trust, joint venture, or other legal entity. Plans - The drawings, profiles, cross sections, working drawings, and supplemental drawings, or reproductions thereof, approved by the Engineer, which show the location, character, dimensions, or details of the Work. Private Contract - Work subject to Agency inspection, control, and approval, involving private funds, not administered by the Agency. Project Inspector - the Engineer's designated representative for inspection, contract administration and first level for informal dispute resolution. Proposal - See Bid. Reference Specifications - Those bulletins, standards, rules, methods of analysis or test, codes, and specifications of other agencies, engineering societies, or industrial associations referred to in the Contract Documents. These refer to the latest edition, including amendments in effect and published at the time of advertising the project or issuing the permit, unless specifically referred to by edition, volume, or date. Roadway - The portion of a street reserved for vehicular use. Service Connection - Service connections are all or any portion of the conduit, cable, or duct, including meter, between a utility distribution line and an individual consumer. Sewer - Any conduit intended for the reception and transfer of sewage and fluid industrial waste. Specifications - Standard Specifications, Reference Specifications, Special Provisions, and specifications in Supplemental Agreements between the Contractor and the Board. Special Provisions - Additions and revisions to the Standard Specifications setting forth conditions and requirements peculiar to the work. Standard - The shaft or pole used to support street lighting luminaire, traffic signal heads, mast arms, etc. Revised 5/01/07 Contract No. 38211-A Page 48 of 103 Pages Standard Plans - Details of standard structures, devices, or instructions referred to on the Plans or in Specifications by title or number. Standard Specifications - The Standard Specifications for Public Works Construction (SSPWC), the "Greenbook". State - State of California. Storm Drain - Any conduit and appurtenances intended for the reception and transfer of storm water. Street - Any road, highway, parkway, freeway, alley, walk, or way. Subbase - A layer of specified material of planned thickness between a base and the subgrade. Subcontractor - An individual, firm, or corporation having a direct contract with the Contractor or with any other Subcontractor for the performance of a part of the Work. Subgrade - For roadways, that portion of the roadbed on which pavement, surfacing, base, subbase, or a layer of other material is placed. For structures, the soil prepared to support a structure. Supervision - Supervision, where used to indicate supervision by the Engineer, shall mean the performance of obligations, and the exercise of rights, specifically imposed upon and granted to the Agency in becoming a party to the Contract. Except as specifically stated herein, supervision by the Agency shall not mean active and direct superintendence of details of the Work. Supplemental Agreement - A written amendment of the Contract Documents signed by both parties. Surety - Any individual, firm, or corporation, bound with and for the Contractor for the acceptable performance, execution, and completion of the Work, and for the satisfaction of all obligations incurred. Tonne - Also referred to as "metric ton". Represents a unit of measure in the International System of Units equal to 1,000 kilograms. Utility - Tracks, overhead or underground wires, pipeline, conduits, ducts, or structures, sewers, or storm drains owned, operated, or maintained in or across a public right of way or private easement. Work - That which is proposed to be constructed or done under the Contract or permit, including the furnishing of all labor, materials, equipment, and services. Revised 5/01/07 Contract No. 38211-A Page 49 of 103 Pages 1-3 ABBREVIATIONS 1-3.1 General. The abbreviation herein, together with others in general use, are applicable to these Standard Specifications and to project Plans or other Contract Documents. All abbreviations and symbols used on Plans for structural steel construction shall conform to those given by the "Manual of Steel Construction" published by the American Institute of Steel Construction, Inc. 1-3.2 Common Usage Abbreviation Word or Words ABAN Abandon ABAND Abandoned ABS Acrylonitrile - butadiene - styrene AC Asphalt Concrete ACP Asbestos cement pipe ACWS Asphalt concrete wearing surface ALT Alternate APIS Apartment and Apartments AMER STD American Standard AWG American Wire Gage (nonferrous wire) BC Beginning of curve BCR Beginning of curb return BDRY Boundary BF Bottom of footing BLDG Building and Buildings BM Benchmark BVC Beginning of vertical curve B/W Back of wall C/C Center to center CAB Crushed aggregate base CAL/OSHA California Occupational Safety and Health Administration CalTrans California Department of Transportation CAP Corrugated aluminum pipe CB Catch Basin Cb Curb CBP Catch Basin Connection Pipe CBR California Bearing Ratio CCR California Code of Regulations CCTV Closed Circuit TV CES Carlsbad Engineering Standards CF Curb face CF Cubic foot C&G Curb and gutter CFR Code of Federal Regulations CFS Cubic Feet per Second CIP Cast iron pipe CIPP Cast-in place pipe CL Clearance, center line CLF Chain link fence CMB Crushed miscellaneous base CMC Cement mortar-coated CML Cement mortar-lined CMWD Carlsbad Municipal Water District CO Cleanout (Sewer) COL Column COMM Commercial CONG Concrete CONN Connection CONST Construct, Construction COORD Coordinate CSP Corrugated steel pipe CSSD Carlsbad Supplemental Standard Drawings CTB Cement treated base CV Check valve CY Cubic yard D Load of pipe dB Decibels DBL Double DF Douglas fir DIA Diameter DIP Ductile iron pipe DL Dead load DR Dimension Ratio DT Drain Tile DWG Drawing DWY Driveway DWY APPR Driveway approach E Electric EA Each EC End of curve ECR End of curb return EF Each face EG Edge of gutter EGL Energy grade line El Elevation ELC Electrolier lighting conduit ELT Extra long ton ENGR Engineer, Engineering EP Edge of pavement ESMT Easement ETB Emulsion-treated base EVC End of vertical curb EWA Encina Wastewater Authority EXC Excavation EXP JT Expansion joint EXST Existing F Fahrenheit F&C Frame and cover F&l Furnish and install FAB Fabricate FAS Flashing arrow sign FD Floor drain FDN Foundation Revised 5/01/07 Contract No. 38211-A Page 50 of 103 Pages FED SPEC Federal Specification FG Finished grade FH Fire hydrant FL Flow line FS Finished surface FT-LB Foot-pound FTG Footing FW Face of wall G Gas GA Gauge GAL Gallon and Gallons GALV Galvanized GAR Garage and Garages GIP Galvanized iron pipe GL Ground line or grade line GM Gas meter GNV Ground Not Visible GP Guy pole GPM gallons per minute GR Grade GRTG Grating GSP Galvanized steel pipe H High or height HB Hose bib HC House connection HDWL Headwall HGL Hydraulic grade line HORIZ Horizontal HP Horsepower HPG High pressure gas HPS High pressure sodium (Light) HYDR Hydraulic IE Invert Elevation ID Inside diameter INCL Including INSP Inspection INV Invert IP Iron pipe JC Junction chamber JCT Junction JS Junction structure JT Joint L Length LAB Laboratory LAT Lateral LB Pound LD Local depression LF Linear foot LH Lamp hole LL Live load LOL Layout line LONG Longitudinal LP Lamp post LPS Low pressure sodium (Light) LS Lump sum LTS Lime treated soil LWD Leucadia Wastewater District MAINT Maintenance MAX Maximum MCR Middle of curb return MEAS Measure MH Manhole, maintenance hole MIL SPEC Military specification MISC Miscellaneouso MOD Modified, modify MON Monument MSL . Mean Sea Level (Reg. Standard Drawing M-12) MTBM Microtunneling Boring Machine MULT Multiple MUTCD.... Manual on Uniform Traffic Control Devices MVL Mercury vapor light NCTD North County Transit District NRCP Nonreinforced concrete pipe OBS Obsolete OC On center OD Outside diameter OE Outer edge OHE Overhead Electric OMWD Olivenhain Municipal Water District OPP Opposite ORIG Original PB Pull box PC Point of curvature PCC Portland cement concrete or point of compound curvature PCVC Point of compound vertical curve PE Polyethylene PI Point of intersection PL Property line PMB Processed miscellaneous base POC Point on curve POT Point on tangent PP Power pole PRC Point of reverse curve PRVC Point of reverse vertical curve PSI Pounds per square inch PT Point of tangency PVC Polyvinyl chloride PVMT Pavement PVT R/W Private right-of-way Q Rate of flow in cubic feet per second QUAD Quadrangle, Quadrant R Radius R&O Rock and oil R/W Right-of-way RA Recycling agent RAG Recycled asphalt concrete RAP Reclaimed asphalt pavement RBAC Rubberized asphalt concrete RC Reinforced concrete RGB Reinforced concrete box RCE Registered civil engineer RCP Reinforced concrete pipe RCV Remote control valve REF Reference REINF Reinforced or reinforcement RES Reservoir RGE Registered geotechnical engineer ROW Right-of-Way RR Railroad RSE Registered structural engineer RTE Registered traffic engineer S Sewer or Slope, as applicable SCCP Steel cylinder concrete pipe SD Storm drain SDNR San Diego Northern Railway SDR Standard thermoplastic pipe dimension ratio (ratio of pipe O.D. to minimum wall thickness) SDRSD San Diego Regional Standard Drawings SE Sand Equivalent Revised 5/01/07 Contract No. 38211-A Page 51 of 103 Pages SEC Section SF Square foot SFM Sewer Force Main SI International System of Units (Metric) SPEC Specifications SPPWC Standard Plans for Public Works Construction SSPWC Standard Specifications for Public Works Construction STHWY State highway STA Station STD Standard STR Straight STR GR Straight grade STRUG Structural/Structure SW Sidewalk SWD Sidewalk drain SY Square yard T Telephone TAN Tangent TC Top of curb TEL Telephone TF Top of footing TOPO Topography TR Tract TRANS Transition TS Traffic signal or transition structure TSC Traffic signal conduit TSS Traffic signal standard TW Top of wall TYP Typical UE Underground Electric USA Underground Service Alert VAR Varies, Variable VB Valve box VC Vertical curve VCP Vitrified clay pipe VERT Vertical VOL Volume VWD Vallecitos Water District W Water, Wider or Width, as applicable WATCH Work Area Traffic Control Handbook Wl Wrought iron WM Water meter WPJ Weakened plane joint XCONN Cross connection XSEC Cross section o 1-3.3 Institutions. Abbreviation Word or Words AASHTO American Association of State Highway and Transportation Officials AISC American Institute of Steel Construction ANSI American National Standards Institute API American Petroleum Institute AREA American Railway Engineering Association ASTM American Society for Testing and Materials AWPA American Wood Preservers Association AWS American Welding Society AWWA American Water Works Association FHWA Federal Highway Administration GRI Geosynthetic Research Institute NEMA National Electrical Manufacturers Association NOAA National Oceanic and Atmospheric Administration (Dept. of Commerce) UL Underwriters' Laboratories Inc. USGS United States Geological Survey oRevised 5/01/07 Contract No. 38211-A Page 52 of 103 Pages 1-4 UNITS OF MEASURE. 1-4.1 General. U.S. Standard Measures, also called U.S. Customary System, are the principal measurement system in these specifications. However, certain material specifications and test requirements contained herein use SI units specifically and conversions to U.S. Standard Measures may or may not have been included in these circumstances. When U.S. Standard Measures are not included in parenthesis, then the SI units shall control. S.I. units and U.S. Standard Measures in parenthesis may or may not be exactly equivalent. Reference is also made to ASTM E 380 for definitions of various units of the SI system and a more extensive set of conversion factors. 1 -4.2 Units of Measure and Their Abbreviations. U.S. Customary Unit (Equal To) SI Unit (Abbreviations) (Abbreviations) 1 mil (=0.001 in) 25.4 micrometer (urn) 1 inch (in) 25.4 millimeter (mm) 1 inch (in) 2.54 centimeter (cm) 1 foot (ft) 0.3048 meter (m) 1 yard (yd) 0.9144 meter (m) 1 mile (mi) 1.6093 kilometer (km) 1 square foot (ft) 0.0929 square meter (m 1 square yard/yd ) 0.8361 square meter(m 1 cubic foot (ft3)' 0.0283 cubic meter (mp 1 cubic yard (yd ) 0.7646 cubic meter (m ) 1 acre 0.4047 hectare (ha) 1 U.S. gallon (gal) 3.7854 Liter (L) 1 fluid ounce (fl. oz.) 29.5735 millileter (ml) 1 pound mass (Ib) (avoirdupois) 0.4536 kihpgram (kg) 1 ounce mass (oz) 0.02835 kilogram (Kg) 1 Ton (=2000 Ib avoirdupois) 0.9072 Tonne (= 907 kg) 1 Poise 0.1 pascal • second (Pa s) 1 centistoke (cs) 1 square millimeters per second (mm /s) 1 pound force (Ibf) 4.4482 Newton (N) 1 pounds per square inch (psi) 6.8948 Kilopascal (kPa) 1 pound force per foot (Ibf/ft) 1.4594 Newton permeter (N/m) 1 foot-pound force (ft-lbf) 1.3558 Joules (J) 1 foot-pound force per second ([ft-lbf]/s) 1.3558 Watt (W) 1 part per million (ppm) 1 milligram/liter (mg/L) Temperature Units and Abbreviations Degree Fahrenheit (°F): Degree Celsius (°C): °F = (1.8 x °C) + 32 °C = (°F - 32)71.8 SI Units (abbreviation) Commonly Used in Both Systems 1 Ampere (A) 1 Volt (V) 1 Candela (cd) 1 Lumen (Im) 1 second (s) A•^ Revised 5/01/07 Contract No. 38211-A Page 53 of 103 Pages Common Metric Prefixes , " kilo(k) 103, centi (c) 10 milli(m) 10'3 micro (n) 10"^ nano(n) 10,, pico(p) 10'12 1-5 SYMBOLS A Delta, the central angle or angle between tangents Z Angle % Percent Feet or minutes Inches or seconds Number / per or (between words)0 Degree PL Property line CL Center! ine SL Survey line or station line o Revised 5/01/07 Contract No. 38211-A Page 54 of 103 Pages SECTION 2 - SCOPE AND CONTROL OF WORK 2-1 AWARD AND EXECUTION OF CONTRACT. Award and execution of Contract will be as provided for in the Specifications, Instruction to Bidders, or Notice Inviting Bids. 2-2 ASSIGNMENT. No Contract or portion thereof may be assigned without consent of the Board, except that the Contractor may assign money due or which will accrue to it under the Contract. If given written notice, such assignment will be recognized by the Board to the extent permitted by law. Any assignment of money shall be subject to all proper withholdings in favor of the Agency and to all deductions provided for in the Contract. All money withheld, whether assigned or not, shall be subject to being used by the Agency for completion of the Work, should the Contractor be in default. 2-3 SUBCONTRACTS. 2-3.1 General. Each Bidder shall comply with the Chapter of the Public Contract Code including Sections 4100 through 4113. The following excerpts or summaries of some of the requirements of this Chapter are included below for information: The Bidder shall set forth in the Bid, as provided in 4104: "(a) The name and location of the place of business of each subcontractor who will perform work or labor or render service to the prime contractor in or about the construction of the work or improvements, or a subcontractor licensed by the State of California who, under subcontract to the prime contractor, specially fabricates and installs a portion of the work or improvement according to detailed drawings contained in the plans and specifications, in an amount in excess of one-half of 1 percent of the prime contractor's total bid, or, in the case of bids or offers for the construction of streets or highways, including bridges, in excess of one-half of 1 percent of the prime contractor's total bid or ten thousand dollars ($10,000), whichever is greater." "(b) The portion of the work which will be done by each such subcontractor under this act. The prime contractor shall list only one subcontractor for each such portion as is defined by the prime contractor in his bid." If the Contractor fails to specify a Subcontractor, or specifies more than one Subcontractor for the same portion of the work to be performed under the Contract (in excess of one-half of 1 percent of the Contractor's total Bid), the Contractor shall be qualified to perform that portion itself, and shall perform that portion itself, except as otherwise provided in the Code. As provided in Section 4107, no Contractor whose Bid is accepted shall substitute any person as Subcontractor in place of the Subcontractor listed in the original Bid, except for causes and by procedures established in Section 4107.5. This section provides procedures to correct a clerical error in the listing of a Subcontractor. Section 4110 provides that a Contractor violating any of the provisions of the Chapter violates the Contract and the Board may exercise the option either to cancel the Contract or assess the Contractor a penalty in an amount of not more than 10 percent of the subcontract involved, after a public hearing. 0Revised 5/01/07 Contract No. 38211-A Page 55 of 103 Pages Should the Contractor fail to adhere to the provisions requiring the Contractor to complete 50 percent of the contract price with its own organization, the Agency may at its sole discretion elect to cancel the contract or deduct an amount equal to 10 percent of the value of the work performed in excess of 50 percent of the contract price by other than the Contractor's own organization. The Board shall be the sole body for determination of a violation of these provisions. In any proceedings under this section, the prime contractor shall be entitled to a public hearing before the Board and shall be notified ten (10) days in advance of the time and location of said hearing. The determination of the Board shall be final. 2-3.2 Additional Responsibility. The Contractor shall give personal attention to the fulfillment of the Contract and shall keep the Work under its control. The Contractor shall perform, with its own organization, Contract work amounting to at least 50 percent of the Contract Price except that any designated "Specialty Items" may be performed by subcontract, and the amount of any such "Specialty Items" so performed may be deducted from the Contract Price before computing the amount required to be performed by the Contractor with its own organization. "Specialty Items" will be identified by the Agency in the Bid or Proposal. Where an entire item is subcontracted, the value of work subcontracted will be based on the Contract Unit Price. When a portion of an item is subcontracted, the value of work subcontracted will be based on the estimated percentage of the Contract Unit Price. This will be determined from information submitted by the Contractor, and subject to approval by the Engineer. Before the work of any Subcontractor is started, the Contractor shall submit to the Engineer for approval a written statement showing the work to be subcontracted giving the name and business of each Subcontractor and description and value of each portion of the work to be so subcontracted. 2-3.3 Status of Subcontractors. Subcontractors shall be considered employees of the Contractor, and the Contractor shall be responsible for their work. 2-4 CONTRACT BONDS. Before execution of the Contract, the Bidder shall file surety bonds with the Agency to be approved by the Board in the amounts and for the purposes noted below. Bonds issued by a surety, who is authorized to issue bonds in California, and whose bonding limitation shown in said circular is sufficient to provide bonds in the amount required by the Contract shall be deemed to be approved unless specifically rejected by the Agency. Bonds from all other sureties shall be accompanied by all of the documents enumerated in Code of Civil Procedure 995.660 (a). The Bidder shall pay all bond premiums, costs, and incidentals. Each bond shall incorporate, by reference, the Contract and be signed by both the Bidder and Surety and the signature of the authorized agent of the Surety shall be notarized. The Contractor shall provide a faithful performance/warranty bond and payment bond (labor and materials bond) for this contract. The faithful performance/warranty bond shall be in a sum not less than one hundred percent of the total amount payable by the terms of this contract. The Contractor shall provide bonds to secure payment of laborers and materials suppliers in a sum not less than one hundred percent of the total amount payable by the terms of this contract. Both bonds shall extend in full force and effect and be retained by the Agency during this project until they are released according to the provisions of this section. A•^ Revised 5/01/07 Contract No. 38211 -A Page 56 of 103 Pages The faithful performance/warranty bond will be reduced to 25 percent of the original amount 30 days after recordation of the Notice of Completion and will remain in full force and effect for the one year warranty period and until all warranty repairs are completed to the satisfaction of the Engineer. The bonds to secure payment of laborers and materials suppliers shall be released six months plus 30 days after recordation of the Notice of Completion if all claims have been paid. All bonds are to be placed with a surety insurance carrier admitted and authorized to transact the business of insurance in California and whose assets exceed their liabilities in an amount equal to or in excess of the amount of the bond. The bonds are to contain the following documents: 1) An original, or a certified copy, of the un-revoked appointment, power of attorney, by laws, or other instrument entitling or authorizing the person who executed the bond to do so. 2) A certified copy of the certificate of authority of the insurer issued by the insurance commissioner. If the bid is accepted, the Agency may require a financial statement of the assets and liabilities of the insurer at the end of the quarter calendar year prior to 30 days next preceding the date of the execution of the bond. The financial statement shall be made by an officer's certificate as defined in Section 173 of the Corporations Code. In the case of a foreign insurer, the financial statement may be verified by the oath of the principal officer or manager residing within the United States. Should any bond become insufficient, the Contractor shall renew the bond within 10 days after receiving notice from the Agency. Should any Surety at any time be unsatisfactory to the Board, notice will be given the Contractor to that effect. No further payments shall be deemed due or will be made under the contract until a new Surety shall qualify and be accepted by the Board. Changes in the Work or extensions of time, made pursuant to the Contract, shall in no way release the Contractor or Surety from its obligations. Notice of such changes or extensions shall be waived by the Surety. 2-5 PLANS AND SPECIFICATIONS. 2-5.1 General. The Contractor shall keep at the Work site a copy of the Plans and Specifications, to which the Engineer shall have access at all times. The specifications for the work include the project Carlsbad Engineering Standards (CES), Standard Specifications for Public Works Construction, (SSPWC), 2006 Edition (Part 2 & 3) hereinafter designated "SSPWC", as written and promulgated by Joint Cooperative Committee of the Southern California Chapter American Public Works Association and Southern California Districts Associated General Contractors of California, and as amended by the Supplemental Provisions section of this contract. The construction plans consist of one set. The set is designated as City of Carlsbad Drawing No. 411-6A and consists of 16 sheets. The standard drawings used for this project are the latest edition of the San Diego Area Regional Standard Drawings, hereinafter designated SDRSD, as issued by the San Diego County Department of Public Works, together with the most recent editions of the City of Carlsbad Engineering Standards, hereinafter designated as CSSD, as issued by the City of Carlsbad and the Carlsbad Municipal Water District, hereinafter designated as CES. Copies of some of the pertinent standard drawings are enclosed as an appendix to these General Provisions. oRevised 5/01/07 Contract No. 38211-A Page 57 of 103 Pages The Plans, Specifications, and other Contract Documents shall govern the Work. The Contract Documents are intended to be complementary and cooperative. Anything specified in the Specifications and not shown on the Plans, or shown on the Plans and not specified in the Specifications, shall be as though shown on or specified in both. The Plans shall be supplemented by such working drawings and shop drawings as are necessary to adequately control the Work. The Contractor shall ascertain the existence of any conditions affecting the cost of the Work through a reasonable examination of the Work site prior to submitting the Bid. Existing improvements visible at the Work site, for which no specific disposition is made on the Plans, but which interfere with the completion of the Work, shall be removed and disposed of by the Contractor. The Contractor shall, upon discovering any error or omission in the Plans or Specifications, immediately call it to the attention of the Engineer. 2-5.2 Precedence of Contract Documents. If there is a conflict between Contract Documents, the document highest in precedence shall control. The precedence shall be the most recent edition of the following documents listed in order of highest to lowest precedence: 1) Permits from other agencies as may be required by law. 2) Carlsbad General Provisions. 3) Plans. 4) City of Carlsbad Engineering Standards, 2004 Edition. 5) San Diego Regional Standard Drawings 6) Standard Specifications for Public Works Construction 7) Reference Specifications 8) Manufacturer's Installation Recommendations Change Orders, Supplemental Agreements and approved revisions to Plans and Specifications will take precedence over items 2) through 8) above. Detailed plans and plan views shall have precedence over general plans. 2-5.3 Submittals. 2-5.3.1 General. Submittals shall be provided, at the Contractor's expense, as required in 2-5.3.2, 2-5.3.3 and 2-5.3.4, when required by the Plans or Special Provisions, or when requested by the Engineer. Materials shall neither be furnished nor fabricated, nor shall any work for which submittals are required by performed, before the required submittals have been reviewed and accepted by the Engineer. Neither review nor acceptance of submittals by the Engineer shall relieve the Contractor from responsibility for errors, omissions, or deviations from the Contract Documents, unless such deviations were specifically called to the attention of the Engineer in the letter of transmittal. The Contractor shall be responsible for the correctness of the submittals. Revised 5/01/07 Contract No. 38211-A Page 58 of 103 Pages The Contractor shall allow a minimum of 20 working days for review of submittals unless otherwise specified in the Special Provisions. Each submittal shall be accompanied by a letter of transmittal. Each submittal shall be consecutively numbered. Resubmittals shall be labeled with the number of the original submittal followed by an ascending alphabetical designation (e.g. The label '4-C' would indicate the third instance that the fourth submittal had been given to the Engineer). Each sheet of each submittal shall be consecutively numbered. Each set of shop drawings and submittals shall be accompanied by a letter of transmittal on the Contractor's letterhead. The Letter of transmittal shall contain the following: 1) Project title and Agency contract number. 2) Number of complete sets. 3) Contractor's certification statement. 4) Specification section number(s) pertaining to material submitted for review. 5) Submittal number (Submittal numbers shall be consecutive including subsequent submittals for the same materials.) 6) Description of the contents of the submittal. 7) Identification of deviations from the contract documents. When submitted for the Engineer's review, Shop Drawings shall bear the Contractor's certification that the Contractor has reviewed, checked, and approved the Shop Drawings and that they are in conformance with the requirements of the Contract Documents. The Contractor shall subscribe to and shall place the following certification on all submittals: "I hereby certify that the (equipment, material) shown and marked in this submittal is that proposed to be incorporated into this Project, is in compliance with the Contract Documents, can be installed in the allocated spaces, and is submitted for approval." By: Title: Date: Company Name: 2-5.3.2 Working Drawings. Working drawings are drawings showing details not shown on the Plans which are required to be designed by the Contractor. Working drawings shall be of a size and scale to clearly show all necessary details. 2-5.3.3 Shop Drawings. Shop drawings are drawings showing details of manufactured or assembled products proposed to be incorporated into the Work. Shop drawings required shall be as specified in the Special Provisions. Revised 5/01/07 Contract No. 38211-A Page 59 of 103 Pages 2-5.3.4 Supporting Information. Supporting information is information required by the Specifications for the purposes of administration of the Contract, analysis for verification of conformance with the Specifications, the operation and maintenance of a manufactured product or system to be constructed as part of the Work, and other information as may be required by the Engineer. Six copies of the supporting information shall be submitted to the Engineer prior to the start of the Work unless otherwise specified in the Special Provisions or directed by the Engineer. Supporting information for systems shall be bound together and include all manufactured items for the system. If resubmittal is not required, three copies will be returned to the Contractor. Supporting information shall consist of the following and is required unless otherwise specified in the Special Provisions: 1) List of Subcontractors per 2-3.2. 2) List of Materials per 4-1.4. 3) Certifications per 4-1.5. 4) Construction Schedule per 6-1. 5) Confined Space Entry Program per 7-10.4.4. 6) Concrete mix designs per 201 -1.1. 7) Asphalt concrete mix designs per 203-6.1. 8) Data, including, but not limited to, catalog sheets, manufacturer's brochures, technical bulletins, specifications, diagrams, product samples, and other information necessary to describe a system, product or item. This information is required for irrigation systems, street lighting systems, and traffic signals, and may also be required for any product, manufactured item, or system. 2-5.4 RECORD DRAWINGS. The Contractor shall provide and keep up-to-date a complete "as-built" record set of blue-line prints, which shall be corrected in red daily and show every change from the original drawings and specifications and the exact "as-built" locations, sizes and kinds of equipment, underground piping, valves, and all other work not visible at surface grade. Prints for this purpose may be obtained from the Agency at cost. This set of drawings shall be kept on the job and shall be used only as a record set and shall be delivered to the Engineer within ten (10) days of completion of the work. Payment for performing the work required by Section 2-5.4 shall be included in the various bid items and no additional payment will be made therefore. 2-6 WORK TO BE DONE. The Contractor shall perform all work necessary to complete the Contract in a satisfactory manner. Unless otherwise provided, the Contractor shall furnish all materials, equipment, tools, labor, and incidentals necessary to complete the Work. 2-7 SUBSURFACE DATA. All soil and test hole data, water table elevations, and soil analyses shown on the drawings or included in the Specifications apply only at the location of the test holes and to the depths indicated. Soil test reports for test holes which have been drilled are available for inspection at the office of the Engineer. Any additional subsurface exploration shall be done by Bidders or the Contractor at their own expense. The indicated elevation of the water table is that which existed on the date when test hole data was determined. It is the Contractor's responsibility to determine and allow for the elevation of groundwater at the date of project construction. A difference in elevation between groundwater shown in soil boring logs and groundwater actually encountered during construction will not be considered as a basis for extra work. 2-8 RIGHT-OF-WAY. Rights-of-way, easements, or rights-of-entry for the Work will be provided by the Agency. Unless otherwise provided, the Contractor shall make arrangements, pay for, and assume all responsibility for acquiring, using, and disposing of additional work areas and facilities temporarily required. The Contractor shall indemnify and hold the Agency harmless from all claims for damages caused by such actions. Revised 5/01/07 Contract No. 38211-A Page 60 of 103 Pages 2-9 SURVEYING. 2-9.1 Permanent Survey Markers. The Contractor shall not cover or disturb permanent survey monuments or benchmarks without the consent of the Engineer. Where the Engineer concurs, in writing, with the Contractor that protecting an existing monument in place is impractical, the Contractor shall employ a licensed land surveyor or a registered civil engineer authorized to practice land surveying within the State of California, hereinafter Surveyor, to establish the location of the monument before it is disturbed. The Contractor shall have the monument replaced by the Surveyor no later than thirty (30) days after construction at the site of the replacement is completed. The Surveyor shall file corner record(s) as required by §§ 8772 and 8773, et seq. of the California Business and Professions Code. When a change is made in the finished elevation of the pavement of any roadway in which a permanent survey monument is located, the Contractor shall adjust the monument frame and cover to the new grade within 7 days of paving unless the Engineer shall approve otherwise. Monument frames and covers shall be protected during street sealing or painting projects or be cleaned to the satisfaction of the Engineer. 2-9.2 Survey Service. The Contractor shall hire and pay for the services of a Surveyor, hereinafter Surveyor to perform all work necessary for establishing control, construction staking, records research and all other surveying work necessary to construct the work, provide surveying services as required herein and provide surveying, drafting and other professional services required to satisfy the requirements of the Land Surveyors Act. Surveyor shall be resident on the site during all surveying operations and shall personally supervise and certify the surveying work. 2-9.2.1 Submittal of Surveying Data, All surveying data submittals shall conform to the requirements of Section 2-5.3.3, "Submittals", herein. The Contractor shall submit grade sheets to the Engineer before commencing work in the area affected by the grade sheets. The Contractor shall submit field notes for all surveying required herein to the Engineer within ten days of performing the survey. All surveying field notes, grade sheets and survey calculations shall be submitted in bound form on 215mm by 280 mm (81/2" by 11") paper. The field notes, calculations and supporting data shall be clear and complete. Supporting data shall include all maps, affidavits, plats, field notes from earlier surveys and all other evidence used by the Surveyor to determine the location of the monuments set. The field notes and calculations will be labeled with name of the Surveyor, the party chief, the field crewmembers and the author of the field notes or calculations. They shall be annotated with the date of observation or calculation, be numbered with consecutive page numbers and shall be readable without resort to any electronic aid, computer program or documentation for any computer program. The field notes shall be prepared in conformance with the CALTRANS "Surveys Manual". The Contractor shall have a Record of Survey prepared by the Surveyor and file it in conformance with §§ 8700 - 8805 of the State of California Business and Professions Code when the Surveyor performs any surveying that such map is required under §§ 8762 of the State of California Business and Professions Code and whenever the Surveyor shall establish, set or construct any permanent survey monument. SDRS drawing M-10 type monuments, bolts, spikes, leaded tacks and nails (when set in concrete), iron pipes, reinforcing steel and all monuments and marks that are at, or accessory to, property corners and street centerlines are permanent survey monuments. The Record of Survey shall show all monuments set, control monuments used, the basis of bearings and all other data needed to determine the procedure of survey and the degree of accuracy attained by the field surveying including the unadjusted ratio of closure. The unadjusted ratio of closure shall not exceed 1 part in 40,000. The record of survey shall show the location and justification of location of all permanent monuments set and their relation to the street right-of-way. Record(s) of Survey(s) shall be submitted for the Engineer's review and approval before submittal to the County Surveyor and before submittal to the County Recorder. A•^ Revised 5/01/07 Contract No. 38211-A Page 61 of 103 Pages 2-9.2.2 Survey Requirements, Stakes shall be set at offsets approved by the Engineer at no greater intervals than specified in TABLE 2-9.2.2(A) as measured along the project stationing. Stakes shall be set to show the location and grade of future curbs adjacent to traffic signal locations where the curb is not being built as a part of this contract. Staking and marking shall be completed by the Surveyor and inspected and approved by the Engineer before the start of construction in the area marked. Centerline monument shall have the disk stamped with the date the monument was set and the registration number of the Surveyor. Habitat mitigation sites and other areas to be preserved that are shown on the plans shall be staked and flagged prior to the start of any other activities within the limits of the work. When curb and gutter does not exist and is not being installed as a part of the project the location of adjacent facilities being constructed as a part of the contract the Contractor shall place stakes defining the horizontal and vertical location of such adjacent utility vaults, poles or other facilities that are being installed as parts of, or adjunct to, the project either by the Contractor and/or those noted on the plans as to be installed by others. TABLE 2-9.2.2(A) Survey Requirements for Construction Staking Feature Staked Clearing Slope Fence Final Grade (includes top of: Basement soil, subbase and base) Drainage Structures, Pipes & similar Facilities®, ® Conduit ® Minor Structure ® Abutment Fill Miscellaneous ® Contour Grading ® Utilities ®, ® Stake Description © Lath in soil, painted line on PCC & AC surfaces RP + Marker Stake RP + Marker Stake RP + Marker Stake, Blue- top in grading area RP + Marker Stake RP + Marker Stake RP + Marker Stake + Line Stake RP + Marker Stake + Line Stake RP + Marker Stake RP + Marker Stake Centerline or Parallel to Centerline Spacing®, <E> lath - Intervisible, < 50' on tangents & < 25' on curves, Painted line - continuous Intervisible and < 50' < 200' on tangents, < 50' on curves when R£ 1000' & 25' on curves when R< 1000' < 50' on tangents & curves when R> 1000' & < 25' on curves when R < 1000' intervisible & < 25', beginning and end, BC & EC of facilities, Grade breaks, Alignment breaks, Junctions, Inlets & similar facilities, Risers & similar facilities (except plumbing), Skewed cut-off lines < 50' on tangents & curves when R> 1000' & < 25' on curves when R < 1000' or where grade < 0.30% for catch basins: at centerline of box, ends of box & wings & at each end of the local depression ® < 50' & along end slopes & conic transitions <50' < 50' on tangents & curves when R> 1000' & < 25' on curves when R < 1000' or where Lateral Spacing <3>, <D at clearing line Grade Breaks &<:25' N/A ( constant offset) <22' as appropriate as appropriate as appropriate as appropriate along contour line as appropriate Setting Tolerance (Within) 1 ' Horizontal 0.1' Verticals Horizontal 0.1' Horizontal 3/8" Horizontal & 1/4" Vertical V Horizontal & V«" Vertical J/e" Horizontal & when depth cannot be measured from existing pavement V/ Vertical V Horizontal & V Vertical (when vertical data needed) 0.1 'Vertical* Horizontal 0.1 'Verticals Horizontal V Horizontal & V/ Vertical o oRevised 5/01/07 Contract No. 38211-A Page 62 of 103 Pages Feature Staked Channels, Dikes & Ditches © Subsurface Drains © Stake Description ® RP + Marker Stake RP + Marker Stake Centerline or Parallel to Centerline Spacing®, ® grades 0.30% intervisible & < 100', BC & EC of facilities, Grade breaks, Alignment breaks, Junctions, Inlets & similar facilities intervisible & < 50', BC & EC of facilities, Grade breaks, Alignment breaks, Junctions, Inlets & similar facilities, Risers & similar facilities Lateral Spacing CD, ® as appropriate as appropriate Setting Tolerance (Within) 0.1 'Horizontals1// Vertical 0.1' Horizontals1// Vertical © Staking for feature may be omitted when adjacent marker stakes reference the offset and elevation of those features and the accuracy requirements of the RP meet the requirements for the feature © Reference points shall be sufficiently durable and set securely enough to survive with accuracy intact throughout the installation & inspection of the features or adjacent facilities for which they provide control. RP means reference point for the purposes of this table ® Perpendicular to centerline. © Some features are not necessarily parallel to centerline but are referenced thereto © Multi-plane surfaced features shall be staked so as to provide line & grade information for each plane of the feature © > means greater than, or equal to, the number following the symbol. < means less than, or equal to, the number following the symbol. © The cut datum for storm drainage & sanitary sewer pipes & similar structures shall be their invert. The cut datum for all other utilities shall be the top of their pipe or conduit. All guard stakes, line stakes and lath shall be flagged. Unless otherwise approved by the Engineer flagging, paint and marking cards shall be the color specified in TABLE 2-9.2.2(6) TABLE 2-9.2.2(6) Survey Stake Color Code for Construction Staking Type of Stake Horizontal Control Vertical Control Clearing Grading Structure Drainage, Sewer, Curb Right-of-Way Miscellaneous Description Coordinated control points, control lines, control reference points, centerline, alignments, etc. Bench marks Limits of clearing Slope, intermediate slope, abutment fill, rough grade, contour grading, final grade, etc. Bridges, sound and retaining walls, box culverts, etc. Pipe culverts, junction boxes, drop inlets, headwalls, sewer lines, storm drains, slope protection, curbs, gutters, etc. Fences, R/ W lines, easements, property monuments, etc. Signs, railings, barriers, lighting, etc. Color* White/Red White/Orange Yellow/Black Yellow White Blue White/Yellow Orange ' Flagging and marking cards, if used. 2-9.2.3 Payment for Survey, Payment for work performed to satisfy the requirements of Sections 2-9.1 through 2-9.2.2 shall be included in the actual bid items requiring the survey work and no additional payment will be made. Extension of unit prices for extra work shall include full compensation for attendant survey work and no additional payment will be made. Payment for the replacement of disturbed monuments and the filing of records of survey and/or corner records, including filing fees, shall be incidental to the work necessitating the disturbance of said monuments and no additional payment will be made. 2-9.3 Private Engineers. Surveying by private engineers on the Work shall conform to the quality and practice required by the Engineer. Revised 5/01/07 Contract No. 38211-A Page 63 of 103 Pages 2-9.4 Line and Grade. All work shall conform to the lines, elevations, and grades shown on the Plans. Three consecutive points set on the same slope shall be used together so that any variation from a straight grade can be detected. Any such variation shall be reported to the Engineer. In the absence of such report, the Contractor shall be responsible for any error in the grade of the finished work. Grades for underground conduits will be set at the surface of the ground. The Contractor shall transfer them to the bottom of the trench. 2-10 AUTHORITY OF BOARD AND ENGINEER. The Board has the final authority in all matters affecting the Work. Within the scope of the Contract, the Engineer has the authority to enforce compliance with the Plans and Specifications. The Contractor shall promptly comply with instructions from the Engineer or an authorized representative. The decision of the Engineer is final and binding on all questions relating to: quantities; acceptability of material, equipment, or work; execution, progress or sequence of work; and interpretation of the Plans, Specifications, or other drawings. This shall be precedent to any payment under the Contract, unless otherwise ordered by the Board. 2-10.1 Availability of Records, The Contractor shall, at no charge to the Agency, provide copies of all records in the Contractor's or subcontractor's possession pertaining to the work that the Engineer may request. 2-10.2 Audit And Inspection, Contractor agrees to maintain and/or make available, to the Engineer, within San Diego County, accurate books and accounting records relative to all its activities and to contractually require all subcontractors to this Contract to do the same. The Engineer shall have the right to monitor, assess, and evaluate Contractor's and its subcontractors performance pursuant to this Agreement, said monitoring, assessments, and evaluations to include, but not be limited to, audits, inspection of premises, reports, contracts, subcontracts and interviews of Contractor's staff and the staff of all subcontractors to this contract. At any time during normal business hours and as often as the Engineer may deem necessary, upon reasonable advance notice, Contractor shall make available to the Engineer for examination, all of its, and all subcontractors to this contract, records with respect to all matters covered by this Contract and will permit the Engineer to audit, examine, copy and make excerpts or transcripts from such data and records, and to make audits of all invoices, materials, payrolls, records of personnel, and other data relating to all matters covered by this Contract. However, any such activities shall be carried out in a manner so as to not unreasonably interfere with Contractor's ongoing business operations. Contractor and all subcontractors to this contract shall maintain such data and records for as long as may be required by applicable laws and regulations. 2-11 INSPECTION. The Work is subject to inspection and approval by the Engineer. The Contractor shall notify the Engineer before noon of the working day before inspection is required. Work shall be done only in the presence of the Engineer, unless otherwise authorized. Any work done without proper inspection will be subject to rejection. The Engineer and any authorized representatives shall at all times have access to the Work during its construction at shops and yards as well as the project site. The Contractor shall provide every reasonable facility for ascertaining that the materials and workmanship are in accordance with these specifications. Inspection of the Work shall not relieve the Contractor of the obligation to fulfill all conditions of the Contract. Revised 5/01/07 Contract No. 38211-A Page 64 of 103 Pages SECTION 3 - CHANGES IN WORK 3-1 CHANGES REQUESTED BY THE CONTRACTOR. 3-1.1 General. Changes in the Plans and Specifications, requested in writing by the Contractor, which do not materially affect the Work and which are not detrimental to the Work or to the interests of the Agency, may be granted by the Engineer. Nothing herein shall be construed as granting a right to the Contractor to demand acceptance of such changes. 3-1.2 Payment for Changes Requested by the Contractor. If such changes are granted, they shall be made at a reduction in cost or no additional cost to the Agency. 3-2 CHANGES INITIATED BY THE AGENCY. 3-2.1 General. The Agency may change the Plans, Specifications, character of the work, or quantity of work provided the total arithmetic dollar value of all such changes, both additive and deductive, does not exceed 25 percent of the Contract Price. Should it become necessary to exceed this limitation, the change shall be by written Supplemental Agreement between the Contractor and Agency, unless both parties agree to proceed with the change by Change Order. Change Orders shall be in writing and state the dollar value of the change or established method of payment, any adjustment in contract time of completion, and when negotiated prices are involved, shall provide for the Contractor's signature indicating acceptance. 3-2.2 Payment. 3-2.2.1 Contract Unit Prices. If a change is ordered in an item of work covered by a Contract Unit Price, and such change does not involve substantial change in character of the work from that shown on the Plans or specified in the Specifications, then an adjustment in payment will be made. This adjustment will be based upon the increase or decrease in quantity and the Contract Unit Price. If the actual quantity of an item of work covered by a Contract Unit Price and constructed in conformance with the Plans and Specifications varies from the Bid quantity by 25 percent or less, payment will be made at the Contract Unit Price. If the actual quantity of said item of work varies from the Bid quantity by more than 25 percent, payment will be made per Section 3-2.2.2 or 3-2.2.3 as appropriate. If a change is ordered in an item of work covered by a Contract Unit Price, and such change does involve a substantial change in the character of the work from that shown on the Plans or specified in the Specifications, an adjustment in payment will be made per Section 3-2.4. 3-2.2.2 Increases of More Than 25 Percent. Should the actual quantity of an item of work covered by a Contract Unit Price and constructed in conformance with the Plans and Specifications, exceed the Bid quantity by more than 25 percent, payment for the quantity in excess of 125 percent of the Bid quantity will be made on the basis of an adjustment in the Contract Unit Price mutually agreed to by the Contractor and the Agency, or at the option of the Engineer, on the basis of Extra Work per Section 3-3. The Extra Work per Section 3-3, basis of payment, shall not include fixed costs. Fixed costs shall be deemed to have been recovered by the Contractor through payment for 125 percent of the Bid quantity at the Contract Unit Price. Revised 5/01/07 Contract No. 38211-A Page 65 of 103 Pages 3-2.2.3 Decreases of More Than 25 Percent. Should the actual quantity of an item of work covered by a Contract Unit Price, and constructed in conformance with the Plans and Specifications, be less than 75 percent of the Bid quantity, an adjustment in payment will not be made unless so requested in writing by the Contractor. If the Contractor so requests, payment will be made on the basis of an adjustment in the Contract Unit Price mutually agreed to by the Contractor and the Agency, or at the option of the Engineer, on the basis of Extra Work per Section 3-3; however, in no case will payment be less than would be made for the actual quantity at the Contract Unit Price nor more than would be made for 75 percent of the Bid quantity at the Contract Unit Price. 3-2.3 Stipulated Unit Prices. Stipulated Unit Prices are unit prices established by the Agency in the Contract Documents as distinguished from Contract Unit Prices submitted by the Contractor. Stipulated Unit Prices may be used for the adjustment of Contract changes when so specified in the Special Provisions. 3-2.4 Agreed Prices. Agreed Prices are prices for new or unforeseen work, or adjustments in Contract Unit Prices per Section 3-2.2, established by mutual agreement between the Contractor and the Agency. If mutual agreement can not be reached, the Engineer may direct the Contractor to proceed on the basis of Extra Work in accordance per Section 3-3, except as otherwise specified in Sections 3-2.2.2 and 3-2.2.3. 3.2.5 Eliminated Items. Should any Bid item be eliminated in its entirety, payment will be made to the Contractor for its actual costs incurred in connection with the eliminated item prior to notification in writing from the Engineer so stating its elimination. If material conforming to the Plans and Specifications is ordered by the Contractor for use in the eliminated item prior to the date of notification of elimination by the Engineer, and if the order for that material can not be canceled, payment will be made to the Contractor for the actual cost of the material. In this case, the material shall become the property of the Agency. Payment will be made to the Contractor for its actual costs for any further handling. If the material is returnable, the material shall be returned and payment will be made to the Contractor for the actual cost of charges made by the supplier for returning the material and for handling by the Contractor. Actual costs, as used herein, shall be computed on the basis of Extra Work per Section 3-3. 3-3 EXTRA WORK. 3-3.1 General. New or unforeseen work will be classified as "extra work" when the Engineer determines that it is not covered by Contract Unit Prices or stipulated unit prices. 3-3.2 Payment. 3-3.2.1 General. When the price for the extra work cannot be agreed upon, the Agency will pay for the extra work based on the accumulation of costs as provided herein. 3-3.2.2 Basis for Establishing Costs. (a) Labor. The costs of labor will be the actual cost for wages of workers performing the extra work at the time the extra work is done, plus employer payments of payroll taxes, workers compensation insurance, liability insurance, health and welfare, pension, vacation, apprenticeship funds, and other direct costs, resulting from Federal, State, or local laws, as well as assessments or benefits required by lawful collective bargaining agreements. Revised 5/01/07 Contract No. 38211-A Page 66 of 103 Pages The use of a labor classification which would increase the extra work cost will not be permitted unless the Contractor establishes the necessity for such additional costs. Labor costs for equipment operators and helpers shall be reported only when such costs are not included in the invoice for equipment rental. The labor cost for foremen shall be proportioned to all of their assigned work and only that applicable to extra work will be paid. Nondirect labor costs, including superintendence, shall be considered part of the markup of Section 3-3.2.3 (a). (b) Materials. The cost of materials reported shall be at invoice or lowest current price at which such materials are locally available and delivered to the job site in the quantities involved, plus sales tax, freight, and delivery. The Agency reserves the right to approve materials and sources of supply, or to supply materials to the Contractor if necessary for the progress of the Work. No markup shall be applied to any material provided by the Agency. (c) Tool and Equipment Rental. No payment will be made for the use of tools which have a replacement value of $200 or less. Regardless of ownership, the rates and right-of-way delay factors to be used in determining rental and delay costs shall be the edition of the, "Labor Surcharge and Equipment Rental Rates" published by CALTRANS, current at the time of the actual use of the tool or equipment. The right-of-way delay factors therein shall be used as multipliers of the rental rates for determining the value of costs for delay to the Contractor and subcontractors, if any. The labor surcharge rates published therein are not a part of this contract. The rental rates paid shall include the cost of fuel, oil, lubrication, supplies, small tools, necessary attachments, repairs and maintenance of any kind, depreciation, storage, insurance, and all incidentals. Necessary loading and transportation costs for equipment used on the extra work shall be included. If equipment is used intermittently and, when not in use, could be returned to its rental source at less expense to the Agency than holding it at the Work site, it shall be returned, unless the Contractor elects to keep it at the Work site, at no expense to the Agency. All equipment shall be acceptable to the Engineer, in good working condition, and suitable for the purpose for which it is to be used. Manufacturer's ratings and approved modifications shall be used to classify equipment and it shall be powered by a unit of at least the minimum rating recommended by the manufacturer. The reported rental time for equipment already at the Work site shall be the duration of its use on the extra work. This time begins when equipment is first put into actual operation on the extra work, plus the time required to move it from its previous site and back, or to a closer site. (d) Other Items. The Agency may authorize other items which may be required on the extra work, including labor, services, material, and equipment. These items must be different in their nature from those required for the Work, and be of a type not ordinarily available from the Contractor or Subcontractors. Revised 5/01/07 Contract No. 38211-A Page 67 of 103 Pages Invoices covering all such items in detail shall be submitted with the request for payment. (e) Invoices. Vendors' invoices for material, equipment rental and other expenditures shall be submitted with the request for payment. If the request for payment is not substantiated by invoices or other documentation, the Agency may establish the cost of the item involved at the lowest price which was current at the time of the report. 3-3.2.3 Markup. (a) Work by Contractor. The following percentages shall be added to the Contractor's costs and shall constitute the markup for all overhead and profits: 1) Labor 20 2) Materials 15 3) Equipment Rental 15 4) Other Items and Expenditures .. 15 To the sum of the costs and markups provided for in this section, 1 percent shall be added as compensation for bonding. (b) Work by Subcontractor. When all or any part of the extra work is performed by a Subcontractor, the markup established in Section 3-3.2.3(a) shall be applied to the Subcontractor's actual cost of such work. A markup of 10 percent on the first $5,000 of the subcontracted portion of the extra work and a markup of 5 percent on work added in excess of $5,000 of the subcontracted portion of the extra work may be added by the Contractor. 3-3.3 Daily Reports by Contractor. When the price for the extra work cannot be agreed upon, the Contractor shall submit a daily report to the Engineer on forms approved by the Agency. Included are applicable delivery tickets, listing all labor, materials, and equipment involved for that day, and other services and expenditures when authorized. Payment for extra work will not be made until such time that the Contractor submits completed daily reports and all supporting documents to the Engineer. Failure to submit the daily report by the close of the next working day may waive any rights for that day. An attempt shall be made to reconcile the report daily, and it shall be signed by the Engineer and the Contractor. In the event of disagreement, pertinent notes shall be entered by each party to explain points which cannot be resolved immediately. Each party shall retain a signed copy of the report. Reports by Subcontractors or others shall be submitted through the Contractor. The report shall: 1. Show names of workers, classifications, and hours worked. 2. Describe and list quantities of materials used. 3. Show type of equipment, size, identification number, and hours of operation, including loading and transportation, if applicable. 4. Describe other services and expenditures in such detail as the Agency may require. Revised 5/01/07 Contract No. 38211-A Page 68 of 103 Pages 3-4 CHANGED CONDITIONS. The Contractor shall promptly notify the Engineer of the following Work site conditions (hereinafter called changed conditions), in writing, upon their discovery and before they are disturbed: 1. Subsurface or latent physical conditions differing materially from those represented in the Contract; 2. Unknown physical conditions of an unusual nature differing materially from those ordinarily encountered and generally recognized as inherent in work of the character being performed; and 3. Material differing from that represented in the Contract which the Contractor believes may be hazardous waste, as defined in Section 25117 of the Health and Safety Code, that is required to be removed to a Class I, Class II, or Class III disposal site in accor- dance with provisions of existing law. The Engineer will promptly investigate conditions which appear to be changed conditions. If the Engineer determines that conditions are changed conditions and they will materially affect performance time, the Contractor, upon submitting a written request, will be granted an extension of time subject to the provisions of 6-6. If the Engineer determines that the conditions do not justify an adjustment in compensation, the Contractor will be notified in writing. This notice will also advise the Contractor of its obligation to notify the Engineer in writing if the Contractor disagrees. The Contractor's failure to give notice of changed conditions promptly upon their discovery and before they are disturbed shall constitute a waiver of all claims in connection therewith. The Contractor shall not be entitled to the payment of any additional compensation for any act, or failure to act, by the Engineer, including failure or refusal to issue a change order, or for the happening of any event, thing, occurrence, or other cause, unless the Contractor shall have first given the Engineer due written notice of potential claim as hereinafter specified. Compliance with this section shall not be required as a prerequisite to notice provisions in Section 6-7.3 Contract Time Accounting, nor to any claim that is based on differences in measurement or errors of computation as to contract quantities. The written notice of potential claim for changed conditions shall be submitted by the Contractor to the Engineer upon their discovery and prior to the time that the Contractor performs the work giving rise to the potential claim. The Contractor's failure to give written notice of potential claim for changed conditions to the agency upon their discovery and before they are disturbed shall constitute a waiver of all claims in connection therewith. The Contractor shall provide the District with a written document containing a description of the particular circumstances giving rise to the potential claim, the reasons for which the Contractor believes additional compensation may be due and nature of any and all costs involved within 20 working days of the date of service of the written notice of potential claim for changed conditions. Verbal notifications are disallowed. The potential claim shall include the following certification relative to the California False Claims Act, Government Code Sections 12650-12655. A•^ Revised 5/01/07 Contract No. 38211-A Page 69 of 103 Pages "The undersigned certifies that the above statements are made in full cognizance of the California False Claims Act, Government Code Sections 12650-12655. The undersigned further understands and agrees that this potential claim, unless resolved, must be restated as a claim in response to the City's proposed final estimate in order for it to be further considered." By: Title: Date: Company Name: The Contractor's estimate of costs may be updated when actual costs are known. The Contractor shall submit substantiation of its actual costs to the Engineer within 20 working days after the affected work is completed. Failure to do so shall be sufficient cause for denial of any claim subsequently filed on the basis of said notice of potential claim. It is the intention of this section that differences between the parties arising under and by virtue of the contract be brought to the attention of the Engineer at the earliest possible time in order that such matters be settled, if possible, or other appropriate action promptly taken. 3-5 DISPUTED WORK. The Contractor shall give the agency written notice of potential claim prior to commencing any disputed work. Failure to give said notice shall constitute a waiver of all claims in connection therewith. If the contractor and the agency are unable to reach agreement on disputed work, the Agency may direct the contractor to proceed with the work. Prior to proceeding with dispute resolution pursuant to Public Contract Code provisions specified hereinafter, the contractor shall attempt to resolve all disputes informally through the following dispute resolution chain of command: 1. Project Inspector 2. Construction Manager 3. Deputy City Engineer, Construction Management & Inspection 4. City Engineer 5. General Manager The Contractor shall submit a complete report within 20 working days after completion of the disputed work stating its position on the claim, the contractual basis for the claim, along with all documentation supporting the costs and all other evidentiary materials. At each level of claim or appeal of claim the District will, within 10 working days of receipt of said claim or appeal of claim, review the Contractor's report and respond with a position, request additional information or request that the Contractor meet and present its report. When additional information or a meeting is requested the District will provide its position within 10 working days of receipt of said additional information or Contractor's presentation of its report. The Contractor may appeal each level's position up to the General Manager after which the Contractor may proceed under the provisions of the Public Contract Code. Revised 5/01/07 Contract No. 38211-A Page 70 of 103 Pages The authority within the dispute resolution chain of command is limited to recommending a resolution to a claim to the General Manager. Actual approval of the claim is subject to the change order provisions in the contract. All claims by the contractor for $375,000 or less shall be resolved in accordance with the procedures in the Public Contract Code, Division 2, Part 3, Chapter 1, Article 1.5 (commencing with Section 20104) which is set forth below: ARTICLE 1.5 RESOLUTION OF CONSTRUCTION CLAIMS 20104. (a)(1) This article applies to all public works claims of three hundred seventy-five thousand dollars ($375,000) or less which arise between a contractor and a local agency. (2) This article shall not apply to any claims resulting from a contract between a contractor and a public agency when the public agency has elected to resolve any disputes pursuant to Article 7.1 (commencing with Section 10240) of Chapter 1 of Part 2. (b)(1) "Public work" has the same meaning as in Sections 3100 and 3106 of the Civil Code, except that "public work" does not include any work or improvement contracted for by the state or the Regents of the University of California. (2) "Claim" means a separate demand by the contractor for (A) a time extension, (B) payment of money or damages arising from work done by, or on behalf of, the contractor pursuant to the contract for a public work and payment of which is not otherwise expressly provided for or the claimant is not otherwise entitled to, or (C) an amount the payment of which is disputed by the local agency. (c) The provisions of this article or a summary thereof shall be set forth in the plans or specifications for any work which may give rise to a claim under this article. (d) This article applies only to contracts entered into on or after January 1, 1991. 20104.2. For any claim subject to this article, the following requirements apply: (a) The claim shall be in writing and include the documents necessary to substantiate the claim. Claims must be filed on or before the date of final payment. Nothing in this subdivision is intended to extend the time limit or supersede notice requirements otherwise provided by contract for the filing of claims. (b)(1) For claims of less than fifty thousand dollars ($50,000), the local agency shall respond in writing to any written claim within 45 days of receipt of the claim, or may request, in writing, within 30 days of receipt of the claim, any additional documentation supporting the claim or relating to defenses to the claim the local agency may have against the claimant. (2) If additional information is thereafter required, it shall be requested and provided pursuant to this subdivision, upon mutual agreement of the local agency and the claimant. (3) The local agency's written response to the claim, as further documented, shall be submitted to the claimant within 15 days after receipt of the further documentation or within a period of time no greater than that taken by the claimant in producing the additional information, whichever is greater. (c)(1) For claims of over fifty thousand dollars ($50,000) and less than or equal to three hundred seventy-five thousand dollars ($375,000), the local agency shall respond in writing to all written claims within 60 days of receipt of the claim, or may request, in writing, within 30 days of receipt of the claim, any additional documentation supporting the claim or relating to defenses to the claim the local agency may have against the claimant. (2) If additional information is thereafter required, it shall be requested and provided pursuant to this subdivision, upon mutual agreement of the local agency and the claimant. Revised 5/01/07 Contract No. 38211-A Page 71 of 103 Pages (3) The local agency's written response to the claim, as further documented, shall be submitted to the claimant within 30 days after receipt of the further documentation, or within a period of time no greater than that taken by the claimant in producing the additional information or requested documentation, whichever is greater. (d) If the claimant disputes the local agency's written response, or the local agency fails to respond within the time prescribed, the claimant may so notify the local agency, in writing, either within 15 days of receipt of the local agency's response or within 15 days of the local agency's failure to respond within the time prescribed, respectively, and demand an informal conference to meet and confer for settlement of the issues in dispute. Upon a demand, the local agency shall schedule a meet and confer conference within 30 days for settlement of the dispute. (e) Following the meet and confer conference, if the claim or any portion remains in dispute, the claimant may file a claim as provided in Chapter 1 (commencing with Section 900) and Chapter 2 (commencing with Section 910) of Part 3 of Division 3.6 of Title 1 of the Government Code. For purposes of those provisions, the running of the period of time within which a claim must be filed shall be tolled from the time the claimant submits his or her written claim pursuant to subdivision (a) until the time that claim is denied as a result of the meet and confer process, including any period of time utilized by the meet and confer process. (f) This article does not apply to tort claims and nothing in this article is intended nor shall be construed to change the time periods for filing tort claims or actions specified by Chapter 1 (commencing with Section 900) and Chapter 2 (commencing with Section 910) of Part 3 of Division 3.6 of Title 1 of the Government Code. 20104.4. The following procedures are established for all civil actions filed to resolve claims subject to this article: (a) Within 60 days, but no earlier than 30 days, following the filing or responsive pleadings, the court shall submit the matter to non-binding mediation unless waived by mutual stipulation of both parties. The mediation process shall provide for the selection within 15 days by both parties of a disinterested third person as mediator, shall be commenced within 30 days of the submittal, and shall be concluded within 15 days from the commencement of the mediation unless a time requirement is extended upon a good cause showing to the court or by stipulation of both parties. If the parties fail to select a mediator within the 15-day period, any party may petition the court to appoint the mediator. (b)(1) If the matter remains in dispute, the case shall be submitted to judicial arbitration pursuant to Chapter 2.5 (commencing with Section 1141.10) of Title 3 of Part 3 of the Code of Civil Procedure, notwithstanding Section 1141.11 of that code. The Civil Discovery Act of 1986 (Article 3 (commencing with Section 2016) of Chapter 3 of Title 3 of Part 4 of the Code of Civil procedure) shall apply to any proceeding brought under the subdivision consistent with the rules pertaining to judicial arbitration. (2) Notwithstanding any other provision of law, upon stipulation of the parties, arbitrators appointed for purposes of this article shall be experienced in construction law, and, upon stipulation of the parties, mediators and arbitrators shall be paid necessary and reasonable hourly rates of pay not to exceed their customary rate, and such fees and expenses shall be paid equally by the parties, except in the case of arbitration where the arbitrator, for good cause, determines a different division. In no event shall these fees or expenses be paid by state or county funds. (3) In addition to Chapter 2.5 (commencing with Section 1141.10) Title 3 of Part 3 of the Code of Civil Procedure, any party who after receiving an arbitration award requests a trial de novo but does not obtain a more favorable judgment shall, in addition to payment of costs and fees under that chapter, pay the attorney's fees of the other party arising out of the trial de novo. (c) The court may, upon request by any party, order any witnesses to participate in the mediation or arbitration process. Revised 5/01/07 Contract No. 38211-A Page 72 of 103 Pages 20104.6. (a) No local agency shall fail to pay money as to any portion of a claim which is undisputed except as otherwise provided in the contract. (b) In any suit filed under Section 20104.4, the local agency shall pay interest at the legal rate on any arbitration award or judgment. The interest shall begin to accrue on the date the suit is filed in a court of law. Although not to be construed as proceeding under extra work provisions, the Contractor shall keep and furnish records of disputed work in accordance with Section 3-3. SECTION 4 - CONTROL OF MATERIALS 4-1 MATERIALS AND WORKMANSHIP. 4-1.1. General. All materials, parts, and equipment furnished by the Contractor in the Work shall be new, high grade, and free from defects. Quality of work shall be in accordance with the generally accepted standards. Material and work quality shall be subject to the Engineer's approval. Materials and work quality not conforming to the requirements of the Specifications shall be considered defective and will be subject to rejection. Defective work or material, whether in place or not, shall be removed immediately from the site by the Contractor, at its expense, when so directed by the Engineer. If the Contractor fails to replace any defective or damaged work or material after reasonable notice, the Engineer may cause such work or materials to be replaced. The replacement expense will be deducted from the amount to be paid to the Contractor. Used or secondhand materials, parts, and equipment may be used only if permitted by the Specifications. 4-1.2 Protection of Work and Materials. The Contractor shall provide and maintain storage facilities and employ such measures as will preserve the specified quality and fitness of materials to be used in the Work. Stored materials shall be reasonably accessible for inspection. The Contractor shall also adequately protect new and existing work and all items of equipment for the duration of the Contract. The Contractor shall not, without the Agency's consent, assign, sell, mortgage, hypothecate, or remove equipment or materials which have been installed or delivered and which may be necessary for the completion of the Contract. 4-1.3 Inspection Requirements. 4-1.3.1 General. Unless otherwise specified, inspection is required at the source for such typical materials and fabricated items as bituminous paving mixtures, structural concrete, metal fabrication, metal casting, welding, concrete pipe manufacture, protective coating application, and similar shop or plant operations. Revised 5/01/07 Contract No. 38211-A Page 73 of 103 Pages Steel pipe in sizes less than 18 inches and vitrified clay and cast iron pipe in all sizes are acceptable upon certification as to compliance with the Specifications, subject to sampling and testing by the Agency. Standard items of equipment such as electric motors, conveyors, elevators, plumbing fixtures, etc., are subject to inspection at the job site only. Special items of equipment such as designed electrical panel boards, large pumps, sewage plant equipment, etc., are subject to inspection at the source, normally only for performance testing. The Specifications may require inspection at the source for other items not typical of those listed in this section. The Contractor shall provide the Engineer free and safe access to any and all parts of work at any time. Such free and safe access shall include means of safe access and egress, ventilation, lighting, shoring, dewatering and all elements pertaining to the safety of persons as contained in the State of California, California Code of Regulations, Title 8, Industrial Relations, Chapter 4, Division of Industrial Safety, Subchapter 4, Construction Safety Orders and such other safety regulations as may apply. Contractor shall furnish Engineer with such information as may be necessary to keep the Engineer fully informed regarding progress and manner of work and character of materials. Inspection or testing of the whole or any portion of the work or materials incorporated in the work shall not relieve Contractor from any obligation to fulfill this Contract. 4-1.3.2 Inspection of Materials Not Locally Produced. When the Contractor intends to purchase materials, fabricated products, or equipment from sources located more than 50 miles outside the geographical limits of the Agency, an inspector or accredited testing laboratory (approved by the Engineer), shall be engaged by the Contractor at its expense, to inspect the materials, equipment or process. This approval shall be obtained before producing any material or equipment. The inspector or representative of the testing laboratory shall judge the materials by the requirements of the Plans and Specifications. The Contractor shall forward reports required by the Engineer. No material or equipment shall be shipped nor shall any processing, fabrication or treatment of such materials be done without proper inspection by the approved agent. Approval by said agent shall not relieve the Contractor of responsibility for complying with the Contract requirements. 4-1.3.3 Inspection by the Agency. The Agency will provide all inspection and testing laboratory services within 50 miles of the geographical limits of the Agency. For private contracts, all costs of inspection at the source, including salaries and mileage costs, shall be paid by the permittee. 4-1.4 Test of Material. Before incorporation in the Work, the Contractor shall submit samples of materials, as the Engineer may require, at no cost to the Agency. The Contractor, at its expense, shall deliver the materials for testing to the place and at the time designated by the Engineer. Unless otherwise provided, all initial testing will be performed under the direction of the Engineer, and at no expense to the Contractor. If the Contractor is to provide and pay for testing, it will be stated in the Specifications. For private contracts, the testing expense shall be borne by the permittee. The Contractor shall notify the Engineer in writing, at least 15 days in advance, of its intention to use materials for which tests are specified, to allow sufficient time to perform the tests. The notice shall name the proposed supplier and source of material. Revised 5/01/07 Contract No. 38211-A Page 74 of 103 Pages If the notice of intent to use is sent before the materials are available for testing or inspection, or v. is sent so far in advance that the materials on hand at the time will not last but will be replaced by a new lot prior to use on the Work, it will be the Contractor's responsibility to renotify the Engineer when samples which are representative may be obtained. Except as specified in these Provisions, the Agency will bear the cost of testing of locally produced materials and/or on-site workmanship where the results of such tests meet or exceed the requirements indicated in the Standard Specifications, Technical Specification, and any Supplemental Provisions. The cost of all other tests shall be borne by the Contractor. At the option of the Engineer, the source of supply of each of the materials shall be approved by the Engineer before the delivery is started. All materials proposed for use may be inspected or tested at any time during their preparation and use. If, after incorporating such materials into the Work, it is found that sources of supply that have been approved do not furnish a uniform product, or if the product from any source proves unacceptable at any time, the Contractor shall furnish approved material from other approved sources. If any product proves unacceptable after improper storage, handling or for any other reason it shall be rejected, not incorporated into the work and shall be removed from the project site all at the Contractor's expense. Compaction tests may be made by the Engineer and all costs for tests that meet or exceed the requirements of the specifications shall be borne by the Agency. Said tests may be made at any place along the work as deemed necessary by the Engineer. The costs of any retests made necessary by noncompliance with the specifications shall be borne by the Contractor. 4-1.5 Certification. The Engineer may waive materials testing requirements of the Specifications and accept the manufacturer's written certification that the materials to be supplied meet those requirements. Material test data may be required as part of the certification. 4-1.6 Trade Names or Equals. The Contractor may supply any of the materials specified or offer an equivalent. The Engineer shall determine whether the material offered is equivalent to that specified. Adequate time shall be allowed for the Engineer to make this determination. Whenever any particular material, process, or equipment is indicated by patent, proprietary or brand name, or by name of manufacturer, such wording is used for the purpose of facilitating its description and shall be deemed to be followed by the words or equal. A listing of materials is not intended to be comprehensive, or in order of preference. The Contractor may offer any material, process, or equipment considered to be equivalent to that indicated. The substantiation of offers shall be submitted as provided in the contract documents. The Contractor shall, at its expense, furnish data concerning items offered by it as equivalent to those specified. The Contractor shall have the material tested as required by the Engineer to determine that the quality, strength, physical, chemical, or other characteristics, including durability, finish, efficiency, dimensions, service, and suitability are such that the item will fulfill its intended function. Test methods shall be subject to the approval of the Engineer. Test results shall be reported promptly to the Engineer, who will evaluate the results and determine if the substitute item is equivalent. The Engineer's findings shall be final. Installation and use of a substitute item shall not be made until approved by the Engineer. Revised 5/01/07 Contract No. 38211-A Page 75 of 103 Pages If a substitute offered by the Contractor is not found to be equal to the specified material, the Contractor shall furnish and install the specified material. The specified Contract completion time shall not be affected by any circumstance developing from the provisions of this section. The Contractor is responsible for the satisfactory performance of substituted items. If, in the sole opinion of the Engineer, the substitution is determined to be unsatisfactory in performance, appearance, durability, compatibility with associated items, availability of repair parts and suitability of application the Contractor shall remove the substituted item and replace it with the originally specified item at no cost to the Agency. 4-1.7 Weighing and Metering Equipment. All scales and metering equipment used for proportioning materials shall be inspected for accuracy and certified within the past 12 months by the State of California Bureau of Weights and Measures, by the County Director or Sealer of Weights and Measures, or by a scale mechanic registered with or licensed by the County. The accuracy of the work of a scale service agency, except as stated herein, shall meet the standards of the California Business and Professions Code and the California Code of Regulations pertaining to weighing devices. A certificate of compliance shall be presented, prior to operation, to the Engineer for approval and shall be renewed whenever required by the Engineer at no cost to the Agency. All scales shall be arranged so they may be read easily from the operator's platform or area. They shall indicate the true net weight without the application of any factor. The figures of the scales shall be clearly legible. Scales shall be accurate to within 1 percent when tested with the plant shut down. Weighing equipment shall be so insulated against vibration or moving of other operating equipment in the plant area that the error in weighing with the entire plant running will not exceed 2 percent for any setting nor 1.5 percent for any batch. 4-1.8 Calibration of Testing Equipment. Testing equipment, such as, but not limited to pressure gages, metering devices, hydraulic systems, force (load) measuring instruments, and strain-measuring devices shall be calibrated by a testing agency acceptable to the Engineer at intervals not to exceed 12 months and following repairs, modification, or relocation of the equipment. Calibration certificates shall be provided when requested by the Engineer. 4-1.9 Construction Materials Dispute Resolution (Soils, Rock Materials, Concrete, Mortar and Related Materials, Masonry Materials, Bituminous Materials, Rock Products, and Modified Asphalts). In the interest of safety and public value, whenever credible evidence arises to contradict the test values of materials, the Agency and the Contractor will initiate an immediate and cooperative investigation. Test values of materials are results of the materials' tests, as defined by these Specifications or by the special provisions, required to accept the Work. Credible evidence is process observations or test values gathered using industry accepted practices. A contradiction exists whenever test values or process observations of the same or similar materials are diverse enough such that the work acceptance or performance becomes suspect. The investigation shall allow access to all test results, procedures, and facilities relevant to the disputed work and consider all available information and, when necessary, gather new and additional information in an attempt to determine the validity, the cause, and if necessary, the remedy to the contradiction. If the cooperative investigation reaches any resolution mechanism acceptable to both the Agency and the Contractor, the contradiction shall be considered resolved and the cooperative investigation concluded. Whenever the cooperative investigation is unable to reach resolution, the investigation may then either Revised 5/01/07 Contract No. 38211-A Page 76 of 103 Pages conclude without resolution or continue by written notification of one party to the other requesting the implementation of a resolution process by committee. The continuance of the investigation shall be contingent upon recipient's agreement and acknowledged in writing within 3 calendar days after receiving a request. Without acknowledgement, the investigation shall conclude without resolution. The committee shall consist of three State of California Registered Civil Engineers. Within 7 calendar days after the written request notification, the Agency and the Contractor will each select one engineer. Within 14 calendar days of the written request notification, the two selected engineers will select a third engineer. The goal in selection of the third member is to complement the professional experience of the first two engineers. Should the two engineers fail to select the third engineer, the Agency and the Contractor shall each propose 2 engineers to be the third member within 21 calendar days after the written request notification. The first two engineers previously selected shall then select one of the four proposed engineers in a blind draw. The committee shall be a continuance of the cooperative investigation and will re-consider all available information and if necessary gather new and additional information to determine the validity, the cause, and if necessary, the remedy to the contradiction. The committee will focus upon the performance adequacy of the material(s) using standard engineering principles and practices and to ensure public value, the committee may provide engineering recommendations as necessary. Unless otherwise agreed, the committee will have 30 calendar days from its formation to complete their review and submit their findings. The final resolution of the committee shall be by majority opinion, in writing, stamped and signed. Should the final resolution not be unanimous, the dissenter may attach a written, stamped, and signed minority opinion. Once started, the resolution process by committee shall continue to full conclusion unless: 1. Within 7 days of the formation of the committee, the Agency and the Contractor reach an acceptable resolution mechanism; or 2. Within 14 days of the formation of the committee, the initiating party withdraws its written notification and agrees to bear all investigative related costs thus far incurred; or 3. At any point by the mutual agreement of the Agency and the Contractor. Unless otherwise agreed, the Contractor shall bear and maintain a record for all the investigative costs until resolution. Should the investigation discover assignable causes for the contradiction, the assignable party, the Agency or the Contractor, shall bear all costs associated with the investigation. Should assignable causes for the contradiction extended to both parties, the investigation will assign costs cooperatively with each party or when necessary, equally. Should the investigation substantiate a contradiction without assignable cause, the investigation will assign costs cooperatively with each party or when necessary, equally. Should the investigation be unable to substantiate a contradiction, the initiator of the investigation shall bear all investigative costs. All claim notification requirements of the contract pertaining to the contradiction shall be suspended until the investigation is concluded. Revised 5/01/07 Contract No. 38211-A Page 77 of 103 Pages 4-2 MATERIALS TRANSPORTATION, HANDLING AND STORAGE. The Contractor shall order, purchase, transport, coordinate delivery, accept delivery, confirm the quantity and quality received, prepare storage area(s), store, handle, protect, move, relocate, remove and dispose excess of all materials used to accomplish the Work. Materials shall be delivered to the site of the work only during working hours, as defined in Section 6-7.2, and shall be accompanied by bills of lading that shall clearly state for each delivery: the name of the Contractor as consignee, the project name and number, address of delivery and name of consignor and a description of the material(s) shipped. Prior to storage of any materials which have been shipped to or by the Contractor to any location within the Agency's boundaries the Contractor shall provide the Engineer a copy of lease agreements for each property where such materials are stored. The lease agreement shall clearly state the term of the lease, the description of materials allowed to be stored and shall provide for the removal of the materials and restoration of the storage site within the time allowed for the Work. All such storage shall conform to all laws and ordinances that may pertain to the materials stored and to preparation of the storage site and the location of the site on which the materials are stored. Loss, damage or deterioration of all stored materials shall be the Contractor's responsibility. Conformance to the requirements of this section, both within and outside the limits of work are a part of the Work. The Engineer shall have the right to verify the suitability of materials and their proper storage at any time during the Work. SECTION 5 - UTILITIES 5-1 LOCATION. The Agency and affected utility companies have, by a search of known records, endeavored to locate and indicate on the Plans, all utilities which exist within the limits of the work. However, the accuracy and/or completeness of the nature, size and/or location of utilities indicated on the Plans is not guaranteed. Where underground main distribution conduits such as water, gas, sewer, electric power, telephone, or cable television are shown on the Plans, the Contractor shall assume that every property parcel will be served by a service connection for each type of utility. As provided in Section 4216 of the California Government Code, at least 2 working days prior to commencing any excavation, the Contractor shall contact the regional notification center (Underground Service Alert of Southern California) and obtain an inquiry identification number. The California Department of Transportation is not required by Section 4216 to become a member of the regional notification center. The Contractor shall contact it for location of its subsurface installations. The Contractor shall determine the location and depth of all utilities, including service connections, which have been marked by the respective owners and which may affect or be affected by its operations. If no pay item is provided in the Contract for this work, full compensation for such work shall be considered as included in the prices bid for other items of work. oRevised 5/01/07 Contract No. 38211-A Page 78 of 103 Pages 5-2 PROTECTION. The Contractor shall not interrupt the service function or disturb the support of any utility without authority from the owner or order from the Agency. All valves, switches, vaults, and meters shall be maintained readily accessible for emergency shutoff. Where protection is required to ensure support of utilities located as shown on the Plans or in accordance with Section 5-1, the Contractor shall, unless otherwise provided, furnish and place the necessary protection at its expense. Upon learning of the existence and location of any utility omitted from or shown incorrectly on the Plans, the Contractor shall immediately notify the Engineer in writing. When authorized by the Engineer, support or protection of the utility will be paid for as provided in Section 3-2.2.3 or 3-3. The Contractor shall immediately notify the Engineer and the utility owner if any utility is disturbed or damaged. The Contractor shall bear the costs of repair or replacement of any utility damaged if located as noted in Section 5-1. When placing concrete around or contiguous to any non-metallic utility installation, the Contractor shall at its expense: 1. Furnish and install a 2 inch cushion of expansion joint material or other similar resilient material; or 2. Provide a sleeve or other opening which will result in a 2 inch minimum-clear annular space between the concrete and the utility; or 3. Provide other acceptable means to prevent embedment in or bonding to the concrete. Where concrete is used for backfill or for structures which would result in embedment, or partial embedment, of a metallic utility installation; or where the coating, bedding or other cathodic protection system is exposed or damaged by the Contractor's operations, the Contractor shall notify the Engineer and arrange to secure the advice of the affected utility owner regarding the procedures required to maintain or restore the integrity of the system. 5-3 REMOVAL. Unless otherwise specified, the Contractor shall remove all interfering portions of utilities shown on the Plans or indicated in the Bid documents as "abandoned" or "to be abandoned in place". Before starting removal operations, the Contractor shall ascertain from the Agency whether the abandonment is complete, and the costs involved in the removal and disposal shall be included in the Bid for the items of work necessitating such removals. 5-4 RELOCATION. When feasible, the owners responsible for utilities within the area affected by the Work will complete their necessary installations, relocations, repairs, or replacements before commencement of work by the Contractor. When the Plans or Specifications indicate that a utility installation is to be relocated, altered, or constructed by others, the Agency will conduct all negotiations with the owners and work will be done at no cost to the Contractor, except for manhole frame and cover sets to be brought to grade as provided in the Standard Specifications for Public Works Construction, Section 301-1.6, 2006 Edition. Utilities which are relocated in order to avoid interference shall be protected in their position and the cost of such protection shall be included in the Bid for the items of work necessitating such relocation. After award of the Contract, portions of utilities which are found to interfere with the Work will be relocated, altered or reconstructed by the owners, or the Engineer may order changes in the Work to avoid interference. Such changes will be paid for in accordance with Section 3-2. Revised 5/01/07 Contract No. 38211-A Page 79 of 103 Pages When the Plans or Specifications provide for the Contractor to alter, relocate, or reconstruct a utility, all costs for such work shall be included in the Bid for the items of work necessitating such work. Temporary or permanent relocation or alteration of utilities requested by the Contractor for its convenience shall be its responsibility and it shall make all arrangements and bear all costs. The utility owner will relocate service connections as necessary within the limits of the Work or within temporary construction or slope easements. When directed by the Engineer, the Contractor shall arrange for the relocation of service connections as necessary between the meter and property line, or between a meter and the limits of temporary construction or slope easements. The relocation of such service connections will be paid for in accordance with provisions of Section 3-3. Payment will include the restoration of all existing improvements which may be affected thereby. The Contractor may agree with the owner of any utility to disconnect and reconnect interfering service connections. The Agency will not be involved in any such agreement. In conformance with Section 5-6 the Contractor shall coordinate the work with utility agencies and companies. Prior to the installation of any and all utility structures within the limits of work by any utility agency or company, or its contractor, the Contractor shall place all curb or curb and gutter that is a part of the work and adjacent to the location where such utility structures are shown on the plans and are noted as being located, relocated or are otherwise shown as installed by others. In order to minimize delays to the Contractor caused by the failure of other parties to relocate utilities that interfere with the construction, the Contractor, upon the Engineer's approval, may be permitted to temporarily omit the portion of work affected by the utility. If such temporary omission is approved by the Engineer the Contractor shall place survey or other physical control markers sufficient to locate the curb or curb and gutter to the satisfaction of the utility agency or company. Such temporary omission shall be for the Contractor's convenience and no additipnal compensation will be allowed therefore or for additional work, materials or delay associated with the temporary omission. The portion thus omitted shall be constructed by the Contractor immediately following the relocation of the utility involved unless otherwise directed by the Engineer. 5-5 DELAYS. The Contractor shall notify the Engineer of its construction schedule insofar as it affects the protection, removal, or relocation of utilities. Said notification shall be included as a part of the construction schedule required in Section 6-1. The Contractor shall notify the Engineer in writing of any subsequent changes in the construction schedule which will affect the time available for protection, removal, or relocation of utilities. The Contractor will not be entitled to damages or additional payment for delays attributable to utility relocations or alterations if correctly located, noted, and completed in accordance with Section 5-1. The Contractor may be given an extension of time for unforeseen delays attributable to unreasonably protracted interference by utilities in performing work correctly shown on the Plans. The Agency will assume responsibility for the timely removal, relocation, or protection of existing main or trunkline utility facilities within the area affected by the Work if such utilities are not identified in the Contract Documents. The Contractor will not be assessed liquidated damages for any delay caused by failure of Agency to provide for the timely removal, relocation, or protection of such existing facilities. If the Contractor sustains loss due to delays attributable to interferences, relocations, or alterations not covered by Section 5-1, which could not have been avoided by the judicious handling of forces, equipment, or plant, there shall be paid to the Contractor such amount as the Engineer may find to be fair and reasonable compensation for such part of the Contractor's actual loss as was unavoidable and the Contractor may be granted an extension of time. 5-6 COOPERATION. When necessary, the Contractor shall so conduct its operations as to permit access to the Work site. Jf^ Revised 5/01/07 Contract No. 38211-A Page 80 of 103 Pages SECTION 6 - PROSECUTION, PROGRESS, AND ACCEPTANCE OF THE WORK 6-1 CONSTRUCTION SCHEDULE AND COMMENCEMENT OF WORK. Except as otherwise provided herein and unless otherwise prohibited by permits from other aijencies as may be required by law the Contractor shall begin work within 14 calendar days after receipt of the "Notice to Proceed". 6-1.1 Pre-Construction Meeting. After, or upon, notification of contract award, the Engineer will set the time and location for the Preconstruction Meeting. Attendance of the CorJractor's management personnel responsible for the management, administration, and executioi of the project is mandatory for the meeting to be convened. Failure of the Contractor to have the Contractor's responsible project personnel attend the Preconstruction Meeting will be grbunds for default by Contractor per Section 6-4. No separate payment will be made for the Contractor's attendance at the meeting. The notice to proceed will only be issued on or after the completion of the preconstruction meeting. ;, 6-1.1.1 Baseline Construction Schedule Submittal. The Contractor shall submit the Baseline Construction Schedule per the submittal requirements of Section 2-5.3. The submittal of the Baseline Construction Schedule shall include each item and element of Sections 6-1.2 through 6-1.2.9 and shall be on hard (paper) copy and electronic media conforming to Section 6-1.3.3 Electronic Media. 6-1.2 Preparation and Review of the Baseline Construction Schedule. The Contractor shall prepare the Baseline Construction Schedule as a Critical Path Method (CPM) Schedule in the precedence diagram method (activity-on-node) format. The Baseline Construction Schedule shall depict a workable plan showing the sequence, duration, and interdependence of all activities required to represent the complete performance of all project work as well as periods where work is precluded. The Baseline Construction Schedule shall begin with the projected date of issuance of the notice to proceed and conclude with the date of final completion per the contract duration. The Baseline Construction Schedule shall include detail of all project phasing, staging, and sequencing, including all milestones necessary to define beginning and ending of each phase or stage. 6-1.2.1 Time-Scaled Network Diagram. As a part of the Baseline Construction Schedule the Contractor shall prepare and submit to the Engineer a complete time-scaled network diagram showing all of the activities, logic relationships, and milestones comprising the schedule. 6-1.2.2 Tabular Listing. As a part of the Baseline Construction Schedule the Contractor shall prepare and submit to the Engineer a tabular listing of all of the activities, showing for each activity the identification number, the description, the duration, the early start, the early finish, the late start, the late finish, the total float, and all predecessor and successor activities for the activity described. 6-1.2.3 Bar Chart. As a part of the Baseline Construction Schedule the Contractor shall prepare and submit to the Engineer a chart showing individual tasks and their durations arranged with the tasks on the vertical axis and duration on the horizontal axis. The bar chart shall use differing texture patterns or distinctive line types to show the critical path. Revised 5/01/07 Contract No. 38211-A Page 81 of 103 Pages 6-1.2.4 Schedt e Software. The Contractor shall use commercially available software equal to the Windows 2000 compatible "Suretrak" program by Primavera or "Project" program by Microsoft Corporation to prepare the Baseline Construction Schedule and all updates thereto. The Contractor shall submit to the Agency a CD-ROM data disk with all network information contained thereon, in a format readable by a Microsoft Windows 2000 system. The Agency will use a "Suret ak", "Project" or equal software program for review of the Contractor's schedule. Should the Contractor elect to use a scheduling program other than the "Suretrak" program by Primavera or "Project" program by Microsoft Corporation the Contractor shall provide the Engineer three copies of the substituted program that are fully licensed to the Agency and 32 class hours of on-site training by the program publisher for up to eight Agency staff members. The classes shall be presented on Mondays through Thursdays, inclusive, between the hours of 8:00 a.m .and 5:00 p.m. The on-site training shall be held at 1635 Faraday Avenue, Carlsbad, California. The dates and times of the on-site training shall be submitted to the Engineer for approva: five working days before the start of the on-site training. The on-site training shall be completed prior to the submittal of the first Baseline Construction Schedule. 6-1.2.F Schedule Activities. Except for submittal activities, activity durations shall not be shorter than 1 working day nor longer than 15 working days, unless specifically and individually allowed by the Engineer. The Baseline Construction Schedule shall include between 100 and 500 activities, including submittals, interfaces between utility companies and other agencies, project milestones and equipment and material deliveries. The number of activities will be sufficient, in the judgment of the Engineer, to communicate the Contractor's plan for project execution, to accurately describe the project work, and to allow monitoring and evaluation of progress and of time impacts. Each activity's description shall accurately define the work planned for the activity and each activity shall have recognizable beginning and end points. 6-1.2.6 Float. Float or slack time within the schedule is available without charge or compensation to whatever party or contingency first exhausts it. 6-1.2.7 Restraints to Activities. Any submittals, utility interfaces, or any furnishing of Agency supplied materials, equipment, or services, which may impact any activity's construction shall be shown as a restraint to those activities. Time periods to accommodate the review and correction of submittals shall be included in the schedule. 6-1.2.8 Late Completion. A Baseline Construction Schedule showing a project duration longer than the specified contract duration will not be acceptable and will be grounds for determination of default by Contractor, per Section 6-4. 6-1.2.9 Early Completion. The Baseline Construction Schedule will show the Contractor's plan to support and maintain the project for the entire contractual time span of the project. Should the Contractor propose a project duration shorter than contract duration, a complete Baseline Construction Schedule must be submitted, reflecting the shorter duration, in complete accordance with all schedule requirements of Section 6-1. The Engineer may choose to accept the Contractor's proposal of a project duration shorter than the duration specified; provided the Agency is satisfied the shortened Baseline Construction Schedule is reasonable and the Agency and all other entities, public and private, which interface with the project are able to support the provisions of the shortened Baseline Construction Schedule. The Agency's acceptance of a shortened duration project will be confirmed through the execution of a contract change order revising the project duration and implementing all contractual requirements including liquidated damages in accordance with the revised duration. ^^ Revised 5/01/07 Contract No. 38211-A Page 82 of 103 Pages 6-1.2.10 Engineer's Review. The Construction Schedule is subject to the review of the Engineer. The Engineer's determination that the Baseline Construction Schedule proposed by the Contractor complies with the requirements of these supplemental provisions shall be a condition precedent to issuance of the Notice to Proceed by the Engineer. If the Engineer determines that the Construction Schedule does not meet the requirements of these specifications the Contractor shall correct the Construction Schedule to meet these specifications and resubmit it to the Engineer. Failure of the Contractor to obtain the Engineer's determination that the initial Construction Schedule proposed by the Contractor complies with the requirements of these supplemental provisions within thirty (30) working days after the date of the preconstruction meeting shall be grounds for termination of the contract per Section 6-4. Days used by the Engineer to review the initial Construction Schedule will not be included in the 30 working days. The Engineer will review and return to the Contractor, with any comments, the Baseline Construction Schedule within 15 working days of submittal. The Baseline Construction Schedule will be returned marked as per Sections 6-1.2.10.1 through 6-1.2.10.3. 6-1.2.10.1 "Accepted." The Contractor may proceed with the project work upon issuance of the Notice to Proceed, and will receive payment for the schedule in accordance with Section 6-1.8.1. 6-1.2.10.2 "Accepted with Comments." The Contractor may proceed with the project work upon issuance of the Notice to Proceed. The Contractor must resubmit the schedule incorporating the comments prior to receipt of payment per Section 6-1.8.1. 6-1.2.10.3 "Not Accepted." The Contractor must resubmit the schedule incorporating the corrections and changes of the comments prior to receipt of payment per Section 6-1.8.1. The Notice to Proceed will not be issued by the Engineer if the changes of the comments are not submitted as required hereinbefore and marked "Accepted" or "Accepted with Comments" by the Engineer. The Contractor, at the sole option of the Engineer, may be considered as having defaulted the contract under the provisions of Section 6-4 DEFAULT BY CONTRACTOR if the changes of the comments are not submitted as required hereinbefore and marked "Accepted" by the Engineer. 6-1.3 Preparation of Schedule Updates and Revisions. The Contractor shall meet with the Engineer during the last week of each month to agree upon each activity's schedule status and shall submit monthly updates of the Baseline Construction Schedule confirming the agreements no later than the fifth working day of the following month. The monthly update will be submitted on hard (paper) copy and electronic media conforming to Section 6-1.3.3 Electronic Media per the submittal requirements of Section 2-5.3 and will include each item and element of Sections 6-1.2 through 6-1.2.9 and 6-1.3.1 through 6-1.3.7. 6-1.3.1 Actual Activity Dates. The actual dates each activity was started and/or completed during the month. After first reporting an actual date, the Contractor shall not change that actual date in later updates without specific notification to the Engineer with the update. 6-1.3.2 Activity Percent Complete. For each activity underway at the end of the month, the Contractor shall report the percentage determined by the Engineer as complete for the activity. Revised 5/01/07 Contract No. 38211-A Page 83 of 103 Pages 6-1.3.3 Electronic Media. The schedule data disk shall be a CD-ROM, labeled with the project name and number, the Contractor's name and the date of preparation of the schedule data disk. The schedule data disk shall be readable by the software specified in Section 6-1.2.4 "Schedule Software" and shall be free of file locking, encryption or any other protocol that would impede full access of all data stored on it. 6-1.3.4 List of Changes. A list of all changes made to the activities or to the interconnecting logic, with an explanation for each change. 6-1.3.5 Change Orders. Each monthly update will include the addition of the network revisions reflecting the change orders approved in the previous month. The network revisions will be as agreed upon during the review and acceptance of the Contractor's change orders. 6-1.3.6 Bar Chart. Each monthly update will include a chart showing individual tasks and their durations arranged with the tasks on the vertical axis and duration on the horizontal axis. The bar chart shall use differing texture patterns or distinctive line types to show the critical path. 6-1.4 Engineer's Review of Updated Construction Schedule. The Engineer will review and return the Updated Construction Schedule to the Contractor, with any comments, within 5 working days of submittal. The Updated Construction Schedule will be returned marked as per Sections 6-1.4.1 through 6-1.4.3. Any Updated Construction Schedule marked "Accepted with Comments" or "Not Accepted" by the Engineer will be returned to the Contractor for correction. Upon resubmittal the Engineer will review and return the resubmitted Updated Construction Schedule to the Contractor, with any comments, within 5 working days. Failure of the Contractor to submit a monthly updated construction schedule will invoke the same consequences as the Engineer returning a monthly updated construction schedule marked "Not Accepted". 6-1.4.1 "Accepted." The Contractor may proceed with the project work, and will receive payment for the schedule in accordance with Section 6-1.8.2. 6-1.4.2 "Accepted with Comments." The Contractor may proceed with the project work. The Contractor must resubmit the Updated Construction Schedule to the Engineer incorporating the corrections and changes noted in the Engineer's comments prior to receipt of payment per Section 6-1.8.2. 6-1.4.3 "Not Accepted." The Contractor must resubmit the Updated Construction Schedule to the Engineer incorporating the corrections and changes noted in the Engineer's comments prior to receipt of payment per Section 6-1.8.2. The Contractor, at the sole option of the Engineer, may be considered as having defaulted the contract under the provisions of Section 6-4 DEFAULT BY CONTRACTOR if the changes of the comments are not submitted and marked "Accepted" by the Engineer before the last day of the month in which the Updated Construction Schedule is due. If the Contractor fails to submit the corrected Updated Construction Schedule as required herein the Contractor may elect to proceed with the project at its own risk. Should the Contractor elect not to proceed with the project, any resulting delay, impact, or disruption to the project will be the Contractor's responsibility. 6-1.5 Late Completion or Milestone Dates. Should the Schedule Update indicate a completion or contractually required milestone date later than the properly adjusted contract or milestone duration, the Agency may withhold Liquidated Damages for the number of days late. Should a subsequent "Accepted" Schedule Update remove all or a portion of the delay, all or the allocated portion of the previously held Liquidated Damages shall be released in the monthly payment to the Contractor immediately following the "Accepted" schedule. Revised 5/01/07 Contract No. 38211-A Page 84 of 103 Pages 6-1.6 Interim Revisions. Should the actual or projected progress of the work become substantially different from that depicted in the Project Schedule, independently of and prior to the next monthly update, the Contractor will submit a revised Baseline Construction Schedule, with a list and explanation of each change made to the schedule. The Revised Construction Schedule will be submitted per the submittal requirements of Section 2-5.3 and per the schedule review and acceptance requirements of Section 6-1, including but not limited to the acceptance and payment provisions. As used in this section "substantially different" means a time variance greater than 5 percent of the number of days of duration for the project. 6-1.7 Final Schedule Update. The Contractor shall prepare and submit a final schedule update when one hundred percent of the construction work is completed. The Contractor's Final Schedule Update must accurately represent the actual dates for all activities. The final schedule update shall be prepared and reviewed per Sections 6-1.3 Preparation of Schedule Updates and Revisions and 6-1. 4 Engineer's Review of Updated Construction Schedule. Acceptance of the final schedule update is required for completion of the project and release of any and all funds retained per Section 9-3.2. 6-1.8 Measurement and Payment of Construction Schedule. The Contractor's preparation, revision and maintenance of the Construction Schedule are incidental to the work and no separate payment will be made therefore. 6-2 PROSECUTION OF WORK. To minimize public inconvenience and possible hazard and to restore street and other work areas to their original condition and state of usefulness as soon as practicable, the Contractor shall diligently prosecute the Work to completion. If the Engineer determines that the Contractor is failing to prosecute the Work to the proper extent, the Contractor shall, upon orders from the Engineer, immediately take steps to remedy the situation. All costs of prosecuting the Work as described herein shall be included in the Contractor's Bid. Should the Contractor fail to take the necessary steps to fully accomplish said purposes, after orders of the Engineer, the Engineer may suspend the work in whole or part, until the Contractor takes said steps. As soon as possible under the provisions of the Specifications, the Contractor shall backfill all excavations and restore to usefulness all improvements existing prior to the start of the Work. If Work is suspended through no fault of the Agency, all expenses and losses incurred by the Contractor during such suspensions shall be borne by the Contractor. If the Contractor fails to properly provide for public safety, traffic, and protection of the Work during periods of suspension, the Agency may elect to do so, and deduct the cost thereof from monies due the Contractor. Such actions will not relieve the Contractor from liability. 6-2.1 Order of Work. The work to be done shall consist of furnishing all labor, equipment and materials, and performing all operations necessary to complete the Project Work as shown on the Project Plans and as specified in the Specifications. 6-2.3 Project Meetings. The Engineer will establish the time and location of (bi-weekly) Project Meetings. The Contractor's Representative shall attend each Project Meeting. The Project Representative shall be the individual determined under Section 7-6, "The Contractor's Representative". No separate payment for attendance of the Contractor, the Contractor's Representative or any other employee or subcontractor or subcontractor's employee at these meetings will be made. A•^ Revised 5/01/07 Contract No. 38211-A Page 85 of 103 Pages 6-3 SUSPENSION OF WORK. 6-3.1 General. The Work may be suspended in whole or in part when determined by the Engineer that the suspension is necessary in the interest of the Agency. The Contractor shall comply immediately with any written order of the Engineer. Such suspension shall be without liability to the Contractor on the part of the Agency except as otherwise specified in Section 6-6.3. 6-3.2 Archaeological and Paleontological Discoveries. If discovery is made of items of archaeological or paleontological interest, the Contractor shall immediately cease excavation in the area of discovery and shall not continue until ordered by the Engineer. When resumed, excavation operations within the area of discovery shall be as directed by the Engineer. Discoveries which may be encountered may include, but not be limited to, dwelling sites, stone implements or other artifacts, animal bones, human bones, and fossils. The Contractor shall be entitled to an extension of time and compensation in accordance with the provisions of Section 6-6. 6-4 DEFAULT BY CONTRACTOR. If the Contractor fails to begin delivery of material and equipment, to commence the Work within the time specified, to maintain the rate of delivery of material, to execute the Work in the manner and at such locations as specified, or fails to maintain the Work schedule which will insure the Agency's interest, or, if the Contractor is not carrying out the intent of the Contract, the Agency may serve written notice upon the Contractor and the Surety on its Faithful Performance Bond demanding satisfactory compliance with the Contract. The Contract may be canceled by the Board without liability for damage, when in the Board's opinion the Contractor is not complying in good faith, has become insolvent, or has assigned or subcontracted any part of the Work without the Board's consent. In the event of such cancellation, the Contractor will be paid the actual amount due based on Contract Unit Prices or lump sums bid and the quantity of the Work completed at the time of cancellation, less damages caused to the Agency by acts of the Contractor. The Contractor, in having tendered a Bid, shall be deemed to have waived any and all claims for damages because of cancellation of Contract for any such reason. If the Agency declares the Contract canceled for any of the above reasons, written notice to that effect shall be served upon the Surety. The Surety shall, within five (5) days, assume control and perform the Work as successor to the Contractor. If the Surety assumes any part of the Work, it shall take the Contractor's place in all respects for that part, and shall be paid by the Agency for all work performed by it in accordance with the Contract. If the Surety assumes the entire Contract, all money due the Contractor at the time of its default shall be payable to the Surety as the Work progresses, subject to the terms of the Contract. If the Surety does not assume control and perform the Work within 5 days after receiving notice of cancellation, or fails to continue to comply, the Agency may exclude the Surety from the premises. The Agency may then take possession of all material and equipment and complete the Work by Agency forces, by letting the unfinished Work to another Contractor, or by a combination of such methods. In any event, the cost of completing the Work shall be charged against the Contractor and its Surety and may be deducted from any money due or becoming due from the Agency. If the sums due under the Contract are insufficient for completion, the Contractor or Surety shall pay to the Agency within 5 days after the completion, all costs in excess of the sums due. The provisions of this section shall be in addition to all other rights and remedies available to the Agency under law. Revised 5/01/07 Contract No. 38211-A Page 86 of 103 Pages 6-5 TERMINATION OF CONTRACT. The Board may terminate the Contract at its own discretion or when conditions encountered during the Work make it impossible or impracticable to proceed, or when the Agency is prevented from proceeding with the Contract by act of God, by law, or by official action of a public authority. 6-6 DELAYS AND EXTENSIONS OF TIME. 6-6.1 General. If delays are caused by unforeseen events beyond the control of the Contractor, such delays will entitle the Contractor to an extension of time as provided herein, but the Contractor will not be entitled to damages or additional payment due to such delays, except as provided in 6-6.3. Such unforeseen events may include: war, government regulations, labor disputes, strikes, fires, floods, adverse weather or elements necessitating cessation of work, inability to obtain materials, labor or equipment, required extra work, or other specific events as may be further described in the Specifications. No extension of time will be granted for a delay caused by the Contractor's inability to obtain materials unless the Contractor furnishes to the Engineer documentary proof, the proof must be provided in a timely manner in accordance with the sequence of the Contractor's operations and the approved construction schedule. If delays beyond the Contractor's control are caused by events other than those mentioned above, the Engineer may deem an extension of time to be in the best interests of the Agency. The Contractor will not be entitled to damages or additional payment due to such delays, except as provided in Section 6-6.3. If delays beyond the Contractor's control are caused solely by action or inaction by the Agency, such delays will entitle the Contractor to an extension of time as provided in Section 6-6.2. 6-6.2 Extensions of Time. Extensions of time, when granted, will be based upon the effect of delays to the Work. They will not be granted for noncontrolling delays to minor portions of the Work unless it can be shown that such delays did or will delay the progress of the Work. 6-6.3 Payment for Delays to Contractor. The Contractor will be compensated for damages incurred due to delays for which the Agency is responsible. Such actual costs will be determined by the Engineer. The Agency will not be liable for damages which the Contractor could have avoided by any reasonable means, such as judicious handling of forces, equipment, or plant. The determination of what damages the Contractor could have avoided will be made by the Engineer. 6-6.4 Written Notice and Report. The Contractor shall provide written notice to the Engineer within two hours of the beginning of any period that the Contractor has placed any workers or equipment on standby for any reason that the Contractor has determined to be caused by the Agency or by any organization that the Agency may otherwise be obligated by. The Contractor shall provide continuing daily written notice to the Engineer, each working day, throughout the duration of such period of delay. The initial and continuing written notices shall include the classification of each workman and supervisor and the make and model of each piece of equipment placed on standby, the cumulative duration of the standby, the Contractor's opinion of the cause of the delay and a cogent explanation of why the Contractor could not avoid the delay by reasonable means. Should the Contractor fail to provide the notice(s) required by this section the Contractor agrees that no delay has occurred and that it will not submit any claim(s) therefore. Revised 5/01/07 Contract No. 38211-A Page 87 of 103 Pages 6-7 TIME OF COMPLETION. 6-7.1 General. The Contractor shall complete the Work within the time set forth in the Contract. The Contractor shall complete each portion of the Work within such time as set forth in the Contract for such portion. Unless otherwise specified, the time of completion of the Contract shall be expressed in working days. The Contractor shall diligently prosecute the work to completion within eighty (80) working days after the starting date specified in the Notice to Proceed. 6-7.2 Working Day. A working day is any day within the period between the start of the Contract time as defined in Section 6-1 and the date provided for completion, or upon field acceptance by the Engineer for all work provided for in the Contract, whichever occurs first, other than: 1. Saturday, 2. Sunday, 3. any day designated as a holiday by the Agency, 4. any other day designated as a holiday in a Master Labor Agreement entered into by the Contractor or on behalf of the Contractor as an eligible member of a contractor associa- tion, 5. any day the Contractor is prevented from working at the beginning of the workday for cause as defined in Section 6-6.1, 6. any day the Contractor is prevented from working during the first 5 hours with at least 60 percent of the normal work force for cause as defined in Section 6-6.1. Unless otherwise approved in writing by the Engineer, the hours of work shall be between the hours of 7:00 a.m. and 4:00 p.m. on Mondays through Fridays, excluding Agency holidays. The Contractor shall obtain the written approval of the Engineer if the Contractor desires to work outside said hours or at any time during weekends and/or holidays. This written permission must be obtained at least 48 hours prior to such work The Engineer may approve work outside the hours and/or days stated herein when, in his/her sole opinion, such work conducted by the Contractor is beneficial to the best interests of the Agency. The Contractor shall pay the inspection costs of such work. 6-7.3 Contract Time Accounting. The Engineer will make a daily determination of each working day to be charged against the Contract time. These determinations will be discussed and the Contractor will be furnished a periodic statement showing allowable number of working days of Contract time, as adjusted, at the beginning of the reporting period. The statement will also indicate the number of working days charged during the reporting period and the number of working days of Contract time remaining. If the Contractor does not agree with the statement, it shall file a written protest within 15 days after receipt, setting forth the facts of the protest. Otherwise, the statement will be deemed to have been accepted. A•^ Revised 5/01/07 Contract No. 38211-A Page 88 of 103 Pages 6-8 COMPLETION, ACCEPTANCE, AND WARRANTY. The Work will be inspected by the Engineer for acceptance upon receipt of the Contractor's written assertion that the Work has been completed. The Engineer will not accept the Work or any portion of the Work before all of the Work is completed and all outstanding deficiencies that may exist are corrected by the Contractor and the Engineer is satisfied that all the materials and workmanship, and all other features of the Work, meet the requirements of all of the specifications for the Work. Use, temporary, interim or permanent, of all, or portions of, the Work does not constitute acceptance of the Work. If, in the Engineer's judgment, the Work has been completed and is ready for acceptance the Engineer will so certify to the Board. Upon such certification by the Engineer the Board may accept the completed Work. Upon the Board's acceptance of the Work the Engineer will cause a "Notice of Completion" to be filed in the office of the San Diego County Recorder. The date of recordation shall be the date of completion of the Work. All work shall be warranted for one (1) year after recordation of the "Notice of Completion" and any faulty work or materials discovered during the warranty period shall be repaired or replaced by the Contractor, at its expense. Twenty-five percent of the faithful performance bond shall be retained as a warranty bond for the one year warranty period. The Contractor shall replace or repair any such defective work in a manner satisfactory to the Engineer, after notice to do so from the Engineer, and within the time specified in the notice. If the Contractor fails to make such replacement or repairs within the time specified in the notice, the Agency may perform this work and the Contractor's sureties shall be liable for the cost thereof. 6-9 LIQUIDATED DAMAGES. Failure of the Contractor to complete the Work within the time allowed will result in damages being sustained by the Agency. For each consecutive calendar day in excess of the time specified for completion of Work, as adjusted in accordance with Section 6-6, the Contractor shall pay the Agency, or have withheld monies due it, the sum of nine hundred dollars ($900). Such sum is liquidated damages and shall not be construed as a penalty, and may be deducted from payments due the Contractor if such delay occurs. Execution of the Contract shall constitute agreement by the Agency and Contractor that nine hundred dollars ($900) per day is the minimum value of costs and actual damages caused by the Contractor to complete the Work within the allotted time. Any progress payments made after the specified completion date shall not constitute a waiver of this paragraph or of any damages. 6-10 USE OF IMPROVEMENT DURING CONSTRUCTION. The Agency reserves the right to take over and utilize all or part of any completed facility or appurtenance. The Contractor will be notified in writing in advance of such action. Such action by the Agency will relieve the Contractor of responsibility for injury or damage to said completed portions of the improvement resulting from use by public traffic or from the action of the elements or from any other cause, except Contractor operations or negligence. The Contractor will not be required to reclean such portions of the improvement before field acceptance, except for cleanup made necessary by its operations. Nothing in this section shall be construed as relieving the Contractor from full responsibility for correcting defective work or materials. In the event the Agency exercises its right to place into service and utilize all or part of any completed facility or appurtenance, the Agency will assume the responsibility and liability for injury to persons or property resulting from the utilization of the facility or appurtenance so placed into service, except for any such injury to persons or property caused by any willful or negligent act or omission by the Contractor, Subcontractor, their officers, employees, or agents. Revised 5/01/07 Contract No. 38211-A Page 89 of 103 Pages SECTION 7 - RESPONSIBILITIES OF THE CONTRACTOR 7-1 CONTRACTOR'S EQUIPMENT AND FACILITIES. The Contractor shall furnish and maintain in good condition all equipment and facilities as required for the proper execution and inspection of the Work. Such equipment and facilities shall meet all requirements of applicable ordinances and laws. 7-2 LABOR. 7-2.1 General. Only competent workers shall be employed on the Work. Any person employed who is found to be incompetent, intemperate, troublesome, disorderly, or otherwise objectionable, or who fails or refuses to perform work properly and acceptably, shall be immediately removed from the Work by the Contractor and not be reemployed on the Work. 7-2.2 Laws. The Contractor, its agents, and employees shall be bound by and comply with applicable provisions of the Labor Code and Federal, State, and local laws related to labor. The Contractor shall strictly adhere to the provisions of the Labor Code regarding minimum wages; the 8-hour day and 40-hour week; overtime; Saturday, Sunday, and holiday work; and nondiscrimination because of race, color, national origin, sex, or religion. The Contractor shall forfeit to the Agency the penalties prescribed in the Labor Code for violations. In accordance with the Labor Code, the Board has on file and will publish a schedule of prevailing wage rates for the types of work to be done under the Contract. The Contractor shall not pay less than these rates. Each worker shall be paid subsistence and travel as required by the collective bargaining agreement on file with the State of California Department of Industrial Relations. The Contractor's attention is directed to Section 1776 of the Labor Code which imposes responsibility upon the Contractor for the maintenance, certification, and availability for inspection of such records for all persons employed by the Contractor or Subcontractor in connection with the project. The Contractor shall agree through the Contract to comply with this Section and the remaining provisions of the Labor Code. 7-3 LIABILITY INSURANCE. Insurance shall be required as specified in section 10 of the Public Works Contract. The cost of this insurance shall be included in the Contractor's Bid. 7-4 WORKERS' COMPENSATION INSURANCE. Before execution of the Contract by the Board, the Contractor shall file with the Engineer the following signed certification: "I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be insured against liability for workers' compensation or to undertake self-insurance in accordance with the provisions of that code, and I will comply with such provisions before commencing the performance of the work of this contract." o Revised 5/01/07 Contract No. 38211-A Page 90 of 103 Pages The Contractor shall also comply with Section 3800 of the Labor Code by securing, paying for, and maintaining in full force and effect for the duration of the contract, complete Workers' Compensation Insurance, and shall furnish a Certificate of Insurance to the Engineer before execution of the Contract. The Agency, its officers, or employees, will not be responsible for any claims in law or equity occasioned by failure of the Contractor to comply with this paragraph. All compensation insurance policies shall bear an endorsement or shall have attached a rider whereby it is provided that, in the event of expiration or proposed cancellation of such policies for any reason whatsoever, the Agency shall be notified by registered mail not less than 30 days before expiration or cancellation is effective. All insurance is to be placed with insurers that are admitted and authorized to conduct business in the state of California and are listed in the official publication of the Department of Insurance of the State of California. Policies issued by the State Compensation Fund meet the requirement for workers' compensation insurance. 7-5 PERMITS. Except as specified herein the Contractor will obtain, at no cost to the Contractor all City of Carlsbad encroachment, right-of-way, grading and building permits necessary to perform work for this contract on Agency property, streets, or other rights-of-way. Contractor shall not begin work until all permits incidental to the work are obtained. The Contractor shall obtain and pay for all permits for the disposal of all materials removed from the project. The cost of said permit(s) shall be included in the price bid for the appropriate bid item and no additional compensation will be allowed therefore. The Contractor shall obtain and pay for all costs incurred for permits necessitated by its operations such as, but not limited to, those permits required for night work, overload, blasting, and demolition. For private contracts, the Contractor shall obtain all permits incidental to the Work or made necessary by its operations, and pay all costs incurred by the permit requirements. The Contractor shall pay all business taxes or license fees that are required for the work. 7-5.1 Resource Agency Permits. Resource agency permits for the Work are included in Appendix 'A of these supplemental provisions. Resource agency permits pertaining to this project include: 1) California Water Quality Control Board 401 permit file No. 04C-077. 2) California Department of Fish and Game Streambed Alteration Agreement, Notification No. 1600-2004-0101-R5. 3) United States Army Nationwide Permit Authorization No. 200400983-KJC. 7-6 THE CONTRACTOR'S REPRESENTATIVE. Before starting work, the Contractor shall designate in writing a representative who shall have complete authority to act for it. An alternative representative may be designated as well. The representative or alternate shall be present at the Work site whenever work is in progress or whenever actions of the elements necessitate its presence to take measures necessary to protect the Work, persons, or property. Any order or communication given to this representative shall be deemed delivered to the Contractor. A joint venture shall designate only one representative and alternate. In the absence of the Contractor or its representative, instructions or directions may be given by the Engineer to the superintendent or person in charge of the specific work to which the order applies. Such order shall be complied with promptly and referred to the Contractor or its representative. In order to communicate with the Agency, the Contractor's representative, superintendent, or person in charge of specific work shall be able to speak, read, and write the English language. Revised 5/01/07 Contract No. 38211-A Page 91 of 103 Pages 7-7 COOPERATION AND COLLATERAL WORK. The Contractor shall be responsible for ascertaining the nature and extent of any simultaneous, collateral, and essential work by others. The Agency, its workers and contractors and others, shall have the right to operate within or adjacent to the Work site during the performance of such work. The Agency, the Contractor, and each of such workers, contractors and others, shall coordinate their operations and cooperate to minimize interference. The Contractor shall include in its Bid all costs involved as a result of coordinating its work with others, the Contractor will not be entitled to additional compensation from the Agency for damages resulting from such simultaneous, collateral, and essential work. If necessary to avoid or minimize such damage or delay, the Contractor shall redeploy its work force to other parts of the Work. Should the Contractor be delayed by the Agency, and such delay could not have been reasonably foreseen or prevented by the Contractor, the Engineer will determine the extent of the delay, the effect on the project, and any extension of time. 7-7.1 Coordination. The Contractor shall coordinate and cooperate with all the utility companies during the relocation or construction of their lines. The Contractor may be granted a time extension if, in the opinion of the Engineer, a delay is caused by the utility company. No additional compensation will be made to the Contractor for any such delay. 7-8 PROJECT SITE MAINTENANCE. 7-8.1 Cleanup and Dust Control. Throughout all phases of construction, including suspension of work, and until the final acceptance, the Contractor shall keep the site clean and free from rubbish and debris. The Contractor shall also abate dust nuisance by cleaning, sweeping and sprinkling with water, or other means as necessary. The use of water resulting in mud on public streets will not be permitted as a substitute for sweeping or other methods. Materials and equipment shall be removed from the site as soon as they are no longer necessary. Before the final inspection, the site shall be cleared of equipment, unused materials, and rubbish so as to present a satisfactory clean and neat appearance. All cleanup costs shall be included in the Contractor's Bid. Care shall be taken to prevent spillage on haul routes. Any such spillage shall be removed immediately and the area cleaned. Excess excavation material from catch basins or similar structures shall be removed from the site immediately. Sufficient material may remain for use as backfill if permitted by the Specifications. Forms and form lumber shall be removed from the site as soon as practicable after stripping. Failure of the Contractor to comply with the Engineer's cleanup orders may result in an order to suspend work until the condition is corrected. No additional compensation will be allowed as a result of such suspension. D Revised 5/01/07 Contract No. 38211-A Page 92 of 103 Pages Cleanup and dust control required herein shall also be executed on weekends and other non-working days when needed to preserve the health safety or welfare of the public. The Contractor shall conduct effective cleanup and dust control throughout the duration of the Contract. The Engineer may require increased levels of cleanup and dust control that, in his/her sole discretion, are necessary to preserve the health, safety and welfare of the public. Cleanup and dust control shall be considered incidental to the items of work that they are associated with and no additional payment will be made therefore. 7-8.2 Air Pollution Control. The Contractor shall not discharge smoke, dust, or any other air contaminants into the atmosphere in such quantity as will violate the regulations of any legally constituted authority. 7-8.3 Vermin Control. At the time of acceptance, structures entirely constructed under the Contract shall be free of rodents, insects, vermin, and pests. Necessary extermination work shall be arranged and paid for by the Contractor as part of the Work within the Contract time, and shall be performed by a licensed exterminator in accordance with requirements of governing authorities. The Contractor shall be liable for injury to persons or property and responsible for the elimination of offensive odors resulting from extermination operations. 7-8.4 Sanitation. The Contractor shall provide and maintain enclosed toilets for the use of employees engaged in the Work. These accommodations shall be maintained in a neat and sanitary condition. They shall also comply with all applicable laws, ordinances, and regulations pertaining to public health and sanitation of dwellings and camps. Wastewater shall not be interrupted. Should the Contractor disrupt existing sewer facilities, sewage shall be conveyed in closed conduits and disposed of in a sanitary sewer system. Sewage shall not be permitted to flow in trenches or be covered by backfill. 7-8.5 Temporary Light, Power, and Water. The Contractor shall furnish, install, maintain, and remove all temporary light, power, and water at its own expense. These include piping, wiring, lamps, and other equipment necessary for the Work. The Contractor shall not draw water from any fire hydrant (except to extinguish a fire), without obtaining permission from the water agency concerned. The Contractor shall obtain a construction meter for water used for the construction, plant establishment, maintenance, cleanup, testing and all other work requiring water related to this contract. The Contractor shall contact the appropriate water agency for requirements. The Contractor shall pay all costs of temporary light, power and water including hookup, service, meter and any, and all, other charges, deposits and/or fees therefore. Said costs shall be considered incidental to the items of work that they are associated with and no additional payment will be made therefore. 7-8.6 Water Pollution Control. The Contractor shall exercise every reasonable precaution to protect channels, storm drains, and bodies of water from pollution. It shall conduct and schedule operations so as to minimize or avoid muddying and silting of said channels, drains, and waters. Water pollution control work shall consist of constructing those facilities which may be required to provide prevention, control, and abatement of water pollution. A•^ Revised 5/01/07 Contract No. 38211-A Page 93 of 103 Pages The Contractor shall comply with the California State Water Resources Control Board (SWRCB) Order Number 99-08-DWQ, National Pollutant Discharge Elimination System (NPDES) General Permit Number CAS000002, Waste Discharge Requirements (WDR's) for Discharges of Stormwater Runoff associated with Construction Activity (General Permit) and subsequent adopted modifications and with all requirements of the Storm Water Pollution Prevention and Monitoring Plans for this project in accordance with these regulations. The Contractor shall be responsible for the preparation and implementation of the SWPPP and coordination with the City and the Regional Water Quality Control Board. All costs for preparing and implementing the Storm Water Pollution Prevention and Monitoring Plans and coordination with the City and the Regional Water Quality Control Board shall be included as part of the contract price bid. 7-8.7 Drainage Control. The Contractor shall maintain drainage within and through the work areas. Earth dams will not be permitted in paved areas. Temporary dams of sandbags, asphaltic concrete, or other acceptable material will be permitted when necessary. Such dams shall be removed from the site as soon as their use is no longer necessary. 7-8.8 Noise Control. All internal combustion engines used in the construction shall be equipped with mufflers in good repair when in use on the project with special attention to the City Noise Control Ordinance, Carlsbad Municipal Code Chapter 8.48. 7-9 PROTECTION AND RESTORATION OF EXISTING IMPROVEMENTS. The Contractor shall be responsible for the protection of public and private property adjacent to the Work and shall exercise due caution to avoid damage to such property. The Contractor shall repair or replace all existing improvements within the right-of-way which are not designated for removal (e.g., curbs, sidewalks, driveways, fences, walls, signs, utility installations, pavement, structures, etc.) which are damaged or removed as a result of its operations. When a portion of a sprinkler system within the right-of-way must be removed, the remaining lines shall be capped. Repairs and replacements shall be at least equal to existing improvements and shall match them in finish and dimension. Maintenance of street and traffic signal systems that are damaged, temporarily removed or relocated shall be done in conformance with 307-1.5. Trees, lawns, and shrubbery that are not to be removed shall be protected from damage or injury. If damaged or removed due to Contractor's operations, they shall be restored or replaced in as nearly the original condition and location as is reasonably possible. Lawns shall be reseeded and covered with suitable mulch. The Contractor shall give reasonable notice to occupants or owners of adjacent property to permit them to salvage or relocate plants, trees, fences, sprinklers, and other improvements, within the right-of-way which are designated for removal and would be destroyed because of the Work. All costs to the Contractor for protecting, removing, and restoring existing improvements shall be included in the Bid. Revised 5/01/07 Contract No. 38211-A Page 94 of 103 Pages 7-10 PUBLIC CONVENIENCE AND SAFETY. 7-10.1 Traffic and Access. The Contractor's operations shall cause no unnecessary inconvenience. The access rights of the public shall be considered at all times. Unless otherwise authorized, traffic shall be permitted to pass through the Work, or an approved detour shall be provided. Safe and adequate pedestrian and vehicular access shall be provided and maintained to: fire hydrants; commercial and industrial establishments; churches, schools and parking lots; service stations and motels; hospitals; police and fire stations; and establishments of similar nature. Access to these facilities shall be continuous and unobstructed unless otherwise approved by the Engineer. Safe and adequate pedestrian zones and public transportation stops, as well as pedestrian crossings of the Work at intervals not exceeding 90 m (300 feet), shall be maintained unless otherwise approved by the Engineer. Vehicular access to residential driveways shall be maintained to the property line except when necessary construction precludes such access for reasonable periods of time. If backfill has been completed to the extent that safe access may be provided, and the street is opened to local traffic, the Contractor shall immediately clear the street and driveways and provide and maintain access. The Contractor shall cooperate with the various parties involved in the delivery of mail and the collection and removal of trash and garbage to maintain existing schedules for these services. The contractor shall replace all street markings and striping damaged by construction activities. The Contractor shall include in its Bid all costs for the above requirements. 7-10.2 Storage of Equipment and Materials in Public Streets. Construction materials shall not be stored in streets, roads, or highways. 7-10.3 Safety and Protection of Workers and Public. The Contractor shall take all necessary precautions for the safety of employees on the work and shall comply with all applicable provisions of Federal, State and Municipal safety laws and building codes to prevent accidents or injury to persons on, about, or adjacent to the premises where the work is being performed. The Contractor shall erect and properly maintain at all times, as required by the conditions and progress of the work, all necessary safeguards for the protection of workers and public, and shall use danger signs warning against hazards created by such features of construction as protruding nails, hoists, well holes, and falling materials. 7-11 PATENT FEES OR ROYALTIES. The Contractor shall absorb in its Bid the patent fees or royalties on any patented article or process furnished or used in the Work. The Contractor shall indemnify and hold the Agency harmless from any legal action that may be brought for infringement of patents. 7-12 ADVERTISING. The names, addresses and specialties of Contractors, Subcontractors, architects, or engineers may be displayed on removable signs. The size and location shall be subject to the Engineer's approval. Commercial advertising matter shall not be attached to or painted on the surfaces of buildings, fences, canopies, or barricades. Revised 5/01/07 Contract No. 38211-A Page 95 of 103 Pages 7-13 LAWS TO BE OBSERVED. The Contractor shall keep fully informed of State and National laws and County and Municipal ordinances and regulations which in any manner affect those employed in the Work or the materials used in the Work or in any way affect the conduct of the Work. The Contractor shall at all times observe and comply with such laws, ordinances, and regulations. Municipal ordinances that affect this work include Chapter 11.06. Excavation and Grading. If this notice specifies locations or possible materials, such as borrow pits or gravel beds, for use in the proposed construction project which would be subject to Section 1601 or Section 1603 of the Fish and Game Code, the conditions established pursuant to Section 1601 et seq. of the Fish and Game Code shall become conditions of the contract. 7-14 ANTITRUST CLAIMS. Section 7103.5 of the Public Contract Code provides: "In entering into a public works contract or a subcontract to supply goods, services, or materials pursuant to a public works contract, the contractor or subcontractor offers and agrees to assign to the awarding body all rights, title, and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec 15) or Cartwright Act (Chapter 2 [commencing with Section 16700] of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, services, or materials pursuant to the public works contract or subcontract. The assignment shall be made and become effective at the time the awarding body tenders final payment to the contractor, without further acknowledgment of the parties." SECTION 8 - FACILITIES FOR AGENCY PERSONNEL Not used. SECTION 9 - MEASUREMENT AND PAYMENT 9-1 MEASUREMENT OF QUANTITIES FOR UNIT PRICE WORK. 9-1.1 General. Unless otherwise specified, quantities of work shall be determined from measurements or dimensions in horizontal planes. However, linear quantities of pipe, piling, fencing and timber shall be considered as being the true length measured along longitudinal axis. Unless otherwise provided in Specifications, volumetric quantities shall be the product of the mean area of vertical or horizontal sections and the intervening horizontal or vertical dimension. The planimeter shall be considered an instrument of precision adapted to measurement of all areas. 9-1.2 Methods of Measurement. Materials and items of work which are to be paid for on basis of measurement shall be measured in accordance with methods stipulated in the particular sections involved. 9-1.3 Certified Weights. When payment is to be made on the basis of weight, the weighing shall be done on certified platform scales or, when approved by the Engineer, on a completely automated weighing and recording system. The Contractor shall furnish the Engineer with duplicate licensed weighmaster's certificates showing actual net weights. The Agency will accept the certificates as evidence of weights delivered. Revised 5/01/07 Contract No. 38211-A Page 96 of 103 Pages 9-1.4 Units of Measurement. The system of measure for this contract shall be the U.S. Standard Measures. 9-2 LUMP SUM WORK. Items for which quantities are indicated "Lump Sum", "L.S.", or "Job", shall be paid for at the price indicated in the Bid. Such payment shall be full compensation for the items of work and all work appurtenant thereto. When required by the Specifications or requested by the Engineer, the Contractor shall submit to the Engineer within 15 days after award of Contract, a detailed schedule in triplicate, to be used only as a basis for determining progress payments on a lump sum contract or designated lump sum bid item. This schedule shall equal the lump sum bid and shall be in such form and sufficiently detailed as to satisfy the Engineer that it correctly represents a reasonable apportionment of the lump sum. 9-3 PAYMENT 9-3.1 General. The quantities listed in the Bid schedule will not govern final payment. Payment to the Contractor will be made only for actual quantities of Contract items constructed in accordance with the Plans and Specifications. Upon completion of construction, if the actual quantities show either an increase or decrease from the quantities given in the Bid schedule, the Contract Unit Prices will prevail subject to the provisions of Section 3-2.2.1. The unit and lump sum prices to be paid shall be full compensation for the items of work and all appurtenant work, including furnishing all materials, labor, equipment, tools, and incidentals. Payment will not be made for materials wasted or disposed of in a manner not called for under the Contract. This includes rejected material not unloaded from vehicles, material rejected after it has been placed, and material placed outside of the Plan lines. No compensation will be allowed for disposing of rejected or excess material. Payment for work performed or materials furnished under an Assessment Act Contract will be made as provided in particular proceedings or legislative act under which such contract was awarded. Whenever any portion of the Work is performed by the Agency at the Contractor's request, the cost thereof shall be charged against the Contractor, and may be deducted from any amount due or becoming due from the Agency. Whenever immediate action is required to prevent injury, death, or property damage, and precautions which are the Contractor's responsibility have not been taken and are not reasonably expected to be taken, the Agency may, after reasonable attempt to notify the Contractor, cause such precautions to be taken and shall charge the cost thereof against the Contractor, or may deduct such cost from any amount due or becoming due from the Agency. Agency action or inaction under such circumstances shall not be construed as relieving the Contractor or its Surety from liability. Payment shall not relieve the Contractor from its obligations under the Contract; nor shall such payment be construed to be acceptance of any of the Work. Payment shall not be construed as the transfer of ownership of any equipment or materials to the Agency. Responsibility of ownership shall remain with the Contractor who shall be obligated to store any fully or partially completed work or structure for which payment has been made; or replace any materials or equipment required to be provided under the Contract which may be damaged, lost, stolen or otherwise degraded in any way prior to acceptance of the Work, except as provided in Section 6-10. Revised 5/01/07 Contract No. 38211-A Page 97 of 103 Pages Guarantee periods shall not be affected by any payment but shall commence on the date of recordation of the "Notice of Completion." If, within the time fixed by law, a properly executed notice to stop payment is filed with the Agency, due to the Contractor's failure to pay for labor or materials used in the Work, all money due for such labor or materials will be withheld from payment to the Contractor in accordance with applicable laws. At the expiration of 35 days from the date of acceptance of the Work by the Board, or as prescribed by law, the amount deducted from the final estimate and retained by the Agency will be paid to the Contractor except such amounts as are required by law to be withheld by properly executed and filed notices to stop payment, or as may be authorized by the Contract to be further retained. 9-3.2 Partial and Final Payment. The Engineer will, after award of Contract, establish a closure date for the purpose of making monthly progress payments. The Contractor may request in writing that such monthly closure date be changed. The Engineer may approve such request when it is compatible with the Agency's payment procedure. Each month, the Engineer will make an approximate measurement of the work performed to the closure date as basis for making monthly progress payments. The estimated value will be based on contract unit prices, completed change order work and as provided for in Section 9-2 of these General Provisions. Progress payments shall be made no later than thirty (30) calendar days after the closure date. Five (5) working days following the closure date, the Engineer shall complete the detailed progress pay estimate and submit it to the Contractor for the Contractor's information. Should the Contractor assert that additional payment is due, the Contractor shall within ten (10) days of receipt of the progress estimate, submit a supplemental payment request to the Engineer with adequate justification supporting the amount of supplemental payment request. Upon receipt of the supplemental payment request, the Engineer shall, as soon as practicable after receipt, determine whether the supplemental payment request is a proper payment request. If the Engineer determines that the supplemental payment request is not proper, then the request shall be returned to the Contractor as soon as practicable, but not later than seven (7) days after receipt. The returned request shall be accompanied by a document setting forth in writing the reasons why the supplemental payment request was not proper. In conformance with Public Contract Code Section 20104.50, the City shall make payments within thirty (30) days after receipt of an undisputed and properly submitted supplemental payment request from the Contractor. If payment of the undisputed supplemental payment request is not made within thirty (30) days after receipt by the Engineer, then the City shall pay interest to the Contractor equivalent to the legal rate set forth in subdivision (a) of Section 685.010 of the Code of Civil Procedure. From each progress estimate, 10 percent will be deducted and retained by the Agency, and the remainder less the amount of all previous payments will be paid. After 50 percent of the Work has been completed and if progress on the Work is satisfactory, the deduction to be made from remaining progress estimates and from the final estimate may be limited to $500 or 10 percent of the first half of total Contract amount, whichever is greater. No progress payment made to the Contractor or its sureties will constitute a waiver of the liquidated damages under 6-9. o Revised 5/01/07 Contract No. 38211-A Page 98 of 103 Pages As provided in Section 22300 of the California Public Contract Code, the Contractor may substitute securities for any monies withheld by the Agency to ensure performance under the Contract. After final inspection, the Engineer will make a Final Payment Estimate and process a corresponding payment. This estimate will be in writing and shall be for the total amount owed the Contractor as determined by the Engineer and shall be itemized by the contract bid item and change order item with quantities and payment amounts and shall show all deductions made or to be made for prior payments and amounts to be deducted under provisions of the contract. All prior estimates and progress payments shall be subject to correction in the Final Payment Estimate. The Contractor shall have 30 calendar days from receipt of the Final Payment Estimate to make written statement disputing any bid item or change order item quantity or payment amount. The Contractor shall provide all documentation at the time of submitting the statement supporting its position. Should the Contractor fail to submit the statement and supporting documentation within the time specified, the Contractor acknowledges that full and final payment has been made for all contract bid items and change order items. If the Contractor submits a written statement with documentation in the aforementioned time, the Engineer will review the disputed item within 30 calendar days and make any appropriate adjustments on the Final Payment. Remaining disputed quantities or amounts not approved by the Engineer will be subject to resolution as specified in Section 3-5, Disputed Work. The written statement filed by the Contractor shall be in sufficient detail to enable the Engineer to ascertain the basis and amount of said disputed items. The Engineer will consider the merits of the Contractor's claims. It will be the responsibility of the Contractor to furnish within a reasonable time such further information and details as may be required by the Engineer to determine the facts or contentions involved in its claims. Failure to submit such information and details will be sufficient cause for denying payment for the disputed items. 9-3.2.1 Payment for Claims. Except for those final payment items disputed in the written statement required in Section 9-3.2 all claims of any dollar amount shall be submitted in a written statement by the Contractor no later than the date of receipt of the final payment estimate. Those final payment items disputed in the written statement required in Section 9-3.2 shall be submitted no later than 30 days after receipt of the Final Payment estimate. No claim will be considered that was not included in this written statement, nor will any claim be allowed for which written notice or protest is required under any provision of this contract including Sections 3-4 Changed Conditions, 3-5 Disputed Work, 6-6.3 Payment for Delays to Contractor, 6-6.4 Written Notice and Report, or 6-7.3 Contract Time Accounting, unless the Contractor has complied with notice or protest requirements. The claims filed by the Contractor shall be in sufficient detail to enable the Engineer to ascertain the basis and amount of said claims. The Engineer will consider and determine the Contractor's claims and it will be the responsibility of the Contractor to furnish within a reasonable time such further information and details as may be required by the Engineer to determine the facts or contentions involved in its claims. Failure to submit such information and details will be sufficient cause for denying the claims. Revised 5/01/07 Contract No. 38211-A Page 99 of 103 Pages Payment for claims shall be processed within 30 calendar days of their resolution for those claims approved by the Engineer. The Contractor shall proceed with informal dispute resolution under Section 3-5, Disputed Work, for those claims remaining in dispute. 9-3.3 Delivered Materials. When provided for in the Specifications, and subject to the limitation and conditions therein, the cost of materials and equipment delivered but not incorporated into the Work will be included in the progress estimate. 9-3.3.1 Delivered Materials. The cost of materials and equipment delivered but not incorporated into the work will not be included in the progress estimate. 9-3.4 Mobilization. When a bid item is included in the Proposal form for mobilization and subject to the conditions and limitations in the Specifications, the costs of work in advance of construction operations and not directly attributable to any specific bid item will be included in the progress estimate. When no such bid item is provided, payment for such costs will be considered to be included in the other items of work. 9-3.4.1 Mobilization and Preparatory Work. Payment for mobilization and preparatory Work will be included in the various items of work and no other payment will be made. oRevised 5/01/07 Contract No. 38211-A Page 100 of 103 Pages SUPPLEMENTAL PROVISIONS TO "GREEN BOOK" STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION PART 3, CONSTRUCTION METHODS SECTION 300 - EARTHWORK 300-13 STORM WATER POLLUTION PREVENTION PLAN Add the following section: 300-13.1 Storm Water Pollution Prevention Plan. As part of the storm water pollution prevention work, the Contractor shall prepare and submit Storm Water Pollution Prevention Plan, hereafter referred to as the "SWPPP,". The SWPPP shall conform to the requirements of the "Greenbook" Standard Specifications for Public Works Construction, the requirements in the California Storm Water Quality Association, Stormwater Best Management Practice Handbook, Construction ("Handbook"), the requirements of the Permit, the requirements in the plans and these supplemental provisions. 300-13.1.1 SWPPP Document Within 15 calendar days after the execution of the contract, the Contractor shall submit 3 copies of the SWPPP to the Engineer, in accordance with Section 2-5.3.3 of these Special Provisions. Contractor will be provided the digital format for SWPPP to complete required sections. If revisions are required, as determined by the Engineer, the Contractor shall revise and resubmit the SWPPP within 15 days of receipt of the Engineer's comments and shall allow 5 days for the Engineer to review the revisions. Upon the Engineer's acceptance of the SWPPP, 3 additional copies of the SWPPP, incorporating the required changes, shall be submitted to the Engineer. In order to allow construction activities to proceed, the Engineer may conditionally approve the SWPPP while minor revisions are being completed. The objectives of the SWPPP shall be to identify pollution sources that may adversely affect the quality of storm water discharges associated with the project and to identify, construct, implement and maintain storm water pollution prevention measures, hereafter referred to as control measures, to reduce to the extent feasible pollutants in storm water discharges from the construction site both during and after construction is completed under this contract. The SWPPP shall incorporate control measures in the following categories: 1. Soil stabilization practices; 2. Sediment control practices; 3. Wind erosion control practices; and 4. Non-storm water management and waste management and disposal control practices. Specific objectives and minimum requirements for each category of control measures are contained in the Handbook. The Contractor shall designate a Water Pollution Control Manager who will have the responsibilities outlined in the SWPPP. Revised 5/01/07 Contract No. 38211-A Page 101 of 103 Pages The SWPPP shall include, but not be limited to, the following items as described in the SWPPP: 1. Source Identification; 2. Erosion and Sediment Controls; 3. Non-Storm Water Management; 4. Waste Management and Disposal; 5. Maintenance, Inspection and Repair; 6. Training; 7. List of Contractors and Subcontractors; 8. Post-Construction Storm Water Management; 9. Preparer; 10. Copy of the local permit; 11. BMP Consideration Checklist; 12. SWPPP Checklist; 13. Schedule of Values; and 14. Storm Water Pollution Prevention Drawings. The Contractor shall amend the SWPPP, graphically and in narrative form, whenever there is a change in construction activities or operations which may affect the discharge of significant quantities of pollutants to surface waters, ground waters, municipal storm drain systems, or when deemed necessary by the Engineer. The SWPPP shall also be amended if it is in violation of any condition of the Permit, or has not effectively achieved the objective of reducing pollutants in storm water discharges. Amendments shall show additional control measures or revised operations, including those in areas not shown in the initially accepted SWPPP, which are required on the project to control water pollution effectively. Amendments to the SWPPP shall be submitted for review and acceptance by the Engineer in the same manner specified for the initially accepted SWPPP. Accepted amendments shall be dated and logged in the SWPPP. Upon acceptance of the amendment, the Contractor shall implement the additional control measures or revised operations. The Contractor shall keep a copy of the accepted SWPPP and accepted amendments at the project site. The SWPPP shall be made available upon request of a representative of the Regional Water Quality Control Board, State Water Resources Control Board, U.S. Environmental Protection Agency or local storm water management agency. Requests by the public shall be directed to the Engineer. By June 15 of each year, the Contractor shall submit an annual certification to the Engineer stating compliance with the requirements governing the Permit. If the project is in non-compliance at any time, the Contractor shall make a written report to the Engineer within 15 days of identification of non-compliance. Add the following section: 300-13-1.2 Availability of SWPPP template. A site-specific draft document intended for use as a template for the required SWPPP document will be made available for use at the Contractor's option, at no cost to the Contractor. The document is available for review in Appendix B. The Contractor shall review the template and modify it as necessary to reflect the Contractor's operations. Add the following section: 300-13.1.3 Payment. Preparation, implementation and management of SWPPP shall be considered incidental to the items of work and no additional payment will be made therefore. Revised 5/01/07 Contract No. 38211-A Page 102 of 103 Pages Add the following section: 300-13.1.4 SWPPP Implementation. Upon acceptance of the SWPPP, the Contractor shall be responsible throughout the duration of the project for installing, constructing, inspecting and maintaining the control measures included in the SWPPP and any amendments thereto and for removing and disposing of temporary control measures. Unless otherwise directed by the Engineer or specified in these supplemental provisions, the Contractor's responsibility for SWPPP implementation shall continue throughout any temporary suspension of work ordered in accordance with Section 6-3, "Suspension of Work". Requirements for installation, construction, inspection, maintenance, removal and disposal of control measures are specified in the "Handbook" and these supplemental provisions. Soil stabilization practices and sediment control measures, including minimum requirements, shall be provided throughout the winter season, defined as between October 1 and April 30. Implementation of soil stabilization practices and sediment control measures for soil-disturbed areas of the project site shall be completed, except as provided for below, no later than 20 days prior to the beginning of the winter season or upon start of applicable construction activities for projects which begin either during or within 20 days of the winter season. The Contractor shall implement, year-round and throughout the duration of the project, control measures included in the SWPPP for sediment tracking, wind erosion, non-storm water management and waste management and disposal. The Engineer may order the suspension of construction operations, at the Contractor's cost, which create water pollution if the Contractor fails to conform to the requirements of this section as determined by the Engineer. Add the following section: 300-13.1.5 Maintenance. To ensure the proper implementation and functioning of control measures, the Contractor shall regularly inspect and maintain the construction site for the control measures identified in the SWPPP. The Contractor shall identify corrective actions and time frames to address any damaged measures or reinitiate any measures that have been discontinued. The construction site inspection checklist provided in the "Handbook" shall be used to ensure that the necessary measures are being properly implemented, and to ensure that the control measures are functioning adequately. The Contractor shall submit one copy of each site inspection record to the Engineer, within two days of the inspection. During the winter season, inspections of the construction site shall be conducted by the Contractor to identify deficient measures, as follows: 1. When the five-day rain probability forecast exceeds forty percent (40%). 2. After any precipitation which causes runoff capable of carrying sediment from the construction site; 3. At 24 hour intervals during extended precipitation events; and 4. Routinely, at a minimum of once every week. If the Contractor or the Engineer identifies a deficiency in the deployment or functioning of an identified control measure, the deficiency shall be corrected by the Contractor immediately, or by a later date and time if requested by the Contractor and accepted by the Engineer in writing, but not later than the onset of subsequent precipitation events. The correction of deficiencies shall be at no additional cost to the City. Revised 5/01/07 Contract No. 38211-A Page 103 of 103 Pages APPENDIX A California Regional Water Quality Control Board 401 Water Quality Certification (File No. 04C-077) Linda S. Adams Secretary for Environmental Protection California Regional Water Quality Control Board San Diego Region Over 50 Years Serving San Diego, Orange, and Riverside Counties Recipient of the 2004 Environmental Award for Outstanding Achievement from USEPA Arnold Schwarzenegge Governor 9! 74 Sky Park Court, Suite 100, San Diego, California 92123-4340 (858) 467-2952 • Fax (858) 571-6972 http:// www.waterboards.ca.gov/sandiego RECEIVED uJG 1 4 2006 ENGINEERING DEPARTMENT In reply refer to: WPS:18-2004077.02:meanc August 11, 2006 Mr. Chris Muehlbacher Associate Engineer City of Carlsbad 1635 Faraday Avenue Carlsbad, CA 92008-7314 Dear Mr. Muehlbacher: RE: CALAVERA DAM REMEDIAL IMPROVEMENT PROJECT (FILE NO. 04C-077) 401 WATER QUALITY CERTIFICATION AMENDMENT The Regional Board is amending Condition B.1, B.2, C.1 and C.2 of the Calavera Dam Remedial Improvement Project 401 Water Quality Certification (File No. 04C-077). This decision is based on the revised impact acreages, and the resulting increase in project impacts to waters of the U.S./State. Changes to certification conditions are shown in red strikeout/underline below. B.1 Impacts to jurisdictional waters of the U.S. shall not exceed the following: Habitat Type Southern Willow Scrub Mulofat Scrub Freshwater marsh Non-wetland waters TOTAL Permanent Impacts (acre) n nnp\j . \j ucr &0§ n r\c r\ Af\U.UU \J.~t\J 04520.40 Temporary Impacts (acre) n nrpvy • i/^rcr — — - 0^4-0.06 0.01 &&420.07 B.2 Impacts to waters of the U.S. shall not occur outside of the limits depicted in Figure 2 of the April 5. 2006 July 18.2006. Habitat Revegetation, Maintenance & Monitoring Program (prepared by Planning Systems). C.1 Mitigation for permanent impacts to 0.122 0.40 acres and temporary impacts to 0.012 0.07 acres, will be achieved at the following ratios: California Environmental Protection Agency Mr. Chris Muehlbacher -2-August 11, 2006 Habitat Type Southern Willow Scrub Mulofat Scrub Freshwater marsh Non-wetland waters Total Permanent Impact Mitigation Ratio 34 2-4 2:1 Required Creation Acreage n nnfi^f . \j\j\j 0420 04200.80 0.246 Q.8Q Temporary Impact Mitigation Ratio 44- 1:1 1:1 Required Restoration Acreage n on?w . \J \Ji— &0400.06 0.01 &042-0.07 C.2 Mitigation for both permanent and temporary impacts will be achieved through on-site creation of wetland habitat in the near lake vicinity of the project as described in the April 5. 2006 July 18, 2006. Habitat Revegetation, Maintenance and Monitoring Program, Calavera Dam. Remedial Improvements Project (prepared by Planning Systems). The heading portion of this letter includes a Regional Board code number noted after "In reply refer to:" In order to assist us in the processing of your correspondence please include this code number in the heading or subject line portion of all correspondence and reports to the Regional Board pertaining to this matter. If you have any questions regarding this letter, please contact Christopher Means at 858-637-5581 or cmeans@waterboards.ca.gov. Respectfully, 7 John H. Robertus Executive Officer San Diego Regional Water Quality Control Board California Environmental Protection Agency Mr. Chris Muehlbacher -3- August 11, 2006 CC: Ms. Kari Coler U.S. Army Corps of Engineers Regulatory Branch 16885 W. Bernardo Dr., Suite 300 A San Diego, CA 92127 Ms. Tamara Spear CA Department of Fish & Game 4949 Viewridge Avenue San Diego, CA 92123 Mr. Paul Kukas Planning Systems 1530 Faraday Avenue Carlsbad, CA 92008 Bill Orme, State Water Resources Control Board Division of Water Quality California Environmental Protection Agency !*r+ Recycled Paper California Regional Water Quality Control Board San Diego Region Dan Skopek ii,7 Secretary Intemel Address: htlp://www swrcb.ca.gov/rwqcb9/ 9174 Sky Park Court, Suite 100, San Diego, California 92123 Phone (858) 467-2952 • FAX (858) 571-6972 Arnold Schwarzenegger Governor Action on Request for Clean Water Act Section 401 Water Quality Certification and Waiver of Waste Discharge Requirements for Discharge of Dredged and/or Fill Materials PROJECT: APPLICANT: Calavera Dam Remedial improvements Project (File No. 04C-077) Mr. Christopher Muehlbacher Carlsbad Municipal Water District 1635 Faraday Avenue Carlsbad, CA 92008 ACTION: D Order for Low Impact Certification • Order for Technically-conditioned Certification STANDARD CONDITIONS: a Order for Denial of Certification • Waiver of Waste Discharge Requirements The following three standard conditions apply to all certification actions, except as noted under Condition 3 for denials (Action 3). 1. This certification action is subject to modification or revocation upon administrative or judicial review, including review and amendment pursuant to section 13330 of the California Water Code and section 3867 of Title 23 of the California Code of Regulations (23 CCR). 2. This certification action is not intended and shall not be construed to apply to any discharge from any activity involving a hydroelectric facility requiring a Federal Energy Regulatory Commission (FERC) license or an amendment to a FERC license unless the pertinent certification application was filed pursuant to 23 CCR subsection 3855(b) and the application specifically identified that a FERC license or amendment to a FERC license for a hydroelectric facility was being sought. 3. The validity of any non-denial certification action (Actions 1 and 2) shall be conditioned upon total payment of the full fee required under 23 CCR section 3833, unless otherwise stated in writing by the certifying agency. California Environmental Protection Agency The energy challenge facing California is real. Every Californian needs to lake immediate action to reduce energy consumption. For a list of simple ways you can reduce demand and cut your energy costs, see our Web-site at http://www.swrcb.ca.gov. Recycled Paper File No. 04C-077 ADDITIONAL CONDITIONS: In addition to the three standard conditions, the Carlsbad Municipal Water District shall satisfy the following: A. GENERAL CONDITIONS 1. The Carlsbad Municipal Water District shall, at all times, fully comply with the engineering plans, specifications and technical reports submitted with this application for 401 Water Quality Certification and all subsequent submittals required as part of this certification. 2. The Carlsbad Municipal Water District shall comply with the requirements of State Water Resources Control Board Water Quality Order No. 99-08-DWQ, the NPDES General Permit for Storm Water Discharges Associated with Construction Activity. 3. The Carlsbad Municipal Water District shall maintain a copy of this certification at the project site so as to be available at all times to site personnel and agencies. 4. Prior to the start of the project, the Carlsbad Municipal Water District shall educate all personnel on the requirements in this certification, pollution prevention measures, spill response, and best management practices. 5. The Carlsbad Municipal Water District shall permit the San Diego Regional Water Quality Control Board (SDRWQCB) or its authorized representative at all times, upon presentation of credentials: a) Entry onto project premises, including all areas on which wetland fill or wetland mitigation is located or in which records are kept. b) Access to copy any records required to be kept under the terms and conditions of this certification. c) Inspection of any treatment equipment, monitoring equipment, or monitoring method required by this certification. 6. The Carlsbad Municipal Water District shall notify the SDRWQCB within 24 hours of any unauthorized discharge to waters of the U.S. and/or State; measures that were implemented to stop and contain the discharge; measures implemented to clean-up the discharge; the volume and type of materials discharged and recovered; and additional BMPs or other measures that will be implemented to prevent future discharges. 7. The Carlsbad Municipal Water District shall, at all times, maintain appropriate types and sufficient quantities of materials onsite to contain any spill or inadvertent release of materials that may cause a condition of pollution or nuisance if the materials reached a waters of the U.S. and/or State. 2 of 10 File No. 04C-077 8. This Certification is not transferable to any person except after notice to the Executive Officer of the SDRWQCB. The applicant shall submit this notice in writing at least 30 days in advance of any proposed transfer. The notice must include a written agreement between the existing and new owner containing a specific date for the transfer of this Certification's responsibility and coverage between the current discharger and the new discharger. This agreement shall include an acknowledgement that the existing owner is liable for compliance and violations up to the transfer date and that the new owner is liable from the transfer date on. 9. In the event of any violation or threatened violation of the conditions of this certification, the violation or threatened violation shall be subject to any remedies, penalties, process or sanctions as provided for under state law. For purposes of section 401 (d) of the Clean Water Act, the applicability of any state law authorizing remedies, penalties, process or sanctions for the violation or threatened violation constitutes a limitation necessary to assure compliance with the water quality standards and other pertinent requirements incorporated into this certification. 10. In response to a suspected violation of any condition of this certification, the SDRWQCB may require the holder of any permit or license subject to this certification to furnish, under penalty of perjury, any technical or monitoring reports the SDRWQCB deems appropriate, provided that the burden, including costs, of the reports shall be a reasonable relationship to the need for the reports and the benefits to be obtained from the reports. 11. In response to any violation of the conditions of this certification, the SDRWQCB may add to or modify the conditions of this certification as appropriate to ensure compliance. B. AUTHORIZED IMPACTS TO WATERS OF THE U.S. 1. Impacts to jurisdictional waters of the U.S. shall not exceed the following: Habitat Type Southern Willow Scrub Mulefat Scrub Freshwater marsh Non-wetland waters TOTAL Permanent Impacts (acre) 0.002 0.06 0.06 0.122 Temporary Impacts (acre) 0.002 0.01 0.012 2. Impacts to waters of the U.S. shall not occur outside of the limits depicted in Figure 2 of the April 5, 2006, Habitat Revegetation, Maintenance & Monitoring Program (prepared by Planning Systems). 3 of 10 File No. 04C-077 C. MITIGATION 1. Mitigation for permanent impacts to 0.122 acres and temporary impacts to 0.012 acres, will be achieved at the following ratios: Habitat Type Southern Willow Scrub Mulefat Scrub Freshwater marsh Non-wetland waters Total Permanent Impact Mitigation Ratio 3:1 2:1 2:1 Required Creation Acreage 0.006 0.120 0.120 0.246 Temporary Impact Mitigation Ratio 1:1 1:1 Required Restoration Acreage 0.002 0.010 0.012 2. Mitigation for both permanent and temporary impacts will be achieved through on-site creation of wetland habitat in the near lake vicinity of the project as described in the April 5, 2006, Habitat Revegetation, Maintenance and Monitoring Program, Calavera Dam Remedial Improvements Project (prepared by Planning Systems) 3. Within 90 days of the issuance of this certification, the Carlsbad Municipal Water District shall provide a draft preservation mechanism (e.g. deed restriction, conservation easement, etc.) that will protect all mitigation areas and their buffers in perpetuity. The conservation easement or other legal limitation on the mitigation property shall be adequate to demonstrate that the site will be maintained without future development or encroachment on the site or which could otherwise reduce the functions and values of the site for the variety of beneficial uses of waters of the U.S. that it supports. The conservation easement or other appropriate legal limitation shall prohibit, without exception, all residential, commercial, industrial, institutional, and transportation development, and any other infrastructure development that would not maintain or enhance the wetland functions and values of the site. Other infrastructure development to be prohibited includes, but is not limited to, additional utility lines, paved maintenance roads, and areas of maintained landscaping for recreation. The Carlsbad Municipal Water District shall submit proof of a completed preservation mechanism within one year of issuance of this certification. O 4 of 10 File No. 04C-077 4. The Carlsbad Municipal Water District shall submit a report (including topography maps and planting locations) to the SDRWQCB within 90 days of completion of mitigation site preparation and planting, describing as-built status of the mitigation project. If the site grading and planting are not completed within six weeks of each other, separate reports will be submitted describing those specific as-built conditions. 5. The construction of proposed mitigation shall be completed within the same calendar year as impacts occur, or at least no later than 9 months following the close of the calendar year in which impacts first occur (e.g., if impacts occur in June 2006, construction of mitigation for all impacts must be completed no later than September 2007). 6. Mitigation areas shall be maintained free of perennial exotic plant species including, but not limited to, pampas grass, giant reed, tamarisk, sweet fennel, tree tobacco, castor bean, and pepper tree. Annual exotic plant species shall not occupy more than 5 percent of the onsite or offsite mitigation areas. 7. If at any time during the implementation and establishment of the mitigation area(s), and prior to verification of meeting success criteria, a catastrophic natural event (e.g., fire, flood) occurs and impacts the mitigation area, the Carlsbad Municipal Water District shall be responsible for repair and replanting of the damaged area(s). 8. Mitigation monitoring reports shall be submitted annually until mitigation has been deemed successful. Monitoring reports shall be submitted no later than 30 days following the end of the monitoring period. Monitoring reports shall include, but not be limited to, the following: a) Names, qualifications, and affiliations of the persons contributing to the report; b) Tables presenting the raw data collected in the field as well as analyses of the physical and biological data; c) Qualitative and quantitative comparisons of current mitigation conditions with pre-construction conditions and previous mitigation monitoring results; d) Photodocumentation from established reference points; e) Survey report documenting boundaries of mitigation area; and f) Other items specified in the draft and final Wetland and Riparian Mitigation and Monitoring Plan. 5 of 10 File No. 04C-077 9. For purposes of this certification, creation is defined as the creation of vegetated or unvegetated waters of the U.S. where they have never been documented or known to occur (e.g., conversion of nonnative grassland to freshwater marsh). Restoration is defined as the creation of waters of the U.S. where they previously occurred (e.g., removal of fill material to restore a drainage). Enhancement is defined as modifying existing waters of the U.S. to enhance functions and values (e.g., removal of exotic plant species from jurisdictional areas and replacing with native species). D. REPORTING 1. All information requested in this Certification is pursuant to California Water Code (CWC) section 13267. Civil liability may be administratively imposed by the Regional Board for failure to furnish requested information pursuant to CWC section 13268. 2. All applications, reports, or information submitted to the Regional Board shall be signed and certified as follows: "I certify under penalty of law that I have personally examined and am familiar with the information submitted in this document and all attachments and that, based on my inquiry of those individuals immediately responsible for obtaining the information, I believe that the information is true, accurate, and complete. I am aware that there are significant penalties for submitting false information, including the possibility of fine and imprisonment." 3. The Carlsbad Municipal Water District shall submit reports required under this certification, or other information required by the Regional Board, to: Executive Officer California Regional Water Quality Control Board San Diego Region Attn: 401 Certification; File No 18-2004077.02 9174 Sky Park Court, Suite 100 San Diego, California 92123 REGIONAL WATER QUALITY CONTROL BOARD CONTACT PERSON: Christopher Means California Regional Water Quality Control Board, San Diego Region 9174 Sky Park Court, Suite 100 San Diego, CA 92123 858-467-5581 cmeans@waterboards.ca.gov 6 of 10 File No. 04C-077 WATER QUALITY CERTIFICATION: I hereby certify that the proposed discharge from the Calavera Dam Remedial improvements Project (File No. 04C-077) will comply with the applicable provisions of sections 301 ("Effluent Limitations"), 302 ("Water Quality Related Effluent Limitations"), 303 ("Water Quality Standards and Implementation Plans"), 306 ("National Standards of Performance"), and 307 ("Toxic and Pretreatment Effluent Standards") of the Clean Water Act. This discharge is also regulated under California Regional Water Quality Control Board, San Diego Region, Waiver of Waste Discharge Requirements (Waiver Policy) No. 17. Please note that this waiver is conditional and, should new information come to our attention that indicates a water quality problem, the regional Board may issue waste discharge requirements at that time. Except insofar as may be modified by any preceding conditions, all certification actions are contingent on (a) the discharge being limited and all proposed mitigation being completed in strict compliance with the applicants' project description and/or on the attached Project Information Sheet, and (b) on compliance with all applicable requirements of the Regional Water Quality Control Board's Water Quality Control Plan (Basin Plan). _ Jotrf/H. Robertus^ Date Executive Officer Regional Water Quality Control Board Attachments: 1. Project Information 2. Distribution List 3. Location Map 4. Coffer Dam schematic 5. Coffer Dam Picture 7 of 10 Attachment 1 File No.04C-077 Applicant: ATTACHMENT 1 PROJECT INFORMATION Mr. Christopher Muehlbacher Carlsbad Municipal Water District 1635 Faraday Avenue Carlsbad, CA 92008 o Applicant Representatives: Project Name: Project Location: Type of Project: Project Description: Mr. Paul Klukas Planning Systems 1530 Faraday Avenue, Suite 100 Carlsbad, CA 92008 Calavera Dam Remedial improvements Project The proposed project is located at Calavera Dam, approximately " 900 to 1,200 feet south if the intersection of Tamarack Avenue and Knollwood Drive, in the City of Carlsbad. Dam Outlet Repair The Lake Calavera Dam outlet works are currently inoperable, and are in need of repair to bring the dam in compliance with the CA Division of Dams and Safety requirements. The proposed project will consist of the repair of the intake and outlet works, spillway and access road, and construction of a new dam operations control building. The Cities original proposal included the draining of a majority of Lake Calavera and the discharge of 70 million gallons of lake water to Calavera Creek. The original proposal would have potentially impacted over 14 acres of wetlands. The Resource Agencies and the public opposed the original proposal. The City has now proposed a construction method that does not ' necessitate the lowering of the lake level. Repairs to the outlet pipe will be accomplished through placing a watertight temporary structure around the pipe and the utilization of an inflatable gasket inside to act as a work platform. The old tower will then be , removed and replaced with a new outlet pipe laid back to the dam face. As result of this construction method, impacts to wetlands have been reduced from 14.505 acres to 0.134 acres. Federal Agency/Permit: United States Army Corps of Engineers Nationwide Permit No. 3 8 of 10 Attachment File No.04C-077 Other Required Regulatory Approvals: California Environmental Quality Act (CEQA) Compliance: Receiving Water: Impacted Waters of the United States: Dredge Volume: Related Projects Implemented/to be Implemented by the Applicant(s): California Department of Fish & Game Streambed Alteration Agreement =On April 18, 2006 the City of Carlsbad Approved the Mitigated Negative Declaration for the project Calavera Creek The proposed project will result in permanent impacts to 0.122 acres of waters of the state (southern willow scrub, mulefat scrub and non-vegetated streambed) and temporary impacts to 0.012 acres of waters of the State (southern willow scrub and freshwater marsh). n/a None Compensatory Mitigation: Mitigation for permanent impacts will be achieved through on-site creation of 0.246 acre of wetland habitat in the near lake vicinity of the project as described in the April 5, 2006, Habitat Revegetation, Maintenance and Monitoring Program, Calavera Dam Remedial Improvements Project (prepared by Planning Systems). Temporary impacts will be restored to pre-project conditions. Best Management Practices: Fees: During construction, this project will comply with the BMP requirements stipulated in the State Water Resources Control Board Order No. 99-08-DWQ, the NPDES General Permit for Storm Water Discharges Associated with Construction Activity. Total Due: $3,800.00 Total Paid (check No. 115515 & 118157): $3,800.00 9 of 10 Attachment 2 File No. 04C-077 ATTACHMENT 2 DISTRIBUTION LIST 3 Ms. Kari Coler U.S. Army Corps of Engineers Regulatory Branch 16885 W. Bernardo Dr., Suite 300 A San Diego, CA 92127 Mr. Paul Klukas Planning Systems 1530 Faraday Avenue Carlsbad, CA 92008 Ms. Tamara Spear California Department of Fish & Game 4949 Viewridge Avenue San Diego, CA 92123 State Water Resources Control Board Division of Water Quality 10 of 10 /fff <A.N 1st STAGE TOP SUPPORT - BRACKET FOR COFFERDAM INSTALLATION & DEWATERING (4 EA. AT 90' SPACING) / MAX. OPERATING POOL EL 214.00 \7 EXISTING 7'0 OUTLET TOWER (9'-8" O.D.)-^ NOTE: ALL MEMBER SIZES ARE PRELIMENARY. DEMOLITION LINE- EL 197.00 <£ NEW 24"(8 — INTAKE LINE r H/^ H HI _!__. H /:°r S^I&^Z&n--.j; ^JH.-^ -, ? EL 223.00 ^ :-*• " -: > 4." \>/ *.".* • ./• "'• • '• i'-7 -*•' *•" *;•;.» '*:'•' '.*"• !.?.'.' .'•••y ^.:.^ Tw" ••.;' • V f? "••/C*-' •."• ^?.•;'? i'J ","» -'i- *.*• ' M Tn i H !" i ^V&:t i i i i j '•'( •*•' \\~'r l***~ 'f* i Jyz=- * * i;"- ».* » '*'-. '"-V . 4 '"V" -*'• •.iv •:>.:' ^-' ;'-:-'^ • j. •*,j-^ •^ • •*• • '.:*i -*•: •*•'*" <•. **.• r •' *""», /" \/ T5 h H h — hj ^-IN IN (c «Pl:? -16'«> LIFT-IN COFFERDAM ^_EL 216.00 ^L6x6x^ .r-WT 8x33.5 / RING / STIFFENER RIBS r~3A" PL SKIN ^2nd STAGE BOTTOM SUPPORT BRACKET FOR DEMOLITION & MODIFICATION (4 EA. AT 90' SPACING) TO BE INSTALLED BEFORE REMOVING EL 188.00 FLATABLE SEAL CHANNEL HOUSING 12x30) ^ ? REMEDIATION OF EXISTING TOWER USING LIFT-IN COFFERDAM F|G. 4 SCALE: 1" - 5'-0" APPENDIX B California Department of Fish and Game Streambed Alteration Agreement (Notification No. 1600-2004-0101-R5) Page 1 of 7 CALIFORNIA DEPARTMENT OF FISH AND GAME 4949 Viewridge Avenue San Diego, California 92123 Notification No. 1600-2004-0101-R5 AGREEMENT REGARDING PROPOSED STREAM OR LAKE ALTERATION THIS AGREEMENT, entered into between the State of California, Department of Fish and Game, hereinafter called the Department, and Mr. Christopher Muehlbacher, representing Carlsbad Municipal Water District, 1635 Faraday Avenue, Carlsbad, CA, 92008 Telephone: (760)602-2736, FAX: (760)602-8562, hereinafter called the Operator, is as follows: WHEREAS, pursuant to Section 1602 of California Fish and Game Code, the Operator, on the 17th day of March, 2004, notified the Department that they intend to divert or obstruct the natural flow of, or change the bed, channel, or bank of, or use material from the streambed(s) of. the following water(s): Lake Cafavera Reservoir, tributary to Calavera Creek, tributary to Agua Hedionda Creek, San Diego County, California. WHEREAS, the Department, represented by Tamara Spear through a site visit on the 23rd of June, 2004, has determined that such operations may substantially adversely affect those existing fish and wildlife resources within the streambed of Lake Calavera Reservoir, tributary to Calavera Creek, tributary to Agua Hedionda Creek, specifically identified as follows: Birds: least Bell's vireo (Vireo belli! pusillus), southwestern willow flycatcher (Empidonax trailii exti/nus), California gnatcatcher (PolioptHa californica californica), turkey vulture (Cathartes aura), red-tailed hawk (Buteojamaicensis), red- shouldered hawk (Buteo lineatus), white-tailed kite (Eianus leucurus), northern harrier (Circus cyaneus), sharp-shinned hawk (Accipfter striatus), Cooper's hawk {Accipiter cooperii), loggerhead shrike (Lanius iudovicianus), American kestrel (Falco sparverius), Nuttall's woodpecker (Picoides nuttatlii), great blue heron (Ardea herodias), great egret (Ardea alba), domestic goose (Anserdomesticus), Canada goose (Branta canadensis), gadwaJI (Anas strepera), American wigeon (Anas americana), mallard (Anas platyrhynchos)l northern shoveler (Anas clypeata), ruddy duck (Oxyura jamaicensis), California quail (CaHipepla californica), pied-grebe (Podilymbus podiceps), double-crested cormorant (Phalacrocorax auritus), common moorhen (Gallinula chloropus), American coot (Fulica americana), killdeer (Charadrius vociferous), belted kingfisher (Ceryle alcyon), northern rough-winged swallow (Stelgidopteryx serripennis), cliff swallow (Petrochelidon pyrrhonota), mourning dove (Zenaida macroura), rock pigeon (Columba livia), greater roadrunner (Geococcyx califomianus), Anna's hummingbird (Cafypte anna), northern flicker (Colaptes auratus), downy woodpecker (Picoides pubescens), olive-sided flycatcher (Contopus cooper/), Pacific-slope flycatcher (Empidonax difficHis), ash-throated flycatcher (Myiarchus cinerascens) western kingbird (Tyrannus verticalis), black phoebe (Sayornis nigricans), Say's phoebe (Sayomis saya), Cassin's kingbird (Tyrannus vocifierans), scrub jay (Aphelocoma coerulescens), American crow (Corvus brachyrhynchos), common raven (Corvus corax), ruby-crowned kinglet (Regulus calendula), hermit thrush (Catharus guttatus), wrentit (Chamaea fasciata), American pipit STREAMBED ALTERATION AGREEMENT #1600-2004-0101-R5 Pa9e 2 of 7 (Anthus rubescens), bushtit (Psaltriparus minimus), Bewick's wren (Thryomanes bewickii), house wren (Troglodytes aedon), blue-gray gnatcatcher (PolioptHa californica), northern mockingbird (Mimus polygtottos), California thrasher (Toxostoma redivivum), cedar waxwing (Bombycilla cedrorum), tricolored blackbird (Agelaius tricolor), western meadowlark (Sturnella neglecta), red-winged blackbird (Agelaius phoeniceus), orange- crowned warbler (Vermivora celata), yellow warbler (Dendroica petechia), common yellowthroat (Geothlypis trichas), yellow-breasted chat (Icteria virens), yellow-rumped warbler (Dendroica coronate), song sparrow (Melospiza melodia), spotted towhee (Pipilo maculates), lark sparrow (Chondestes grammacus), savannah sparrow (Passerculus sandfwichensis), black-headed grosbeak (Pheucticus melanocephalus), California towhee (Pipifo chssalis), white-crowned sparrow (Zonotrichia leucophrys), house finch (Carpodacus mexicanus), American goldfinch (Carduelis tristis), lesser goldfinch (Carduelis psaltria), Reptiles: Southwestern pond turtle (Ctemmys marmorata), orange- throated whiptail (Cnemidophorus hyperythrus beldingi), Amphibians: western spadefoot toad (Scaphiopus hammondi), Pacific chorus frog (Pseudacris regilla); Mammals: San Diego black-tailed jackrabbit (Lepus californicus bennettii), brush rabbit (Sylvilagus bachmani), California ground squirrel (Spermophilus beecheyi), Botta's pocket gopher (Thomomys bottae), Virginia oppossum (Didelphis virginiana), desert cottontail (Sylvilagus audubonti), woodrat (Neotoma sp.), northern raccoon (Procyon lotor), striped skunk (Mephitis mephitis), coyote (Canis tatrans); Plants: thread-leaved brodiaea (Brodiaea filifolia), California adolphia {Adolphia californica)', including the southern willow scrub, mule fat scrub, freshwater marsh, coast live oak woodland and surrounding Diegan coastal sage scrub, non-native grassland and disturbed/developed land which provide habitat for such species in the area. THEREFORE, the Department hereby proposes measures to protect fish and wildlife resources during the Operator's work. The Operator hereby agrees to accept the following measures/conditions as part of the proposed work. If the Operator's work changes from that stated in the notification specified above, this Agreement is no longer valid and a new notification shall be submitted to the Department of Fish and Game. Failure to comply with the provisions of this Agreement and with other pertinent code sections, including but not limited to Fish and Game Code Sections 5650, 5652,5937, and 5948, may result in prosecution. Nothing in this Agreement authorizes the Operator to trespass on any land or property, nor does it relieve the Operator of responsibility for compliance with applicable federal, state, or local laws or ordinances. A consummated Agreement does not constitute the Department's endorsement of the proposed operation, or assure the Department's concurrence with permits required from other agencies. This Agreement becomes effective the date of Department's signature and terminates December 31. 2007, for project construction only. Any amendment of the termination date shall be by written mutual consent of the Operator and the Department, and shall be in compliance with the Department's regulations, policies and procedures in effect as of the date of such amendment. Pursuant to Section 1600 et. seq., the Operator may request one extension of the agreement; the Operator shall request the extension of this Agreement prior to its STREAMBED ALTERATION AGREEMENT #1600-2004-0101-R5 Page 3 of 7 termination The one extension may be granted for up to five years from the date of termination of the Agreement and is subject to Departmental approval. The extension request and fees shall be submitted to the Department's South Coast Office at the above address If the Operator fails to request the extension prior to the Agreement's termination then the Operator shall submit a new notification with fees and required information'to the Department. Any construction/impacts conducted under an expired Agreement are a violation of f"'sn ano- Game Code 1600 et. seq. For complete information, see Fish and Game Code 1600 et. seq. The Department reserves the right to suspend or cancel this Agreement for other reasons, including but not limited to the following circumstances. a The Department determines that the information provided by the Operator in support of the Notification/Agreement is incomplete or inaccurate. b The Department obtains new information that was not known to it in preparing the terms and conditions of the Agreement, c The project or project activities as described in the Notification/Agreement have changed. d The conditions affecting fish and wildlife resources change or the Department determines that project activities will result in a substantial adverse effect on the environment. Before any suspension or cancellation of the Agreement, the Department will notify the Operator in writing of the circumstances which the Department believes warrant suspension or cancellation. The Operator will have seven (7) working days from the date of receipt of this notification to respond in writing to the circumstances described in the Department's notification. During the seven (7) day response period, the Operator shall immediately cease any project activities which the Department specified in its notification. The Operator shall not continue the specified activities until that time when the Department notifies the Operator in writing that adequate methods and/or measures have been identified and agreed upon to mitigate or eliminate the significant adverse effect. It is understood the Department has entered into this Streambed Alteration Agreement for purposes of establishing protective features for fish and wildlife. The decision to proceed with the project is the sole responsibility of the Operator, and is not required by this agreement. It is further agreed all liability and/or incurred cost related to or arising out of the Operator's project and the fish and wildlife protective conditions of this agreement, remain the sole responsibility of the Operator. The Operator agrees to hold harmless the State of California and the Department of Fish and Game against any related claim made by any party or parties for personal injury or any other damages. The Department reserves the right to enter the project site at any time to ensure compliance with terms/conditions of this Agreement. Project Location The project is located in and around the Lake Calavera Reservoir, approximately 900 to 1 200 feet south of the intersection of Tamarack Avenue and Knollwood Drive in the City of Carslbad, San Diego County. STREAMBED ALTERATION AGREEMENT #1600-2004-0101-R5 Page 4 of 7 Project Description The Operator proposes to alter the streambed of Lake Calavera Reservoir, tributary to Calavera Creek, tributary to Agua Hedionda Creek, to accommodate the Lake Calavera Reservoir Remedial Improvements Project, The Lake Calavera Dam outlet works are currently inoperable and the proposed project consists of the repair of the intake and outlet works, spillway and access road, and construction of a new dam operations control building. Repairs to the outlet pipe will be accomplished through placing a watertight temporary structure around the pipe and the utilization of an inflatable gasket inside to act as a work platform. The old tower will then be removed and replaced with a new outlet pipe laid back to the dam face. The project impacts 0.47 acre of streambed. CONDITIONS The following provisions constitute the limit of activities agreed to and resolved by this Agreement. The signing of this Agreement does not imply that the Operator is precluded from doing other activities at the site. However, activities not specifically agreed to and resolved by this Agreement shall be subject to separate notification pursuant to Fish and Game Code Sections 1600 et. seq. General: 1. The agreed work includes activities associated with the Project Location and Project Description described above. Specific work areas and mitigation measures are described on/in the plans and documents submitted by the Operator, and shall be implemented as proposed unless directed differently by this Agreement. 2. The Operator shall provide a copy of the Agreement to all contractors, subcontractors, and the Operator's project supervisors. Copies of the Agreement shall be readily available at work sites at all times during periods of active work and must be presented to any Department personnel, or personnel from another agency upon demand. 3. The Operator shall notify the Department, in writing, at least five (5) days prior to initiation of construction (project) activities and at least five (5) days prior to completion of construction (project) activities. Notification shall be sent to the Department at the above address, Attn: Tamara Spear, SAA#1600-2004-0101-R5. 4. In the event that the project scope, nature, or environmental impact is altered by the imposition of subsequent permit conditions by an local, state or federal regulatory authority, the Operator shall notify the Department of any imposed project modifications that interfere with compliance with Department conditions. Impacts 5. The Operator shall not impact more than 0.47 acre of streambed. Of these impacts, 0.40 are permanent, comprised of 0.40 acre of unvegetated streambed and 0.07 acre are temporary, comprised of 0.06 acre freshwater marsh and 0.01 acre unvegetated streambed. Mitigation 6. Permanent Impacts to 0.40 acre of unvegetated streambed shall be mitigated at a 2:1 ratio and temporary impacts to 0.06 acre of freshwater marsh and 0.01 acre of unvegetated streambed shall be mitigated at a 1:1 ratio for a mitigation acreage requirement of 0.87 acres. Of this acreage, 0.47 acre shall be creation and the remaining 0.40 acre may be enhancement. STREAMBED ALTERATION AGREEMENT #1600-2004-0101-R5 Pa9e 5 of 7 Temporary impacts to 0.07 acre of streambed shall be mitigated by restoring the streambed to preconstruction contours and revegetating with appropriate native wetland vegetation. The Operator shall submit a plant paiette to the Department for approval prior to initiating restoration activities. All mitigation shall occur in the near lake vicinity of the project as described in the "Habitat Revegetation, Maintenance and Monitoring Program, Calavera Dam Remedial Improvements Project/'dated July 18, 2006, prepared by Planning Systems. 7. All mitigation shall be installed by the end of the first April following project initiation. Any delay in the installation of mitigation will require an amendment to this Agreement and may result in the application of higher mitigation ratios than currently required by this Agreement to offset the additional temporal loss of habitat function. 8. The Operator shall mitigate at a minimum 5:1 ratio for impacts beyond those authorized in this Agreement. In the event that additional mitigation is required, the type of mitigation shall be determined by the Department and may include creation, restoration, enhancement and/or preservation. 9. The Final Revegetation/Mitigation plan shall be designed to identify and meet the objectives of the successful establishment and long-term survival of wetland habitat. Department approval of the Final Revegetation/Mitigation plan is required prior to project initiation/impacts. 10. The Operator shall conduct protocol pond turtle surveys prior to construction and supply documentation of the surveys to the Department. If pond turtles are found on site, the Operator shall cease activities and notify the Department within 24 hours and seek further recommendation. Vegetation. Revegetation and Restoration 11. All planting shall have a minimum of 100% survival the first year and 80% survival thereafter and/or shall attain 75% cover of native target species after 3 years and 90% cover of native target species after 5 years for the life of the project. Replacement plants shall be monitored with the same survival and growth requirements for 5 years after planting. Nonnative species shall comprise less than 5% of the cover after 5 years. Invasive species shall comprise 0% of the cover at the end of the 5-year monitoring period. If the survival and cover requirements have not been met, the Operator is responsible for replacement planting to achieve these requirements. Replacement plants shall be monitored with the same survival and growth requirements for 5 years after planting. Irrigation shall be stopped two years prior to achieving the success criteria. 12. All planting should be done between October 1 and April 30 to take advantage of the winter rainy season. 13. The Operator shall submit a report to the Department within 45 days of completion of site preparation and planting, acknowledging the completion of the installation phase and documenting the as-built status of Hie mitigation project. The report shall include a plan or map diagram showing the mitigation area and the final as-built location of plantings, irrigation and other installations. Photographs from representative vantage points shall also be included to document the final site conditions. 14. An annual report shall be submitted to the Department by January 1 of each year for 5 years after planting. This report shall include the survival, percentage of cover, and height STREAMBED ALTERATION AGREEMENT #1600-2004-0101-R5 Page 6 of 7 of both tree and shrub species. The number by species of plants replaced, an overview of the revegetation effort, and the method used to assess these parameters shall also be included. Photos from designated photo stations shall be included. 15. The Operator shall not be released form these maintenance and monitoring obligations until such time as the Operator has requested and received written concurrence from the Department that the success criteria have been met. Work Period and Time Limits 16. The Operator shall not conduct project activity within the stream from February 15 to September 1 to avoid impacts to nesting birds. However, the Operator may remove vegetation during this time if a qualified biologist conducts a survey for nesting birds in all areas within 300 feet of the proposed activity, within 48 hours prior to the vegetation removal and ensures no nesting birds shall be impacted by the project. The results of the survey shall be provided in a written report to the Department. If nesting birds are present, no work shall occur until the sensitivity of the bird species has been identified and appropriate buffer zones have been determined by the Department. Habitat Protection 17. The Operator shall have a qualified biologist on site as needed for the purpose of monitoring and enforcing conditions of this Agreement. 18. Preparation shall be made so that runoff from steep, erodible surfaces wil! be diverted into stable areas with little erosion potential. Frequent water checks shall be placed on dirt roads, cat tracks, or other work trails to control erosion. 19. The perimeter of the work site shall be adequately flagged to prevent damage to adjacent riparian habitat. Structures 20. This Agreement does not authorize the construction of any temporary or permanent dam, structure, flow restriction or fill except as described in the Project Description. Equipment and Access 21. No equipment shall be operated in ponded or flowing areas except as described in the Project Description. 22. Staging/storage areas for equipment and materials shall be located outside of the stream. 23. Access to the work site shall be via existing roads and access ramps or as described in the project description. 24. Any equipment or vehicles driven and/or operated within or adjacent to the stream shall be checked and maintained daily, to prevent leaks of materials that if introduced to water could be deleterious to aquatic life. 25. The clean-up of all spills shall begin immediately. The Department shall be notified immediately by the Operator of any spills and shall be consulted regarding clean-up procedures. Page 7 of 7 Turbidlty/Siltation 26. Water containing mud, silt or other pollutants from aggregate washing or other activities shall not be allowed to enter a lake or flowing stream or placed in locations that may be subjected to high storm flows. Pollution, Litter and Cleanup 27. The Operator shall comply with all litter and pollution laws. All contractors, subcontractors and employees shall also obey these laws and it shall be the responsibility of the operator to ensure compliance. 28. Spoil sites shall not be located within a stream, where spoii could be washed back into a stream, or where it could cover aquatic or riparian vegetation. 29. Raw cement/concrete or washings thereof, asphalt, paint or other coating material, oil or other petroleum products, or any other substances which could be hazardous to aquatic life, resulting from project related activities, shall be prevented from contaminating the soil and/or entering the waters of the state. These materials, placed within or where they may enter a stream/lake, by Operator or any party working under contract, or with the permission of the Operator, shall be removed immediately. 30 No debris, soil, silt, sand, bark, slash, sawdust, rubbish, cement or concrete or washings thereof, oil or petroleum products or other organic or earthen material from any construction, or associated activity of whatever nature shall be allowed to enter into or placed where it may be washed by rainfall or runoff into, waters of the State. When operations are completed, any excess materials or debris shall be removed from the work area. No rubbish shall be deposited within 150 feet of the high water mark of any stream or lake. 31. No equipment maintenance shall be done within or near any stream channel where petroleum products or other pollutants from the equipment may enter these areas under any flow. CONCURRENCE City of Carlsbad California Department of Fish and Game (signature) (date) (signature) (date) Christopher Muehlbacher, P.E. Mr. Michael J. Mulligan Deputy Regional Manager Prepared by: Tamara A Spear, Environmental Scientist APPENDIX C Department of the Army Nationwide Permit Authorization (No. 200400983-KJC) DEPARTMENT OF THE ARMY LOS ANGELES DISTRICT, CORPS OF ENGINEERS SAN DIEGO FIELD OFFICE RECEIVED "**% 16885 WEST BERNARDO DRIVE, SUITE 300A SAN DIEGO, CALIFORNIA 92127 REPLY TO ATTENTION OF: 1 o ENGINEERING DEPARTMENT November 6, 2006 Office of the Chief Regulatory Branch DEPARTMENT OF THE ARMY NATIONWIDE PERMIT AUTHORIZATION Carlsbad Municipal Water District Attention: Christopher Muehlbacher 163 5 Faraday Avenue Carlsbad, California 92008-7314 Dear Mr. Muehlbacher: This is in reply to your letter (No. 200400983-KJC) dated April 11, 2006, concerning our permit authority under Section 404 of the Clean Water Act of 1972 (33 U.S.C. 1344) over your proposal to perform repair work to the Lake Calavera Dam located in the northeastern corner of the City of Carlsbad, San Diego County, California. The Lake Calavera Dam Improvement Project will impact 0.47 acre of U.S. Army Corps of Engineers (Corps) jurisdictional waters of the U.S., including 0.06 acre of wetlands, for repairs to many components of the existing dam structure. The improvements will consist of repairs to the intake/outlet structure, the outlet pipe, the spillway apron and channel, and to the existing dirt access road, see Figure 2. The intake/outlet pipeline repairs will include the demolition of the upper 26-foot portion of the existing tower, and construction of a new laid-back outlet pipe along the upstream face of the dam equipped with intake points and fish screens. The tower removal and laid-back pipe replacement construction method will consist of the placement of an inflatable gasket and a water-tight temporary structure around the upper section of the existing tower and pumping out the water between this tower and the temporary structure, see Figure 5. A portion of the existing rock blanket, located on the upstream face of the dam, and consisting of rocks that are 1 to 2 feet in diameter, will be temporarily removed and replaced by a truck mounted crane to allow for the installation of the new laid-back outlet pipe, see Figure 4. An area 4 feet in width and 80 feet in length of the rock blanket will be temporarily stockpiled at the end of the dam crest road during the placement of the pre-cast laid-back outlet pipe, which will be secured in place through three saddle pipe supports placed on the dam. The existing 28-inch steel outlet pipe fixed to the bottom of the existing outlet tower and the 30- inch concrete pipe located through he bottom of the dam also require remediation. To repair these existing outlet pipes, the 28-inch steel pipe will be removed and the entire reach of pipeline will be repaired using a 28-inch diameter, high density polyethylene slip liner. These improvements will necessitate the cutting of a temporary trail from the downstream end of the spillway to the outlet box. The repairs to the dam spillway apron and channel involve demolition and restoration of the -2- existing gunite surface on the spillway apron, and clearing, grading, and restoration of the spillway channel surface. The repairs will involve removal of approximately 7,500 square feet (sq. ft.) of existing gunite spillway apron and channel wall, and replacement with reinforced gunite and concrete lining on the upper half, and Armorloc, an articulated concrete block revetment system of interlocking keys with open cells in which grasses and small shrubs may colonize, on the lower portion. An existing dirt access road will be upgraded to an asphalt-concrete pavement on crushed aggregate base and extended to allow access over the restored spillway apron between the control building, to be constructed adjacent to the dam on the north side, and across the crest of the dam. The general Carlsbad Municipal Water District operations program for the reservoir upon completion for the remedial improvements is to maintain an annual median water surface elevation of approximately 208 ft. above mean sea level (amsl), which is the level of the existing, open inoperable outflow control valve on the outlet tower. Currently the reservoir drops significantly in the summer months, but once the intake/outlet structure is repaired the operations management will maintain the level of the reservoir at around 208 ft. amsl, with an operation range between 194 ft and 214 ft. The extreme high water level will remain at 220 ft., the elevation of the spillway. The Corps of Engineers has determined your proposed activity complies with the terms and conditions of Nationwide Permit (NWP) 3 andNWP 33 [Federal Register, January 15, 2002, pp. 2020- 2095]. Furthermore, you must comply with the following non-discretionary Special Conditions: Special Conditions: 1. The Permittee shall mitigate for permanent impacts to 0.40 acre of waters of the U. S., through the creation and enhancement of 0.87 acre of waters of the U.S. as described in the Habitat Mitigation and Monitoring Plan (HMMP): "Draft 4 Habitat Revegetation, Maintenance & Monitoring Program Calavera Dam Remedial Improvements Project Carlsbad, California" (dated July 18, 2006, and prepared by Planning Systems). An updated version of this mitigation plan, with revisions to the coastal sage scrub mitigation as requested by the U.S. Fish and Wildlife Service (FWS), shall be provided to the Corps within 30 days of the date of this verification letter. The Permittee shall begin implementation of this HMMP within 60 days of initiation of work in waters of the U.S. The Permittee's responsibility to complete the required compensatory mitigation as set forth in this Special Condition will not be considered fulfilled until the Permittee has demonstrated mitigation success and has received written verification from the Corps. The temporary impacted areas at the project site, consisting of 0.06 acre of freshwater marsh and 0.01 acre of non-wetland waters of the U.S., shall be returned to the pre-project grade and vegetation type. 2. The Permittee shall submit to the Corps final wetland mitigation construction plans, specifications and drawings (including typical cross section of the proposed mitigation area(s)) based on the Corps approved final wetland mitigation plan for review and approval at least 2 weeks prior to implementing the compensatory wetland mitigation required by this NWP. The Permittee shall not implement the compensatory mitigation required until receiving Corps approval of these plans and drawings. The final plans and specifications shall also include: A) All final specifications and topography based layout grading, planting, and irrigation as well as current conditions separate from the final specifications. B) A provision that all wetland creation area shall be graded to the same elevation as the adjacent existing wetlands and/or within one foot of the groundwater table, and shall be left in a rough grade state with topographic relief (including channels) that mimic natural wetland topography. If different elevations are proposed, then a rationale for these elevations must be provided to the Corps for review and approval; C) All planting shall be installed in a manner that mimics natural plant distribution (e.g., random and/or aggregate distributions rather than uniform rows). Plantings shall generally be placed within the mitigation areas along hydrologic gradients that make sense in relation to each plant's facultative category (e.g., obligate, facultative, etc.). D) By the first anniversary of the initial planting, all dead plants shall be replaced unless their function has been replaced by natural recruitment as verified by the Corps. E) A final implementation schedule that indicates when all wetland/water impacts, as well as mitigation site grading, planting, and irrigation shall begin and end. F) Five years of explicit, measurable, and Corps approved success criteria based on the purpose of the compensatory mitigation, design of the site and functional assessment criteria shall be used to evaluate the mitigation site in the yearly monitoring reports. Yearly monitoring reports shall include comparison of the mitigation area against the success criteria both when the mitigation is implemented and yearly after construction. The comparison shall specifically relate to species composition and plant diversity. Success shall not be based on a comparison with other wetlands areas on the property. No invasive species may present. G) Upon completion of the monitoring period, the area must be Corps jurisdictional. 3. The Permittee shall not install planting and irrigation until the Corps has approved the mitigation site grading. The Permittee shall contact the Corps for verification of proper grading of the mitigation site at least 2 weeks prior to the planned date of initiating planting. 4. If changes are made to the mitigation design during its implementation, the Permittee shall immediately notify the Corps. If changes are determined to be greater than minimal by the Corps, the Permittee shall coordinate with the Corps and obtain Corps approval prior to taking any remedial on the ground action or making any change to the Corps approved final mitigation plan. If changes are determined to be greater than minimal by the Corps, as-built drawings (including representative cross section of the mitigation area(s)) of the mitigation grading, planting and irrigation shall be submitted to the Corps within 30 days of implementing the redesigned mitigation. 5. The Permittee shall restore any mitigation areas damaged by natural storm flows, vandalism, neglect, etc. Any subsequent replanting shall follow the initial planting procedures outlined in the Corps approved final mitigation plan. 6. The Permittee shall submit annual mitigation monitoring reports to the Corps within 60 days of the anniversary of mitigation implementation until directed otherwise by the Corps. The report shall document results of the monitoring program, any potential problem areas within the proposed mitigation areas, and all maintenance and/or remedial activities such as necessary additional plantings including time of installation and watering schedule, etc.o -4- 7. Management of conserved areas shall be performed by a management entity that shall be approved by the Corps. 8. The Permittee shall record a Conservation Easement (CE in a form approved by the Corps, which shall run with the land, obligating the Permittee, its successors and assigns to protect and maintain the 0.87-acre mitigation area (as shown in attached Figure 6) as natural open space in perpetuity. The CE must include a 3rd party easement holder qualified to hold easements pursuant to California Civil Code 815.3. The Permittee must provide monies in the form of an endowment (endowment amount to be determined by Property Analysis Record or similar methodology) for the purposes of fulfilling the 3rd party easement holder's responsibilities under the CE. The CE shall preclude establishment of fuel modification zones, paved public trails, drainage facilities, walls, maintenance access roads and/or future easements, except as provided in the Project Description. Further, to the extent practicable, any such facilities outside the CE shall be sited to minimize indirect impacts on the avoided, created, restored and enhanced wetland and non-wetland waters of the U.S. Prior to its execution and within 60 days of issuance of this permit, the Permittee shall submit a draft CE to the Corps for review. The Permittee shall receive written approval (by letter or e-mail) from the Corps of this CE prior to it being executed and recorded. The CE shall be executed and recorded and a recorded copy furnished to the Corps no later than 6 months of the date of this permit. 9. The Permittee shall post financial assurance ("financial assurance") in a form approved by the Corps for the estimated cost of implementing the approved HMMP (including a 20% contingency to be added to the total costs) no later than 30 days after the initiation of construction in waters of the U.S. The purpose of this financial assurance is to guarantee the successful implementation, maintenance and monitoring of the wetland and non-wetland waters creation and restoration. Our preferred form of financial assurance is a Performance Bond, in which case, you shall post a Performance Bond for 120% of the anticipated cost of the mitigation and monitoring associated with the project, as indicated above. In addition, A) The bonding company must appear on the Department of Treasury Circular 570, Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and Acceptable Reinsuring Companies. For a current list of Treasury-authorized companies, write or call the Surety Bond Branch, Financial Management Services, Department of the Treasury, Washington DC 20227; (202) 874-6850 or at the following website: http://www.fms.treas.gov/c570/c570.html. B) The performance bond shall be released only upon a determination by the Corps that successful mitigation has been completed. C) Alternatively, the Corps will accept an irrevocable letter of credit in the same amount in lieu of a Performance Bond. The terms of the irrevocable letter of credit are subject to Corps approval. 10. The Permittee shall clearly mark the limits of the workspace with flagging or similar means to ensure mechanized equipment does not enter preserved waters of the U.S. and riparian wetland/habitat areas shown on Figure 2. Adverse impacts to waters of the U.S. beyond the Corps-approved construction footprint are not authorized. Such impacts could result in permit suspension and revocation, administrative, civil or criminal penalties, and/or substantial, additional, compensatory mitigation requirements 3 11. The Permittee shall provide written notification to the U.S. Army Corps of Engineers San Diego Field Office (Corps), FWS, and the Regional Water Quality Control Board (RWQCB) prior to commencement of the activity authorized herein and the date of completion of operations at least five days prior to such completion. The notification shall include the following: A) Corps File Number (200400983-KJC); B) Name of company performing work and onsite point of contact; C) Size and type of equipment that shall be performing the work and; D) Schedule for beginning and ending the project 12. Prior to the onset of the authorized activity, the Permittee shall implement a contractor education program to ensure that all onsite personnel are informed of the biologically sensitive resources associated with the project site and compliance with all the terms and conditions herein. The Permittee shall provide all supervisory onsite personnel a copy of this permit, and require all supervisory onsite personnel read, understand and agree to this authorization in its entirety prior to initiation of the authorized activity. 13. The Permittee shall post a copy of this permit onsite including all general and special conditions herein at all times during the authorized activity. 14. The Permittee shall allow Corps representatives to inspect the authorized activity at any time deemed necessary to ensure compliance with all of the general and special conditions herein. 15. No debris, soil, silt, sand, sawdust, rubbish, cement or concrete washings thereof, oil or petroleum products, from construction shall be allowed to enter into or placed where it may be washed by rainfall or runoff into waters of the United States. Therefore, the Permittee shall employ all standard Best Management Practices to ensure that toxic materials, silt, debris, or excessive erosion do not enter waters of the United States during project construction. Upon completion of Lake Calavera Dam improvements, any excess material or debris shall be removed from the work area and disposed of in an appropriate upland site. 16. The Permittee shall discharge only clean construction materials suitable for use in the aquatic environment. 17. The Permittee shall ensure that water quality is maintained by incorporating the terms and conditions of the Section 401 Water Quality Certification File No. 04C-077, issued by the RWQCB on May 15, 2006 and amended August 11, 2006. The terms and conditions of this Section 401 Water Quality Certification shall become conditions of this permit. 18. Within 45 calendar days of completion of authorized work in waters of the U.S., the Permittee shall submit to the Corps a post-project implementation memo indicating the date authorized impacts to waters of the U.S. ceased. 19. Within 45 calendar days of complete installation of all mitigation, the Permittee shall submit to the Corps two copies of a memo indicating the following: A) Date(s) all mitigation was installed and monitoring was initiated; B) Schedule for future mitigation monitoring, implementation and reporting pursuant to final, -6- Corps-approved HMMP; C) Summary of compliance status with each special condition of this permit (including any noncompliance previously occurred or currently occurring and corrective actions taken to achieve compliance); D) Color photographs taken at the project site before and after construction for those aspects directly associated with impacts to waters of the U.S.; and E) One copy of "as built" drawings for the entire project, including all mitigation sites. The drawings shall be submitted on paper that is no larger than 11x17 inches. 20. The Permittee shall conduct a minimum of five years of maintenance and monitoring of wetland mitigation areas. If success criteria are met earlier and all artificial water supplies to the site have stopped for a minimum of two years, the site may be considered, at the Corps' discretion, for early approval. In addition to the success criteria outlined in the final mitigation and monitoring plan, evidence of wetland hydrology and natural recruitment of native wetland vegetation must be present throughout the mitigation site in order to obtain final Corps approval of the mitigation areas. Also, all irrigation equipment shall be removed from the mitigation site prior to Corps approval. As indicated in the approved mitigation plan, wetland delineations shall be conducted in accordance with the 1987 Corps Wetland Delineation Manual prior to sign off. Annual mitigation maintenance and monitoring reports shall be submitted to the Corps within 60 days of the anniversary of mitigation implementation. 21. The Permittee shall request a site inspection and compliance check by the Corps at the end of the five-year monitoring period. The Permittee shall schedule and arrange the final compliance and inspection meeting. At that time, all final contingency measures shall be implemented by the Permittee as directed by the Corps. The Corps must approve and provide written confirmation of the success of the mitigation before monitoring can be discontinued. In addition, once success of the mitigation site has been confirmed by the Corps, in writing, then the performance bond can be released. Endangered Species Act: 1. This Corps permit does not authorize you to take any threatened or endangered species, in particular the coastal California gnatcatcher (Polioptila californica californica) or adversely modify its designated critical habitat. In order to legally take a listed species, you must have separate authorization under the Endangered Species Act (ESA) (e.g. ESA section 10 permit, or a Biological Opinion (BO) under ESA section 7, with "incidental take" provisions with which you must comply). The FWS reviewed the City of Carlsbad's consistency determination for the Lake Calavera Dam Improvement Project and concurred with the City's determination that the project meets the standards of their Habitat Management Plan (HMP). In doing so, the project's impacts to fish and wildlife are covered under section 10 of the Endangered Species Act, and no further consultation between the Corps and the FWS is necessary. To minimize impacts to and avoid take of the federally endangered coastal California gnatcatcher, the Permittee shall implement the following minimization measures, which were included in the project design submitted as part of the permit application for the project: A) Clearing of coastal sage scrub within the project alignment shall be restricted to outside of the gnatcatcher breeding season (August 16 through February 28). B) Construction during the gnatcatcher breeding season shall be avoided OR construction noise levels shall be maintained below 60 dBA Leq at occupied nest locations. The maintenance of appropriate noise levels shall be confirmed through protocol gnatcatcher surveys to determine presence of all gnatcatcher within 500 feet of project construction and noise measurements at nest locations during peak construction activity by a qualified acoustician. 2. Prior to initiation of project construction, the Permittee shall notify the FWS in writing of the intended project initiation date and anticipated duration of the construction period. The notification shall include verification of compliance with special condition 1 above. Cultural Resources: 1. Pursuant to 36 C.F.R. section 800.13, in the event of any discoveries during construction of either human remains, archeological deposits, or any other type of historic property, the Permittee shall notify the Corps' Archeology Staff within 24 hours (Steve Dibble at 213-452-3849, Pam Maxwell at 213-452- 3877, or John Killeen at 213-452-3861). The Permittee shall immediately suspend all work in any area(s) where potential cultural resources are discovered. The Permittee shall not resume construction in the area surrounding the potential cultural resources until the Corps re-authorizes project construction, per 36 C.F.R. section 800.13. This letter of verification is valid through March 19, 2007. All nationwide permits expire on March 19, 2007. If you either contract the work or begin construction on or before March 1 9, 2007 you will have an additional 1 2 months to complete the activity under the attached nationwide permit terms and conditions. If the work is not under construction or contract by March 19, 2007 the work will be subject to regulations in effect at the time when you re-apply for a permit. It is incumbent upon you to remain informed of changes to the nationwide permits. If the Corps of Engineers modifies, reissues, or revokes any nationwide permit at an earlier date, we will issue a public notice announcing the changes. A nationwide permit does not grant any property rights or exclusive privileges. Also, it does not authorize any injury to the property or rights of others or authorize interference with any existing or proposed Federal project. Furthermore, it does not obviate the need to obtain other Federal, state, or local authorizations required by law. Thank you for participating in our regulatory program. If you have any questions, please contact Kari J. Coler of my staff at (858) 674-6783. Sincerely, .Innette M. Baker :nior Project Manager South Coast Section Regulatory Branch -8- Enclosure Copies Furnished: Planning Systems Attn: PaulKlukas 1530 Faraday Avenue, Suite 100 Carlsbad, CA 92008 U.S. Fish & Wildlife Service Attn: Marci Koski 6010 Hidden Valley Road Carlsbad, CA 92009 CA Department of Fish & Game Attn: Tamara Spear 4949 Viewridge Avenue San Diego, CA 92123 CA Regional Water Quality Control Board Attn: Christopher Means 9174 Sky Park Court Suite #100 San Diego, CA 92123 LOS ANGELES DISTRICT U.S. ARMY CORPS OF ENGINEERS CERTIFICATION OF COMPLIANCE WITH DEPARTMENT OF THE ARMY NATIONWIDE PERMIT Permit Number: 200400983-KJC Name of Permittee: Carlsbad Municipal Water District Date of Issuance: November 6, 2006 Upon completion of the activity authorized by this permit and any mitigation required by the permit, sign this certification and return it to the following address: U.S Army Corps of Engineers Regulatory Branch ATTN: CESPL-CO-R-200400983-KJC 16885 West Bernardo Drive San Diego, California 92127 Please note that your permitted activity is subject to a compliance inspection by an Army Corps of Engineers representative. If you fail to comply with this nationwide permit you may be subject to permit suspension, modification, or revocation procedures as contained in 33 CFR 330.5 or enforcement procedures such as those contained in 33 CFR 326.4 and 326.5. I hereby certify that the work authorized by the above referenced permit has been completed in accordance with the terms and conditions of the said permit, and required mitigation was completed in accordance with the permit condition(s). Signature of Permittee Date M&A. #01-068-07 /-;:>::>•:••.;••.•-^i^^^f^^ji^p^l^^gr?^^i^^f!te^^\jv-v-i • *ji -"I <*^ !* ttv. r-'»- f~T^4:.;'^^^.£-:&'--: .V"1 '^^U- ^r'?H|;^|</ r^.ls^^^-^'57^ v.^'%*^; i? •• /^j:>ry.-':-.ti/x.'••;-*.v^\r ufe^k"'-^ r-T^'£Vv*a^-1 .-'r,-'. --Aa:.^:-i ^4^-^ ••'''-"• >*" Pffl Lake Calavera Dam Improvements Study Area OKI Lake Calavera Study Area (M&A 2002, Revised 2003) \^ \ Lake Calavera Trails Study Area (M&A 2005, Revised = 2ooo- Project Vicinity Map Lake Calavera Dam improvements Project Source: USGS 7.5' San Luis Rey, CA Quadrangle Figure 1 Merkel & Associates, Inc— Vegefaiton Commurefies .Open Water CossiaS and VaXey Freshwater Mars* Mute Fat Ssrt* Southern Wi'iow Scrots Csast Uvs Oak Wraxfeid Biegain Coasiaf Sags Sen* Diegan Coasa Sage Scrab'Ravsg Coyste Brush SovO Serssifee Specie • Califranis a II Coastal CaS'o-nu ( E, CDFS [TO CDFG Oniy Pnojec Permanent imp emporary irnpsst Disturbed Habitat Nan-nstive Vegetation an Lake Cafavera Dam Improvements Proieci LAKECALAVERA RESERVOIR EXISTING 30" OUTLET EXISTING OUTLET BOX CITY OF CARLSBAD LAKE CALAVERA RESERVOIR REMEDIAL IMPROVEMENTS SITE PLAN Calavera ReservoirROCK BLANKET REMOVAL AREA TO BE REPLACED IN SAME LOCATION AFTER INSTALLATION OF LAID-BACK INTAKE STRUCTURE TEMPORARY ROCK BLANKET STOCKPILE Legend 1 Army Corps Jurisdiction Rock blanket material to be removed and replaced by truck-mounted crane. 0' 25' 50'100'200' Calavera Dam Temporary Rock Blanket Removal and Replacement Carlsbad, California Scale: 1" = 100'o M 1st STAGE TOP SUPPORT - BRACKET FOR COFFERDAM INSTALLATION & DEWATERING (4 EA. AT 90' SPACING) MAX. OPERATING POOL EL 214.00 EXISTING 7'0 OUTLET TOWER NOTE: ALL MEMBER SIZES ARE PRELIMENARY. DEMOLITION LINE- EL. rg.7,00 <£. NEW 24"0 - INTAKE LINE A H H I +— H / Si —, £ EL 223.00 ! • V ' "- •* j 1 *' . V- : '•!• j •_.*•; '£. jl .•».** -*r' -T*•'•'*•' *:.'' '••/**• -., V 8 , r #=tL •'• '**'. :' .1 1 Vr-1- '. <' \ -,: '•4^'' l/* f h M h ^-IN IN (G ~16'«l LIFT-IN COFFERDAM -x_EL 216.00 \ VL6x^ /-WT 8x33.5 / RING1 STFFENER RIBS /-&" PL ;SKIN / -2nd STAGE BOTTOM SUPPORT BRACKET FOR DEMOLITION & MODIFICATION (4 EA. AT 90' SPACING) T0; BE INSTALLED BEFORE REMOVING EL. 188.00 FLATABLE SEAL CHANNEL HDUSING 1 2x30) ?S£r REMEDIATION OF EXISTING TOWER USING LIFT-IN COFFERDAM FIG. 4 SCALE: 1"- 5'-0" Plot 5- (O.OB ac.) EL 226 - 230 ft. iH (. PROPOSED HBVEOETATION slops- restored w/ Non-native grassland EXISTING HABITAT TYPES ^*3*s 5? * •» ^'^ ^'"•S* > **%• ? * ff ,. •* ^»l. ! a?f ^ %*'> i *<• ; i Cis-montans Alkali Dicgaii Coastal Sage Surub Disturbed Lmd Non-native Vegetation (Exotic) ^ Coastal aad Valley Freahftatw Maiah '*• ''•*""•'' Southern Mixed Chajsanai MtdeFatSowb [Z2ZZJ Non-aativs Grassland Coast Live Oak Riparian ruiesst Opeo Water 3 Southern Willow Saub Urbaa'Developed THIS PLAN BST1MA1ES PLOT LOCATJONS AND SIZES FOR REVBGETAT1ON. — OF WETLANDS AND UPLANDS AS REQUIRED OF THE LAKE CALAVERA HHiSBDIAL IMPRO%'SdEITS PHOJECT. TUB AS4U1LT HOT LOCA'dONS, SEES AJ» COhSHQlTRATlONS WiU. BB MAFFEU AND plSrajB!T.!SD TO RESOURCES AGENCIES 1H 1HE TOST-IKSTALLLAHON Wa-ORT, A. FIELD SURVEYED ON AUGUST 20, 2004, AND AGAIN OH FEBRUARY 20, 2006 FOR RHVEGETATIOH OPJ'ORTUNmES. B. LAKE CALAVERA BIOLOGICAL RESOURCES MAP1, MHRKEL A ASSOC2ATBB, MAY 1, 2003, I p%a»Etj NORTH SCALE:-1'-» 200' NNG Restoration for Cut-slope Bosioa Control Wstlaud BnbaaKaxieot CSS Restoration for temp, impacts Marsh Rastoiatiou for tanp. impacts acts npacts Plot 1 0.09 0.04 . . __ 2 0.17 0.05 __. ___ __. 3 0.08 0.04 „ — 4 0.05 0.03 — . 5 0.03 0.04 o 0.40 7 — . — , 0.17 B . . — : 0.01 acrog 0.47 0.20 0.40 0.17 0.01 Revegetation Plan Lake Calavera Remedial improvements Project Carlsbad, California CL C 0 D FIB NATIONWIDE PERMIT NUMBER NVV03 andNW33 TERMS AND CONDITIONS 1. Nationwide Permit NW03 andNW33 Terms: Your activity is authorized under Nationwide Permit Number NW03 andNW33 subject to the following terms: Nationwide Permit Number 3:.Maintenance. Activities related to: (i) The repair, rehabilitation, or replacement of any previously authorized, currently serviceable, structure, or fill, or of any currently serviceable structure or fill authorized by 33 CFR 330.3, provided that the structure or fill is not to be put to uses differing from those uses specified or contemplated for it in the original permit or the most recently authorized modification. Minor deviations in the structure's configuration or filled area including those due to changes in materials, construction techniques, or current construction codes or safety standards which are necessary to make repair, rehabilitation, or replacement are permitted, provided the adverse environmental effects resulting from such repair, rehabilitation, or replacement are minimal. Currently serviceable means useable as is or with some maintenance, but not so degraded as to essentially require reconstruction. This NWP authorizes the repair, rehabilitation, or replacement of those structures or fills destroyed or damaged by storms, floods, fire or other discrete events, provided the repair, rehabilitation, or replacement is commenced, or is under contract to commence, within two years of the date of their destruction or damage. In cases of catastrophic events, such as hurricanes or tornadoes, this two-year limit may be waived by the District Engineer, provided the permittee can demonstrate funding, contract, or other similar delays. (ii) Discharges of dredged or fill material, including excavation, into all waters of the US to remove accumulated sediments and debris in the vicinity of, and within, existing structures (e.g., bridges, culverted road crossings, water intake structures, etc.) and the placement of new or additional riprap to protect the structure, provided the permittee notifies the District Engineer in accordance with General Condition 13. The removal of sediment is limited to the minimum necessary to restore the waterway in the immediate vicinity of the structure to the approximate dimensions that existed when the structure was built, but cannot extend further than 200 feet in any direction from the structure. The placement of rip rap must be the minimum necessary to protect the structure or to ensure the safety of the structure. All excavated materials must be deposited and retained in an upland area unless otherwise specifically approved by the District Engineer under separate authorization. Any bank stabilization measures not directly associated with the structure will require a separate authorization from the District Engineer. (iii) Discharges of dredged or fill material, including excavation, into all waters of the US for activities associated with the restoration of upland areas damaged by a storm, flood, or other discrete event, including the construction, placement, or installation of upland protection structures and minor dredging to remove obstructions in a water of the US. (Uplands lost as a result of a storm, flood, or other discrete event can be replaced without a Section 404 permit provided the uplands are restored to their original pre-event location. This NWP is for the activities in waters of the US associated with the replacement of the uplands.) The permittee must notify the District Engineer, in accordance with General Condition 13, within 12-months of the date of the damage and the work must commence, or be under contract to commence, within two years of the date of the damage. The permittee should provide evidence, such as a recent topographic survey or photographs, to justify the extent of the proposed restoration. The restoration of the damaged areas cannot exceed the contours, or ordinary high water mark, that existed before the damage. The District Engineer retains the right to determine the extent of the pre-existing conditions and the extent of any restoration work authorized by this permit. Minor dredging to remove obstructions from the adjacent waterbody is limited to 50 cubic yards below the plane of the ordinary high water mark, and is limited to the amount necessary to restore the pre-existing bottom contours of the waterbody. The dredging may not be done primarily to obtain fill for any restoration activities. The discharge of dredged or fill material and all related work needed to restore the upland must be part of a single and complete project. This permit cannot be used in conjunction with NWP 18 or NWP 19 to restore damaged upland areas. This permit cannot be used to reclaim historic lands lost, over an extended period, to normal erosion processes. This permit does not authorize maintenance dredging for the primary purpose of navigation and beach restoration. This permit does not authorize new stream channelization or stream relocation projects. Any work authorized by this permit must not cause more than minimal degradation of water quality, more than minimal changes to the flow characteristics of the stream, or increase flooding (See General Conditions 9 and 21). (Sections 10 and 404) Note: This NWP authorizes the repair, rehabilitation, or replacement of any previously authorized structure or fill that does not qualify for the Section 404(f) exemption for maintenance. Nationwide Permit Number 33: Temporary Construction, Access and Dewatering. Temporary structures, work and discharges, including cofferdams, necessary for construction activities or access fills or dewatering of construction sites; provided that the associated primary activity is authorized by the Corps of Engineers or the USCG, or for other construction activities not subject to the Corps or USCG regulations. Appropriate measures must be taken to maintain near normal downstream flows and to minimize flooding. Fill must be of materials, and placed in a manner, that will not be eroded by expected high flows. The use of dredged material may be allowed if it is determined by. the District Engineer that it will not cause more than minimal adverse effects on aquatic resources. Temporary fill must >e entirely removed to upland areas, or dredged material returned to its original location, following completion of the construction activity, and the affected areas must be restored to the pre-project conditions. Cofferdams cannot be used to dewater wetlands or other aquatic areas to change their use. Structures left in place after cofferdams are removed require a Section 10 permit if located in navigable waters of the U.S. (See 33 CFR part 322). The permittee must notify the District Engineer in accordance with the "Notification" General Condition. The notification must also include a restoration plan of reasonable measures to avoid and minimize adverse effects to aquatic resources. The District Engineer will add special conditions, where necessary, to ensure environmental adverse effects is minimal. Such conditions may include: limiting the temporary work to the minimum necessary; requiring seasonal restrictions; modifying the restoration plan; and requiring alternative construction methods (e.g. construction mats in wetlands where practicable.). (Sections 10 and 404) 2. Nationwide Permit General Conditions: The following general conditions must be followed in order for any authorization by an NWP to be valid: 1. Navigation. No activity may cause more than a minimal adverse effect on navigation. 2. Proper Maintenance. Any structure or fill authorized shall be properly maintained, including maintenance to ensure public safety. 3. Soil Erosion and Sediment Controls. Appropriate soil erosion and sediment controls must be used and maintained in effective operating condition during construction, and all exposed soil and other fills, as well as any work below the ordinary high water mark or high tide line, must be permanently stabilized at the earliest practicable date. Permittees are encouraged to perform work within waters of the United States during periods of low-flow or no-flow. 4. Aquatic Life Movements. No activity may substantially disrupt the necessary life-cycle movements of those species of aquatic life indigenous to the waterbody, including those species that normally migrate through the area, unless the activity's primary purpose is to impound water. Culverts placed in streams must be installed to maintain low flow conditions. 5. Equipment. Heavy equipment working in wetlands must be placed on mats, or other measures must be taken to minimize soil disturbance. 6. Regional and Case-By-Case Conditions. The activity must comply with any regional conditions that may have been added by the Division Engineer (see 33 CFR 330.4(e)). Additionally, any case specific conditions added by the Corps or by the state or tribe in its Section 401 Water Quality Certification and Coastal Zone Management Act consistency determination. 7. Wild and Scenic Rivers. No activity may occur in a component of the National Wild and Scenic River System; or in a river officially designated by Congress as a "study river" for possible inclusion in the system, while the river is in an official study status; unless the appropriate Federal agency, with direct management responsibility for such river, has determined in writing that the proposed activity will not adversely affect the Wild and Scenic River designation, or study status. Information on Wild and Scenic Rivers may be obtained from the appropriate Federal land management agency in the area (e.g.. National Park Service, U.S. Forest Service, Bureau of Land Management, U.S. Fish and Wildlife Service). 8. Tribal Rights. No activity or its operation may impair reserved tribal rights, including, but not limited to, reserved water rights and treaty fishing and hunting rights. 9. Water Quality, (a) In certain states and tribal lands an individual 401 Water Quality Certification must be obtained or waived (See33CFR330.4(c)). (b) For NWPs 12,14,17,18,32, 39,40, 42, 43, and 44, where the state or tribal 401 certification (either generically or individually) does not require or approve water quality management measures, the permittee must provide water quality management measures that will ensure that the authorized work does not result in more than minimal degradation of water quality (or the Corps determines that compliance with state or local standards, where applicable, will ensure no more than minimal adverse effect on water quality). An important component of water quality management includes stormwater management that minimizes degradation of the downstream aquatic system, including water quality (refer to General Condition 21 for stormwater management requirements). Another important component of water quality management is the establishment and maintenance of vegetated buffers next to open waters, including streams (refer to General Condition 19 for vegetated buffer requirements for the NWPs). This condition is only applicable to projects that have the potential to affect water quality. While appropriate measures must be taken, in most cases it is not necessary to conduct detailed studies to identify such measures or to require monitoring. 10. Coastal Zone Management. In certain states, an individual state coastal zone management consistency concurrence must be obtained or waived (see Section 330.4(d)). 11. Endangered Species, (a) No activity is authorized under any NWP which is likely to jeopardize the continued existence of a threatened or endangered species or a species proposed for such designation, as identified under the Federal Endangered Species Act (ESA), or which will destroy or adversely modify the critical habitat of such species. Non-federal permittees shall notify the District Engineer if any listed species or designated critical habitat might be affected or is in the vicinity of the project, or is located in the designated critical habitat and shall not begin work on the activity until notified by the District Engineer that the requirements of the ESA have been satisfied and that the activity is authorized. For activities that may affect ^.mn_ Federally-listed endangered or threatened species or designated critical habitat, the notification must include the name(s) of the endangered or threatened species that may be affected by the proposed work or that utilize the designated critical habitat that may be affected by the proposed work. As a result of formal or informal consultation with the FWS or NMFS the District Engineer may add species-specific regional endangered species conditions to the NWPs. (b) Authorization of an activity by a NWP does not authorize the "take" of a threatened or endangered species as defined under the ESA. In the absence of separate authorization (e.g., an ESA Section 10 Permit, a Biological Opinion with "incidental take" provisions, etc.) from the USFWS or the NMFS, both lethal and non-lethal "takes" of protected species are in violation of the ESA. Information on the location of threatened and endangered species and their critical habitat can be obtained directly from the offices of the USFWS and NMFS or their world wide web pages at http://www.fws.gov/r9endspp/endspp.html and http://www.nfms.gov/prot_res/esahome.html respectively. 12. Historic Properties. No activity which may affect historic properties listed, or eligible for listing, in the National Register of Historic Places is authorized, until the District Engineer has complied with the provisions of 33 CFR Part 325, Appendix C. The prospective permittee must notify the District Engineer if the authorized activity may affect any historic properties listed, determined to be eligible, or which the prospective permittee has reason to believe may be eligible for listing on the National Register of Historic Places, and shall not begin the activity until notified by the District Engineer that the requirements of the National Historic Preservation Act have been satisfied and that the activity is authorized. Information on the location and existence of historic resources can be obtained from the State Historic Preservation Office and the National Register of Historic Places (see 33 CFR 330.4(g)). For activities that may affect historic properties listed in, or eligible for listing in, the National Register of Historic Places, the notification must state which historic property may be affected by the proposed work or include a vicinity map indicating the location of the historic property. 13. Notification. (a) Timing: where required by the terms of the NWP, the prospective permittee must notify the District Engineer with a preconstruction notification (PCN) as early as possible. The District Engineer must determine if the notification is complete within 30 days of the date of receipt and can request additional information necessary to make the PCN complete only once. However, if the prospective permittee does not provide all of the requested information, then the District Engineer will notify the prospective permittee that the notification is still incomplete and the PCN review process will not commence until all of the requested information has been received by the District Engineer. The prospective permittee shall not begin the activity: (1) Until notified in writing by the District Engineer that the activity may proceed under the NWP with any special conditions imposed by the District or Division Engineer; or (2) If notified in writing by the District or Division Engineer that an Individual Permit is required; or (3) Unless 45 days have passed from the District Engineer's receipt of the complete notification and the prospective permittee has not received written notice from the District or Division Engineer. Subsequently, the permittee's right to proceed under the NWP may be modified, suspended, or revoked only in accordance with the procedure set forth in 33 CFR 330.5(d)(2). (b) Contents of Notification: The notification must be in writing and include the following information: (1) Name, address and telephone numbers of the prospective permittee; (2) Location of the proposed project; (3) Brief description of the proposed project; the project's purpose; direct and indirect adverse environmental effects the project would cause; any other NWP(s), Regional General Permit(s), or Individual Permit(s) used or intended to be used to authorize any part of the proposed project or any related activity. Sketches should be provided when necessary to show that the activity complies with the terms of the NWP (Sketches usually clarify the project and when provided result in a quicker decision.); (4) For NWPs 7,12,14,18, 21, 34,38, 39, 41, 42, and 43, the PCN must also include a delineation of affected special aquatic sites, including wetlands, vegetated shallows (e.g., submerged aquatic vegetation, seagrass beds), and riffle and pool complexes (see paragraph 13(f)); (5) For NWP 7 (Outfall Structures and Maintenance), the PCN must include information regarding the original design capacities and configurations of those areas of the facility where maintenance dredging or excavation is proposed; (6) For NWP 14 (Linear Transportation Crossings), The PCN must include a compensatory mitigation proposal to offset permanent losses of waters of the US and a statement describing how temporary losses of waters of the US will be minimized to the maximum extent practicable; (7) For NWP 21 (Surface Coal Mining Activities), the PCN must include an Office of Surface Mining (OSM) or state- approved mitigation plan, if applicable. To be authorized by this NWP, the District Engineer must determine that the activity complies with the terms and conditions of the NWP and that the adverse environmental effects are minimal both individually and cumulatively and must notify the project sponsor of this determination in writing; (8) For NWP 27 (Stream and Wetland Restoration), the PCN must include documentation of the prior condition of : the site that will be reverted by the permittee; (9) For NWP 29 (Single-Family Housing), the PCN must also include: (i) Any past use of this NWP by the Individual Permittee and/or the permittee's spouse; '^'% (ii) A statement that the single-family housing activity is for a personal residence of the permittee; ^y (iii) A description of the entire parcel, including its size, and a delineation of wetlands. For the purpose of this NWP, parcels of land measuring '/4-acre or less will not require a formal on-stte delineation. However, the applicant shall provide an indication of where the wetlands are and the amount of wetlands that exists on the property. For parcels greater than Vi-acre in size, formal wetland delineation must be prepared in accordance with the current method required by the Corps. (See paragraph 13(f)); (iv) A written description of all land (including, if available, legal descriptions) owned by the prospective permittee and/or the prospective permittee's spouse, within a one mile radius of the parcel, in any form of ownership (including any land owned as a partner, corporation, joint tenant, co-tenant, or as a tenant-by-the-entirety) and any land on which a purchase and sale agreement or other contract for sale or purchase has been executed; (10) For NWP 31 (Maintenance of Existing Flood Control Projects), the prospective permittee must either notify the District Engineer with a PCN prior to each maintenance activity or submit a five year (or less) maintenance plan. In addition, the PCN must include all of the following: (i) Sufficient baseline information identifying the approved channel depths and configurations and existing facilities. Minor deviations are authorized, provided the approved flood control protection or drainage is not increased; (ii) A delineation of any affected special aquatic sites, including wetlands; and, (iii) Location of the dredged material disposal site; (11) For NWP 33 (Temporary Construction, Access, and Dewatering), the PCN must also include a restoration plan of reasonable measures to avoid and minimize adverse effects to aquatic resources; (12) For NWPs 39, 43 and 44, the PCN must also include a written statement to the District Engineer explaining how avoidance and minimization for losses of waters of the US were achieved on the project site; (13) For NWP 39 and NWP 42, the PCN must include a compensatory mitigation proposal to offset losses of waters of the US or justification explaining why compensatory mitigation should not be required. For discharges that cause the loss of greater than 300 linear feet of an intermittent stream bed, to be authorized, the District Engineer must determine that the activity complies with the other terms and conditions of the NWP, determine adverse environmental effects are minimal both individually and cumulatively, and waive the limitation on stream impacts in writing before the permittee may proceed; (14) For NWP 40 (Agricultural Activities), the PCN must include a compensatory mitigation proposal to offset losses of waters of the US. This NWP does not authorize the relocation of greater than 300 linear-feet of existing serviceable drainage ditches constructed in non-tidal streams unless, for drainage ditches constructed in intermittent non-tidal streams, the District Engineer waives this criterion in writing, and the District Engineer has determined that the project complies with all terms and conditions of this NWP, and that any adverse impacts of the project on the aquatic environment are minimal, both individually and cumulatively; (15) For NWP 43 (Stormwater Management Facilities), the PCN must include, for the construction of new stormwater management facilities, a maintenance plan (in accordance with state and local requirements, if applicable) and a compensatory mitigation proposal to offset losses of waters of the US. For discharges that cause the loss of greater than 300 linear feet of an intermittent stream bed, to be authorized, the District Engineer must determine that the activity complies with the other terms and conditions of the NWP, determine adverse environmental effects are minimal both individually and cumulatively, and waive the limitation on stream impacts in writing before the permittee may proceed; (16) For NWP 44 (Mining Activities), the PCN must include a description of all waters of the US adversely affected by the project, a description of measures taken to minimize adverse effects to waters of the US, a description of measures taken to comply with the criteria of the NWP, and a reclamation plan (for all aggregate mining activities in isolated waters and non-tidal wetlands adjacent to headwaters and any hard rock/mineral mining activities); (17) For activities that may adversely affect Federally-listed endangered or threatened species, the PCN must include the name(s) of those endangered or threatened species that may be affected by the proposed work or utilize the designated critical habitat that may be affected by the proposed work; and (18) For activities that may affect historic properties listed in, or eligible for listing in, the National Register of Historic Places, the PCN must state which historic property may be affected by the proposed work or include a vicinity map indicating the location of the historic property. (c) Form of Notification: The standard Individual Permit application form (Form ENG 4345) may be used as the notification but must clearly indicate that it is a PCN and must include all of the information required in (b) (1)-(18) of General Condition 13. A letter containing the requisite information may also be used. _ (d) District Engineer's Decision: In reviewing the PCN for the proposed activity, the District Engineer will determine ' ""^ whether the activity authorized by the NWP will result in more than minimal individual or cumulative adverse environmental effects or may be contrary to the public interest. The prospective permittee may submit a proposed mitigation plan with the PCN to expedite the process. The District Engineer will consider any proposed compensatory mitigation the applicant has included in the proposal in determining whether the net adverse environmental effects to the aquatic environment of the proposed work are minimal. If the District Engineer determines that the activity complies with the terms and conditions of the NWP and that the adverse effects on the aquatic environment are minimal, after considering mitigation, the District Engineer will notify the permittee and include any conditions the District Engineer deems necessary. The District Engineer must approve any compensatory mitigation proposal before the permittee commences work. If the prospective permittee is required to submit a compensatory mitigation proposal with the PCN, the proposal may be either conceptual or detailed. If the prospective permittee elects to submit a compensatory mitigation plan with the PCN, the District Engineer will expeditiously review the proposed compensatory mitigation plan. The District Engineer must review the plan within 45 days of receiving a complete PCN and determine whether the conceptual or specific proposed mitigation would ensure no more than minimal adverse effects on the aquatic environment. If the net adverse effects of the project on the aquatic environment (after consideration of the compensatory mitigation proposal) are determined by the District Engineer to be minimal, the District Engineer will provide a timely written response to the applicant. The response will state that the project can proceed under the terms and conditions of the NWP. If the District Engineer determines that the adverse effects of the proposed work are more than minimal, then the District Engineer will notify the applicant either: (1) that the project does not qualify for authorization under the NWP and instruct the applicant on the procedures to seek authorization under an Individual Permit; (2) that the project is authorized under the NWP subject to the applicant's submission of a mitigation proposal that would reduce the adverse effects on the aquatic environment to the minimal level; or (3) that the project is authorized under the NWP with specific modifications or conditions. Where the District Engineer determines that mitigation is required to ensure no more than minimal adverse effects occur to the aquatic environment, the activity will be authorized within the 45-day PCN period. The authorization will include the necessary conceptual or specific mitigation or a requirement that the applicant submit a mitigation proposal that would reduce the adverse effects on the aquatic environment to the minimal level. When conceptual mitigation is included, or a mitigation plan is required under item (2) above, no work in waters of the US will occur until the District Engineer has approved a specific mitigation plan. (e) Agency Coordination: The District Engineer will consider any comments from Federal and state agencies concerning the proposed activity's compliance with the terms and conditions of the NWPs and the need for mitigation to reduce the project's adverse environmental effects to a minimal level. For activities requiring notification to the District Engineer that result in the loss of greater than Vi-acre of waters of the US, the District Engineer will provide immediately (e.g., via facsimile transmission, overnight mail, or other expeditious manner) a copy to the appropriate Federal or state offices (USFWS, state natural resource or water quality agency, EPA, State Historic Preservation Officer (SHPO), and, if appropriate, the NMFS). With the exception of NWP 37, these agencies will then have 10 calendar days from the date the material is transmitted to telephone or fax the District Engineer notice that they intend to provide substantive, site-specific comments. If so contacted by an agency, the District Engineer will wait an additional 15 calendar days before making a decision on the notification. The District Engineer will fully consider agency comments received within the specified time frame, but will provide no response to the resource agency, except as provided below. The District Engineer will indicate in the administrative record associated with each notification that the resource agencies' concerns were considered. As required by Section 305(b)(4)(B) of the Magnuson-Stevens Fishery Conservation and Management Act, the District Engineer will provide a response to NMFS within 30 days of receipt of any Essential Fish Habitat conservation recommendations. Applicants are encouraged to provide the Corps multiple copies of notifications to expedite agency notification. (f) Wetland Delineations: Wetland delineations must be prepared in accordance with the current method required by the Corps (For NWP 29 see paragraph (b)(9)(iii) for parcels less than Vi-acre in size). The permittee may ask the Corps to delineate the special aquatic site. There may be some delay if the Corps does the delineation. Furthermore, the 45-day period will not start until the wetland delineation has been completed and submitted to the Corps, where appropriate. 14. Compliance Certification. Every permittee who has received NWP verification from the Corps will submit a signed certification regarding the completed work and any required mitigation. The certification will be forwarded by the Corps with the authorization letter and will include: (a) A statement that the authorized work was done in accordance with the Corps authorization, including any general or specific conditions; (b) A statement that any required mitigation was completed in accordance with the permit conditions; and (c) The signature of the permittee certifying the completion of the work and mitigation. 15. Use of Multiple Nationwide Permits. The use of more than one NWP for a single and complete project is prohibited, except when the acreage loss of waters of the US authorized by the NWPs does not exceed the acreage limit of the NWP with the highest specified acreage limit (e.g. if a road crossing over tidal waters is constructed under NWP 14, with associated bank stabilization authorized by NWP 13, the maximum acreage loss of waters of the US for the total project cannot exceed 1/3- acre). 16. Water. Supply Intakes. No activity, including structures and work in navigable waters of the US or discharges of dredged or fill material, may occur in the proximity of a public water supply intake except where the activity is for repair of the public water supply intake structures or adjacent bank stabilization. 17. Shellfish Beds. No activity, including structures and work in navigable waters of the US or discharges of dredged or fill material, may occur in areas of concentrated shellfish populations, unless the activity is directly related to a shellfish harvesting activity authorized by NWP 4. 18. Suitable Material. No activity, including structures and work in navigable waters of the US or discharges of dredged or fill material, may consist of unsuitable material (e.g., trash, debris, car bodies, asphalt, etc.) and material used for construction or discharged must be free from toxic pollutants in toxic amounts (see Section 307 of the CWA). 19. Mitigation. The District Engineer will consider the factors discussed below when determining the acceptability of appropriate and practicable mitigation necessary to offset adverse effects on the aquatic environment that are more than minimal. (a) The project must be designed and constructed to avoid and minimize adverse effects to waters of the US to the maximum extent practicable at the project site (i.e., on site). (b) Mitigation in all its forms (avoiding, minimizing, rectifying, reducing or compensating) will be required to the extent necessary to ensure that the adverse effects to the aquatic environment are minimal. (c) Compensatory mitigation at a minimum one-for-one ratio will be required for all wetland impacts requiring a PCN, unless the District Engineer determines in writing that some other form of mitigation would be more environmentally appropriate and provides a project-specific waiver of this requirement. Consistent with National policy, the District Engineer will establish a preference for restoration of wetlands as compensatory mitigation, with preservation used only in exceptional circumstances. (d) Compensatory mitigation (i.e., replacement or substitution of aquatic resources for those impacted) will not be used to increase the acreage losses allowed by the acreage limits of some of the NWPs. For example, Vi-acre of wetlands cannot be created to change a 3/i-acre loss of wetlands to a V4-acre loss associated with NWP 39 verification. However, Vi-acre of created wetlands can be used to reduce the impacts of a Vi-acre loss of wetlands to the minimum imp.act level in order to meet the minimal impact requirement associated with NWPs. (e) To be practicable, the mitigation must be available and capable of being done considering costs, existing technology, and logistics in light of the overall project purposes. Examples of mitigation that may be appropriate and practicable include, but are not limited to: reducing the size of the project; establishing and maintaining wetland or upland vegetated buffers to protect open waters such as streams; and replacing losses of aquatic resource functions and values by creating, restoring, enhancing, or preserving similar functions and values, preferably in the same watershed. (f) Compensatory mitigation plans for projects in or near streams or other open waters will normally include a requirement for the establishment, maintenance, and legal protection (e.g., easements, deed restrictions) of vegetated buffers to open waters. In many cases, vegetated buffers will be the only compensatory mitigation required. Vegetated buffers should consist of native species. The width of the vegetated buffers required will address documented water quality or aquatic habitat loss concerns. Normally, the vegetated buffer will be 25 to 50 feet wide on each side of the stream, but the District Engineers may require slightly wider vegetated buffers to address documented water quality or habitat loss concerns. Where both wetlands and open waters exist on the project site, the Corps will determine the appropriate compensatory mitigation (e.g., stream buffers or wetlands compensation) based on what is best for the aquatic environment on a watershed basis. In cases where vegetated buffers are determined to be the most appropriate form of compensatory mitigation, the District Engineer may waive or reduce the requirement to provide wetland compensatory mitigation for wetland impacts. (g) Compensatory mitigation proposals submitted with the "notification" may be either conceptual or detailed. If conceptual plans are approved under the verification, then the Corps will condition the verification to require detailed plans be submitted and approved by the Corps prior to construction of the authorized activity in waters of the US. (h) Permittees may propose the use of mitigation banks, in-lieu fee arrangements or separate activity-specific compensatory mitigation. In all cases that require compensatory mitigation, the mitigation provisions will specify the party responsible for accomplishing and/or complying with the mitigation plan. 20. Spawning Areas. Activities, including structures and work in navigable waters of the US or discharges of dredged or fill material, in spawning areas during spawning seasons must be avoided to the maximum extent practicable. Activities that result in the physical destruction (e.g., excavate, fill, or smother downstream by substantial turbidity) of an important spawning area are not authorized. 21. Management of Water Flows. To the maximum extent practicable, the activity must be designed to maintain preconstruction downstream flow conditions (e.g., location, capacity, and flow rates). Furthermore, the activity must not permanently restrict or impede the passage of normal or expected high flows (unless the primary purpose of the fill is to impound waters) and the structure or discharge of dredged or fill material must withstand expected high flows. The activity must, to the maximum extent practicable, provide for retaining excess flows from the site, provide for maintaining surface flow rates from the site similar to preconstruction conditions, and provide for not increasing water flows from the project site, relocating water, or redirecting water flow beyond preconstruction conditions. Stream channelizing will be reduced to the minimal amount necessary, and the activity must, to the maximum extent practicable, reduce adverse effects such as flooding or erosion downstream and upstream of the project site, unless the activity is part of a larger system designed to manage water flows. In most, cases, it will not be a requirement to conduct detailed studies and monitoring of water flow. This condition is only applicable to projects that have the potential to affect waterflows. While appropriate measures must be taken, it is not necessary to conduct detailed studies to identify such measures or require monitoring to ensure their effectiveness. Normally, the Corps will defer to state and local authorities regarding management of water flow. 22. Adverse Effects From Impoundments. If the activity creates an impoundment of water, adverse effects to the aquatic system due to the acceleration of the passage of water, and/or the restricting its flow shall be minimized to the maximum extent practicable. This includes structures and work in navigable waters of the US, or discharges of dredged or fill material. 23. Waterfowl Breeding Areas. Activities, including structures and work in navigable waters of the US or discharges of dredged or fill material, into breeding areas for migratory waterfowl must be avoided to the maximum extent practicable. 24. Removal of Temporary Fills. Any temporary fills must be removed in their entirety and the affected areas returned to their preexisting elevation. 25. Designated Critical Resource Waters. Critical resource waters include, NOAA-designated marine sanctuaries, National Estuarine Research Reserves, National Wild and Scenic Rivers, critical habitat for Federally listed threatened and endangered species, coral reefs, state natural heritage sites, and outstanding national resource waters or other waters officially designated by a state as having particular environmental or ecological significance and identified by the District Engineer after notice and opportunity for public comment. The District Engineer may also designate additional critical resource waters after notice and opportunity for comment. (a) Except as noted below, discharges of dredged or fill material into waters of the US are not authorized by NWPs 7,12, 14,16,17, 21, 29,31, 35, 39,40, 42, 43, and 44 for any activity within, or directly affecting, critical resource waters, including wetlands adjacent to such waters. Discharges of dredged or fill materials into waters of the US may be authorized by the above NWPs in National Wild and Scenic Rivers if the activity complies with General Condition 7. Further, such discharges may be authorized in designated critical habitat for Federally listed threatened or endangered species if the activity complies with General Condition 11 and the USFWSor the NMFS has concurred in a determination of compliance with this condition. (b) For NWPs 3, 8,10,13,15,18,19, 22, 23, 25, 27, 28, 30, 33, 34, 36, 37, and 38, notification is required in accordance with General Condition 13, for any activity proposed in the designated critical resource waters including wetlands adjacent to those waters. The District Engineer may authorize activities under these NWPs only after it is determined that the impacts to the critical resource waters will be no more than minimal. 26. Fills Within 100-Year Floodplains. For purposes of this General Condition, 100-year floodplains will be identified through the existing Federal Emergency Management Agency's (FEMA) Flood Insurance Rate Maps or FEMA-approved local floodplain maps. (a) Discharges in Floodplain; Below Headwaters. Discharges of dredged or fill material into waters of the US within the mapped 100-year floodplain, below headwaters (i.e. five cfs), resulting in permanent above-grade fills, are not authorized by NWPs 39,40,42,43, and 44. (b) Discharges in Floodway; Above Headwaters. Discharges of dredged or fill material into waters of the US within the FEMA or locally mapped floodway, resulting in permanent above-grade fills, are not authorized by NWPs 39, 40, 42, and 44. (c) The permittee must comply with any applicable FEMA-approved state or local floodplain management requirements. 27. Construction Period. For activities that have not been verified by the Corps and the project was commenced or under contract to commence by the expiration date of the NWP (or modification or revocation date), the work must be completed within 12- months after such date (including any modification that affects the project). For activities that have been verified and the project was commenced or under contract to commence within the verification period, the work must be completed by the date determined by the Corps. For projects that have been verified by the Corps, an extension of a Corps approved completion date may be requested. This request must be submitted at least one month before the previously approved completion date. 3. Regional Conditions for the Los Angeles District In accordance with General Condition Number 6, "Regional and Case-by-Case Conditions," the following Regional Conditions, as added by the Division Engineer, must be met in order for an authorization by any Nationwide to be valid: 1. For coastal watersheds from the southern reach of the Santa Monica Mountains in Los Angeles County to the San Luis Obispo County/Monterey County boundary, all road crossings must employ a bridge crossing design that ensures passage and/or spawning of steelhead (Oncorhynchus mykiss) is not hindered in any way. In these areas, bridge designs that span the stream or river, including designs for pier- or pile-supported spans, or designs based on use of a bottomless arch culvert simulating the natural stream bed (i.e., substrate and streamflow conditions in the culvert are similar to undisturbed stream bed channel conditions) shall be employed unless it can be demonstrated the stream or river does not support resources conducive to the recovery of federally listed Anadromous salmonids, including migration of adults and smolts, or rearing and spawning. This proposal also excludes approach embankments into the channel unless they are determined to have no detectable effect on steelhead. 2. For the State of Arizona and the Mojave and Sonoran (Colorado) desert regions of California in Los Angeles District (generally north and east of the San Gabriel, San Bernardino, San Jacinto, and Santa Rosa mountain ranges, and south of Little Lake, Inyo County), no nationwide permit, except Nationwide Permits 1 (Aids to Navigation), 2 (Structures in Artificial Canals), 3 (Maintenance), 4 (Fish and Wildlife Harvesting, Enhancement, and Attraction Devices and Activities), 5 (Scientific Measurement Devices), 6 (Survey Activities), 9 (Structures in Fleeting and Anchorage Areas), 10 (Mooring Buoys), 11 (Temporary Recreational Structures), 20 (Oil Spill Cleanup), 22 (Removal of Vessels), 27 (Stream and Wetland Restoration Activities), 30 (Moist Soil Management for Wildlife), 31 (Maintenance of Existing Flood Control Projects), 32 (Completed Enforcement Actions), 35 (Maintenance Dredging of Existing Basins), 37 (Emergency Watershed Protection and Rehabilitation), and 38 (Cleanup of Hazardous and Toxic Waste), or other nationwide or regional general permits that specifically authorize maintenance of previously authorized structures or fill, can be used to authorize the discharge of dredged or fill material into a jurisdictional special aquatic site as defined at 40 CFR Part 230.40-45 (sanctuaries and refuges, wetlands, mudflats, vegetated shallows, coral reefs, and riffle-and-pool complexes). 3. For all projects proposed for authorization by nationwide or regional general permits where prior notification to the District Engineer is required, applicants must provide color photographs or color photocopies of the project area taken from representative points documented on a site map. Pre-project photographs and the site map would be provided with the permit application. Photographs should represent conditions typical or indicative of the resources before impacts. 4. Notification pursuant to general condition 13 shall be required for projects in all special aquatic sites as defined at 40 CFR Part 230.40-45 (sanctuaries and refuges, wetlands, mudflats, vegetated shallows, coral reefs, and riffle-and-pool complexes), and in all perennial watercourses or waterbodies in the State of Arizona and the Mojave and Sonoran (Colorado) desert regions of California in Los Angeles District (generally north and east of the San Gabriel, San Bernardino, San Jacinto, and Santa Rosa mountain ranges, and south of Little Lake, Inyo County), excluding the Colorado River from Davis Dam downstream to the north end of Topock and downstream of Imperial Dam. 5. Notification pursuant to general condition 13 shall be required for projects in all areas designated as Essential Fish Habitat by the Pacific Fishery Management Council (i.e., all tidally influenced areas). 6. Notification pursuant to general condition 13 shall be required for projects in all watersheds in the Santa Monica Mountains in Los Angeles and Ventura counties bounded by Calleguas Creek on the west, by Highway 101 on the north and east, and by Sunset Boulevard and Pacific Ocean on the south. 7. Individual permits shall be required for all jurisdictional vernal pools. 8. Individual permits shall be required in Murrieta Creek and Temecula Creek watersheds in Riverside County for new permanent fills in perennial and intermittent watercourses otherwise authorized under NWPs 39, 42 and 43, and in ephemeral watercourses for these NWPs for projects that impact greater than 0.1 acre. 9. Individual permits shall be required in San Luis Obispo Creek and Santa Rosa Creek in San Luis Obispo County for bank stabilization projects, and in Gaviota Creek, Mission Creek and Carpinteria Creek in Santa Barbara County for bank stabilization projects and grade control structures. 4. Further information: 1. Congressional Authorities: You have been authorized to undertake the activity described above pursuant to: () Section 10 of the Rivers and Harbors Act of 1899 (33 U.S.C. 403). (X) Section 404 of the Clean Water Act (33 U.S.C. 1344). 2. Limits of this authorization. (a) This permit does not obviate the need to obtain other Federal, state, or local authorizations required by law. (b) This permit does not grant any property rights or exclusive privileges. (c) This permit does not authorize any injury to the property or rights of others. (d) This permit does not authorize interference with any existing or proposed Federal project. 3. Limits of Federal Liability. In issuing this permit, the Federal Government does not assume any liability for the following: (a) Damages to the permitted project or uses thereof as a result of other permitted or unpermitted activities or from natural causes. (b) Damages to the permitted project or uses thereof as a result of current or future activities undertaken by or on behalf of the United States in the public interest. (c) Damages to persons, property, or to other permitted or unpermitted activities or structures caused by the activity authorized by this permit. (d) Design or construction deficiencies associated with the permitted work. (e) Damage claims associated with any future modification, suspension, or revocation of this permit. 4. Reliance on Applicant's Data: The determination of this office that issuance of this permit is not contrary to the public interest was made in reliance on the information you provided. 5. Reevaluation of Permit Decision. This office may reevaluate its decision on this permit at any time the circumstances warrant. Circumstances that could require a reevaluation include, but are not limited to, the following: (a) You fail to comply with the terms and conditions of this permit. (b) The information provided by you in support of your permit application proves to have been false, incomplete, or inaccurate (See 4 above). (c) Significant new information surfaces which this office did not consider in reaching the original public interest decision. Such a reevaluation may result in a determination that it is appropriate to use the suspension, modification, and revocation procedures contained in 33 CFR 330.5 or enforcement procedures such as those contained in 33 CFR 326.4 and 326.5. The referenced enforcement procedures provide for the issuance of an administrative order requiring you to comply with the terms and conditions of your permit and for the initiation of legal action where appropriate. You will be required to pay for any corrective measure ordered by this office, and if you fail to comply with such directive, this office may in certain situations (such as those specified in 33 CFR 209.170) accomplish the corrective measures by contract or otherwise and bill you for the cost. 6. This letter of verification is valid for a period not to exceed two years unless the nationwide permit is modified, reissued, revoked, or expires before that time. 7. You must maintain the activity authorized by this permit in good condition and in conformance with the terms and conditions of this permit. You are not relieved of this requirement if you abandon the permitted activity, although you may make a good faith transfer to a third party in compliance with General Condition H below. Should you wish to cease to maintain the authorized activity or should you desire to abandon it without a good faith transfer, you must obtain a modification of this permit from this office, which may require restoration of the area. 8. You must allow representatives from this office to inspect the authorized activity at any time deemed necessary to ensure that it is being or has been accomplished with the terms and conditions of your permit.