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20150303 Regular City Council Meeting - Packet California Public Records Act ("PRA"): In compliance with the PRA, the documents pertaining to agenda items, including attachments, which are presented to the City Council in open session are available for public inspection. They may be inspected during regular business hours in the City Clerk's Office at Vernon City Hall, 4305 Santa Fe Avenue; Vernon, California 90058, no appointment necessary, and on the City's website at www.cityofvemon.org. Americans with Disabilities Act("ADA"): In compliance with the ADA, if you need special assistance to participate in the meeting, please contact the City Clerk's office at(323) 583-8811. Notification of at least 48 hours prior to the meeting or time when services are needed will assist the City staff in assuring that reasonable arrangements can be made to provide accessibility to the meeting or service. Agenda City of Vernon pF YES Regular City Council Meeting Tuesday, March 3, 2015, 9:00 a.m. Council Chamber 4305 Santa Fe Avenue Vernon, California 05 � 'ID os�¢ W. Michael McCormick, Mayor sl� LY pro William J. Davis, Mayor Pro-Tem Richard J. Maisano, Council Member Luz Martinez, Council Member Melissa Fbarra, Council Member Elect CALL TO ORDER& FLAG SALUTE CHANGES TO THE AGENDA PUBLIC COMMENT -At this time the public is encouraged to address the City Council on any matter that is within the subject matter jurisdiction of the City Council. The public will also be given a chance to comment on matters which are on the posted agenda during City Council deliberation on those specific matters. ELECTION MATTERS 1. A Resolution of the City Council of the City of Vernon, California, reciting the fact of the Special Municipal Election held on February 17, 2015, declaring the results and such other matters as provided by law. Recommendation: (1) Find that approval of the Resolution is exempt under the California Environmental Quality Act ("CEQA") in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment as this is merely an administrative item; and Regular City Council Meeting Agenda March 3, 2015 (2) Adopt the attached Resolution declaring the results of the Special Municipal Election held February 17, 2015, declaring that Melissa Ybarra is elected to the office of member of the City Council; and (3) Authorize the City Clerk to deliver the Certificate of Election and administer the Oath of Office to Melissa Ybarra. 2. Oath (Affirmation) of Office. PRESENTATIONS 3. Presentation by the Police Chief on Part 1 crime and arrest statistics for the period of 2010-2014. CONSENT CALENDAR-All matters listed on the Consent Calendar are to be approved with one motion. Items may be removed from the Consent Calendar by any member of the Council. Those items removed will be considered immediately after the Consent Calendar. Claims Against the City—Received and Filed 4. None Warrant Registers 5. Approval of City Warrant Register No. 1419, totaling $1,656,237.00, which covers the period of February 10,through February 23, 2015, and consists of the following: a. Ratification of wire transfers totaling $1,368,751.46; and b. Ratification of the issuance of early checks totaling $84,204.07; and c. Authorization to issue pending checks totaling $203,281.47. 6. Approval of Light & Power Warrant Register No. 384, totaling $4,780,070.16,which covers the period of February 10, through February 23, 2015, and consists of the following: a. Ratification of wire transfers totaling $4,653,874.79; and b. Ratification of the issuance of early checks totaling $26,983.60; and c. Authorization to issue pending checks totaling $99,211.77. 7. Approval of Gas Warrant Register No. 172, totaling $16,848.66,which covers the period of February 10,through February 23, 2015, and consists of the following: a. Ratification of the issuance of early checks totaling $5,505.99; and b. Authorization to issue pending checks totaling $11,342.67. Page 2 of 7 Regular City Council Meeting Agenda March 3, 2015 City Administration Department 8. Authorization to enter into a lease agreement, for approximately four months, for a section of the city yard located at 2221 55th Street,Vernon, with NRC Environmental Services Inc. Recommendation: (1) It is recommended that the City Council find that approval of the proposed parking lot lease agreement between the City of Vernon and NRC Environmental Services Inc. (NRC), is exempt under the California Environmental Quality Act ("CEQA") in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment; and (2) It is recommended that the City Council authorize the City Administrator to enter into a lot lease agreement, for approximately four months, located at 2221 55th Street, Vernon, to NRC at the determined market rate rent. The lease shall automatically,without further action by either party, become a month to month lease that may be terminated by either party upon thirty(30) days' prior written notice to the other,with or without cause, and without penalty or termination fee. Fire Department 9. Activity Report for the period of January 16 through January 31, 2015, to be received and filed. 10. Activity Report for the period of February 1 through February 15, 2015, to be received and filed. Health and Environmental Control Department 11. January 2015 Monthly Report, to be received and filed. Police Department 12. Activity Log and Statistical Summary of Arrests and Activities for the period of February 1 through February 15, 2015, to be received and filed. NEW BUSINESS City Administration Department 13. Acceptance of Mayor McCormick's resignation from the Vernon Housing Commission and reassignment of Council member elect, Melissa Ybarra, to the Vernon Housing Commission Resident (City Council member) Seat for the term ending August 10, 2017. Recommendation: (1) Find that the recommended actions are exempt from the California Environmental Quality Act ("CEQA") in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment; and Page 3 of 7 Regular City Council Meeting Agenda March 3, 2015 (2) Accept Mayor McCormick's resignation from the Resident(City Council member) seat on the Vernon Housing Commission, effective March 3, 2015; and (3) Reassign Council member elect Melissa Ybarra to the Resident(City Council member) seat on the Vernon Housing Commission, effective March 3, 2015, thereby creating a vacant Resident (non-City Council member) seat. City Attorney Department 14. A Resolution of the City Council of the City of Vernon approving the notice inviting bids, bid form and project specifications, instructions to bidders and specifications and contract. Recommendation: (1) Find that approval of the forms of documents is exempt under the California Environmental Quality Act("CEQA"), in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment; and (2) Adopt the Resolution approving the general form of bid specifications and competitive bidding documents under the Competitive Bidding and Purchasing Ordinance. Fire Department 15. A Resolution of the City Council of the City of Vernon approving and authorizing the Citv's participation in the 2014 Urban Areas Security Initiative Grant Program, approving and authorizing the execution of an agreement by and between the City of Vernon and the City of Los Angeles, and authorizing the execution of documents necessary to obtain the grant. Recommendation: (1) Find that approval of the proposed Agreement is exempt under the California Environmental Quality Act("CEQA") in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment; and (2) Adopt the Resolution approving and authorizing the City's participation in the 2014 Urban Areas Security Initiative Grant Program, approving and authorizing the execution of an agreement by and between the City of Vernon and the City of Los Angeles, and authorizing the execution of documents necessary to obtain the grant. The City of Los Angeles has approved and awarded 2014 UASI grant funds in the amount of$898,507.00 to the City of Vernon's Fire and Police Departments. Gas and Electric Department 16. Element Markets Renewable Energy,LLC Amendment, Security Agreements, and Waiver of the Replacement Energy Supplier's signature to the Security Agreement. Recommendation: (1) Find that approval of the proposed services agreement is exempt under the California Environmental Quality Act("CEQA") in accordance with Section 15301(b), the general rule that CEQA only applies to projects that may have an effect on the environment; and (2) Authorize the Director of Gas and Electric to execute the following in substantially the same form as attached to the staff report: Page 4 of 7 Regular City Council Meeting Agenda March 3, 2015 a. The March 3, 2015 Letter Agreement submitted by Element Markets Renewable Energy, LLC ("Element"); and b. The attached Amendment No. 1 to the Amended and Restated Biomethane Transaction Confirmations; and c. The Security Agreements. 17. Approve the Issuance of a Notice Inviting Bids for the Procurement and Installation of Allison Turbine Control System Upgrade. Recommendation: (1) Find that approval of the proposed issuance of a Notice Inviting Bid is exempt under the California Environmental Quality Act ("CEQA") in accordance with CEQA Guidelines Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment, because the system upgrade referenced in the staff report merely augments the existing control system and improves efficiency and reliability of energy produced in Vernon; and (2) Approve the issuance of a Notice Inviting bids entitled"Turnkey Design, Equipment, Fabrication, Testing, Operational and Ready-in-Service control System Upgrade for Two Existing Aero-Derivative Gas Turbines Used for Power Generation" in substantially the same form as attached to the staff report. Staff estimates that the total purchase price will be between $400,000 and$500,000, as the exact price will not be determined until the bids have been received and reviewed. 18. Approval of a Services Agreement with Power Engineers,Inc. (PEI) for the Grounding Study for Eight distribution Stations, Switching Stations and Customer Substations. Recommendation: (1) Find that approval of the proposed services agreement is exempt under the California Environmental Quality Act("CEQA") in accordance with Section 15302(C),because the proposed contract consists of the replacement or reconstruction of existing utility systems and/or facilities involving negligible or no expansion of capacity; and (2) Approve the Services Agreement, in substantially the same form as submitted with the staff report, with Power Engineers, Inc. (PEI) for the Substation Grounding Study for eight electric distribution substations for an amount not-to-exceed $142,251 and authorize the City Administrator to execute the services agreement on behalf of the City. Public Works, Water and Development Services Department 19. Approval of a Program Supplement No. M002 Rev. 2 to Administering Agency-State Agreement with Caltrans for Federal-Aid Proiect No. 07-5139, the Atlantic Blvd. Bridge Rehabilitation and Widening Proiect. Recommendation: (1) Find that the work associated with the proposed agreement is within the Initial Study/Mitigated Negative Declaration prepared for this project pursuant to the provisions under the California Environmental Quality Act("CEQA") in accordance with Section 15063; and Page 5 of 7 Regular City Council Meeting Agenda March 3, 2015 (2) Approve the Program Supplement No. M002 Rev. 2 to Administering Agency-State Agreement (the "Agreement") for Federal-Aid Project No. 07-5139, the Atlantic Blvd. Bridge Rehabilitation and Widening Project(the "Project"), Federal Project No. DBPL02-5139(010),with Caltrans, in substantially the same form as submitted with the staff report, to provide $1,163,018.61 in federal funds for the engineering design, right way acquisition support and coordination services as described below, and authorize the Mayor and City Clerk to execute the agreement on behalf of the City. 20. Approval to Advertise a Notice Inviting Bids for Citywide Traffic Signal Maintenance Contract No. CS-0541. Recommendation: (1) Find the approval of the notice inviting bids is categorically exempt under the California Environmental Quality Act("CEQA") in accordance with CEQA Guidelines Section 15301, Existing Facilities Class 1, maintenance,because this project only consists of maintenance and repair of the City's traffic signals; and (2) Approve and authorize the advertisement of a Notice Inviting Bids for Citywide Traffic Signal Maintenance, Contract No. CS-0541, in substantially the same form as submitted with the staff report. ORAL REPORTS 21. City Administrator Reports—brief reports on activities and other brief announcements by the City Administrator and Department Heads. 22. City Council Reports—brief report on activities, announcements, or directives to staff. CLOSED SESSION 23. PUBLIC EMPLOYEE PERFORMANCE EVALUATION (2) Government Code § 54957(b)(1) Titles: City Attorney and Deputy City Attorney 24. CONFERENCE WITH LEGAL COUNSEL -EXISTING LITIGATION (6) Government Code Section 54956.9(d)(1) (a) Jurupa Avenue Limited Partnership v. City of Vernon, et al. Los Angeles Superior Court Case No. BC516913 (b) Mirage Bottling Group, Inc. (U.S. Bankruptcy Court, Central District of California Case Nos. 2:12-bk-35770-ER; 2:14-ap-01806-ER. Page 6 of 7 Regular City Council Meeting Agenda March 3, 2015 (c) In the Matter of the Calculation of Final Compensation of Bruce Malkenhorst, Sr. Ca1PERS Case No. 2012-0671 (d) Bruce Malkenhorst, Sr. v. City of Vernon, et al. Los Angeles Superior Court Case No. BC516321 Court of Appeal of California Case No. B258793 (e) Bruce Malkenhorst, Sr. v. State of California, et al. United States District Court Case No. SACV 14-00269 (f) Los Angeles Unified School District v. County of Los Angeles, et al. Los Angeles Superior Court Case No. BS 108180 ADJOURNMENT I hereby certify under penalty of perjury under the laws of the State of California, that the foregoing agenda was posted on the bulletin board at the main entrance of the City of Vernon City Hall, located at 4305 Santa Fe Avenue, Vernon, California, and on the City's website, not less than 72 hours prior to the meeting set forth on this agenda. Dated this 261h day of February 2015. By: Maria E. Ayala City Clerk Page 7 of 7 RECEIVED FEB 2 4 2015 RECEIVED CITY CLERK'S OFFICE f�Lt 11ny FEB 2 4 2015 STAFF REPORT CITY ADMINISTRATION City Clerk Department DATE: March 3, 2015 TO: Honorable Mayor and City Council FROM: Maria E. Ayala, City Clerk RE: A Resolution of the City Council of the City of Vernon,California,Reciting the Fact of the Special Municipal Election held on February 17, 2015, Declaring the Result and Such Other Matters as Provided by Law Recommendation It is recommended that the City Council: 1. Find that the approval proposed in this staff report is exempt under the California Environmental Quality Act ("CEQA") in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment as this is merely an administrative item; and 2. Adopt the attached Resolution declaring the results of the Special Municipal Election held February 17, 2015, declaring that Melissa Ybarra is elected to the office of member of the City Council; and 3. Authorize the City Clerk to deliver the Certificate of Election and administer the oath of office to Melissa Ybarra. Background On February 17, 2015, a Special Municipal Election was held for the purpose of electing one member to the City Council for the unexpired term of former City Councilmember Michael A. Ybarra; said unexpired term to end on April 2017. As of the closing of the nomination period on November 24, 2014, at 5:30 p.m., Melissa Ybarra was the only official candidate. As of February 3, 2015, the City Clerk's office had not received any requests for a write-in candidate. On January 27, 2015, the City Clerk's office mailed sixty-three (63) vote-by-mail ballots. No additional ballots or provisional ballots were issued. There were a total of sixty-three (63) individuals registered to vote in this election. The City Clerk's office received twenty-five (25) ballots. All received ballots were substantiated for signature verification. Canvassing of twenty-four (24) ballots was conducted on February 17, 2015; with a second canvassing on February 23, 2015 being required for one (1) ballot that had not been processed for signature verification in time for the first canvassing. No additional postmarked ballots were received by the City Clerk's Office three (3) days after the election, pursuant to California Elections Code Section 4103. The results of said canvassing are summarized in the City Clerk's Certification of Canvass, and are to be incorporated as part of the proposed Resolution. Fiscal Impact There is no fiscal impact. RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON, CALIFORNIA, RECITING THE FACT OF THE SPECIAL MUNICIPAL ELECTION HELD ON FEBRUARY 17, 2015, DECLARING THE RESULTS AND SUCH OTHER MATTERS AS PROVIDED BY LAW WHEREAS, a special municipal election was held and conducted in the City of Vernon, California, on Tuesday, February 17, 2015, for the election of a Municipal Officer; and WHEREAS, pursuant to Ordinance No. 1201, the election was conducted entirely by vote-by-mail ballot pursuant to Section 4000, et seq. , of the Elections Code of the State of California; and WHEREAS, notice of the election was given in time, form and manner as provided by law; and WHEREAS, an election officer was appointed, vote-by-mail ballots were properly sent to all registered voters, and in all respects the election was held and conducted, the votes were cast, received and canvassed, and the returns were made and declared in the time, form and manner required by the City Charter and the Elections Code of the State of California; and WHEREAS, the City Clerk canvassed the returns of the election and has certified the results to the City Council, which certification and results are received, attached and made part hereof as Exhibit A. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS : SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct. SECTION 2 : One (1) voting precinct was established for the purpose of holding said election, consisting of the regular election precinct in the City as established for the holding of State and County elections . SECTION 3 : The whole number of vote-by-mail voter ballots legally cast in the City for the Special Municipal Election held on February 17, 2015, was 25, with no provisional ballots cast . SECTION 4 : The following be declared to be the results of said Special Municipal Election for the office of member of the City Council : Melissa Ybarra 25 votes Section 5 : The City Council of the City of Vernon hereby declares that Melissa Ybarra, being the only official candidate, was elected as member of the City Council for the unexpired term of two (2) years to end on April 2017 . SECTION 6 : The City Clerk, or Deputy City Clerk, shall immediately make and deliver to the person so elected a Certificate of Election signed by the City Clerk, or Deputy City Clerk, and authenticated. SECTION 7 : The City Clerk, or Deputy City Clerk, shall also administer to the person elected the Oath of Office prescribed in the Constitution of the State of California and shall have them subscribe to it and file it in the office of the City Clerk. The person so elected shall then be inducted into the respective office to which she has been elected. - 2 - SECTION 8 : The City Clerk, or Deputy City Clerk, shall enter on the records of the City Council of the City, a statement of the result of the election, showing: (1) The number of ballots cast in the City; (2) The names of the person voted for; (3) For what office the person was voted for; and (4) The number of votes given to the person. SECTION 9 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 3rd day of March, 2015 . Name: Title: Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPROVED AS TO FORM: I ALL Hem - Attorney - 3 - STATE OF CALIFORNIA ) ss COUNTY OF LOS ANGELES } I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. _ , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, March 3 , 2015, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of March, 2015 , at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 4 - EXHIBIT A EXHIBIT A CITY OF VERNON — SPECIAL MUNICIPAL ELECTION HELD FEBRUARY 17, 2015 CITY CLERK'S CERTIFICATION OF CANVASS I, Maria E. Ayala, City Clerk of the City of Vernon, County of Los Angeles, State of California, do hereby certify that I have canvassed the returns of the Special Municipal Election held on February 17, 2015, and find that the number of votes cast were as follows: C--o—un-c-i-1-m—e n b-e—r Melissa Ybarra February 17, 2015 Canvassing Date 24 February 23, 2015 Canvassing Date 1 Total Votes Cast 25 A. M ria E. AyalaoCity Clerk Dated: February , 2015 Of a RECEIVE® �`� �9S�T' RECEIVED "eer wp FEB 2 4 2015 ''� FEB 2 4 2015 CITY CLERK'S OFFICE STAFF REPORT CITYADMINIST ATION VERNON POLICE DEPARTMENT DATE: March 3, 2015 TO: Honorable Mayor and City Council FROM: Daniel Calleros, Police Chief RE: Police Department Crime and Arrest Statistics 2010-2014 Recommendation The Police Department will conduct a presentation on Part 1 crime and arrest statistics for the period of 2010-2014. Background The crime and arrest statistics presentation will cover a review of reported crimes in the City of Vernon known as Part 1 offenses and include: murder, forcible rape, robbery, aggravated assault, burglary, larceny-theft, motor vehicle theft and arson. Part 1 crimes are reported to the Federal Bureau Investigation Uniform Crime Reporting Statistics Center which collects this information from all law enforcement agencies in the nation. Crime and arrest statistics are used in many ways and serve many purposes. They provide law enforcement with data for use in budget formulation, planning, resource allocation, and assessment of police operations. In addition, the data collected is used by the Police Department Patrol Operations section and management staff to evaluate the fluctuations in the level of crime throughout the City and to address areas of high incidents of crime. Fiscal Impact There is no fiscal impact to the City. RECF-WED RECEIVED FEB 2 4 Z015 �`�•.��,,� � FEB 2 5 2015 CITY CLERK'S OFFICE STAFF REPORT CITY ADMINISTRATION FINANCE/TREASURY DEPARTMENT DATE: February 24, 2015 TO: Honorable Mayor and City Council FROM: William Fox, Finance Director L"t RE: City Warrant Register for City Council Agenda of March 3, 2015 It is recommended that the attached City Warrant Register No. 1419 be approved at the City Council meeting of March 3, 2015. City Warrant Register No. 1419 totals $1,656,237.00, and covers claims and demands presented during the period of February 10 through February 23, 2015, drawn, or to be drawn, from East West Bank. The following list details the components of City Warrant Register No. 1419: 1. Ratification of wire transfers totaling $1,368,751.46; 2. Ratification of the issuance of early checks totaling $84,204.07; and 3. Authorization to issue pending checks totaling $203,281.47. 0f Vr G r CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 I hereby certify that claims and/or demands included in above listed warrant This is to certify that the claims or demands covered by the above listed register have been audited for accuracy and availability of funds for warrants have been audited by the City Council of the City of Vernon and payments and that said claims and/or demands are accurate and that the that all of said warrants are approved for payments except Warrant funds are available for payments thereof. Numbers: William Fox Finance Director Date: Printed:2/24/2015 3:58:13PM Page 2 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CENTRAL BASIN MWD 020.1084.500130 94,736.85 Capacity Charges 12/14 VERDECI4 1128 020.1085.500130 12,544.16 Capacity Charges 12/14 VERDECI4 1128 02/09/2015 107,281.01 PARS 011.1003.502020 14,110.59 Supplementary Retirement Plan FlSRP12A 1129 011.1016.502020 43,718.19 Supplementary Retirement Plan FlSRP12A 1129 011.1031 502020 76,822.95 Supplementary Retirement Plan FlSRP12A 1129 011.1033.502020 55,766.05 Supplementary Retirement Plan F1SRP12A 1129 011 1041.502020 28,127.50 Supplementary Retirement Plan FlSRP12A 1129 011.1043.502020 40,991.04 Supplementary Retirement Plan FISRP12A 1129 011.1046.502020 40,700.41 Supplementary Retirement Plan FlSRP12A 1129 020.1084.502020 87,612.78 Supplementary Retirement Plan FlSRP12A 1129 011.150199 69,114.42 Supplementary Retirement Plan FlSRP12A 1129 02/09/2015 456,963.93 PARS 011.1024.502020 94,072.03 Supplementary Retirement Plan F1SRP12A(B) 1130 02/09/2015 94,072.03 AETNA HEALTH OF CALIFORNIA 011.1026.502031 7,007.76 Coverage Period: 01/15 30970695 1131 011.1026.502031 3,358.82 Coverage Period: 01115 30971826 1131 02/10/2015 10,366.58 ANTHEM BLUE CROSS 011.1026.502031 2,679.31 Coverage Period: 01/15 1472026A 1132 011.1026.502031 39,266.03 Coverage Period: 01/15 426460C 1132 011.210221 256,624.48 Coverage Period: 01/15 480138B 1132 Printed 2/24/2015 3 58:13PM Page 3 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 02/10/2015 298,569.82 MAYER BROWN LLP 011.1002 596200 12,632.05 Independent Reform Monitor 34917487 1133 02/12/2015 12,632.05 ICMA RETIREMENT TRUST 457 011.210220 26,004.87 Deferred Compensation: Payment Ben179359 1134 02/19/2015 26,004.87 CALPERS 011.210240 340,477.10 PERS Contributions: Payment Ben179361 1135 011.210240 232.50 PERS Survivor's Benefit: Payment Ben179361 1135 011.210240 1,608.48 PERS Buy-back: Payment Ben179361 1135 011.1002.502020 7,397.93 PERS Adjustment: M.Whitworth Ben179361 1135 011.1004.502020 -0.09 PERS Contributions: Adjustment Ben179361 1135 02/23/2015 349,715.92 CITY OF VERNON, FSA ACCOUNT 011.100013 497.68 FSA- Dependent: Payment Ben179363 1136 011.100013 311.93 FSA-Medical: Payment Ben179363 1136 02/19/2015 809.61 STATE DISBURSEMENT UNIT 011.210260 3,438.51 Child Support: Payment Ben179365 1137 02/23/2015 3,438.51 EAST WEST BANK 011.1033.596600 97.58 Book 8 Publications 012115(B) 1138 011.1033 520000 326.99 Supplies 012115(B) 1138 011.1033.596500 20.00 Taxis S Parking 012115(B) 1138 011.1033.520000 43.58 Supplies 012115(C) 1138 011.1033.520000 1,199.60 Supplies 012115(C) 1138 Printed 2/24/2015 3:58:13PM Page 4 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT EAST WEST BANK 011.1033.596500 8.00 Taxis& Parking 012115(C) 1138 011.1001.596500 35.00 Membership Fees 012115(D) 1138 011 9019.560010 126.54 Services 012115(D) 1138 011 1041.596550 125.00 Member Dues 012115(E) 1138 011.1041.596700 400.00 Supplies 012115(E) 1138 011.9019.520010 63.99 Computer Supplies 012115(F) 1138 011.9019.520010 112.87 Supplies 012115(F) 1138 011 1031.596550 50.00 Member Dues 012115(G) 1138 011.1031.596700 -525.00 Refund: Registration 012115(G) 1138 011.1031.596700 725.00 Registration 012115(G) 1138 011.1031,596700 549.00 Training: Staff 012115(G) 1138 011.1031.540000 498.09 Uniforms 012115(G) 1138 011.1033,520000 201.57 Supplies 012115(H) 1138 011.1033.560000 64.98 Subscription 012115(I) 1138 011.1033 520000 43.59 Supplies 012115(I) 1138 011.1033 520000 98.52 Supplies 012115(I) 1138 011.1060 596550 50.00 Member Renewal 012115(J) 1138 060.6060.596700 99.00 Registration 012115(J) 1138 011.1060.596700 225.00 Training 012115(J) 1138 060.6060.596700 40.00 Training 012115(J) 1138 011.1048.520000 50.00 Services 012115(K) 1138 011.1048.520000 1,059.48 Supplies 012115(K) 1138 011.1004.520000 2710 Supplies 012115(K) 1138 PnnteT 2/2412015 3.56:13PM Page 5 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT EAST WEST BANK 011.1004.596600 85.00 Training 012115(K) 1138 011,1024.596700 300.00 Registration: Staff 012115(L) 1138 011.1031.570000 169.00 Auto Parts 012115(M) 1138 011.1031.596700 -395.00 Refund 012115(M) 1138 011.1026.520000 8.67 Foreign Transfer Fee 012115(N) 1138 011.1026.520000 1.57 Fradulent Charges 012115(N) 1138 011.1026.596200 82.85 Luncheon I Interviews 012115(N) 1138 011.1026.596200 150.40 Supplies 012115(N) 1138 011.1026.520000 34.86 Supplies 012115(N) 1138 011.1016.596500 1,286.64 Lodging: Staff 012115(0) 1138 011.1016.596500 33.31 Lunch 012115(0) 1138 011.1016.596500 189.00 Taxis& Parking 012115(0) 1138 011.1031.520010 108.99 Computer Supplies 012115(P) 1138 011.1031.596500 311.36 Lodging: Staff 012115(P) 1138 011.1031.596550 2000 Membership 012115(P) 1138 011.1031.596700 250.00 Registration: Staff 012115(P) 1138 011.1031.596700 445.00 Training: Staff 012115(P) 1138 02/17/2015 8,897.13 TOTAL WIRES $ 1,368,751.46 Printed'2/24/2015 3 58:13PM Page 6 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CURRENT WHOLESALE ELECTRIC 011.1049.520000 493.15 Electrical Supplies 232977 011.0009961 346644 02/12/2015 493.15 DAILY.JOURNAL CORPORATION 011.1026.550000 1,639.00 Job Posting 013115 346645 02/12/2015 1,639.00 GOVERNMENTJOBS.COM, INC., 011.1026.550000 175.00 Job Posting INV14164 346646 011.1026.550000 175.00 Job Posting INV14168 346646 02/12/2015 350.00 JEMMOTT ROLLINS GROUP, INC. 011.1021.596200 19,500.00 Professional Services DEC14 346647 011.1021.596200 10,000.00 Professional Services JAN 15 346647 02/12/2015 29,500.00 POSITIVE LAB SERVICE 011.1049.596200 78.75 Asbestos Analysis 50362 346648 02/12/2015 78.75 STAPLES ADVANTAGE 011.1004.520000 48.83 Office Supplies- 3254987597 011.0010356 346649 011.1004.520000 4.39 Sales Tax 3254987597 346649 02/12/2015 53.22 VERONICAAVENDANO 011.1026.596700 15.62 Mileage Riembursement 021115 346650 011.1026.596500 2.51 Mileage Reimbursement 021115(B) 346650 02/12/2015 18.13 WEBIPLEX INC. 011 4031.860000 4,090.00 ANNUAL SUBSCRIPTION RENEWAL- 1941 011,0010411 346651 02/12/2015 4,090.00 Printed'2124/2015 3 58 13PM Page 7 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT AT CONFERENCE 011.9019.560010 72.20 Phone Conferencing 7636880115 346652 02/17/2015 72.20 CALOLYMPIC SAFETY 011.1060.520000 253.00 805773-82— 336040 011.0010309 346653 011.1060.520000 10.22 Freight 336040 011.0010309 346653 011.1060.520000 22.77 Sales Tax 336040 346653 02/17/2015 285.99 CDW GOVERNMENT, INC 011.9019.520010 50.61 Item Number: 3048982— RH61550 011.0010264 346654 011.9019.520010 31.84 Item Number: 582052— RH61550 011.0010264 346654 011.9019.520010 7.42 Sales Tax RH61550 346654 02/17/2015 89.87 EMPLOYMENT DEVELOPMENT 011.1002.502070 392.00 F. Taylor: UI Reimbursement-- L0167610560 346655 DEPT. 011.1031.502070 4,586.00 R. Hill : UI Reimbursement— L0167610560 346655 02/17/2015 4,978.00 LEVEL 3 COMMUNICATIONS, LLC 057.1057.500173 4,515.45 Fiber Optic Intemet Access Contract 38056275 057 0000051 346656 02/17/2015 4,515.45 LUZ A. MARTINEZ 057.1057.550000 121.95 Reimburse Internet Charges-- 021715 346657 02/17/2015 121.95 MELISSAYBARRA 057.1057.550000 121.95 Reimburse Internet Charges— 021715 34665B 02/17/2015 121.95 RICHARD MAISANO 057.1057.550000 121.95 Reimburse Internet Charges-- 021715 346659 Printed:2124/2015 3:58:13PM Page 8 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 02/17/2015 121.95 WILLIAM J. DAVIS 057 1057.550000 121.95 Reimburse Internet Charges-- 021715 346660 02/17/2015 121.95 WILLIAM M. McCORMICK 057.1057.550000 121.95 Reimburse Internet Charges- 021715 346661 02/17/2015 121.95 ANDREA NEGRETE 011.110021 1,218.91 Employee Computer Loan 021015 346662 02/19/2015 1,218,91 ANTHONY ZARATE 011.1041.596500 63.25 1CC Permit Tech Institute 021215 346663 02/19/2015 63.25 CALIFORNIA WATER SERVICE CO. 011.1033.560000 107.71 Service Period: 12/23-01123 012615(B) 346664 02/19/2015 107.71 CCAC-CITY CLERKS ASSOC 011.1003.596550 130.00 Renewal Application 878 346665 02/19/2015 130.00 CODE R DECALS&GRAPHICS 011.1033.520000 75.00 Helmet decal w/drop Shadow& Script 1290 011.0009881 346666 011.1033.520000 75.00 Helmet decal w/drop Shadow& Script 1290 011.0009881 346666 011.1033.520000 75.00 Helmet decal w/drop Shadow& Script 1290 011,0009881 346666 011 1033.520000 75.00 Helmet decal w/drop Shadow& Script 1290 011.0009881 346666 011.1033.520000 45.00 Helmet decal w/drop Shadow& Script 1290 011 0009881 346666 011.1033.520000 45.00 Helmet decal w/drop Shadow&Script 1290 011.0009881 346666 011.1033.520000 75.00 Helmet decal w/drop Shadow&Script 1290 011.0009881 346666 011.1033.520000 12.00 Freight 1290 011.0009881 346666 Printed 2/24/2015 3:58 13PM Page 9 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CODE R DECALS&GRAPHICS 011 1033.520000 41.85 Sales Tax 1290 346666 02/19/2015 518.85 FEDEX 011.1003.520000 55.54 Service Period: 01/15 292364949 346667 02/19/2015 55.54 FIREFIGHTERS'SAFETY CENTER 011.1033.540000 220.00 9 Hole Zippers 24943 011.0010273 346668 011.1033.540000 220.00 10 Hole Zippers 24943 011.0010273 346668 011.1033.540000 12.23 Freight 24943 011.0010273 346668 011.1033.540000 39.60 Sales Tax 24943 346668 02/19/2015 491.83 FRANCHISE TAX BOARD 011.210260 1,006.51 Garnishment: Payment Ben179353 346669 011 210260 180.00 Garnishment: Payment Ben179353 346669 011.210260 840.32 Garnishment: Payment Ben179353 346669 02/19/2015 2,026.83 KEITH WHITWORTH 011.1048.530015 158.44 Reimb. Possessory Interest Tax- 021715 346670 02/19/2015 158.44 MARIA E. AYALA 011.1003.520000 51.00 Food delivered during Election Day 021815 346671 02/19/2015 51.00 MAYWOOD MUTUAL WATER CO 011 1033.560000 157.50 Service Period: 01/15 020115 346672 NO 3 02/19/2015 157.50 SANDRA D. BINGMAN 011 210260 2,000.00 GARNISHMENTS: Payment Ben179349 346673 Printed:212412015 3:56:13PM Page 10 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 02/19/2015 2,000.00 SCOTT CAMPBELL CO. 011.1049.590000 545.00 Annual Testing 21106 346674 02/19/2015 545.00 SILVA'S PRINTING NETWORK 011,1004.520000 280.45 No. 9 Envelopes-Self Addressed 25645 011.0010277 346675 011.1004.520000 25 24 Sales Tax 25645 346675 02/19/2015 305.69 SOUTHERN CALIFORNIA EDISON 011.1043.560000 36.76 Service Period: 12/30-01/29 013015(B) 346676 02/19/2015 36.76 STANCIL SOLUTIONS INC. 011.9019.590110 608.00 Maintenance& Repairs 47251M 346677 02/19/2015 608.00 TEAMSTERS LOCAL 911 011.210250 2,265.00 Teamsters Local 911 Dues: Payment Ben179343 346678 02/19/2015 2,265.00 THE GAS COMPANY 011.1048.560000 25.46 Service Period: 01/12-02/11 021315 346679 02/19/2015 25.46 UPS 011 1033.520000 11.79 Service Period: 01/15 933312055(B) 346680 011.1041.520000 71.24 Service Period: 01/15 933312055(B) 346680 011.1043.520000 26.91 Service Period: 01/15 933312055(B) 346680 02/19/2015 109.94 VERNON FIREMEN'S 011.210250 3,215.00 Fire House Fund: Payment Benl79351 346681 ASSOCIATION Printed:2/24/2015 3 58:13PM Page 11 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 02/19/2015 3,215.00 ASSOCIATION VERNON POLICE 011.210250 1,887.60 Police Association Member Dues: Ben179347 346682 OFFI Payment 02/19/2015 1,887.60 WHITE CAP CONST_ SUPPLY 011.1049.520000 218.25 Hardware Supplies— 10002810611 011.0009933 346683 011.120010 449.30 Hardware Supplies 10002810611 011.0009933 346683 02/19/2015 667.55 WISE ENTERTAINMENT 011.1004.431000 1,000.00 Refund Deposit on Rental Vacant lot @ 021715 346684 02/19/2015 1.000.00 25TH STREET RECYCLING, INC. 020.1084.520000 31.61 Crush Base Materials— 82804 011.0009945 346685 02/24/2015 31.61 COUNTY CLERK, COUNTY OF L.A. 011.1041.550000 2,285.00 Notice of Determination: Vacation of 021915 346686 02/24/2015 2,285.00 LAAFCA 011,1033.596700 700.00 Bear Paw Registration: M. Wilson 022315 346687 02/24/2015 700.00 MAUREEN KANE & 011.1003.596700 1,500.00 TTC Registration 021915 346688 ASSOCIATES,INC 02/24/2015 1,500.00 PROFORMA EXPRESS GRAPHICS 011.1060.520000 89.71 City of Vernon— 012115VRS 011.0010291 346689 011A060.520000 499.82 City of Vernon- 012115VRS 011.0010291 346689 011 1060.520000 293.52 City of Vernon-- 012115VRS 011 0010291 346689 Printed:2/24/2015 3 56:13PM Page 12 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT PROFORMA EXPRESS GRAPHICS 011.1060.520000 79.47 Sales Tax 012115VRS 346689 02/24/2015 962.52 STAPLES ADVANTAGE 011.1033.520000 416.07 Office Supplies- 012415VRS(B) 011.0010353 346690 011.1033.520000 37.45 Sales Tax 012415VRS(B) 346690 011.1026.520000 46.54 Office Supplies-- 3254987592 011.0010355 346690 011.1026.520000 4.19 Sales Tax 3254987592 346690 02/24/2015 504.25 TEXAS AMERICA SAFETY 011.2033.850000 4,750.00 Saranex size 2x Coveralls 44428-2x 36153136041/3638 011.0010239 346691 COMPANY 0 011.2033.850000 4,450.00 Saranex size X-Large Coveralls 44428 36153/36041/3638 011.0010239 346691 0 011.2033 850000 4,450.00 Saranex size Large Coveralls 44428 36153/3604113638 011.0010239 346691 0 02/24/2015 13,650.00 UC REGENTS 011.1060.596700 110.00 Vector Control Technician Certification 021015 346692 02/24/2015 110.00 UPS 011.1033.520000 11.01 Service Period: 02/14 933312065 346693 011,1041.520000 30.31 Service Period: 02/14 933312065 346693 02/24/2015 41 32 TOTAL EARLY CHECKS $ 84,204.07 Printed 2/24/2015 3.58:13PM Page 13 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT ALAMEDA INDUSTRIAL MEDICAL 011.1026.597000 450.00 Respirator Testing 121114 346694 450.00 ARAMARK UNIFORM SERVICES, 011.1060.410240 570.00 Refund on Overpayment Health Fees 020915 346695 INC 570.00 A-THRONE CO., INC. 011.1043.520000 118.71 Portable Restroom Rental 444219 346696 118.71 AUTO ZONE 011.1 D46.520000 49.49 Front brake pads 2893940847 011 0010349 346697 011.1046.520000 4.45 Sales Tax 2893940847 346697 53.94 BATTERY SYSTEMS INC 011.1046 520000 625.29 Vehicle batteries— 010515VRS 011.0009955 346698 625.29 BENNETT WEINER, O.D. 011 1047.502030 223.00 Vision Benefits: M. Cervantes 020215 346699 223.00 VEHICLES BLACK&WHITE 011.1031.570000 54340 Repairs&Maintenance 592 346700 EMERGEN 543.40 BRYAN DOME 011.1033.502030 225.00 Vision Benefits: E Dome 020415 346701 225.00 CAINE&WEINER COMPANY, INC. 011.1033.467100 303.44 Collection Fee 374671 346702 303.44 Printed 2/2412015 3 58 13PM Page 14 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT CALIFORNIA FRAME&AXLE 011.1046 520000 242.50 Front end repair- 32329/32336 Oil 0009956 346703 242.50 CAMINO REAL CHEVROLET 011.1046.520000 287.14 Auto parts for cars and trucks.- 010815VRS 011.0009914 346704 287.14 CALPORTLAND COMPANY 020.1084.520000 2,586.28 Concrete 92323586/36190/3 346705 6189 2,586.28 CDW GOVERNMENT, INC. 011.9019.520010 816.60 Item No. 1824113-- SF74182 Oil 0010380 346706 011.9019.520010 257.57 Item No. 2683253-- SF74182 011 0010380 346706 011.9019.520010 257.57 Item No. 2683253- SF74182 011.0010380 346706 011.9019.520010 73.50 Sales Tax SF74182 346706 011.9019.520010 23.18 Sales Tax SF74182 346706 011.9019.520010 23.18 Sales Tax SF74182 346706 1,451.60 DEPT OF TRANSPORTATION 011.1043.590000 1,776.53 Traffic Signal Maintenance 98360 346707 1,776.53 CITY OF SIGNAL HILL 011.1043.596200 59,135.59 Integrated Monitoring Program LARUR220147 346708 59,135.59 CLEANSTREET, INC. 011.1043.590000 9,199.72 Sweeper Service 76776 346709 9,199.72 CRAIG WELDING SUPPLY CO. 011.1047.520000 130.15 Welding Supplies- 605284 011 0009929 346710 Printed,2/2412015 3,58:13PM Page 15 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT 130.15 DANGELO CO. 011.120010 1,404.98 Water parts- S1237602001 011.0009962 346711 011.120010 7,470.00 Mueller Gate Valve, 14", M.J., item S1238736001 011.0010368 346711 011,120010 456.00 Wedge Action Retainer Kit, item# 14", S1238736001 011.0010368 346711 011.120010 713.34 Sales Tax S1238736001 346711 10,044.32 DAPPER TIRE COMPANY 011.1046.520000 585.00 Goodyear wrangler tires 41525059 011.0010389 346712 011.1046.590000 10.50 State tire fee 41525059 011.0010389 346712 011.1046 520000 52.65 Sales Tax 41525059 346712 648.15 DAVID KAWASAKI 011,1026 596800 950.00 Tuition Reimbursement 020215 346713 950.00 DR JB, LLC 095.5095.400900 1.213.31 Refund Parcel Tax- 021715 346714 1,213.31 DTSC 011.123100 3,052.75 Former Thermador Industrial Site 14SM1822 346715 3,052.75 EL MONTE TRANSMISSION 011.1046.520000 1,500.00 Parts cost to rebuild transmission 12148 011.0010385 346716 011,1046 590000 1,100.00 total labor cost to rebuild transmission 12148 011.0010385 346716 011.1046.520000 142.50 Sales Tax 9.5% 12148 346716 2,742.50 EMPIRE WEST CORPORATION 011A046.520000 49.00 filter 60 mesh (5PKG) 41813 011.0010348 346717 Printed:2124/2015 3:58-13PM Page 16 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT EMPIRE WEST CORPORATION 011.1046.590000 895 Freight 41813 011.0010348 346717 011.1046.520000 4.41 Sales Tax 41813 346717 62.36 EQUIPMENT PRO, LLC 020.1084.520000 1,399.11 3"Trash Pump, 369 gpm, 95"head, 34486 011,0010341 346718 Honda 020.1084.520000 165.00 Hose Suction, 3"X 25', Quick Coupler, 34486 011.0010341 346718 020.1084.520000 150.00 Hose Discharge, 3"X 50', Quick 34486 011.0010341 346718 020.1084.520000 65.00 Freight 34486 011.0010341 346718 020.1084.520000 154.27 Sales Tax 34486 346718 1,933.38 ERIK CHENG 060.6060.596500 202.40 HAZWOPER Training 021715 346719 202.40 F. GAVINA&SONS INC. 011.120010 1,152.00 Regular Coffee,42- 1.5 oz. pouches 3309622 01i.0010392 346720 1,152.00 FRUITLAND BOYLE INVESTMENTS 095.5095.400900 12,630.66 Refund Parcel Tax-- 021715 346721 12,630.66 GARVEY EQUIPMENT COMPANY 011.1046.520000 395.90 Lawn equipment parts&service_-- 79124/79282 011.0009915 346722 39590 GRAINGER CO. 020.1084.520000 288.52 Building hardware-- 9649472900 011.0009946 346723 288.52 HAUL-AWAY RUBBISH SERVICE 011.1033.520000 244.00 Disposal Services 123114 346724 CO. Printed:2124W15 3:58:13PM Page 17 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT HAUL-AWAY RUBBISH SERVICE 011.1043.596200 390.44 Disposal Services 123114 346724 CO. 011.1048.596200 61.00 Disposal Services 123114 346724 011.1049.596200 132.00 Disposal Services 123114 346724 827.44 HD SUPPLY WATERWORKS, LTD., 011.120010 1.830.41 Water Distribution Products-- D484628 011.0009931 346725 1,830.41 HEMA PATEL 011.1024.596500 52.87 Lunch Meeting 021215 346726 52.87 HOME DEPOT CREDIT SERVICES 011.1043 520000 311.09 Tools and plumbing hardware— 010515VRS 011.0009920 346727 011.1047.520000 62.03 Tools and plumbing hardware— 010515VRS 011.0009920 346727 011.1048.520000 1,373.21 Tools and plumbing hardware— 010515VRS 011.0009920 346727 011.1049.520000 1,004.84 Tools and plumbing hardware-- 010515VRS 011.0009920 346727 011.120010 782.97 Tools and plumbing hardware— 010515VRS 011.0009920 346727 020.1084.520000 207.44 Tools and plumbing hardware-- 010515VRS 011,0009920 346727 3,741.58 HUNTINGTON PARK RUBBER 011.1002.520000 26.40 SIGN16020A— 219013 011.0010376 346728 STAMP 011.1002.520000 2.38 Sales Tax 219013 346728 28.78 INSIGHT PUBLIC SECTOR, INC 011.9019.590110 2,104.78 1YR Dell Sonicwall Comp 1100400380 011.0010279 346729 Gatewaylicssec Printed:2124t2015 3.58:13PM Page 18 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT 2,104.78 INVESTIGATIVE POLYGRAPH 011 1031.596200 600.00 Polygraph Test 139 346730 SERV 600.00 JACKSON, JACKSON& 011.1031.596200 1,725.00 Background Check Fee 18 346731 ASSOCIATES 1,725.00 JERRY'S AUTO BODY INC 011.1046.520000 597.19 parts 28729 011.0010350 346732 011.1046.520000 280.50 paint and material 28729 011.0010350 346732 011.1046.590000 830.40 Labor to repair rear bumper and tailgate 28729 011.0010350 346732 011.1046.520000 78.99 Sales Tax 9% 28729 346732 011.1046.520000 105.60 Paint& material 28734 011,0010386 346732 011.1046.590000 294.40 Labor to repair left rear door 28734 011.0010386 346732 011.1046.520000 9.50 Sales Tax 28734 346732 011.1046.520000 22.50 door bushings 28735 011.0010384 346732 011.1046.590000 165.60 labor to replace bushins and align door 28735 011.0010384 346732 011.1046 520000 2.03 Sales Tax 9% 28735 346732 2,386.71 JSB FIRE PROTECTION, LLC 011.1033.595200 1,320.00 Permit Fees 15201 346733 1,320.00 KAFCO SALES CO. 011.120010 214.70 0515-480 Kresto hand cleaner, 2000 mL, 391379/391541124 011.0010363 346734 679 Pnnted:2/2412015 3:58:13PM Page 19 or 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT KAFCO SALES CO. 011 120010 522.00 0624-250 Atlas glove(large), 12 doz. 391379/391541/24 011.0010363 346734 679 011.120010 261.00 0624-251 Atlas glove (X-large), 12 3913791391541124 011.0010363 346734 679 011.120010 84.00 0650-100 Lined Bomber jacket(large), 3913791391541/24 011.0010363 346734 679 011 120010 168.00 0650-110 Lined Bomberjacket 391379/391541/24 011.0010363 346734 679 011.120010 84.00 0650-130 Lined Bomber jacket 391379/391541/24 011.0010363 346734 679 011 120010 120.03 Sales Tax 391379/391541/24 346734 679 1,453.73 KOH'S INVESTMENT PROPERTIES 095.5095.400900 1,213.31 Refund Parcel Tax- 021715 346735 1,213.31 L N. CURTIS &SONS 011.1033.520000 319.50 61403 Waterous 6"Suction Screen 134230000 011.0010335 346736 011.1033.520000 660.00 61740 Waterous 4" Suction Screen 134230000 011.0010335 346736 011.1033.520000 36.50 Freight 134230000 011.0010335 346736 011.1033.520000 88.16 Sales Tax 134230000 346736 1,104.16 LIEBERT CASSIDY WHITMORE 011.1024.593200 1,136.00 General Matters 1398514 346737 011.1024-593200 32.50 Malkenhorst Breach of Contract 1398515 346737 Complaint 011.1024.593200 790.50 Hill NOI for Termination 1398516 346737 011.1024-593200 1,424.05 Francesco Pirello IDR 1398517 346737 Punted.2/24/2015 3 5813PM Page 20 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT LIEBERT CASSIDY WHITMORE 011.1024.593200 25.50 J. Chavez Complaint for Harrassment 1398518 346737 011.1024.593200 331.50 Malkenhorst Breach of Contract 1398519 346737 3,740.05 LIFELOC TECHNOLOGIES 011.1031.590000 700.00 One-Year Extended Service Plan for four 020115VRS 011.0010419 346738 700.00 LINDAJOHNSON 011.1061.596500 69.00 Roundtable Meeting 012215 346739 69.00 LOPEZ& LOPEZ TIRE SERVICE 011.1046.520000 395.88 Tires and repairs— 11966 011.0009959 346740 395.8E MARX BROS. FIRE EXTINGUISHER 011.1049.590000 4,900.00 Annual Fire Extinguisher Service 66634 346741 4,900.00 MSW CONSULTANTS 011.1061 595200 9,581.34 Sustainability Services VRN1502 346742 011.1061.595200 5,932.50 Professional Services VRN1503 346742 15,513.84 NEWBASIS 011.120010 2,110.00 Fiberglass 1 Polymer Concrete Assembly, 453606 011.0010361 346743 011.120010 135.88 Freight 453606 011.0010361 346743 011.120010 184.63 Sales Tax 8.75 453606 346743 2,430.51 NORTH STAR GRAPHICS 011.1031.570000 310.65 Graphics Replacement 8332 346744 310.65 Printed:2124/2015 3 58 13PM Page 21 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT PLURALSIGHT, LLC 011.9019.596700 1,497.00 License Renewal- 30036 011.0010383 346745 1,497.00 PROFORMA EXPRESS GRAPHICS 011.1004.520000 71.32 Lazer W2 4UP Envelopes, -- 9015600535 011.0010339 346746 011 1004.520000 6.42 Sales Tax 9015600535 346746 77.74 PURE WATER SCIENCE, LLC 011.1049.520000 1,617.56 Water System Rental 23582 346747 1,617.56 RICHARDS, WATSON&GERSHON 011.1024.593200 798.13 LA MS4 Permit Petition 200007 346748 798.13 ROBERTO SOUSA 011.1031.502030 237.97 Vision Benefits: M. Sousa 020415 346749 237.97 SANTA FE BUILDING 011.1049.590000 6,591.07 Janitorial Services 13506 346750 MAINTENANCE 6,591.07 SCHLOBOHM LAND& 095.5095.400900 2,534.72 Refund Parcel Tax-- 021715 346751 DEVELOPMENT 2,534.72 SLA CORPORATION 011.9019.590110 3,893.64 ESChat GSA Annual License 120201522 011.0010369 346752 3,893.64 SNAP-ON INDUSTRIAL 011 1046.590000 297.00 Labor only to diagnose and repair shop ARV24773950 011.0010346 346753 297.00 Printed:2/24/2015 3:58:13PM Page 22 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT SO_ CAL LAND MAINTENANCE, 011.1049.590000 2,501.80 Monthly Maintenance 3846 346754 INC. 2,50180 SPECTRUM VISION CENTER 011.1033.502030 75.00 Vision Benefits: N. Dome 020215 346755 011.1033.502030 75.00 Vision Benefits: L. Dome 020215(B) 346755 150.00 SPEEDO ELECTRIC CO. 011 1046.520000 250.00 Parts and labor to repair complete 10747 011.0010387 346756 011.1046.520000 22.50 Sales Tax 10747 346756 272.50 SUPER FORD 011.1046.520000 33.99 Auto parts for cars&trucks.- 5223721 011.0009916 346757 33.99 SUPERIOR CT OF CAL OF LA 011.1031.594200 237.50 Parking Citation Revenue 012315 346758 237.50 THE DATALOK COMPANY 011.9019.560010 169.16 During the period of July 1, 2014 thru 6090975900 011.0009984 346759 169.16 THE LIGHTHOUSE INC 011.1046.520000 240.17 Auto parts&electrical supplies-- 010515VRS 011.0009917 346760 240.17 THOMSON REUTERS 011.1031.596600 554.16 Subscription Fees 831157564 346761 554.16 THOMSON REUTERSIBARCLAYS 011.1060.596600 175.00 Subscription Charges 020515 346762 Printed'2124/2015 3:58 13PM Page 23 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT 175.00 TLC PET MEDICAL CENTER 011.1031.594200 1,243.17 Canine medical services and medications 280270 011.0009940 346763 1,243.17 TRANSCORE ITS, LLC 011.3043.900000 18,575.40 Traffic Control System Project 1500137 346764 18,575.40 U.S. HEALTHWORKS MEDICAL 011.1026.597000 826.00 DOT/Hep B/Pre-Employment 2639026CA 346765 GROUP 826.00 VERIZON WIRELESS 011.9019.520010 749.99 IPHONE 6 PLUS 16GB-- INV8230308 011.0010269 346766 011.9019.520010 -450.00 Discount INV8230308 011.0010269 346766 011.9019.520010 67.49 Sales Tax INV8230308 346766 011.9019.520010 649.99 IPHONE 6 16GB-- INV8230309 011.0010270 346766 011.9019.520010 -450.00 Discount INV8230309 011.0010270 346766 011.9019.520010 58.49 Sales Tax INV8230309 346766 625.96 VULCAN MATERIALS COMPANY 020 1084.520000 444.59 Asphalt 70645713/7418/54 346767 715 444.59 TOTAL PRINTED CHECKS $ 203,281.47 Printed:2/24/2015 3 5&13PM Page 24 of 25 CITY OF VERNON WARRANT REGISTER NO. 1419 MARCH 3, 2015 RECAP BY FUND EARLY PRINTED FUND WIRE TOTAL CHECK TOTAL CHECK TOTAL TOTAL 011 -GENERAL $ 1,173,718.67 $ 79,047.26 $ 180,026.86 $ 1,432,792.79 020-WATER 194.893.79 31.61 5,460.21 200,385.61 057- FIBER OPTIC 0.00 5,125.20 0.00 5,12520 060- HAZARDOUS WASTE 139.00 0.00 202.40 341.40 095- PARCEL TAX 0.00 0.00 17,592.00 17,592.00 GRAND TOTAL $ 1,368,751.46 $ 84,204.07 $ 203,281.47 $ 1,656,237.00 TOTAL CHECKS TO BE PRINTED 74 Printed;212412015 3:58:13PM Page 25 of 25 FV Fa v RECEIVED R E C E R V E L ��`,Y ,w ► FEB 2 5 2015 FEB 2 4 2015 f STAFF REPORT CITY ADM I N ISTRATI 0 N CITY CLERKS 0rFfr.. FINANCE/TREASURY DEPARTMENT DATE: February 24, 2015 TO: Honorable Mayor and City Council FROM: William Fox, Finance Director UOl' RE: Light & Power Warrant Register for City Council Agenda of March 3, 2015 It is recommended that the attached Light & Power Warrant Register No. 384 be approved at the City Council meeting of March 3, 2015. Light & Power Warrant Register No. 384 totals $4,780,070.16, and covers claims and demands presented during the period of February 10 through February 23, 2015, drawn, or to be drawn, from East West Bank. The following list details the components of Light & Power Warrant Register No. 384: 1. Ratification of wire transfers totaling $4,653,874.79; 2. Ratification of the issuance of early checks totaling $26,983.60; and 3. Authorization to issue pending checks totaling $99,211.77. tifv'_J q off.yER G 4,i LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 01 Aile d vilr SIP I hereby certify that claims and/or demands included in above listed warrant This is to certify that the claims or demands covered by the above listed register have been audited for accuracy and availability of funds for warrants have been audited by the City Council of the City of Vernon and payments and that said claims and/or demands are accurate and that the that all of said warrants are approved for payments except Warrant funds are available for payments thereof. Numbers: William Fox Finance Director Date: Printed:2/24/2015 4:15:17PM Page 2 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2016 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CALIFORNIA ISO 055.9200.500170 -564.31 Initial Charges 02115 201502033129176 5780 104 055.9200.500190 -63.30 Initial Charges 02115 201502033129176 5780 104 055.9200.500150 4,785.83 Initial Charges 02115 201502033129176 5780 104 055.9200.500210 1,722.11 Initial Charges 02/15 201502033129176 5780 104 055.9200.500170 -33,495.10 Revised Charges 02/12 201502033129176 5780 104 055.9200.500190 -3,715.95 Initial Charges 01/15 201502033129176 5780 104 055.9200.500150 114,483.41 Initial Charges 01/15 201502033129176 5780 104 055.9200.500170 895,336.91 Initial Charges 01/15 201502033129176 5780 104 055.9200.500210 15,839.51 Initial Charges 01/15 201502033129176 5780 104 055.9200.500240 966.08 Initial Charges 01/15 201502033129176 5780 104 055.9200.500150 -5,750.97 Revised Charges 01115 201502033129176 5780 104 055.9200.500170 -1,094.78 Revised Charges 01/15 201502033129176 5780 104 055.9200.500190 -104.02 Revised Charges 01/15 201502033129176 5780 104 055.9200.500210 -0.92 Revised Charges 01/15 201502033129176 5780 104 02/09/2015 988,344.50 Printed 2/2412015 4:15:17PM Page 3 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT EAST WEST BANK 055.9000 596500 1,02840 Airfare 012115 5781 055.9100.596550 16500 Membership: A. Nour 012115 5781 055.9000 520000 101.11 Supplies 012115 5781 055.8100.520000 3000 Supplies 012115 5781 055.9000.596500 110.00 Training: L. Umeda 012115 5781 02/17/2015 1,434.51 EDF TRADING NORTH AMERICA, 055.9200,500150 39,820.00 PURCH 1,520 MWH 154207 5782 LLC 02/20/2015 39,820 00 EXELON GENERATION COMPANY 055.9200.500150 16,420.00 PURCH 64OMWH VERNON00063A 5783 LLC 02/20/2015 16,420.00 BICENT(CALIFORNIA) MALBURG 055.9200.500150 355,912.17 Energy&Capacity Payments 1201501 5784 055.9200.500180 2,049,208.40 Energy&Capacity Payments 1201501 5784 055.9200.500150 -4,251.85 Fuel Burden 1201501 5784 02/20/2015 2,400,868.72 TRANS ALTA ENERGY MARKETING 055.9200.500150 11,500.00 PURCH 400 MWH 9500050368 5785 02/20/2015 11,500.00 PETRELLI ELECTRIC INC. 055.200400 518,887.09 Electric Service Maintenance 150073 5786 055.200400 598,213.97 Electric Service Mainlance 150074 5786 02/20/2015 1,117,101.06 POWEREX CORP. 055.9200.500154 78,386.00 Renewable Energy Purchase:- 50598092 5787 Printed 2/24/2015 4 15:17PM Page 4 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 WIRES ACCOUNT DATE WIRE VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT 02/20/2015 78,386.00 TOTAL WIRES $ 4,653,874.79 Printed:2/24/2015 4:15:17PM Page 5 of 12 LIGHT S POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT CHRISTOPHER DELGADO 055 8000.596700 33.25 Business Writing Seminar 012615 511241 02/12/2015 33.25 ETHOSENERGY FIELD 055 8200 590000 13,866 61 Turbine Inspection IN45014 511242 SERVICES,LLC 02/12/2015 13,866.61 POWER MONITORS, INC. 055.9100.590110 5,940.00 Revolution PO Recorder- 1024MB, 10020178 055.0002243 511243 055.9100.590110 1,500.00 Ultra Slim Flexible CT, 4 CHANNEL, 10020178 055.0002243 511243 055 9100.590110 45.00 Clip, Revolution Mounting Clip 10020178 055.0002243 511243 055.9100.590110 37.43 Packaging and Handling 10020178 055.0002243 511243 055.9100.590110 67.37 Insurance 10020178 055.0002243 511243 055.9100.590110 13.31 Freight 10020178 055,0002243 511243 055.9100.590110 677.02 Sales Tax 10020178 511243 02112/2015 8,28013 SOUTHERN CALIFORNIA EDISON 055.8100.560010 43.37 Service Period: 12/30- 01/29 013015 511244 055.9200.560010 748.64 Service Period: 01/01-02/01 020315 511244 02/12/2015 792.01 JOINT POLE COMMITTEE 055.9100.596200 509.14 Operating Expenses 18473 511245 SOUTHERN 02/12/2015 509.14 HAUL-AWAY RUBBISH SERVICE 055.8400.596200 157.00 Disposal Services 51X00027 511246 CO. 055.8400.596200 61.00 Disposal Service 51X00028 511246 Printed:2/24/2015 4:15 17PM Page 6 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.Q.# ISSUED NUMBER AMOUNT 02/17/2015 218.00 FEDEX 055.9000.520000 136.13 Service Period: 02/15 293085211 511247 055.9000.520000 76.09 Service Period: 02/15 293810358 511247 02/19/2015 212.22 UPS 055.8000.590000 9 29 Service Period: 01/15 933312055 511248 02/19/2015 9.29 A-THRONE CO., INC. 055.8100.596200 95.06 Portable Restroom Rental 444801 511249 02/24/2015 95.06 MAYWOOD CAR WASH 055.8100.570000 49.00 Car Wash- 593 055.0002191 511250 02/24/2015 49.00 SILVA'S PRINTING NETWORK 055.7100.520000 1,389.18 Utilities Statement Window Envelopes 25646 055.0002237 511251 055.7100 520000 125.03 Sales Tax 25646 511251 02/24/2015 1,514.21 STAPLES ADVANTAGE 055.8000.520000 98.62 Office Supplies- 012415VRS 055.0002245 511252 055 8100.520000 20.76 Office Supplies-- 012415VRS 055.0002245 511252 055.7100.520000 278.58 Office Supplies- 012415VRS 055.0002245 511252 055.9000.520000 8.26 Office Supplies-- 012415VRS 055.0002245 511252 055.9100.520000 160.69 Office Supplies-- 012415VRS 055 0002245 511252 055.9200.520000 58.71 Office Supplies-- 012415VRS 055 0002245 511252 055.8000.520000 8.88 Sales Tax 012415VRS 511252 055.8100.520000 1.87 Sales Tax 012415VRS 511252 Printed:2124/2015 4:15:17PM Page 7 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT STAPLES ADVANTAGE 055,7100.520000 25.07 Sales Tax 012415VRS 511252 055.9000.520000 0.74 Sales Tax 012415VRS 511252 055,9100.520000 14.46 Sales Tax 012415VRS 511252 055.9200.520000 5.29 Sales Tax 012415VRS 511252 055 9000.520000 223.22 Office Supplies, - 122014VRS(D) 055.0002240 511252 055.9100.520000 300.10 Office Supplies, 122014VRS(D) 055.0002240 511252 055.9200.520000 22.74 Office Supplies, - 122014VRS(D) 055.0002240 511252 055.9000.520000 20.08 Sales Tax 122014VRS(D) 511252 055.9100.520000 27.00 Sales Tax 122014VRS(D) 511252 055.9200.520000 2.05 Sales Tax 122014VRS(D) 511252 02/24/2015 1,277.12 WALTERS WHOLESALE ELECTRIC 055.8000.590000 127.56 Electrical Parts-- 2089000/2088277 055.0002184 511253 CO. 02/24/2015 127.56 TOTAL EARLY CHECKS $ 26,983.60 Printed:2124/2015 4:15:17PM Page 6 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2016 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT ADHESION iNC. 055 110011 229.87 Refund on Closed Acct#1532 012915 511254 229.87 BLX GROUP LLC 055.9000.595200 9,000.00 Electric System Revenue Bonds 4199457121614 511255 9,00000 CH2M HILL ENGINEERS, INC. 055.9000.596200 41,857.57 Environmental Support Services 381017011 511256 41,857.57 EARTHTEK ENGINEERING CORP 055 110011 1,518.01 Refund on Closed Acc1#5818 012915 511257 1,518.01 EXTREME SAFETY, INC., 055.8000.590000 65.00 Calibration-RKI Eagle— 75943 055.0002246 511258 055.8000.590000 160.00 Oxygen Sensor for Eagle-- 75943 055.0002246 511258 055.8000.590000 20.25 Sales Tax 75943 511258 055.8300.520000 516.00 First Aid Kit, 76170 055.0002244 511258 055.8300.520000 46.44 Sales Tax 76170 511258 807.69 G &J COLLECTION 055 110011 305.69 Refund on Closed Acct#651 012915 511259 305.69 JIMENEZ DEMOLITION INC 055 110011 640.74 Refund on Closed Acct#5834 012915 511260 640.74 LEWIS BRISBOIS BISGAARD& 055.9000.593200 1,232.00 Utility Operations 1442190 511261 1,232.00 Printed:2/24/2015 4:15:17PM Page 9 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT MHL31, INC. 055.110011 166.84 Refund on Closed Acct#1249 012915 511262 166.84 POWER CONSULTANTS INC. PORT 055.9000.900000 10,920.00 Consulting Services VERNPVHJANI5 511263 CA 055.9000.596200 3,360.00 Consulting Services VERNPVHJANI5 511263 055.9000.596200 10,320.33 Consulting Services VERNPVHJANI5 511263 24,600.33 ROBERTS BROVEST PARTNERS 055,110011 567.98 Refund on Closed Acct#241 012815 511264 567.98 S&S PAVING 055.110011 769.63 Refund on Closed Acct#5823 012915 511265 769.63 SANTA'S TOYS CORP. 055.110011 367.86 Refund on Closed Accl.#1092 012915 511266 367.86 SOUTHERN STATES, LLC 055.8000,590000 336.22 Freight for Switch 86494F 511267 336.22 SPIEGEL&MCDIARMID, LLP. 055.9000.593200 4,424.75 Tariff Provisions 210207507 511268 4,424.75 STORAGE BATTERY SYSTEMS, 055.8000.590000 5,750.00 Tubular Plate— 546477 055.0002239 511269 INC. 055.8000.590000 580.00 Freight 546477 055,0002239 511269 055.8000.590000 517.50 Sales Tax 546477 511269 Printed:2/24/2015 4 15:17PM Page 10 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT 6,847.50 SULLY-MILLER CONTRACTING CO. 055.110011 770.15 Refund on Closed Acct#5790 012915 511270 770.15 THE CONSERVI-ECH GROUP 055.110011 768 12 Refund on Closed Acct#5821 012915 511271 768.12 TOTAL LOGISTICS AND FINISHING 055.110011 144.36 Refund on Closed Acct#821 012915 511272 144.36 V-BAR, LLC 055.9000.900000 2,870.00 Meteorological Data Collection 1501 511273 2,870.00 VIKING DEMOLITION 055.110011 742.46 Refund on Closed Acct#5813 012915 511274 742.46 WEIDMANN ELECTRICAL 055.8000.590000 244.00 During the period of July 1, 2014-- 5900085544 055.0002186 511275 TECHNOLOGY 244.00 TOTAL PRINTED CHECKS $ 99,211.77 Printed:2/24/2015 4 15,17PM Page 11 of 12 LIGHT& POWER WARRANT REGISTER NO. 384 MARCH 3, 2015 RECAP BY FUND EARLY PRINTED FUND WIRE TOTAL CHECK TOTAL CHECK TOTAL TOTAL 055- LIGHT&POWER $ 4,653,874.79 $ 26,983.60 $ 99,211.77 $ 4,780,070.16 GRAND TOTAL $ 4,653,874.79 $ 26,983.60 $ 99,211.77 $ 4,780,070.16 TOTAL CHECKS TO BE PRINTED 22 Printed:2/24/2015 4:15 17PM Page 12 of 12 pi Vg • ayJir.. y RED° it 77D :� i RECEDED FE3 d ;5 FEB 2 5 2015 OFFICE STAFF REPORT CITY ADMINISTRATION FINANCE/TREASURY DEPARTMENT DATE: February 24, 2015 TO: Honorable Mayor and City Council FROM: William Fox, Finance Director W7-�— RE: Gas Warrant Register for City Council Agenda of March 3, 2015 It is recommended that the attached Gas Warrant Register No. 172 be approved at the City Council meeting of March 3, 2015. Gas Warrant Register No. 172 totals $16,848.66, and covers claims and demands presented during the period of February 10 through February 23, 2015, drawn, or to be drawn, from East West Bank. The following list details the components of Gas Warrant Register No. 172: 1. Ratification of the issuance of early checks totaling $5,505.99; and 2. Authorization to issue pending checks totaling $11,342.67. 0 V4$ � o'y volt"� f J CITY OF VERNON GAS DEPARTMENT � - WARRANT REGISTER NO. 172 . � MARCH 3, 2015 �+f���r►�a�f I hereby certify that claims and/or demands included in above listed warrant This is to certify that the claims or demands covered by the above listed register have been audited for accuracy and availability of funds for warrants have been audited by the City Council of the City of Vernon and payments and that said claims and/or demands are accurate and that the that all of said warrants are approved for payments except Warrant funds are available for payments thereof. Numbers: William Fox Finance Director Date: Printed:2/24/2015 4:27:53PM Page 2 of 5 CITY OF VERNON GAS DEPARTMENT WARRANT REGISTER NO. 172 MARCH 3, 2015 EARLY CHECKS ACCOUNT DATE CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# ISSUED NUMBER AMOUNT ENERGY WORLDNET, INC. 056.5600.596700 1,125.00 OQ Compliance Courses 739124 1250 02/12/2015 1,125.00 HOME DEPOT CREDIT SERVICES 056.5600.520000 161.66 Small tools and plumbing hardware- 010815VRS 056.0000276 1251 02/12/2015 161.66 R.W. LYALL&COMPANY, INC. 056.120010 1,928.43 SPL0000- 106488 056.0000309 1252 056.120010 1,942.52 24190190- 106488 056.0000309 1252 056.120010 348.38 Sales Tax 106488 1252 02/12/2015 4,219.33 TOTAL EARLY CHECKS $ 5,505.99 Printed:2/24/2015 4:27:53PM Page 3 of 5 CITY OF VERNON GAS DEPARTMENT WARRANT REGISTER NO. 172 MARCH 3,2015 PRINTED CHECKS ACCOUNT CHECK VENDOR DISPLAY NUMBER AMOUNT DESCRIPTION INVOICE P.O.# NUMBER AMOUNT INTERSTATE GAS SERVICES, INC. 056.5600.596200 11,342.67 Natural Gas Consulting 7021222 1253 11,342.67 TOTAL PRINTED CHECKS $ 11,342.67 Printed:2/24/2015 4:27:53PM Page 4 of 5 CITY OF VERNON GAS DEPARTMENT WARRANT REGISTER NO. 172 MARCH 3, 2015 RECAP BY FUND EARLY PRINTED FUND WIRE TOTAL CHECK TOTAL CHECK TOTAL TOTAL 056- NATURAL GAS S 0.00 $ 5,505.99 $ 11,342.67 $ 16,848.66 GRAND TOTAL $ 0.00 $ 5,505.99 $ 11,342.67 $ 16,848.66 TOTAL CHECKS TO BE PRINTED 1 Printed:2/24/2015 4:27:53PM Page 5 of 5 V til••Ne. c►sN►`' RECFIVE FEB 2 6 2015 TAFF REPORT CITY CLERK'S OFFICE CITY ADMINISTRATION DATE: March 3, 2015 TO: Honorable Mayor and City Council FROM: Mark C. Whitworth, City Administrat r RE: Authorization to enter into a lease a reement, for approximately four months, for a section of the city yard located at 2221 551h Street, Vernon, with NRC Environmental Services Inc. Recommendation It is recommended that the City Council find that approval of the proposed parking lot lease agreement between the City of Vernon and NRC Environmental Services Inc. (NRC), in this staff report is exempt under the California Environmental Quality Act (CEQA) in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment. It is recommended that the City Council authorize the City Administrator to enter into a lot lease agreement, for approximately four months, located at 2221 551h Street, Vernon, to NRC at the determined market rate rent. The lease shall automatically, without further action by either party, become a month to month lease that may be terminated by either party upon thirty (30) days' prior written notice to the other, with or without cause, and without penalty or termination fee. Background The City was contacted by NRC Environmental Services Inc., regarding an interest in leasing a portion of the city yard located at 2221 551h Street to store certified clean dirt material for a project in the City. The section of the lot is approximately 4,000 square feet. The City will require NRC to construct a fence around the perimeter of the section to be leased. Based on previous negotiated lot lease agreements staff estimates the current market price to lease the City yard is approximately $.20 per square feet. In addition, the lease will have standard insurance and indemnity provisions running in favor of the City of Vernon, as well as maintenance obligations. Fiscal Impact For fiscal year 2014/2015 the City estimates it would generate $3,200 in rental income. LEASE OF CITY LOT LOCATED AT 2221 55" Street Vernon CA This Lease of Parking Lot ("Lease") is made this 3rd day of March, 2015 (the "Effective Date") by and between the City of Vernon ("Landlord") and NRC Environmental Services Inc., a Washington Corporation("Tenant"). Landlord and Tenant(the"Parties")hereby agree as follows: 1. PREMISES: The Parties agree that Landlord hereby leases to Tenant, the real property commonly known as the rear portion of the fenced parking area located at 2221, 551h Street, Vernon, California consisting of approximately 4,000 square feet (approximately 80 feet by 50 feet) and which property is precisely described on Exhibit A attached hereto and incorporated herein by this reference (the "Premises"). In the event of any discrepancy between the legal description shown in Exhibit A and the depiction shown in Exhibit A, the legal description shall control. Tenant, at its own cost, shall construct a fence around the perimeter of the Premises as described on Exhibit A. 2. TERM: The Lease begins on the Effective Date, and terminates on June 30, 2015. On July 1, 2015, this Lease shall automatically, without further action by either party, become a month to month lease that may be terminated by either party upon thirty(30) days'prior written notice to the other, with or without cause, and without penalty or termination fee. 3. RENT: a. Required Rent. The required rent is due on the first day of each month, except that the first month's rent is due upon execution of this Lease, as is the refundable deposit described in section 15. Tenant shall make all checks for sums owed to Landlord payable to the City of Vernon, at 4305 Santa Fe Avenue, Vernon, California 90058 unless otherwise notified in writing by the City, in which case the checks shall be handled in the manner requested. Rent due for any period of less than one month shall be a pro-rata portion of the monthly installment. b. Rent With Annual Increases. Starting on March 3rd,2015,the required rent shall be$800.00/month. C. Failure to timely pay. If Tenant does not timely pay the monthly rent, Tenant shall be required to pay an additional$70.00 of rent for the applicable month. 4. STORING DIRT MATERIAL USE ONLY. Tenant shall cause the Premises to be used solely for storing certified clean dirt material for Tenant. Proper dust control measures shall be implemented at all times to ensure that the dirt does not cause a dust nuisance. Minimum erosion and sediment control best management practices shall be implemented to prevent any sediment from migrating or transferring off the site. An executed statement to comply with minimum requirements of the stormwater permit form shall be executed and delivered to the City of Vernon Public Works Department prior to the delivery of any dirt to the site. Tenant covenants and agrees that it will not use or permit the Premises or any part thereof, to be used for any disorderly, unlawful or illegal purposes and warrants that it will comply with all applicable laws and regulations, including, without limitation, all environmental laws. Vehicles cannot be repaired or fueled while on the Premises. Page 1 of 8 5. UNLAWFUL USES PROHIBITED. Tenant covenants and agrees that it will not use or permit the Premises, or any part thereof, to be used for any disorderly, unlawful or illegal purposes and warrants that it will comply with all applicable laws and regulations, including, without limitation, all environmental laws. 6. INSURANCE: At all times during the duration of this Agreement, Lessor shall procure and maintain insurance in full compliance with the requirements set forth in Exhibit B to this Agreement. 7. MAINTENANCE, REPAIRS, ALTERATIONS: a. Inspection and Assumption of Risk. Tenant has completed a diligent inspection of the Premises. Tenant warrants that it thoroughly inspected the property, accepts the Premises "as is", with all faults, assumes all risks, known and unknown relating to the Premises, acknowledges that Landlord provides no warranties as to the condition of the Premises, and confirms Landlord has no obligation to improve,maintain, or repair the Premises. b. Duty to Maintain Premises. Tenant, at Tenant's expense, shall keep the Premises in good order, clean and free of debris and hazardous materials. Tenant shall not cause or allow the Premises to be used if the Premises are or become in any way dangerous. If Tenant determines that the Premises may include a dangerous condition,Tenant shall immediately notify Landlord in writing of such condition and shall request in writing authority from Landlord to complete any work necessary to remove such dangerous condition at Tenant's expense. C. No Improvements. In no event shall Tenant install or construct or maintain any improvements on the Premises without first: (1) obtaining the prior written consent of Landlord, and (2) obtaining any required permits. All such improvements shall be made and maintained in accordance with all applicable laws. Any improvements that are fixtures shall become the property of the Landlord at the termination of the Lease. d. No installations without approval. Tenant shall not place, use, or keep any building, shed, office, awning, projection, sign, device, or notice on the Premises without Landlord's prior written approval. 8. UTILITIES: Tenant shall be responsible for procuring service and paying for any and all utilities to be used by Tenant on the Premises. 9. HOLD HARMLESS: Tenant shall, to the maximum extent permitted by law, indemnify, protect, defend, and hold harmless Landlord and Landlord's employees, elected officials, agents and assigns from and against any and all liabilities, claims, obligations, damages, expenses (including, without limitation, reasonable attorneys' fees and costs), causes of action, suits, claims and judgments arising out of or resulting from(a) injury or damage to persons or property on the Premises; (b)the use of the Premises by Tenant and its employees, officers, directors, agents, representatives, invitees, and strangers; (c) damage caused to the Premises, including, without limitation, causing or permitting hazardous materials to be placed, stored, spilled, or left on the Premises; (d) Tenant's breach of its obligations under this Lease, and(e)Tenant's actions. Page 2 of 8 10. PERSONAL PROPERTY: Landlord shall not be liable for any damage to or theft or loss of any personal property located on the Premises. Landlord shall not be liable for any injury to Tenant or any other person in or about the Premises. Tenant shall pay all possessory interest taxes, if any, for any property related to the subject of this Agreement. 11. COMPLIANCE WITH LAWS AND REOUIREMENTS: Tenant shall at all times comply with all federal, state, and local laws applicable to the use and occupancy of the Premises, including, without limitation, laws related to environmental matters, health and safety matters, the Americans with Disabilities Act (ADA) and the National Pollution Discharge Elimination System (NPDES). 12. SECURITY: Tenant is solely responsible for the maintenance of safety, order, and security on the Premises, and acknowledges that Landlord shall not monitor, patrol, or secure the Premises, shall not prevent unauthorized persons from entering onto the Premises, and shall not ensure that unauthorized persons do not park in or loiter by the Premises. Tenant, at Tenant's expense, shall install two separate padlocks and a common chain for the gate. Tenant shall link the two padlocks together and between the ends of the chain so that opening either padlock opens the chain. The gate shall be left locked at any time when there are not people actively working on the Premises. 13. ASSIGNMENT SUBLETTING: Tenant shall not transfer or assign this Lease or sublet the whole or any part of the Premises without the prior written consent of Landlord, which consent may be denied in the sole and absolute discretion of the Landlord. 14. NOTICES: Whenever a party to this Lease is required or permitted to give or serve notice,request or demand to or on the other, such notice, request or demand shall be given or served upon the party to whom it is directed in writing and shall be delivered by overnight courier or forwarded by United States registered or certified mail, postage prepaid, posted in Los Angeles County, California, return receipt requested, and addressed as follows: If to Landlord: City of Vernon Attn: Alex Kung 4305 Santa Fe Ave. Vernon, California 90058 If to Tenant: NRC Environmental Services Inc. Attn: Frank Garrett 3777 Long Beach Boulevard, Suite 100 Long Beach CA, 90807 Notices delivered in such manner shall be deemed received upon actual receipt or refusal to accept delivery. Notice addresses may be changed by sending notice in accordance with the terms of this paragraph. 15. DEPOSIT AND TERMINATION OF LEASE. Tenant shall provide Lessor a refundable deposit of$1,600.00. At the termination of this Lease,Tenant shall surrender and deliver up the Premises Page 3 of 8 to Landlord in the same condition as received, less normal wear and tear, free of debris and Tenant's personal items and equipment. If Tenant fails to return the Premises in such condition, then Lessor shall have the option of either (a) withholding all of the deposit until the Premises are returned to such condition, or (b) withholding a portion of the deposit to offset the damage suffered by Landlord, and returning the rest of the deposit. The right to withhold any portion of the deposit shall be in addition to all other remedies authorized by law. 16. LIENS PROHIBITED. Tenant shall not cause or permit any liens to be filed against the Premises, and shall cause any such lien that may be filed to be removed within 10 days after it has been filed. 17. BREACH OF AGREEMENT. Notwithstanding any other provision of this Agreement to the contrary, in addition to any other remedies that Landlord may have, if Tenant violates any of the terms of this Agreement, and Landlord provides 15 days written notice to Tenant to cure all violations of this Agreement (including having paid any required additional rent), and Tenant fails to cure the violations of that 15 day period, Landlord shall have the option to require Tenant to immediately quit the property. 18. MISCELLANEOUS PROVISIONS: 18.1 Entire Agreement. This Lease represents the entire agreement between the parties as to the matters contained herein, and supersedes all prior and contemporaneous discussions, negotiations, and writings. This Lease may be modified only by an agreement in writing signed by all the parties to this Lease or their respective successors in interest. 18.2 Attorney Fees to PrevailingParty. If either party to this Lease brings an action to enforce the terms hereof, or declare rights hereunder, the prevailing party in any such action, on trial or appeal, shall be entitled to its reasonable attorney's fees to be paid by the losing party as fixed by the court. 18.3 California Law. This Lease shall be governed by and construed under the internal laws of the State of California, without regard to conflicts of laws principles. 18.4 Waiver. No waiver by Landlord of any provision hereof shall be deemed a waiver of any other provision. Landlord's consent to or approval of any act shall not be deemed to render unnecessary the obtaining of Landlord's consent to or approval of any subsequent acts by Tenant. Page 4 of 8 Executed and effective as of the date first above written. LANDLORD TENANT City of Vernon NRC Environmental Services Inc. By: By: Name: Mark C. Whitworth Name: Frank Garrett Title: City Administrator Title: Business Manager So. Cal. Region ATTEST: By: Name: Patricia Bristow Title: NRC Regional Accounting Manager Maria Ayala, City Clerk APPROVED AS TO FORM Hema Patel, City Attorney Page 5 of 8 PREMISESEXHIBIT A LEGAL DESCRIPTION AND PICTURE OF - w 4 - -•per _. � 2 ZTt'1-E5'5t'hm't�'. -. EXHIBIT B INSURANCE REQUIREMENTS This Exhibit B is part of the Agreement entitled as the" "and all defined in the Agreement have the same meaning as in this Exhibit B and vice versa. Insurance Requirements for Property Leases Tenant shall procure and maintain, for the duration of the Agreement, insurance against claims for injuries to persons or damages to property which may arise from or in connection with the Tenant's operation and use of the Premises. MINIMUM SCOPE AND LIMITS OF INSURANCE Coverage shall be at least as broad as: 1. Commercial General Liability(CGL): Insurance Services Office Form CG 00-01 covering CGL on an"occurrence"basis, including property damage, bodily injury and personal injury with limits no less than $1,000,000 per occurrence, with a general or annual aggregate of$2,000,000. 2. Auto Liability: ISO Form Number CA 00 01 covering any auto(Code 1),or if Contractor has no owned autos,hire, (Code 8)and non-owned autos (Code 9),with a limit no less than 1,000,000 per accident for bodily injury and property damage, with a general or annual aggregate of$1,000,000. 3. Workers' Compensation: as required by the State of California, with Statutory Limits, and Employer's Liability Insurance with limits of no less than$1,000,000 per accident for bodily injury and disease. If the Tenant maintains higher limits than the minimums shown above, the Lessor requires and shall be entitled to coverage for the higher limits maintained. Other Insurance Provisions: The policies are to contain, or be endorsed to contain,the following provisions: 1. Additional Insureds. For General Liability,the Lessor, its officers, officials, employees, and volunteers are to be covered as additional insured's with respect to liability arising out of ownership,maintenance, or use of that part of the premises leased to the Tenant. 2. Insurance is Primary. The Tenant's insurance coverage shall be primary insurance as respects the Lessor, its officers, officials, employees and volunteers. Any insurance or self-insurance maintained by the Lessor, its officers, officials, employees, or volunteers shall be excess of the Tenant's insurance and shall not contribute with it. 3. No subro atg ion. Each insurance policy required above shall contain,or be endorsed to contain, a waiver of all rights of subrogation against the Lessor. Page 7 of 8 City of Vernon Insurance Requirements for Risk Management Property Leases 4. Notice of Cancellation. Each insurance policy shall be endorsed to state that coverage shall not be canceled except after thirty(30) days' prior written notice(10 days for non- payment) has been given to the Lessor. 5. Lessor is Loss Payee. The Property insurance shall name the Lessor as Loss Payee as its interests may appear. Acceptability of Insurers: Insurance is to be placed with insurers with a current A.M. Best's rating of no less than A: VII,unless otherwise acceptable to the Lessor. Deductibles and Self-Insured Retentions Any deductibles or self-insured retentions must be declared to and approved by the Lessor. At the option of the Lessor, either: the Tenant shall obtain coverage to reduce or eliminate such deductibles or self- insured retentions as respects the Lessor, its officers, officials, employees, and volunteers; or the Tenant shall provide a financial guarantee satisfactory to the Lessor guaranteeing payment of losses and related investigations, claim administration, and defense expenses. Verification of Coverage: Tenant shall furnish the Lessor with original certificates and amendatory endorsements or copies of the applicable policy language providing the insurance coverage required above. All certificates and endorsements are to be received and approved by the Lessor before Tenant occupies the premises. However, failure to obtain the required documents prior to utilizing the premises shall not waive the Tenant's obligation to provide them. The Lessor shall retain the right to require complete, certified copies of all required insurance policies, including endorsements,required by these specifications, at any time. Waiver of Subrogation: Tenant hereby grants to the Lessor a waiver of any right to subrogation which any insurer of said Tenant may acquire against the Lessor by virtue of the payment of any loss under such insurance. This provision applies regardless of whether or not the Lessor has received a waiver of subrogation endorsement from the insurer. Special Risks or Circumstances: The Lessor reserves the right to modify these requirements at any time, including limits,based on the nature of the risk,prior experience, insurer, coverage,or other special circumstances. Page 8 of 8 of RECEIVED � 201 RECEIVED FEB t 5 FEB 2 4 2015 .01 all CITY ADMINISTRATION ty tt 4 CITY CLERK'S OFFICE FIRE DEPARTMENT Michael A. Wilson, Fire Chief 4305 Santa Fe Avenue,Vernon, California 90058 Telephone(323)583-8811 Fax (323)826-1407 February 11, 2015 Honorable Mayor and City Council City of Vernon Honorable Members: Attached is a copy of the Vernon Fire Department Activity Report which covers the period of January 16, 2015 through January 31, 2015. Respectfully Submitted, Michael A. Wilson Fire Chief MAW:ar Fireletnow EFCcCusiveCy IndustnaC VERNON FIRE DEPARTMENT COMPANY ACTIVITIES January 16,2015 to January 31,2015 This Period Last Year This This Year Last Year To Date Period To Date ACTIVITY TYPE FIRE PREVENTION: Regular Inspections (#): 38 112 70 111 Re-Inspections(#): 4 21 6 32 Spec. Haz. Inspections (#): 0 0 14 17 Total Inspections: 42 133 90 160 Total Man Hours: 99 202 171 256 TRAINING (HOURS): Firefighting 127 220 100 185 Hazardous Materials 31 65 27 92 Safety 148 273 126 262 Apparatus Operations 148 272 133 271 Equipment Operations 148 270 133 272 CPR 1 2 6 13 First Aid 32 50 33 48 Total Hours: 635 1152 558 1143 PRE-INCIDENT (HOURS): Planning 91 167 87 160 District Familiarization 98 178 104 183 Total Hours: 189 345 191 343 PERIODIC TEST(HOURS Hose Testing 2 6 10 26 Pump Testing 0 0 0 10 Total Hours: 2 6 10 36 Page 1 PUBLIC SERVICE PROGRAMS (HOURS) School Programs 0 4 0 5 Fire Brigades 0 0 0 5 Emergency Preparedness 12 25 11 31 Total Hours: 12 29 11 41 ROUTINE MAINTENANCE (HOURS): Station 132 260 126 256 Apparatus 133 258 129 271 Equipment 134 264 129 267 Total Hours: 399 782 384 794 Grand Total Hours: 1336 2516 1325 2613 Tireactivity Page 2 T 0 blk T O w a nE � o � A T .V N N T C w - � 02 C R T all d c r N r f4 r t �Q r rL� r r f+7 r W r N T• T• A r m • i • �r 4.0 LLI w c 1- a � m �it Z 0.3 � � z° 3 c �i i CQa E mj A Cc 9 NO z n. W, Lu u an Z MtjaClLl- H � � � Lii� _ � v� >> W W W W W W yJ W W W w U. Li Li U. U- L1. U. LL. Li w 6fl Incident Type Incident Date PREVENTION FOLLOW-UP? Shift 321 EMS call, excluding vehicle accident with inju 01/16/201 5 1 0:09:30 No 321 EMS call, excluding vehicle accident with inju 01/17/2015 14:19:54 No 745 Alarm system activation,no fire,unintentional 01/1 8/201 5 22:16:38 No 745 Alarm system activation,no fire,unintentional 01/19/2015 01:52:56 No 321 EMS call, excluding vehicle accident with inju 01/19/2015 10:33:01 No 311 Medical assist, assist EMS crew 01/19/2015 11:29:12 No 611 Dispatched & canceled en route 01/19/201 5 1 3:30:48 No 311 Medical assist, assist EMS crew G1119/2015 19:54:25 No 700 False alarm or false call, other 01/20/2015 07:23:44 No 321 EMS call, excluding vehicle accident with inju 01/20/2015 09:57:44 No 322 Motor vehicle accident with injuries 01/20/2015 11:55:46 No 311 Medical assist, assist EMS crew 01/20/2015 17:30:21 No 520 Water problem, other 01/21/2015 11:06:37 No 322 Motor vehicle accident with injuries 01/21/2015 14:30:02 No 745 Alarm system activation,no fire,unintentional 01/22/2015 10:42:19 No 321 EMS call, excluding vehicle accident with inju 01/22/2015 10:57:58 No 324 Motor vehicle accident with no injuries 01/23/2015 17:21:24 No 611 Dispatched & canceled en route 01/23/2015 17:49:44 No 741 Sprinkler activation, no fire-unintentional 01/23/2015 18:05:32 No 321 EMS call, excluding vehicle accident with inju 01/24/2015 01:52:57 No 611 Dispatched &canceled en route 01/24/2015 08:49:37 No 611 Dispatched &canceled en route 01/24/2015 19:18:45 No 611 Dispatched & canceled en route 01/24/2015 22:56:08 No 311 Medical assist, assist EMS crew 01/25/2015 19:05:04 No 321 EMS call, excluding vehicle accident with inju 01/25/2015 22:21:00 No 520 Water problem,other 01/26/2015 06:16:31 No 732 Extinguishing system activation due to malfunc 01/26/2015 14:26:25 No 733 Smoke detector activation due to malfunction 01/27/2015 03:45:20 No 745 Alarm system activation,no fire,unintentional 01/27/2015 06:36:26 No 321 EMS call, excluding vehicle accident with inju 01/27/2015 10:12:11 No 324 Motor vehicle accident with no injuries 01/27/2015 10:19:54 No 324 Motor vehicle accident with no injuries 01/27/201 5 1 0:27:28 No 611 Dispatched &canceled en route 01/27/2015 1 1:13:59 No 322 Motor vehicle accident with injuries 01/28/2015 06:22:00 No 611 Dispatched &canceled en route 01/28/2015 09:29:41 No 745 Alarm system activation,no fire,unintentional 01/28/2015 10:14:20 No 321 EMS call, excluding vehicle accident with inju 01/28/2015 11:18:07 No 321 EMS call, excluding vehicle accident with inju 01/28/2015 12:20:42 No 321 EMS call, excluding vehicle accident with inju 01/28/2015 12:44:25 No 321 EMS call, excluding vehicle accident with inju 01/29/2015 06:22:29 No 700 False alarm or false call, other 01/29/2015 08:45:08 No 321 EMS call, excluding vehicle accident with inju 01/29/201 5 1 1:31:50 No 651 Smoke scare, odor of smoke 01/29/2015 12:45:12 No 322 Motor vehicle accident with injuries 01/29/2015 16:08:53 No 735 Alarm system sounded due to malfunction 01/29/2015 17:02:50 No 611 Dispatched S canceled en route 01/29/2015 21:31:19 No 324 Motor vehicle accident with no injuries 01/30/2015 01:06:03 No 700 False alarm or false call, other 01/30/2015 11:02:42 No 652 Steam, vapor, fog or dust thought to be smoke 01/30/2015 12:27:08 No 700 False alarm or false call, other 01/30/2015 15:30:53 No 324 Motor vehicle accident with no injuries 01/30/2015 16:27:13 No 700 False alarm or false call, other 01/31/2015 06:21:43 No 381 Rescue or EMS standby 01/31/2015 10:41:41 No 611 Dispatched &canceled en route 01/31/2015 12:42:42 No 400 Hazardous condition, other 01/31/2015 13:04:42 No 500 Service Call, other 01/31/2015 13:05:42 No 311 Medical assist, assist EMS crew 01/31/2015 19:53:23 No T 0 N 4 z w I IN" t 0 a Ln a� Lnj IL o s A NN T a � a •r T Now CL ^� N C T � C x o a f+"1 r• N T' M r r r �+ r r i+ r r � 1"�! r r r r � N r N r � 'Q N • • i M e s • n a as La IV C H • a 5 u 0 Z .�+ 0 C QI z l7 j U • Y 7 = OC y V1 F, p �' 9C ui Lou o0,- CLiAz " LE aap ' La R ,3a, a � � u � � z = v a�ii� 9 o � W G N pVap V Lit J ~ Q F `� Y d E a d u o � - z VN = � Q W V V z z p j Z aac� co � xxxxxv, � � � � v � oac .�+ � 33 W W W W W W W W W W W W W W W W W W IL il. la. 1i Ls. li 1i 1i 1L V1 in 6 N r a 0 z w � t a o oG �x w � Ln � o Ln N n Q V o r N w � a � o o � , i■■i V n a � o F CL O � Z a o LLI � u 3 r M N N r r �+ N r r r r M 1� r •O r LA N N r %C r r r • O + + # i z °7 z 3 IL w aN = Z a of a, E E #r C �ry Q ; Z a J a r, c hi .r z _ � L0uu. o r 3 3 �- az_ a49P LaJt- uFU. 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RECEIVED of Zoe FEB 2 4 2015 f f CITY 4 NI STRATI O N ._r RECEIVED FIRE DEPARTMENT FEB 2 4 2015 Michael A.Wilson,Fire Chief 4305 Santa Fe Avenue,Vernon,California 90058 CITY CLERK'S OFFICE Telephone(323)583-8811 Fax(323)826-1407 February 24, 2015 Honorable Mayor and City Council City of Vernon Honorable Members: Attached is a copy of the Vernon Fire Department Activity Report which covers the period of February 1, 2015 through February 15, 2015. Respectfully Submitted, Michael A. Wilson Fire Chief MAW:ar Fireletnow ECcCusiveCy IndustriaC VERNON FIRE DEPARTMENT COMPANY ACTIVITIES February 1,2015 to February 15,2015 This Period Last Year This This Year Last Year To Date Period To Date ACTIVITY TYPE FIRE PREVENTION: Regular Inspections (#): 55 167 65 176 Re-Inspections (#): 5 26 7 39 Spec. Haz. Inspections (#): 0 0 0 17 Total Inspections: 60 193 72 232 Total Man Hours: 69 271 98 354 TRAINING(HOURS): Firefighting 86 306 97 282 Hazardous Materials 28 93 36 128 Safety 119 392 131 393 Apparatus Operations 117 389 125 396 Equipment Operations 120 390 125 397 CPR 8 10 0 13 First Aid 18 68 31 79 Total Hours: 496 1648 545 1688 PRE-INCIDENT (HOURS): Planning 72 239 87 247 District Familiarization 79 257 94 277 Total Hours: 151 496 181 524 PERIODIC TEST (HOURS): Hose Testing 2 8 0 26 Pump Testing 0 0 0 10 Total Hours: 2 8 0 36 Page 1 PUBLIC SERVICE PROGRAMS (HOURS) School Programs 0 4 3 8 Fire Brigades 0 0 3 8 Emergency Preparedness 10 35 5 36 Total Hours: 10 39 11 52 ROUTINE MAINTENANCE (HOURS): Station 115 375 118 374 Apparatus 117 375 117 388 Equipment 118 382 118 385 Total Hours: 350 3594 353 1147 Grand Total Hours: 1078 6056 1188 3801 Tireactivity Page 2 VERNON FIRIE DEPARTMENT t Type of Incident Report LV 41Ity01 Total Incidents: 2015 72 February 1,2015-February 15,2015 02/24/2015 INCIDENT TYPE E ABDOMINAL PAIN-1)"' 1 E CHEST PAIN-D"' 3 E DIFFICULTY BREATHING-D... 3 E FALL VICTIM-D` 1 E HAZMAT/CHEMICAL-D"'" 1 E HAZMAT/UNKNOWN-D"" 1 E HEART ATTACK-1)"' 1 E SICK PERSON-D' 3 E TC BIKE/MOTORCYCLE-D*'* 1 E TRAFFIC COLLISION-D"" 10 E TRAUMATIC INJURIES-D... 2 E UNC PER/FAINTING (NEAR)-D—' 4 E UNKNOWN PROBLEM-D"" 7 F Commercial Fire 2 F Fire Alarm No Reset 4 F Fire Alarm With Reset 3 F Investigation 5 F Rubbish Fire 1 F Vehicle Fire 1 F Water Flow Alarm No Reset 8 F Water Flow Alarm With Reset 6 S Moveup 2 S Water Problem 2 Incident Type Incident Date PREVENTION FOLLOW-UP? Shift 324 Motor vehicle accident with no injuries 02/02/2015 06:04:36 No 321 EMS call, excluding vehicle accident with inju 02/02/2015 07:48:14 No 321 EMS call, excluding vehicle accident with inju 02/02/2015 19:45:27 No 151 Outside rubbish, trash or waste fire 02/03/2015 07:48:37 No 321 EMS call, excluding vehicle accident with inju 02/03/2015 10:35:35 No 322 Motor vehicle accident with injuries 02/03/2015 17:36:19 No 02/04/2015 03:23:36 No 02/04/2015 06:12:43 No 321 EMS call, excluding vehicle accident with inju 02/04/2015 09:10:46 No 571 Cover assignment, standby, moveup 02/04/201 5 1 1:24:51 No 700 False alarm or false call, other 02/04/2015 13:58:00 No 322 Motor vehicle accident with injuries 02/04/2015 14:02:02 No 321 EMS call, excluding vehicle accident with inju 02/05/2015 07:20:22 No 611 Dispatched & canceled en route 02/05/2015 11:52:29 No 251 Excessive heat, scorch burns with no ignition 02/05/2015 13:15:46 No 321 EMS call, excluding vehicle accident with inju 02/05/2015 14:32:13 No 700 False alarm or false call, other 02/05/2015 17:35:07 No 321 EMS call, excluding vehicle accident with inju 02/05/2015 19:15:06 No 700 False alarm or false call, other 02/05/2015 21:44:10 No 321 EMS call, excluding vehicle accident with inju 02/05/2015 22:49:50 No 735 Alarm system sounded due to malfunction 02/06/2015 02:26:56 No 111 Building fire 02/06/2015 06:20.47 No 321 EMS call, excluding vehicle accident with inju 02/06/2015 09:34:28 No 700 False alarm or false call, other 02/06/2015 12:06:45 No 700 False alarm or false call, other 02/06/2015 13:03:31 No 311 Medical assist, assist EMS crew 02/06/2015 16:10:52 No 321 EMS call, excluding vehicle accident with inju 02/06/2015 16:18:45 No 700 False alarm or false call, other 02/06/2015 17:25:59 No 700 False alarm or false call, other 02/08/2015 15:22:38 No 311 Medical assist, assist EMS crew 02/08/201 5 1 7:23:28 No 735 Alarm system sounded due to malfunction 02/09/2015 00:46:43 No 700 False alarm or false call, other 02/09/2015 02:27:10 No 700 False alarm or false call, other 02/09/2015 05:28:38 No 311 Medical assist, assist EMS crew 02/09/2015 05:57:06 No 700 False alarm or false call, other 02/09/2015 09:47:21 No 311 Medical assist, assist EMS crew 02/09/2015 14:10:43 No 611 Dispatched & canceled en route 02/09/2015 15:53:51 No 740 Unintentional transmission of alarm, other 02/10/2015 16:55:16 No 520 Water problem, other 02/10/2015 17:01:20 No 700 False alarm or false call, other 02/10/2015 17.03:39 No 740 Unintentional transmission of alarm, other 02/10/2015 17:27:44 No 700 False alarm or false call, other 02/10/2015 17:31:39 No 700 False alarm or false call, other 02/10/2015 17:36:33 No 321 EMS call, excluding vehicle accident with inju 02/10/2015 20:59:42 No 324 Motor vehicle accident with no injuries 02/11/2015 01:43:58 No 423 Refrigeration leak 02/11/2015 05:04:29 No 324 Motor vehicle accident with no injuries 02/11/2015 07:15:56 No 300 Rescue, EMS incident, other 02/11/2015 07:24:27 No 321 EMS call, excluding vehicle accident with inju 02/11/2015 11:30:38 No 741 Sprinkler activation, no fire- unintentional 02/11/2015 14:33:33 No 520 Water problem, other 02/11/2015 19:43:41 No 321 EMS call, excluding vehicle accident with inju 02/12/2015 00:16:44 No 700 False alarm or false call, other 02/12/2015 12:09:49 No 500 Service Call, other 02/12/2015 13:52:22 No 322 Motor vehicle accident with injuries 02/12/2015 14:38:34 No 322 Motor vehicle accident with injuries 02/12/2015 15:27:17 No 300 Rescue, EMS incident, other 02/12/2015 16:05:41 No 700 False alarm or false call, other 02/12/2015 18:53:37 No 322 Motor vehicle accident with injuries 02/12/2015 20:06:52 No 571 Cover assignment, standby, moveup 02/12/2015 21:10:09 No 311 Medical assist, assist EMS crew 02/12/2015 22:09:57 No 311 Medical assist, assist EMS crew 02/13/2015 10:13:19 No 521 Water evacuation 02/1 31201 5 1 0:16:46 No 671 Hazmat release investigation w/no hazmat 02/13/2015 13:07:56 No 324 Motor vehicle accident with no injuries 02/13/2015 17:30:29 No 311 Medical assist, assist EMS crew 02/14/2015 01:10:14 No 422 Chemical spill or leak 02/14/2015 06:18:22 No 322 Motor vehicle accident with injuries 02/14/2015 09:45:10 No 741 Sprinkler activation, no fire -unintentional 02/14/2015 09:57:30 No 300 Rescue, EMS incident, other 02/15/2015 01:21:20 No 321 EMS call, excluding vehicle accident with inju 02/15/2015 05:18:25 No 321 EMS call, excluding vehicle accident with inju 02/15/2015 10:43:01 No NUV VERNOiq FARE DEPARTMENT Type of Incident Report Lif SIR Total Incidents: 2015 = 176 January 1,2015-February 15,2015 02/24/2015 INCIDENT TYPE INCIDENT TYPE E ABDOMINAL PAIN-D'" 1 F Vehicle Fire 3 E Auto vs Red 1 F Vehicle Overturned 1 E BACK PAIN-DO"' 3 F Water Flow Alarm No Reset 18 E CHEST PAIN-DI" 7 F Water Flow Alarm With Reset 12 E DIFF BREATHING/ASTHMA-D" 2 F Wires Down 1 E DIFFICULTY BREATHING-Dr" 7 S Moveup 3 E FALL VICTIM-D'" 3 S Public Assist 1 E HAZMAT/CHEMICAL-D"** 1 S Water Problem 7 E HAZMAT/UNKNOWN-D"' 1 E HEART ATTACK-D"" 1 E HEMORRHAGE/CUT-D"" 1 E PSYCH/BEHAVE/SUI ATT-D'"" 1 E SEIZURE/EPILEPTIC/HIST-D'" 1 E SEIZURE-D'"' 2 E SICK PERSON-DO" 14 E TC BIKE/MOTORCYCLE-D"' 1 E TC with Trapped People 1 E TRAFFIC COLLISION-D 26 E TRAUMATIC INJURIES-DO** 3 E UNC PER/FAINTING INEAR)-D"'" 7 E UNKNOWN PROBLEM-D"' 14 F Apartment Fire 1 F Arching Wires 1 F Commercial Fire 2 F Fire Alarm No Reset 10 F Fire Alarm With Reset 4 F Investigation 10 F Residential Fire i F Rubbish Fire 1 F Structure Fire 2 VERNoN FIFE DEPARTMENT ,. Type of Incident Report Total Incidents: 2014 = 5 5 February 1,2014-February 15,2014 02/24/2015 INCIDENT TYPE E ABDOMINAL PAIN-D'" 3 E DIABETIC-D*" 1 E FALL VICTIM-D' 1 E SEIZURE-D"' 1 E SICK PERSON-D' 6 E TC BIKE/MOTORCYCLE-D*" 2 E TRAFFIC COLLISION-D"' 13 E Traumatic Injuries-B 1 E TRAUMATIC INJURIES-D"' 1 E UNC PER/FAINTING (NEAR)-D"' 3 F Auto vs Structure 1 F Fire Alarm No Reset e F Fire Alarm With Reset 2 F Investigation 1 F Vehicle Fire 1 F Vehicle Overturned 1 F Water Flow Alarm No Reset 4 F Water flow Alarm With Reset 3 U USAR-A I U USAR-BELOW GROUND-D"' 1 VERNoN FiRE DEPARTMENT Type of Incident Report - Total Incidents. 2014 - 158 January 1,2014- February 15,2014 0ZJ241Z015 INCIDENT TYPE INCIDENT TYPE E Abdominal Pain-A 1 F Investigation 3 E ABDOMINAL PAIN-DO b F Natural Gas Leak- Outside 1 E ASSAULT VICTIM-D"• 1 F Odor Investigation 2 E CHEST PAIN-D""" 5 F Rubbish Fire 1 E DIABETIC-D'"" 1 F Strike Team 2 E DIFF BREATHING/ASTHMA-D"' 1 F Structure Fire 1 E DIFFICULTY BREATHING-D"" 3 F Vehicle Fire 3 E FALL VICTIM-D""" 2 F Vehicle Overturned 1 E HAZMAT/CHEMICAL-D'"' 1 F Water Flow Alarm No Reset 18 E HEADACHE-C""" 1 F Water Flaw Alarm With Reset B E HEART ATTACK-D'•" 1 S MONTEBELLO REQUEST 2 E Hemorrhage/Cut-D 1 S Water Problem 2 E HEMORRHAGE/CUT-D""" 1 U USAR-A 1 E SEIZURE-D•"" 2 U USAR-BELOW GROUND-D' 1 E SICK PERSON-D"* a ETC BIKE IMOTORCYCLE-D" 3 ETC EJECTION-1)"" 1 E TG with Trapped People 2 E TRAFFIC COLLISIOH-D""• 29 E Traumatic Injuries-B 1 E TRAUMATIC INJURIES-1)"' 3 E UNC PER/FAINTING (NEAR)-D."" 4 E UNKNOWN PROBLEM-D"o 3 F Apartment Fire 1 F Auto vs Structure 1 F Auto vs Train i F Commercial Fire 4 F Electrical Short 1 F Fire Alarm No Reset 21 F Fire Alarm With Reset 2 w .. CITY CLt K-6 t1FF1C Health and Environmental Control Department RECEIVED Memo FEB , 12015 CITY ADMINISTRATION To: Mark Whitworth,City Administrator From: Leonard Crrossberg,Director/Health Officer 19 Date: February 11,2015 Re: Transmittal of Health&Environmental Control Department Monthly Report I am forwarding the attached subject report for January 2015 for submission to the City Council. I am requesting that the report be placed on the normal City Council agenda. Please let me know if you need additional information. Attachment 9cLg;/mydoD7JHD/month1y reports/City Admin Tmnsmi" Monthly Report Dec 2014 HEALTH & ENVIRONMENTAL CONTROL DEPARTMENT 2M 5 MONTHLY REPORT Of L F O+%j JV SLY 1� City of Vernon Leonard Grossberg, Director/ Health Officer MONTHLY REPORT January 2015 HAZARDOUS MATERIALS CONTROL Staff monitored ongoing environmental assessments and remediation at several businesses which are going through the closure/demolition process. These included the former sites of: Kop-Coat on District Boulevard; Pechiney on Fruitland Ave.; Exide Technologies on Indiana Street; and the Thermador site at District Blvd. Senior Environmental Specialist Jerrick Torres investigated several incidents in January, including a diesel spill at the BNSF Rail Yard, and a caustic liquid spill at Exide Technologies. All of the spills were monitored for proper removal and clean-up in order to prevent exposure to the environment and the public. UNDERGROUND TANKS No underground storage tanks were removed in January. We received work plans for the removal and closure of underground storage tanks at two locations in Vernon, and expect to schedule the work in February. Several annual tank monitoring tests were witnessed by our staff. FOODPROGRAM Annual Mobile Food Vehicle Inspections were conducted at Fire Station #1 during the last week in January. All of the catering trucks undergo a thorough inspection by the Health and Fire Depts. in order to be permitted to operate during the year. The rigorous inspection includes verifying that all of the equipment is operational, safe and provides a sanitary environment in which all employees are trained in safe food handling practices to prevent food bome contamination. In addition, inspectors assure that food is being properly stored. Approximately 100 vehicles were inspected in January, with an additional 10 to 20 vehicles still needing inspection and certification for their 2015 stickers. ENVIRONMENTAL PROTECTION The annual "Used Oil Calendar' presentation was held at the January 20t' City Council meeting for the Fifth Grade Vernon Elementary School. The annual presentation and awards promotes the recycling and reuse of used oil and filters, by educating students on the virtues of proper disposal versus illegal disposal. The program is administered by our environmental consultant Kevin Sales of KJServices. 2 Fifteen water samples were collected by Senior Environmental Specialist Linda Johnson from the three potable water supply systems. All of the fifteen samples were negative for E-coli/total coliforms. All samples met State standards for potability. Senior Environmental Specialist Linda Johnson attended the Local Enforcement Agency (LEA) Roundtable meeting in San Bernardino, which discusses solid waste issues with local jurisdictions and CalRecycle. In meeting with others, uniformity of enforcement and coordination with regulators reinforces our ability to meet our obligations as an LEA. Chief Deputy Director David LeDuff attended the CUPA Forum meeting in Santa Fe Springs and provided an update on CUPA activities for the past few months. Discussion of CUPA activities with local jurisdictions assures that everyone is applying the laws and regulations equally and uniformly. Senior Environmental Health Specialist Jerrick Torres conducted reviewslaudits of RMP updates for Whole Foods, J & J Snack, and Neptune Foods. Comments and corrections will be issued accordingly. Director Leonard Grossberg coordinated the submittal of documents needed for closure consideration for the Thermador property on District Blvd., including the 4 & M Plan, Financial Assurance, and Final Pilot Study Submittal. The Documents are expected to be reviewed and accepted by DTSC for closure within the next few weeks. And finally, Chief Deputy Director David LeDuff continues to work on implementing the California Environmental Reporting System (CERS) project by advising Vernon businesses on how to use the CERS website and providing information and training as needed. Inspection and enforcement data is being uploaded into the system, and reviews of hazardous materials inventories and business plans are being conducted. 3 Measles History: Pre-vaccine Era In the 9th century, a Persian doctor published one of the first written accounts of measles disease. Francis Home, a Scottish physician, demonstrated in 1757 that measles is caused by an infectious agent in the blood of patients. In 1912, measles became a nationally notifiable disease in the United States, requiring U.S. healthcare providers and laboratories to report all diagnosed cases. In the first decade of reporting, an average of 6,000 measles-related deaths were reported each year. In the decade before 1963 when a vaccine became available, nearly all children got measles by the time they were 15 years of age. It is estimated 3 to 4 million people in the United States were infected each year. Also each year an estimated 400 to 500 people died, 48,000 were hospitalized, and 4,000 suffered encephalitis (swelling of the brain) from measles. Vaccine Development In 1954, John F. Enders and Dr. Thomas C. Peebles collected blood samples from several ill students during a measles outbreak in Boston, Massachusetts. They wanted to isolate the measles virus in the student's blood and create a measles vaccine. They succeeded in isolating measles in 13-year-old David Edmonston's blood. In 1963, John Enders and colleagues transformed their Edmonston-B strain of measles virus into a vaccine and licensed it in the United States. In 1968, an improved and even weaker measles vaccine, developed by Maurice Hilleman and colleagues, began to be distributed. This vaccine, called the Edmonston-Enders (formerly "Moraten") strain has been the only measles vaccine used in the United States since 1968. Measles vaccine is usually combined with mumps and rubella (MMR), or combined with mumps, rubella and varicella MMRV). Learn more about measles vaccine h -llwww.Wc_ ov/meashesfvaccination.html . Koplik Spots 4 Signs and Symptoms: t Mouth of a patient with Koplik spots, an early sign of measles infection. The symptoms of measles generally appear about seven to 14 days after a person is infected. Measles typically begins with • high fever, • cough, • runny nose (coryza), and • red, watery eyes (conjunctivitis). Measles Rash Y - Ty F Skin of a patient after 3 days of measles infection. Two or three days after symptoms begin, tiny white spots (Koplik spots) may appear inside the mouth. Three to five days after symptoms begin, a rashbreaks out. It usually begins as flat red spots that appear on the face at the hairline and spread downward to the neck, trunk, arms, legs, and feet. Small raised bumps may also appear on top of the flat red spots. The spots may become joined together as they spread from the head to the rest of the body. When the rash appears, a person's fever may spike to more than 104° Fahrenheit. After a few days, the fever subsides and the rash fades. s Transmission of Measles: F ` Measles is a highly contagious virus that lives in the nose and throat mucus of an infected person. It can spread to others through coughing and sneezing. Also, measles virus can live for up to two hours on a surface or in an airspace where the infected person coughed or sneezed. If other people breathe the contaminated air or touch the infected surface, then touch their eyes, noses, or mouths, they can become infected. Measles is so contagious that if one person has it, 90% of the people close to that person who are not immune will also become infected. Infected people can spread measles to others from four days before to four days after the rash appears. Measles is a disease of humans; measles virus is not spread by any other animal species. Measles Vaccination: Measles can be prevented with the MMR (measles, mumps, and rubella) vaccine. In the United States, widespread use of measles vaccine has led to a greater than 99% reduction in measles cases compared with the pre-vaccine era. From 2000 to 2013, a range of 37 to 220 measles cases per year were reported in the United States, and most of these originated outside the country. Measles is still common in other countries. The virus is highly contagious and can spread rapidly in areas where people are not vaccinated. Worldwide, an estimated 20 million people get measles and 122,000 people die from the disease each year—that equals about 330 deaths every day or about 14 deaths every hour. Vaccine Recommendations Y 6 Children CDC recommends all children get two doses of MMR vaccine, starting with the first dose at 12 through 15 months of age, and the second dose at 4 through 6 years of age. Children can receive the second dose earlier as long as it is at least 28 days after the first dose. Students at post-high school educational institutions Students at post-high school educational institutions who do not have evidence of immunity against measles need two doses of MMR vaccine, separated by at least 28 days. Adults Adults who do not have evidence of immunity against measles should get at least one dose of MMR vaccine. International travelers People 6 months of age and older who will be traveling internationally should be protected against measles. Before any international travel-- Infants 6 through 11 months of age should receive one dose of MMR vaccine. Infants who get one dose of MMR vaccine before their first birthday should get two more doses (one dose at 12 through 15 months of age and another dose at least 28 days later). • Children 12 months of age and older should receive two doses of MMR vaccine, separated by at least 28 days. • Teenagers and adults who do not have evidence of immunity against measles should get two doses of MMR vaccine separated by at least 28 days. 9cLG:MyDoc&7Aiaath DapUMonthl ReporW2015/Monthy Jan doc 7 l On RECEIVED RECEWED FEB 12 2015 FEB 2 4 Z015 CITY ADMINISTRATION CITY CLERK'S OFFICE POLICE DEPARTMENT Daniel Calleros,Chief of Police 4305 Santa Fe Avenue,Vernon,California 90058 Telephone(323)587-5171 Fax(323)826-1481 February 17, 2015 Honorable City Council City of Vernon Vernon, California Honorable Members: Attached are copies of the Vernon Police Department Activity Log and Statistical Summary of Arrest and Activities which cover the period from 12:01 a.m., February 1, 2015 up to and including midnight of February 15, 2015. Respectfully submitted, VERNON POLICE DEPARTMENT 6 ; DANIEL CALLEROS CHIEF OF POLICE DC/dr E;CcCusivefy Industrial VERNON POLICE DEPARTMENT Department Activity Report First Date: 02JO112015 .jurisdiction: VERNON Last Dale: 02115/2015 Department Complaint All Units , Primary Unit Type Description VPD 10-6 OFFICER IS 10-6 C7,961,962.10-10,WASH, EQUIPA I0i 101 10-96H PICK UP THE JAIL PAPER WORK FROM HP JAIL 2 2 10-96M 10-96 MARY(MAIL DETAIL) 4 4 20001 INJURY HIT AND RUN 4 1 20002 NON-INJURY HIT AND RUN 7 3 20002R NON-INJURY HIT AND RUN REPORT 9 6 211R ROBBERY REPORT 2 1 23110E FELONY MISSILE THROWING AT A VEHICLE 6 1 242 BATTERY 15 4 245 ASSAULT WITH A DEADLY WEAPON 4 1 273 5R DOMESTIC VIOLENCE REPORT 5 2 415 DISTURBING THE PEACE 17 6 415R DISTURBING THE PEACE REPORT 3- - 1 417 BRANDISHING A WEAPON 422 TERRORIST THREATS 4 l 422R TERRORIST THREATS REPORT 2 1 459A AUDIBLE BURGLARY ALARM 96_, 48 459R BURGLARY REPORT 6 2 459S SILENT BURGLARY ALARM . 6 2 459VR BURGLARY TO A VEHICLE REPORT 2 2 476R FRAUD REPORT 1 1 484 PETTY THEFT 10 3 484R PETTY THEFT REPORT 3 2 487R GRAND THEFT REPORT 7 4 586 PARKING PROBLEM 17 13 594R VANDALISM REPORT 6 5 602 TRESPASS 6 2 901T INJURY TRAFFIC COLLISION 13 3 902T NON-INJURY TRAFFIC COLLISION 46 24 902TR NON-INJURY TRAFFIC COLLISION REPORT 2 1 909T TRAFFIC HAZARD 1 1 911 911 MISUSE I HANGUP 7_­ 3 911A CONTACT THE REPORTING PARTY 8 6 917A ABANDONED VEHICLE 2 1 920PR LOST PROPERTY REPORT •1 1 925 SUSPICIOUS CIRCUMSTANCES 30 11 927 UNKNOWN TROUBLE 11 3 AB109 PROBATION/PAROLE COMPLIANCE CHECKS 3 1 ASTVFD ASSIST VERNON FIRE DEPARTMENT 31 16 BOSIG BROKEN SIGNAL OR LIGHT $ 6 BOVEH BROKEN DOWN VEHICLE 19 16 CITCK CITATION CHECK 15 U CIVIL CIVIL MATTER 8 5 CODE5 SURVEILLANCEISTAKE-OUT 2 1 COP COP DETAIL 1 1 DET DETECTIVE INVESTIGATION 11 6 DETAIL DETAIL 3 3 DPTAST DEPARTMENTAL ASSIST 10 7 02/17/2015 06:00.48 Page I of 2 VERNON POLICE DEPARTMENT Department Activity Report First Date: 02/01/2015 Jurisdiction: VERNON Last Date: 02/1512015 Department Complaint All Units Primary Unit Type Description VPD DUI DRIVING UNDER THE INFLUENCE 2 1 FILING OFFICER IS 10-6 REPORT WRITING 28 27 FU FOLLOW UP 14 8 HBC HAILED BY A CITIZEN 2 2 ILLDPG ILLEGAL DUMPING 4 2 ILLDPG RPT ILLEGAL DUMPING REPORT 2 2 JAILPANIC TEST THE JAIL PANIC ALARM BUTTON 2 2 k9 TRAINING K9 TRAINING REMINDER.OBTAIN LOCATION 2 1 PANIC ALARM PANIC ALARM/DURESS ALARM 6 3 PAPD PUBLIC ASSIST-POLICE 6 2 PATCK PATROL CHECK 36 25 PEDCK PEDESTRIAN CHECK 32 20 PRSTRAN PRISONER TRANSPORTED 8 6 REC RECOVERED STOLEN VEHICLE 11 4 RECKLESS DF RECKLESS DRIVING(23103) 7 2 REPO REPOSSESSION 3 3 RR RAIL ROAD PROBLEM I - 1 SUICIDE SUICIDE ATTEMPT 5 1 TRAFFIC STOI TRAFFIC STOP 238 179 VCK VEHICLE CHECK 48 34 VEH RELEASE VEHICLE RELEASE 13 12 WARRANT WARRANT ARREST 1 1 WELCK WELFARE CHECK 3 Department: 1063 689 Overall: 1063 690 02/17/2015 06:00:48 Page 2 of - VERNON POLICE DEPARTMENT Police Activity Report Period Ending: 01/31/15 TRAFFIC COLLISIONS NO. PROPERTY RECOVERED TOTAL 13 VEHICLES: $0.00 NON-INJURY 9 INJURY 4 Pedestrian Fatalities City Property Damage 1 Hit& Run (Misdemeanor) 5 Hit& Run (Felony) Persons Injured 4 VEHICLES STORED PROPERTY RECOVERED FOR Unlicensed Driver 46 OTHER DEPARTMENTS Abandoned/Stored Vehicle 16 VEHICLES: $0.00 Traffic Hazard 3 CITATIONS Citations Iss (Prisoner Release) 6 Citations Iss (Moving) 121 Citations Iss (Parking) 20 Citations Iss (Total) 147 Hazardous 56 Non-Hazardous 65 Other Violations CASES CLEARED BY ARREST AR15-032 CR150205 11377 HS AR15-034 CR150207 594(A)(1)PC AR15-036 CR150212 273.5 PC AR15-037 CR150244 11377 HS AR15-038 CR150250 10851 VC AR15-039 CR150256 273.5 PC AR15-040 CR142265 487 PC AR15-042 CR150302 23152 A&B VERNON POLICE DEPARTMENT REPORT FOR PERSONS ARRESTED PERIOD ENDING 02/15/15 ADULT FELONY ARRESTS AND DISPOSITIONS MALE FEMALE TOTAL ASSAULT WITH A DEADLY WEAPON BURGLARY CRIMINAL THREATS DOMESTIC VIOLENCE 2 2 GRAND THEFT 1 _ 1 IDENTITY THEFT POSS. CONTROLLED SUBS. 2 2 POSS. STOLEN PROPERTY RAPE ROBBERY VEHICULAR MANSLAUGHTER VEHICLE THEFT 1 1 TOTAL FELONY ARRESTS 3 3 6 ADULT MISDEMEANOR ARRESTS AND DISPOSITIONS MALE FEMALE TOTAL BATTERY CRIMINAL THREATS DRIVING UNDER THE INFLUENCE 1 1 FALSE INFO TO PEACE OFFICER PETTY THEFT POSS. NARC. PARAPHERNALIA RESISTING ARREST TRESPASSING VANDALISM 2 2 WARRANTS (BENCH/TRFC) 1 1 WARRANTS (FOREIGN) 1 1 TOTAL MISD. ARRESTS 4 1 5 JUVENILES DETAINED --- FELONY AND MISDEMEANOR MALE FEMALE TOTAL BURGLARY PETTY THEFT POSS. 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(L � � o N N a0 00 M M N O O r r A - r A W � s s s s o Ix L2 U N N N N O W �' V o ❑ o 41) o w o ix o LU > O O A W a. H a. W CL W 9 U ix � cr 007 R � j k .Q In `D [- n V N N go 00 N N Q S O O O O ccidd N N N RECEIVED p` FEB 2 5 2015 RECF-WED CITY ADMINISTRATION FEB 24 2015 STAFF REPORT CITY CLERK'S OFFICE CITY ADMINISTRATION DATE: March 3, 2015 TO: Honorable Mayor and City Council FROM: Mark C. Whitworth, City Administrator RE: Acceptance of Mayor's Resignation from the Vernon Housing Commission and Reassignment of Council member elect Melissa Ybarra to the Vernon Housing Commission Resident (City Council member) Seat for the Term Ending August 10, 2017 Recommendations Staff recommends the City Council: 1. Find that the actions recommended in this staff report are exempt from the California Environmental Quality Act (CEQA) in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment. 2. Accept the Mayor's resignation from the Resident (City Council member) seat on the Vernon Housing Commission, effective March 3, 2015. 3. Reassign Council member elect Melissa Ybarra to the Resident (City Council member) seat on the Vernon Housing Commission, effective March 3, 2015, thereby creating a vacant Resident (non-City Council member) seat. Background On August 11, 2013, new four-year terms commenced for the following members of the Vernon Housing Commission: Michael McCormick Resident (City Council member) Melissa Ybarra(Incumbent) Resident (non-City Council member) Michael Hughes (Incumbent) Business Representative On February 17, 2015, a Special Municipal Election was held for the election of one member to the City Council to fill the unexpired term of Michael A. Ybarra. Melissa Ybarra ran unopposed in said election and received a total of 25 votes as of the completion of the City Clerk's canvass on February 23, 2015. The City Council is expected to declare/certify the results of the February 17, 2015 election at the March 3, 2015 City Council meeting. A resolution effectuating this is included on the March 3, 2015 agenda. Section 2.122 (d) limits the number of active City Council members serving on the Housing Commission to one. As a result of Ms. Ybarra's recent election to the City Council, Mayor McCormick submitted a letter to the City Clerk resigning from the Vernon Housing Commission effective March 3, 2015. Mayor McCormick recommends the City Council reassign Melissa Ybarra to the Resident (City Council member) seat on the Housing Commission for the term ending August 10, 2017. The term of this seat is the same as the Resident (non-City Council member) seat she currently holds. The proposed reassignment, if approved, will create a vacant Resident (non-City Council member) seat on the Vernon Housing Commission for the term ending August 10, 2017. Said vacancy will be noticed by the City Clerk in accordance with the requirements of the Maddy Act. The Mayor's appointment to fill the vacant seat would be presented at the March 17, 2015 City Council meeting, or as soon thereafter as permitted by law. Fiscal Impact None. RECEIVED x. t FEB 2 4 2015 `�, � rr-o c -f M5 CITY CLERK'S OFFICE STAFF REPORT CITY ADMINISTRATION CITY ATTORNEY'S OFFICE DATE: March 3,2015 TO: Honorable Mayor and City Council FROM: Hema Patel, City Attorney 4 RE: Approval of the Form of Notice Inviting Bids, Bid Form and Project Specifications, Instructions to Bidders and Specifications and Contract under the Competitive Bidding and Purchasing Ordinance. Recommendation It is recommended that the City Council: 1. Find that approval of the forms of documents in this staff report is exempt under the California Environmental Quality Act (CEQA), in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment. 2. Adopt the attached Resolution approving the general form of bid specifications and competitive bidding documents under the Competitive Bidding and Purchasing Ordinance. The Proposed Form of Contracts and of Other Documents Presented to the City Council Support the Recommendations of the Good Governance Efforts Senator Kevin De Leon's Critical Path Reforms and Independent Reform Monitor,John Van De Kamp's Reports both made substantial and detailed recommendations for the City's procurement practices. As the initial step in carrying out those recommendations,a Competitive Bidding and Purchasing Ordinance,Ordinance No. 1221, amending Article IV of Chapter 2 was adopted to make necessary changes to the City's purchasing system. The Ordinance established, among other things,an open and competitive process for service and personal services contracts. On February 5,2013,the City Council adopted and standardized a number of form contracts and other documents used by the City in an effort to further institutionalize the recommendations of Senator De Leon and Reform Monitor Van De Kamp in the day to day work of the City. The proposed form documents serve as the basis for various types of contracting activity within the city that require either approval by City Council or the City Administrator in adherence to the dollar thresholds established in the Competitive Bidding and Purchasing Ordinance. The proposed form documents will provide a core of intelligible and commercially reasonable documents for the City. The attached Resolution approves the standard form documents used in the Competitive Bidding process,which is the"default"procurement process meant to award contracts to the most responsive and responsible bidder in response to a published notice inviting bids. Fiscal Impact There is no direct fiscal impact resulting from the adoption of the proposed form documents. Standardizing documents and processes will create efficiencies that will work to the financial benefit of the City over time. - 2 - RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING THE NOTICE INVITING BIDS, BID FORM AND PROJECT SPECIFICATIONS, INSTRUCTIONS TO BIDDERS AND SPECIFICATIONS AND CONTRACT WHEREAS, the City of Vernon (the "City" ) , is a municipal corporation and a chartered city of the State of California organized and existing under its Charter and the Constitution of the State of California; and WHEREAS, an open and transparent, competitive bidding and purchasing process serves the interests of all of Vernon' s stakeholders and constituencies, including its individual, corporate and business residents, as well labor organizations and workers within Vernon, all of whom deserve the highest quality of municipal services; and WHEREAS, on May 20 , 2014 , the City Council of the City of Vernon adopted Ordinance No. 1221, amending Article IV of Chapter 2 , to make necessary changes to the City' s purchasing system; and WHEREAS, Article IV of Chapter, Section 2 . 17 . 34 provides that the City Council shall approve, by Resolution, the general forms of contract, purchase order contracts, notice inviting bids, and the general provisions of bid specifications and request for proposals for use in City purchasing; and WHEREAS, the City Council of the City of Vernon desires to approve the form of Notice Inviting Bids, Bid Form and Project Specifications, Instructions to Bidders and Specifications and Contract under the Competitive Bidding and Purchasing Ordinance. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS : SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct . SECTION 2 : The City Council of the City of Vernon finds that this action is exempt under the California Environmental Quality Act (CEQA) , in accordance with Section 15061 (b) (3) , the general rule that CEQA only applies to projects that may have an effect on the environment . SECTION 3 : The City Council of the City of Vernon hereby approves and adopts the general forms of Notice Inviting Bids, Bid Form and Project Specifications, Instructions to Bidders and Specifications and Contract under the Competitive Bidding and Purchasing Ordinance, a copy which is attached hereto as Exhibit A. SECTION 4 : The City Council of the City of Vernon hereby authorizes and empowers the City Attorney to make whatever administrative and non-material changes to the approved documents, as are necessary from time-to-time in order to carry out the intent of this Resolution. - 2 - SECTION 5 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 3rd day of March, 2015 . Name : Title : Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPROV D AS TO FORM: Hema Patel, ity ttorney - 3 - STATE OF CALIFORNIA ) ss COUNTY OF LOS ANGELES ) I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, March 3 , 2015, and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of March, 2015, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 4 - EXHIBIT A City of Vernon v v t Fo p'tiR Art # 0 ER 1905 4� SLY 1141) REQUEST FOR BIDS {INSERT PROJECT NAME} FOR THE DEPARTMENT OF {INSERT DEPARTMENT} CITY OF VERNON, CALIFORNIA 4305 SANTA FE AVENUE VERNON, CA 90058 NOTICE INVITING BIDS For (insert name of project) in the City of Vernon, California Bids are to be signed and submitted in TRIPLICATE. ONE ORIGINAL AND TWO COPIES of sealed bids must be received prior to p.m., ,by the City Clerk, City of Vernon, 4305 Santa Fe Avenue, Vernon, CA 90058, ("Bid Deadline"). All bids shall be enclosed in sealed envelopes,distinctly marked "Bid" with the title of the bid and the bidder's name address appearing on the outside. Mail sufficiently early or deliver in person before p.m. on the day listed in the Notice Inviting Bids. Bids must be received in the City Clerk's Office before that time. At the bid opening, the City Clerk shall open bid packages and acknowledge the receipt of Bids. Once all bid packages are opened and announced, the Bid Forms will be made available for public review. NO LATE BIDS WILL BE ACCEPTED The bids shall be clearly titled. Copies of the Bid Documents, Plans and Specifications are available at no charge(Optional: specify charge for plans and specifications here if desired) at the (Insert Department) Counter, City of Vernon, 4305 Santa Fe Avenue, Vernon,between 7 a.m. and 5:30 p.m., Monday through Thursday. A non-refundable fee of$20.00 will be charged if mailing is requested by calling(323) 583-8811. (If appropriate) Pre-Bid Meeting: A pre-bid meeting to answer any questions regarding the project plans and specifications is scheduled for _ at in the (Insert Department), 4305 Santa Fe Avenue, Vernon, California. This meeting is to answer any questions regarding the project plans and specifications. Attendance is/is not mandatory. (Select whether the meeting is or is not mandatory.) City of Vernon Contact Person: (Insert Department) Attention: Phone: ( ) Facsimile: ( ) Email: @ci.vemon.ca.us 2 NOTICE INVITING BIDS (Ifappropriate)CONTRACT NO.(Insert#) Mandatory Qualifications for Bidder and Designated Subcontractors: A Bid may be rejected as non-responsive if the Bidder fails to meet the essential requirements for qualification. General Scope of Work: Contractor shall furnish labor, materials, equipment, services, and specialized skills to perform work involved in the Project. The Work in the Bid is defined in the Project Drawings and Specifications and will generally include the following: Contractor shall furnish labor, materials, equipment, services, and specialized skills to perform work involved in the Project. The Work in the Bid is defined in the Project Drawings and Specifications and will generally include: (INSERT PROJECT SCOPE OF WORK) (If appropriate) The work shall be done in accordance with Specifications No. Plan No. Standard Plans for Public Works Construction (SPPWC 2012 Edition), and the"Greenbook" Standard Specifications for Public Works Construction(2012 Edition), including all supplements thereto issued prior to bid opening date. In the event of any conflicts, the Specifications No. , Plan No. shall prevail. Mandatory Qualifications for Bidder and Designated Subcontractors: A Bid may be rejected as non-responsive if the Bid fails to document that Bidder meets the essential requirements for qualification. As part of the Bidder's Statement of Qualifications, each Bid must establish that: Bidder satisfactorily completed at least(Insert#of projects) U prevailing wage public contracts in California; each comparable in scope and scale to this Project, within(Insert#of years) (___) years prior to the Bid Deadline and with a dollar value in excess of the Bid submitted for this Project. (OPTIONAL) In addition, if the Bidder intends to self-perform the (insert specialty sub-contract work), Bidder shall satisfy the mandatory qualifications described in the Specialty Contractor Statement of Qualifications applicable to such Work and submit the completed forms with the Bid. (OPTIONAL) Subcontractors listed for the(insert specialty sub-contract work)Work must satisfy the mandatory qualifications described in the Specialty Contractors' Statements of Qualifications applicable to the Work to be performed by each Subcontractor and Bidder must submit the completed forms with the Bid. Other Bidding Information: 1. Number of Contract calendar days: calendar days 2. Amount of Liquidated Damages: $ per calendar day 3. Required Construction Staging(Optional) Phases, See Construction Staging Plan 4. Intermediate Completion Milestones (Optional) Phase I must be completed by Phase II must be completed by , (add more as appropriate). 5. Biddiniz Documents. Bids must be made on the Proposal Form contained herein. 3 NOTICE INVITING BIDS (If appropriate)CONTRACT NO.(Insert#) 6. Engineer's Estimate. An Engineer's Estimate of the cost of construction of this Work has been prepared. Said estimate is in the range of$ _ to $_ ____ 7. Time of Completion. This Work must be completed within calendar days from the date of commencement as established by the City's written Notice to Proceed. 8. Acceptance or Rejection of Bids. The City reserves the right to reject any and all bids, to award all or any individual part/item of the bid, and to waive any informalities, irregularities or technical defects in such bids and determine the lowest responsible bidder, whichever may be in the best interests of the City. No late bids will be accepted, nor will any oral, facsimile or electronic bids be accepted by the City. 9. Contractor's License. At the time of the Bid Deadline and at all times during performance of the Work, including full completion of all corrective work during the Correction Period, Contractor must possess a California contractor's license or licenses, current and active, of the classification required for the Work, in accordance with the provisions of Chapter 9, Division 3, Section 7000 et seq. of the Business and Professions Code. In compliance with Public Contract Code Section 3300, the City has determined that the Bidder must possess the following license(s): "(insert type of license required)." (OPTIONAL) In addition, if Bidder intends to self-perform (insert specialty sub-contract work) Work, Bidder must possess the following licenses: (insert type of license(s)required) as applicable to such self-performed Work. The Bidder will not receive a Contract award if at the time of submitting the bid, the Bidder is unlicensed, does not have all of the required licenses, or one or more of the licenses are not current and active. If the City discovers at the time of the Bid Deadline that Contractor is unlicensed, does not have all of the required licenses, or one or more of the licenses are not current and active, the City may reject the Bid, cancel the award, declare the Bid Bond as forfeited, keep the Bid Bond's proceeds, and exercise any one or more of the remedies in the Contract Documents in addition to those provided by law. 10. Subcontractors' Licenses and Listing. Bidders must list each Subcontractor whom the Bidder must disclose under Public Contract Code Section 4104 (Subcontractor Listing Law), and the Bidder must provide all of the Subcontractor information that Section 4104 requires (name, address, license number, and portion of the Work). An inadvertent error in the license number will not be considered nonresponsive if it is corrected within 24 hours after the bid opening. In addition, the City requires the Bidder to list the dollar value of each Subcontractor's labor or services. The City reserves the right to review and disqualify any proposed Subcontractor. The City's disqualification of a Subcontractor does not disqualify a Bidder. In such case, prior to and as a condition to award of the Contract, the successful Bidder shall substitute a properly licensed and qualified Subcontractor—without an adjustment of the Bid Amount. At the time of the Bid Deadline and at all times during performance of the Work, each listed Subcontractor's license must be current and active for the portion of the Work listed and shall hold all specialty certifications required for such Work. 11. Permits, Inspections, Plan Checks, Governmental Approvals, Utility Fees and Similar Authorizations. (OPTIONAL) The City has applied and paid for the following Governmental Approvals and Utility Fees): Building Permit, Trash/Electrical Transformer Enclosure Permit, Mechanical Permit, Electrical Permit, Plumbing Permit, Fire Sprinkler Water Line Fee (Contractor must submit shop drawings for permit to issue), Sewer Facility Fees. Unless specified otherwise, all Governmental Approvals and Utility Fees shall be obtained and 4 NOTICE INVITING BIDS (If appropriate)CONTRACT NO.(Insert#) paid for by Contractor and will be reimbursed based on Contractor's actual direct cost without markup. 12. Bid Forms and Security: Each Bid must be made on the Bid Forms obtainable at the Department of Public Works, Water and Development Service. Each Bid shall be accompanied by a cashier's check or certified check drawn on a solvent bank,payable to "City of Vernon," for an amount equal to five percent (5%) of the total maximum amount of the Bid. Alternatively, a satisfactory corporate surety Bid Bond for an amount equal to five percent(5%) of the total maximum amount of the Bid may accompany the Bid. Said security shall serve as a guarantee that the successful Bidder will, within fifteen(15) calendar days after the date of the award of the contract, enter into a valid contract with the City for said Work in accordance with the Contract Documents. 13. Bid Irrevocability. Bids shall remain open and valid for ninety(90) calendar days after the Bid Deadline. 14. Substitution of Securities. Pursuant to California Public Contract Code Section 22300, substitution of securities for withheld funds is permitted in accordance therewith. 15. Prevailing Wages. This Project is a"public work" as defined in California Labor Code Section 1720. Contractor awarded this Contract and all Subcontractors of any tier shall not pay less than the minimum prevailing rate of per diem wages for each craft, classification, or type of worker needed to perform the Work. The Director of Industrial Relations of the State of California, pursuant to the California Labor Code, and the rates determined by the California Director of Industrial Relations are available online at www.dir.ca.gov/DLSR/PWD/. 16. Payroll Records. Pursuant to SB 854, Contractor and any Subcontractors shall furnish electronic certified payroll records directly to the Labor Commissioner(aka Division of Labor Standards Enforcement). 17. Annual Fee to the Department of Industrial Relations (DIR). Pursuant to Labor Code 1725.5, Contractor and any Subcontractors who bid or work on this project with the City must register and pay an annual fee to the DIR. This project is subject to compliance monitoring and enforcement by the DIR. Mark Whitworth City Administrator Dated: _ (Authorized by City Attorney) Published: 5 NOTICE INVITING BIDS (If appropriate)CONTRACT NO.(Insert#) City of Vernon Instructions for Bidders Project: For the Department (Insert Department) City personnel with whom prospective bidders will deal with are: _, (Insert Department), 4305 Santa Fe Avenue, Vernon, CA 90058 (323) 583-8811 Ext. Bid opening date and time: (Insert date and time) ("Bid Deadline") Bids will be received and opened at the Office of the City Clerk, 4305 Santa Fe Avenue, Vernon, CA 90058 The bid must be received by the City Clerk prior to the time set for bid opening. A bid received by the City Clerk after the time set for the bid opening is a non-responsive bid and shall not be considered. GENERAL BID REQUIREMENTS To be considered, a bidder must strictly follow the format for bids in the specifications. Bids must be binding and firm. Any bids may be withdrawn before bid opening, but bids shall remain open and valid for ninety(90) calendar days after the Bid Deadline. 1. CONTRACTORS LICENSE The Bidder must possess a valid State of California Contractors License in the classification(s) specified in the Notice Inviting Bids at the time of the Bid Deadline and at all times during the performance of the Work,except as otherwise provided in California Business and Professions Code Section 7028.15. 2. INTERPRETATION OF BIDDING DOCUMENTS, SPECIFICATIONS AND ADDENDA A. If any Bidder contemplating submitting a Bid is in doubt as to the true meaning of any part of the Bidding Documents, or who finds discrepancies,errors or omissions therein or who finds variances in any of the Bidding Documents with applicable law, such Bidder shall at once submit a written request for an interpretation or correction thereof to the City's representative identified in the Notice Inviting Bids, or other designated individual. All Bidders shall submit such written requests to City not less than ten (10) calendar days prior to the Bid Deadline. The person or entity submitting the request shall be responsible for its prompt delivery to City's Contact Person identified in the Notice Inviting Bids. 1 INSTRUCTION TO BIDDERS (Ifappropriate)CONTRACT NO.(Insert#) Any interpretation or correction will be made only by Addendum issued by the City and a copy of such Addendum will be delivered to all Interested Bidders of record. Any Addenda so issued must be acknowledged in the Bid and the cost of performing Work described in the Addenda shall be included in the Bid. Bidder's failure to acknowledge receipt of all Addenda may result in rejection of the Bid as nonresponsive. No person is authorized to render an oral interpretation or correction of any Bidding Documents and no Bidder may rely on any such oral interpretation or correction issued by the City. The City shall not be responsible for any other explanation or interpretation of the Drawings or Specifications, or for any oral instructions. City reserves the right to extend the Bid Deadline by issuing an Addendum to Interested Bidders no later than 72 hours prior to the Bid Deadline. Bidders shall use complete sets of Bidding Documents in preparing Bids; City shall not assume responsibility for errors or misinterpretations resulting from the use of incomplete sets of Bidding Documents. B. Copies of Addenda will be made available for inspection wherever Bidding Documents are on file for that purpose. Each Bidder shall ascertain prior to submitting a Bid that the Bidder has received all Addenda issued and the Bidder shall acknowledge their receipt in the Bid. 3. OBTAINING DRAWINGS AND DOCUMENTS Bidder may secure Bidding Documents only from the location specified in the Notice Inviting Bids. City will maintain a list of persons who obtained a copy of these Specifications ("Interested Bidders"). Only Interested Bidders will receive Addenda, if so issued. 4. BID FORMS—SUBMITTAL A. The Bids shall be made on the forms provided herein with all blank spaces properly filled in. B. The phraseology shall not be changed, and no additions shall be made to the items mentioned herein. Unauthorized conditions, exemptions, limitations, or provisions attached to a Bid will render it informal and may cause its rejection. All forms requiring specific information shall be completed with all applicable information for a Bid to be considered responsive. C. Include all Bid Forms, properly executed, and intact on forms provided. Enclose the Bid Forms in a sealed envelope; type or print on the envelope "BIDS for" followed by the title and Specification Number and the date and time of the Bid Deadline, and the Bidder's name and address. The envelope may be mailed, hand delivered, or delivered by courier or package delivery service. D. One Original Bid and two copies shall be hand delivered, delivered by courier or package delivery service to the City Clerk, City of Vernon, 4305 Santa Fe Avenue, Vernon, CA 90058. 2 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) E. Bids received after the Bid Deadline or at any place other than the Office of the City Clerk will not be considered. 5. BID FORMS—AUTHORIZED SIGNATURES A. The full name, business address, zip code, and business telephone number, with area code of the individual,partnership,joint venture,or corporation submitting the Bid shall be typewritten or legibly printed on the Bid Forms. The Bidder shall sign the form with his/her usual wet ink signature. B. Sole Proprietorship: An individual shall sign. C. Partnership (General or Limited): A partner shall sign for a partnership; the partner shall give the names and addresses of all partners. D. Corporation: An officer shall sign for a corporation. The corporate name must be attested by the corporate seal. The names and titles of the president and all officers of the corporation who are authorized to sign the Bid Forms must be listed in an authenticated Incumbency Certificate signed by the corporate secretary. A signature other than a corporate officer's will be accepted only if an authenticated Incumbency Certificate is attached. E. Joint Venture: Bidders shall use the appropriate section(s) listed above in B-D, based on their applicable situation. 6. BID FORMS—SCHEDULE OF BID PRICES A. The Bidder shall include in his/her Bid price(s) any and all expense or costs that may be necessary to complete the project in accordance with the requirements of the Contract. The cost of all mobilization, preparatory work and operations for the multiple movements of personnel, equipment, supplies, and incidentals to the various project sites must be included in the various bid items, and no extra compensation will be paid to Contractor. B. The Bidder shall state for each item on the Schedule of Bid Prices form, in clearly legible figures,the Base Bid,the alternates,and the unit price and item total or lump sum, as the case may be, for which he/she proposes to supply labor, materials, and equipment and to perform the Work. Bids must not contain any erasures, interlineations, strike-throughs or other corrections unless the same are suitably authenticated by affixing in the margin immediately opposite such erasure or correction the initials of the person(s) signing the Bid. If any Bid, or portion thereof, is determined by the City to be illegible, ambiguous or inconsistent, City may reject such a Bid as being non-responsive. C. In the case of a unit price item, the amount set forth, as the item total shall be the product of the estimated quantity times the unit price Bid. In the event of a discrepancy between the unit price Bid and the item total, the unit price shall prevail; however, if the unit price is ambiguous,unintelligible, or uncertain for any 5 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) cause, or is omitted, or is the same amount as the entry for the item total, then the item total shall prevail and shall be divided by the estimated quantity for the item and the price thus obtained shall be the unit price. Where so indicated by the makeup of the Bid Form, sums shall be expressed in both words and figures, and in case of discrepancy between the two, the amount written in words shall govern. D. All requested Alternates, if any, shall be Bid. See the Schedule of Bid Prices for more information and the list of Bid Alternates, if any. If no change in the Base Bid is required, enter"No Change." 7. BID SECURITY A. Each Bid shall be accompanied by cash or a cashier's check or a certified check, drawn on a responsible bank doing business in the United States payable to the City, or a satisfactory Bid Bond in favor of the City executed by the Bidder as a principal and a California admitted surety company(as defined by California Code of Civil Procedure §§995.120 and 995.311) as surety("Bid Security"). B. All bonds must be issued by a California admitted surety insurer with the minimum AM Best Company Financial strength rating of"A:VII" or better. Bonds issued by a California admitted surety not listed on Treasury Circular 570 will be deemed accepted unless specifically rejected by the City. Bonds issued from admitted surety insurers not listed in Treasury Circular 570 must be accompanied by all documents enumerated in California Code of Civil Procedure Section 995.660. All such bonds must be accompanied by a power of attorney from the surety company authorizing the person executing the bond to sign on behalf of the company. If the bonds are executed outside the State of California, all copies of the bonds must be countersigned by a California representative of the surety. The signature of the person executing the bond on behalf of Surety must be acknowledged by a Notary Public as the signature of the person designated in the power of attorney. C. Bid Security shall be in an amount not less than 5% of the Base Bid. Any Bid submitted without Bid Security will be rejected as non-responsive. The Bid Security shall be given as a guarantee that the successful Bidder will execute the Contract and will provide the insurance, bonds and other required forms within fourteen(14) calendar days after award of the Contract. Bidders will be entitled to return of Bid Security except when a successful Bidder forfeits its Bid Security. A forfeit may occur, for example, if the successful Bidder withdraws its Bid prior to the expiration of ninety(90) calendar days after award of the Contract; attempts to withdraw its Bid when the requirements of Public Contract Code § 5101 et seq. are not met; or refuses or fails to execute the Contract and provide the required bonds, insurance or certificates within fourteen (14) calendar days after award of the Contract. In any one or more of these events, if City awards the Contract for the Work to the next lowest responsible Bidder, the amount of the original lowest Bidder's security shall be applied to the Contract Price differential between the lowest Bid and the second lowest Bid. Any surplus will be returned to the original lowest Bidder. If the City rejects all other Bids presented and re-advertises, the 4 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) lowest Bidder's Bid Security may be used to offset the City's cost of re-advertising and receiving new Bids. In that case, the surplus if any, will be returned to the original lowest Bidder. D. The Bid Security shall be held for ninety(90) calendar days after the award of the Contract or until posting by the successful Bidder of the payment and performance bonds, proof of insurance, return of executed copies of the Contract and necessary certification(s), whichever first occurs, after which time the Bid Security will be returned to all Bidders. E. If a Bid Bond is to be submitted, Bidder shall use the form entitled "Bid Bond" contained in the Bidding Documents, which Bid Bond shall be properly executed and acknowledged by the Bidder and by a corporate surety authorized to transact such business in the State of California. F. Any alteration of said form of Bid Bond, or imperfection in the execution thereof, as herein required, will render it informal and may, at the option of the City, result in the rejection of the Bid under which the Bid Bond is submitted. 8. BIDDER'S AND SPECIALTY CONTRACTORS' STATEMENTS OF QUALIFICATIONS A. Each Bidder shall be required to complete, execute and submit with its Bid, the form entitled "Bidder's Statement of Qualifications." (OPTIONAL) In addition,if the Bidder intends to have (insert specialty sub-contract work) Work, Bidder shall satisfy the mandatory qualifications described in the Specialty Contractors' Statements of Qualifications applicable to such Work and submit the completed forms with the Bid. Subcontractors listed for the (insert specialty sub-contract work) Work must satisfy the mandatory qualifications described in the Specialty Contractor or Subcontractor Statement of Qualifications applicable to the Work to be performed by each Subcontractor and Bidder must submit the completed forms with the Bid. Notwithstanding the provisions of Paragraph 22 herein, the Bidder's Statement of Qualifications (OPTIONAL) and the Specialty Contractor or Subcontractor Statement of Qualifications) shall not be public records. All information required by a Bidder's or Specialty Contractor Statement of Qualifications shall be completely and fully provided. If no information is to be filled in a blank space, then write "none." Any Bid not accompanied by a Bidder's Statement of Qualifications (OPTIONAL) and Specialty Contractor or Subcontractor Statement of Qualifications) form completed with all information required may render the Bid non-responsive. If the City determines that any information provided by a Bidder in the Bidder's (OPTIONAL) or Specialty Contractors') Statement of Qualifications is false or misleading, or is incomplete so as to be false or misleading,the City may reject the Bid submitted by such Bidder as being non-responsive. B. A responsible Bidder is a Bidder who has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity and experience to satisfactorily INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) perform fully the requirements of the contract documents. In selecting the lowest responsible Bidder, consideration will be given not only to the Bidder's financial standing but also to the general competency of the Bidder for the performance of the work covered by the Bid including, but not limited to, the experience of the Bidder in construction of public buildings for public agencies. By submitting a Bid, each Bidder agrees that the City, in determining the successful Bidder and its eligibility for the award, may consider the Bidder's experience with similar types of construction projects and facilities, conduct and performance under other contracts, financial condition, reputation in the industry, and other factors which could affect the Bidder's performance of the work. 9. DESIGNATION OF SUBCONTRACTORS A. Subcontractor Listing. On the Designation of Subcontractors form,the Bidder shall list each Subcontractor whom the Bidder must disclose under the Subletting and Subcontracting Fair Practice Act, Public Contract Code Section 4104. The Bidder shall provide: each Subcontractor's name, the trade and type of work that the Subcontractor will perform, the location (address) of the Subcontractor's place of business, each Subcontractor's license number, and the dollar value of each Subcontractor's labor or services. If additive Alternate Bid Items are included in the Bidding Documents, the Bidder shall identify each Subcontractor performing additive Alternate Bid Items, when such Work — or the combination of base Contract Work and Alternate Work—exceeds one-half of one percent of the total Bid Amount. B. Subcontractors' Licenses. At the time of the Bid Deadline and at all times during performance of the Work, each listed Subcontractor shall possess a current and active California Contractor's license appropriate for the portion of the Work listed for such Subcontractor,and hold all specialty certifications required for such Work. C. Disqualification of a Subcontractor. The City has the right to review the suitability and qualifications of any Subcontractor proposed by the Bidder. As part of this review, the City may request a Bidder to submit additional information about one or more of the listed Subcontractors—including, but not limited to—a statement detailing the Subcontractor's experience with pertinent information as to similar projects and other evidence of the Subcontractor's qualifications. If requested, the Bidder shall provide the information to the City within the time specified in the City's written request. After due investigation, if the City has a reasonable objection to any proposed Subcontractor, the City may,before giving the notice of award, require the apparent successful Bidder to submit an acceptable substitute. The City's disqualification of a Subcontractor does not disqualify a Bidder. However,prior to and as a condition to award of the Contract,the successful Bidder shall substitute a properly licensed and qualified Subcontractor without an adjustment of the Bid Price. D. Work of Subcontractors. The organization or arrangement of the Specifications and Drawings do not limit the extent of the Work for the Contract Documents. 6 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) Accordingly, all Bidders are encouraged to disseminate all of the Specifications, Drawings and other Contract Documents to all persons or entities submitting sub- bids to the Bidder. The omission of any portion or item of Work from the Bid or from sub-bids, which is reasonably inferable from the Contract Documents, will not be a basis for adjustment of the Contract Price or the Contract Time. E. Ineligible Subcontractors. The successful Bidder is prohibited from performing Work on the Project with any Subcontractor who is ineligible to perform work on a public works project pursuant to California Labor Code Sections 1777.1 or 1777.7. In submitting its Bid, the Bidder certifies that it has investigated the eligibility of each and every listed Subcontractor and has determined that none is ineligible to perform work pursuant to the above code provisions. 10. CONTRACTOR'S NONCOLLUSION AFFIDAVIT A Noncollusion Affidavit in the form provided by the City shall be signed under penalty of perjury, certifying that the Bid is not the result of and has not been influenced by collusion. Bidder shall submit this form with its Bid. Any Bid made without such affidavit, or believed to be made in violation of the requirements set forth in the affidavit form,may be rejected. 11. INSURANCE REQUIREMENTS The Bidder shall submit to its insurance company or insurance agent the Insurance Requirements in this Specification and the Contract Documents. The insurance company's underwriter or agent must complete the Insurance Requirements documentation which states that the insurer's underwriter or agent will furnish the City with the required insurance documents within fourteen (14) days after the Bidder's having been notified of the Contract's award. The Bidder shall submit this form with its Bid. Any Bid made without this statement, or made with an incomplete statement, may be rejected. 12. EXAMINATION OF DRAWINGS, SPECIFICATIONS,AND SITE OF WORK A. The Bidder shall examine carefully the site of the Work contemplated and the Drawings and Specifications. The submission of a Bid will be conclusive evidence that the Bidder has investigated and is satisfied as to the conditions to be encountered, as to the character, quality, and quantities of Work to be performed and materials to be furnished, the difficulties to be encountered, and to the requirements of the Drawings, Specifications, and other Contract Documents. The Bidder shall ascertain the locations of the existing utility services, and other underground facilities, and provide for carrying out its operations so as to cause the minimum possible inconvenience to the occupants of properties along any streets affected. All Work and costs involved in the safeguarding of the properties of others shall be at the expense of the Bidder to whom the Contract may be awarded. B. The Bidder hereby certifies that it has examined the local conditions,has read each and every clause of the Contract Documents, and that it has included all costs necessary to complete the specified Work in its Bid prices, and the Bidder agrees 7 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) that if it is awarded the Contract, it will make no claim against the City based upon ignorance of local conditions or misunderstanding of any of the provisions of the Contract. Should the conditions turn out otherwise than the Bidder anticipated,the Bidder agrees to assume all risks incident thereto. 13. PRICES AND PAYMENTS Approximate quantities listed in the Schedule of Bid Prices are estimates given for comparing Bids, and no claim shall be made against the City for excess or deficiency therein, actual or relative. Payment at the prices agreed upon will be in full for the completed Work and will cover materials, supplies, labor, tools, equipment, and all other expenditures incident to a satisfactory compliance with the Contract, unless otherwise specifically provided. 14. PERMIT FEES (Optional) If provided in the General Conditions, Contractor shall be reimbursed for the actual direct cost of all Permit Fees, as defined in Paragraph 1.01 and addressed in 1.03 of the General Conditions. Bidder shall exclude the cost of Permit Fees from Bidder's Base Bid sum; Base Bid sum shall include the cost of administration and coordination for all Governmental Approvals and Utility Fees. 15. SUBSTITUTIONS [Select one of the following alternatives:] (Option 1) No requests for substitution of any material, device, product, equipment, fixture, form, or type of construction shall be considered by City prior to award of the Contract. Bidders shall submit all requests for substitution and substantiating data, within (insert#of days) (__)calendar days from the date of the Notice to Proceed. Bidder shall refer to the appropriate provisions of the General Conditions for additional information regarding substitutions. Authorization of a substitution is solely within the discretion of the City. (Option 2) Bidders wishing to obtain City's authorization for substitution of any material, device,product, equipment, fixture, form, or type of construction shall submit all requests for substitution, including all data necessary to demonstrate acceptability, a minimum of (insert # of days) (_) calendar days prior to the Bid Deadline. Approval of any such substitution shall be made in writing by the City. Bidders shall refer to the appropriate provisions in the General Conditions for additional requirements for substitutions. In the absence of a written Addendum prior to the Bid Deadline or a Change Order approving the request after Contract award, a request for substitution shall be deemed denied. 16. RETURN OF IMPROPER BIDS Bids submitted after the Bid Deadline are non-responsive and shall be returned to the Bidder unopened. Oral, telephonic, telegraphic, facsimile or electronically transmitted Bids shall not be considered unless the Notice Inviting Bids expressly permits such means 8 INSTRUCTION TO BIDDERS (Ifappropriate)CONTRACT NO.(Insert#) of transmittal. 17. WITHDRAWAL OF BIDS Bidder may withdraw its Bid either personally or by written request any time prior to the scheduled Bid Deadline by notice to the City's Contact Person designated in the Notice Inviting Bids. If such notice is written, it shall be signed by the Bidder and shall be date- stamped and time-stamped by the City upon receipt. Withdrawn Bids may be resubmitted before the Bid Deadline provided that they are in full conformance with these Instructions to Bidders. Once submitted, all Bids are irrevocable, except as otherwise provided by law. Requests for withdrawal of Bids after the Bid Deadline shall be made only in accordance with California Public Contract Code § 5100, et seq. Bidder agrees by submitting a Bid that such Bid shall remain open, is irrevocable, and may not be modified, withdrawn, or cancelled for a period of ninety(90) days after award of the Contract. 18. OPENING AND EVALUATION OF BIDS A. Bid Opening and Tabulation. The Bids shall be opened and read in public after the Bid Deadline has expired at the time and location listed in the Notice Inviting Bids. A tabulation of all Bids received will be available for public inspection at the Office of the Director of Community Service & Water, 4305 Santa Fe Avenue, Vernon, CA during regular business hours for a period of not less than thirty (30) calendar days following the Bid Deadline. The City reserves the right to accept or reject any or all Bids and be the sole judge regarding the suitability of the products, services or supplies offered; and/or to waive any irregularities or informalities in any Bids or in the bidding process. The City further reserves the right to purchase all or fewer than all items or quantities of each item listed in the Bidding Documents. The award of the Contract, if made by the City, shall be to the lowest responsive and responsible Bidder. If Bid Alternate Items are called for,the lowest Bid shall be determined according to Paragraph 20 below. B. Evaluation of Bids. 1. Mandatory Qualifications. A Bid shall be rejected as non-responsive if the Bidder fails to document in the Bid that Bidder meets the essential requirements for qualification described in the Notice Inviting Bids. As part of the Bidder's Statement of Qualifications each Bidder must establish that it, as the current entity: (1) has successfully completed at least (Insert # of projects) (___) similar projects involving similar work within the last (Insert # of years) years with a cost equal to or in excess of the Bidder's Bid; and(2)has successfully completed at least(Insert#of public works projects) (___) public works projects. (OPTIONAL) The City's disqualification of a Subcontractor listed for the (insert specialty sub- contract work) Work does not disqualify a Bidder. However, prior to and as a condition to award of the Contract, the successful Bidder shall substitute a properly licensed and qualified Subcontractor — without an adjustment of the Bid Price. y INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) 2. Responsive Bid. A responsive Bid is a Bid which conforms, in all material respects, to the Bidding Requirements and Contract Documents. 3. Responsible Bidder. A responsible Bidder is a Bidder who has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity and experience to satisfactorily perform fully the requirements of the Contract Documents. 4. Competency of Bidders. In selecting the lowest responsible Bidder, consideration will be given not only to the financial standing but also to the general competency of the Bidder for the performance of the Work covered by the Bid including, but not limited to, the experience of the Bidder in construction of public works for public agencies. By submitting a Bid, each Bidder agrees that the City, in determining the successful Bidder and its eligibility for the award,may consider the Bidder's experience with similar types of construction projects and facilities,conduct and performance under other contracts, financial condition,reputation in the industry, safety record and protocols and other factors which could affect the Bidder's performance of the Work. 19. AWARD OF CONTRACT The City reserves the right to reject any or all Bids and to waive any or all information or technical defects, as the interest of the City may require. Award of Contract or rejection of Bids will be made by the City within ninety (90) calendar days following the Bid Opening. 20. BASIS OF AWARD A. A Contract will be awarded to the lowest responsive and responsible Bidder meeting all requirements set forth in these Bidding Documents. (If bidders are required to bid for items that may be added to or deducted from the scope of work, select one of the following optional clauses. The choice of one of these methods is required by Cal. PC§20103.8. If the City does not specify a method, the lowest bid will be the lowest bid prices on the base contract without consideration ofprices on the additive or deductive items) [Option I] The City will award the Contract based on the lowest Base Bid without consideration of the prices on the additive or deductive items. [Option 2] The City will award the Contract based on the lowest Base Bid including all alternates. [Option 3] The City will award the Contract based on the lowest total of the bid prices on the base bid and those additive or deductive items that when taken in order from a specifically identified list of those items in the Bid Form and added to, or subtracted from, the base contract, are less than, or equal to, a funding amount 10 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) publicly disclosed by the City before the first bid is opened. [Option 4] The City will award the Contract based on the lowest bid in a manner that prevents any information that would identify any of the bidders from being revealed to the City before the ranking of all bidders from lowest to highest has been determined. B. City reserves the right in its sole discretion to select any, all, or none of the Bid Alternates at the time of award of the Contract, regardless of whether such Bid Alternates were used in the analysis to determine the lowest Bid. 21. EXECUTION OF CONTRACT Within fourteen (14) calendar days after being notified by City that it has been awarded the Contract, Contractor shall deliver to the City the following documents: A. Three (3) copies of the Contract in the form included herein, properly executed by Contractor and, if Contractor is a corporation, evidence of its corporate existence and that the persons signing the Contract are authorized to do so. All signatures must be notarized. B. Properly executed copies of the (a) Performance Bond (b) Labor and Material (Payment) Bond and (c) Maintenance Bond in accordance with the requirements set forth in Article 13 of the General Conditions and in the form shown on Exhibits 1, 2 and 3 attached thereto. All signatures must be notarized. C. Properly executed policies of all of the following: (a) the Commercial General Liability Insurance, (b) the Automotive Liability Insurance, and (c) Professional Liability, if required, and (e) the corresponding endorsements for each policy in accordance with the requirements set forth in Article 12 of the General Conditions. In the event that the fourteenth calendar day falls on Saturday, Sunday, a legal holiday for the State of California, or on days when City Hall is closed, the aforesaid documents shall be delivered by the following Working Day. After receipt of said documents within said time period or any extension thereof granted by the City, the City shall execute the Contract and return one (1) of said three (3) copies to Contractor for its files. 22. PUBLIC RECORDS City seeks to conduct its business openly. Except as set forth in paragraph 8.A., upon opening, all Bids shall become a matter of public record and shall be regarded as public, with the exception of those elements of each Bid that are identified by the Bidder and plainly marked as "trade secret,""confidential,"or"proprietary,"including any Statement of Qualifications and financial statements to be submitted by Bidders. Each element of a Bid which a Bidder desires not to be considered a public record must be clearly marked as set forth above, and any blanket statement(i.e.regarding entire pages,documents,or other, 11 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) non-specific designations) shall not be sufficient and shall not bind the City in any way whatsoever. If City receives a request from a third party to make a Bid available for inspection and copying, the City will notify the Bidder of the request. If a Bidder instructs the City that the information is not to be released, City will withhold the information, provided, the Bidder expeditiously seeks a protective order from a court of competent jurisdiction to prevent such release. If disclosure is required under the California Public Records Act or otherwise by law(despite the Bidder's request for confidentiality),the City shall not in any way be liable or responsible for the disclosure of any such records or part thereof. Bidder shall indemnify, defend (including Bidder's providing and paying for legal counsel for City), and hold harmless City, its officers, agents, employees, and representatives from and against all liability,claims,suits,demands,damages,fines,penalties,costs,or expenses arising out of or alleging City's refusal to publicly disclose one or more records that Bidder identifies as protectable, or asserts is protectable. 23. PREVAILING WAGE RATES AND EMPLOYMENT OF APPRENTICES A. Prevailing Wage Rates. The Bidder and all Subcontractors shall utilize the relevant prevailing wage rate determinations in effect on the first advertisement date of the Notice Calling for Bids in preparing the Bid Proposal and all component price quotations,provided,however,that when Davis Bacon wage rates apply, such rates are subject to increase by written notice, issued by Addendum not less than 10 calendar days before the Bid Deadline. Pursuant to California Labor Code Section 1770 et seq., the Director of the Department of Industrial Relations of the State of California and the United States Secretary of Labor have determined the general prevailing wage rates in the locality in which the Work is to be performed. Said rate schedules are available on the Internet at www.dir.ca.gov/DLSRJPWD/. The wage rate for any classification not listed,but which may be required to execute the Work, shall be commensurate and in accord with specified rates for similar or comparable classifications for those performing similar or comparable duties. To comply with California Labor Code Section 1773.2, Contractor shall post, at appropriate and conspicuous locations on the job site, a schedule showing all applicable prevailing wage rates and shall also comply with the requirements of California Labor Code Sections 1773 et seq. B. Apprenticeship Committee Contract Award Information. Pursuant to California Labor Code § 1777.5 and Title 8 of the California Code of Regulations § 230, Contractor and Subcontractors of any tier who are not already approved to train by an apprenticeship program sponsor shall, within ten (10) calendar days of signing the Contract or subcontract, as applicable,but in any event prior to the first day in which Contractor or Subcontractor has workers employed on the Project, submit the Public Works Contract Award Information form (DAS Form 140) to the appropriate local apprenticeship committees whose geographic area of operation include the area of the Project and who can supply apprentices to the Project. City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to the City. 12 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) C. Statement of Employer Fringe Benefit Payments. Within five (5) calendar days of signing the Contract or subcontract, as applicable, the Statement of Employer Payments (DLSE Form PW 26) shall be completed for each Contractor and Subcontractor of any tier who pays benefits to a third party trust, plan or fund for health and welfare benefits, vacation funds or makes pension contributions. The form must contain, for each worker classification, the fund, plan or trust name, address, administrator, the amount per hour contributed and the frequency of contributions. Training fund contributions shall also be reported in this form. City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to the City. D. Notice to Subcontractors. Bidders shall notify all potential Subcontractors submitting price quotations for portions of the Work of the requirements concerning payment of prevailing wage rates,payroll records,hours of Work,and employment of apprentices. 24. SPECIAL CITY REQUIREMENTS Special City forms and their instructions are an integral part of these specifications and failure to submit same may be grounds, in the sole discretion of the City, for rejection of any Bidder. A. Living Wage Ordinance and Prevailing Wage Where Applicable. Contractor, and Subcontractors, if any, shall comply with the terms and conditions of Ordinance No. 1187, the City's Living Wage Ordinance. Upon request, certified payroll documents shall be provided to the City. If there is a difference between the Vernon Living Wage rates and the California Prevailing wage rates for the same classification of labor, Contractor and subcontractor shall not pay less than the highest wage rate for that classification. B. Equal Employment Opportunity in Contracting. The City of Vernon is committed to a policy of equal opportunity in contracting. Qualified firms including small businesses and businesses owned by women, minorities, and disabled persons are encouraged to submit bids or proposals. Contractors expressly agree to comply with the City's ordinances and regulations regarding Equal Opportunity Employment as well as regulations that may be mandated by the source of the funds supporting the Contract. Contractor certifies and represents that during the performance of this Contract,it and any other parties with whom it may subcontract shall adhere to equal employment opportunity practices to assure that applicants, employees and recipients of service are treated equally and are not discriminated against because of their are not discriminated against because of their race,religion, religious belief, color, national origin, citizenship, ancestry, disability, sex, age, medical condition, pregnancy, sexual orientation or marital status. Contractor certifies that it will not maintain any segregated facilities. Contractor shall comply with all applicable Federal and California laws including, but not limited to, the California Fair Employment and Housing Act (California 13 INSTRUCTION TO BIDDERS (Ifappropriate)CONTRACT NO.(Insert#) Government Code Section 12900, et seq.), California Labor Code Section 1735, and The Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.). Contractor shall require like compliance by all Subcontractors employed on the Work. 25. BID PROTEST PROCEDURES A. Any Bidder submitting a Bid directly to the City and eligible for award of the Contract may file a protest if the Bidder complies with all of the following requirements and conditions: 1. The Bid protest is in writing; 2. A protest based upon alleged defects or improprieties in the Contract Documents is filed with the City prior to the Bid Deadline; 3. All other protests are to be filed and received by the City no more than five (5) calendar days following the City's notice of intent to award the Contract; and 4. The written Bid protest sets forth, in detail, all grounds for the Bid protest, including without limitation: all facts, supporting documentation, legal authorities, and argument in support of the grounds for the Bid protest. All factual contentions must be supported by competent, admissible, and credible evidence. B. Any matters not set forth in the written Bid protest will be deemed waived. Any Bid protest not conforming to the foregoing requirements and conditions will be rejected by the City as invalid. C. Bid Dispute Indemnification. In the event of a Bid dispute based upon the Bidder's submission of this Bid and the City acceptance of same,the Bidder shall indemnify, defend (with counsel acceptable to City), and hold harmless the City, its City Council members, employees, and agents from liability, claims, demands, damages, and costs arising therefrom if such dispute or action arises solely upon the award of a Contract in compliance with federal, state, and local laws. [END OF DOCUMENT] 14 INSTRUCTION TO BIDDERS (If appropriate)CONTRACT NO.(Insert#) EXHIBIT A GENERAL CONDITIONS ARTICLE 4 - PRELIMINARY PROVISIONS 1.01 DEFINITIONS The following words shall have the following meanings: A. Allowance. A line item cost estimate established by the City to be carved in the Base Bid sum,Contract Sum, and Schedule of Values for Payment for a particular item of Work, which cannot be sufficiently defined so as to allow the Contractor to adequately determine fair value before the Bid Deadline. Allowances include estimated amounts established by the City for certain construction elements that have not yet been fully designed or authorized for inclusion in the Work or to permit deferred approval or selection of actual materials and equipment to a later date when additional information is available for evaluation. B. As-Builts. The documents prepared by Contractor showing the condition of the Work as actually built, including, without limitation, all changes and the exact locations of all mechanical, electrical, plumbing, HVAC or other portions of the Work that are shown diagrammatically in the Contract Documents. C. Base Bid. The total sum stated in the Bid Form for which the Bidder offers to perform Work described in the Contract Documents as the base Contract Work(e.g.not designated as part of a Bid Alternate). D. Bid. A complete and properly executed offer by the Bidder on City-prescribed forms to perform the Work for the prices stated in response to the Notice Inviting Bids. E. Bid Alternate. An item of Work described in the Contract Documents as an Alternate Bid that will be added to or deducted from the Base Bid and the Contractor's responsibility only if the City accepts the Bid Alternate. F. Bid Forms: The City-prescribed forms which the Bidder shall complete and use to submit a Bid. The Bid Forms include:(1)Bidder's Proposal;(2)Schedule of Bid Prices;(3) Incumbency Certificate; (4) Bid Bond; (5) Bidder's Statement of Qualifications; (6) Experience Form; (7) Trades Experience Form; (8) Contractor Safety Questionnaire; (9) Designation of Subcontractors;(10)Affidavit of Non- Collusion; (11) Insurance Requirements Affidavit; and (12) forms included in the Specification required by the type of project funding (e.g.federal,ARRA, HUD,etc.). G. Bidder. The individual,partnership,firm,corporation,joint venture or other legal entity submitting a bid on these Contract Documents or any part thereof. H. Bidding Documents. Bidding Documents include the Bidding Requirements and the proposed Contract Documents. The Bidding Requirements consist of:(1) Notice Inviting Bids;(2) Instructions to Bidders; and (3) Bid Forms. The proposed Contract Documents consist of: (1) the Bidding Requirements; (2) the Construction Contract Between City and Contractor, (3) the Conditions of the Contract(General, Supplementary, and Special, if applicable); (4)all Exhibits to the Contract; (5)the Drawings; (6) the Specifications; (7) all Addenda issued prior to the execution of the Construction ARTICLE 1 GC-1 Contract; (8) all Modifications issued after the execution of the Construction Contract; and (9) Governmental Approvals, if any, including but not limited to, permits. I. Change Order. A Change Order is a written document prepared by the City reflecting the agreement between the City and Contractor for: a change in the terms or conditions of the Contract, if any; a specific Scope Change in the Work;the amount of the adjustment, if any, in the Contract Sum; and the extent of the adjustment, if any, in the Contract Time. J. Change Order Request(COR). A Change Order Request is a written document originated by the Contractor,which describes an instruction issued by the City after the effective date of the Contract, which Contractor believes to be a scope change that may result in changes to the Contract Sum or Contract Time or, which describes the need for or desirability of a change in the Work proposed by Contractor. K. City or Owner. The City of Vernon, California, acting through its City Council or other City officials authorized to act for the City,acting in its proprietary rather than regulatory capacity in connection with the Project. L. Construction Change Directive. A written order prepared and signed by the City directing a change in Work prior to agreement on adjustment, if any,in the Contract Sum or Contract Time,or both. M. Contract Documents. The Contract Documents are enumerated in the Construction Contract between City and Contractor and consist of: (1) the Bidding Requirements; (2) the Construction Contract; (3)the Conditions of the Contract(General, Supplementary, and Special, if applicable); (4) all Exhibits to the Contract; (5)the Drawings; (6)the Specifications; (7)all Addenda issued prior to the execution of the Contract; (8) all Modifications issued after the execution of the Contract; and (9) Governmental Approvals, including,but not limited to,permits. The intent of the Contract Documents is to include all items necessary for the proper execution and completion of the Work by the Contractor. The Contract Documents are complementary, and what is required by one shall be as binding as if required by all; performance by the Contractor shall be required to the extent consistent with the Contract Documents and reasonably inferable from them as being necessary to produce the indicated results. N. Contract. The Contract Documents form the Contract for Construction. The Contract Represents the entire and integrated agreement between the parties hereto and supersedes prior negotiations, representations, or agreements, either written or oral. The Contract may be amended or modified on by a Modification. The Contract Documents shall not be construed to create a contractual relationship of any kind between any persons or entities other than the Owner and the Contractor. There shall be no third party beneficiaries of the Contract Documents. 0. Contract Sum. The total amount of compensation stated in the Construction Contract that is payable to Contractor for the complete performance of the Work in accordance with the Contract Documents. P. Contract Time. The total number of days set forth in the Construction Contact within which Substantial Completion of the Work must be achieved beginning with the Date of Commencement established in the Notice to Proceed, subject to adjustments in accordance with the terms of the Contract Documents. The Contract Time for Contractors performance of the Work is measured in calendar days(not work days). C. Contractor. The individual,partnership,firm,corporation,joint venture or other legal entity with whom the Contract is made by City,or the agent or legal representative who may be appointed to represent ARTICLE 1 GC-2 such individual, partnership, firm,corporation,joint venture or other legal entity in the execution of the Contract as general contractor for construction of the Work. R. Correction Period. Correction Period is synonymous with the terms of the correction guarantee period used in the Contract Documents. S. Date of Commencement. The date for commencement of the Work fixed by City in a Notice to Proceed to Contractor. T. Day. The terms"day"or"days"mean calendar days unless otherwise specifically designated in the Contract Documents. The term "Work Day"or"Working Day" shall mean any calendar day except Saturdays, Sundays and City-recognized legal holidays. U. Director. The Director of the Community Service and Water Department of the City of Vernon or his/her duly appointed representative. V. Drawings. The Drawings are the graphic and pictorial portions of the Contract Documents showing the design, location, and dimensions of the Work, generally including plans, elevations, sections, details,schedules,and diagrams. W. Extra Work. New or unforeseen work will be classified as Extra Work when determined by the City that the work is not described in, or reasonably inferable from, the Contract Documents, the work is not covered by any Bid line item or Allowance, and the work causes Contractor to incur additional and unforeseen costs. X. Field Directive. See, "Work Directive." Y. Final Completion. Final Completion is the stage of performance of the Work when (1) all Work required by the Contract Documents has been fully completed in compliance with the Contract Documents and all applicable laws including, but not limited to,correction or completion of all punch list items noted by City upon Substantial Completion; (2) Contractor has delivered to City an Application for Final Payment and all closeout documentation required by the Contract Documents; and (3)documentation of all final Govemmental Approvals has been submitted to City including,but not limited to a final Certificate of Occupancy or equivalent Building Department sign-off has been issued covering the entire Project site without exception or conditions. Z. Force Majeure. "Force Majeure" includes but is not limited to declared or undeclared war,sabotage, insurrection, riot, or other acts of civil disobedience, labor disputes, fires, explosions, floods, earthquakes or other acts of God. AA. Fragnet. The sequence of new activities that are proposed to be added to an existing schedule. BB. Governmental Approval. Any approval, authorization, inspection, certification, consent, exemption, filing, permit, registration, plan check, ruling or similar authorization required by any federal, state or local law,regulation or procedures in order for Contractor to perform the Work. CC. Guarantee. Assurance to City by Contractor or product manufacturer or other specified party, as guarantor, that the specified warranty will be fulfilled by the guarantor in the event of default by the warrantor. ARTICLE 1 GC-3 DD. Modification. A Modification is: (1) a written amendment to Contract signed by both parties; (2) a Change Order;or(3)a Construction Change Directive. EE. Notice to Proceed. The Notice to Proceed is a document issued by the City fixing the date for Commencement for the Work. FF. Parties. The City and Contractor may be referred to in the Contract Documents from time to time as the Parties. GG. Permit Fees. [OPTION #1] The actual direct costs paid by Contractor for Governmental Approvals and Utility Fees. [OPTION#2]Governmental Approvals and Utility Fees as required by any agency to be paid by the City of Vernon. HI i {lfapplicable)Permit Fees Reimbursement. A payment made to the Contractor by the City in addition to the Contract Sum to compensate Contractor for the actual direct cost of all Permit Fees. II. Project. The Project is the total construction of which the Work performed under the Contract Documents may be the whole or a part and which may include construction by the City or by separate contractors. JJ. Project ManuallContract Package. The volumes of Contract Documents and reference documents assembled for the Work made available to Bidders. KK. Record Documents. The Drawings, Specifications, addenda, requests for information, bulletins, Change Orders and other modifications to the Contract Documents, approved shop drawings, product data, samples, mock-ups, permits, inspection reports, test results, daily logs, schedules, subcontracts, and purchase orders. Records Documents shall include a set of"As-Built" Drawings and Specifications,which shall be continuously updated during the prosecution of the Work. ILL. Site. The physical area designated in the Contract Documents for Contractor's performance of the Work. MM. Specifications. The Specifications are the volume(s)assembled for the Work that includes,without limitation, the Bidding Documents, the Construction Contract and Exhibits, the General Conditions, Supplementary and/or Special Conditions, if any, the "GREENBOOK" STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION(2012 Edition),the Standard Plans for Public Works Construction (2009 Edition), State of California, Department of Transportation Standard Plans and Standard Specifications(2010 Edition),and the City of Vemon Standard Plans. NN. Specifications. The Specifications are that portion of the Contract Documents consisting of the written requirements for materials, equipment, systems, standards, and workmanship for the Work and performance of related services, including, but not limited to, the Project Technical Specifications,Standard Specifications, if any, and any applicable Trade Association Specifications. 00. Substantial Completion. Substantial Completion is defined to mean the stage in the progress of the Work when the Work is sufficiently complete in accordance with the Contract Documents as determined by the City so that the City can occupy and utilize the Work for its intended use and as further defined in the Contract Documents. PP. Unilateral Change Order. See"Work Directive." ARTICLE 1 GC4 QQ. Utility Fees. The fees charged by any public, private,cooperative,municipal and/or government line, facility or system used for the carriage, transmission and/or distribution of cable television, electric power, telephone, water, gas, oil, petroleum, steam, chemicals, sewage, storm water or similar commodity including,but not limited to fees for temporary utilities and refuse hauling. RR. Warranty. Assurance to City by contractor, installer,supplier,manufacturer or other party responsible as warrantor, for the quantity, quality, performance and other representations of a product, system service of the Work. SS. Work. The term "Work" means the construction and other services required by, and reasonably inferable from the Contract Documents, whether completed or partially completed, and includes all other labor, materials,equipment, and services provided or to be provided by the Contractor to fulfill the Contractors obligations. The Work may constitute the whole or a part of the Project. TT. Work Directive. A Work Directive is a unilateral written order issued by the City directing Contractor to continue performance of the Work or to perform a disputed change in the Work prior to agreement or adjustment, if any, in the Contract Sum, Contract Time, or both. 1.02 REPRESENTATIVES A. The Director shall be the representative of the City and, except as otherwise expressly provided herein, shall make all decisions and interpretations to be made by the City under the provisions of the Contract Documents. B. The Contractor shall at all times be represented on the Work in person or by a duly designated agent. Instructions and information given by the Director to the Contractors agent on the Work shall be considered as having been given to the Contractor. 1.03 PERMITS, INSPECTIONS, PLAN CHECKS, AN SIMILAR GOVERNMENTAL APPROVALS AND UTILITIES A. [OPTION#1] Except as otherwise provided in the Notice Inviting Bids, the Contractor shall apply for, obtain, and pay for all permits including, but not limited to, building or structure permits, plumbing system permits, mechanical system permits, electrical system permits, structural system permits, demolition permits, excavation permits, street use permits, driveway permits, sidewalk, curb, sewer, gutter,crosswalk,paving or other street work grading permits,street/utility use permits,OSHA permits, fire sprinkler permits, fence permits, blasting permits, landscaping/imgation permits, and permits to demolish,remove,or make major alterations to any designated historic resource;inspections;and plan checks obtained after the Date of Commencement of the Work. The Notice Inviting Bids contains a list of permits and other Governmental Approvals and Utility Fees obtained and paid for by the City prior to the Date of Commencement; Contractor is responsible for obtaining all Governmental Approvals and Utility Fees not fisted in the Notice Inviting Bids. [OPTION#2]City of Vernon shall obtain all Governmental Approvals and Utility Fees required for the construction of the project. B. [OPTION#1]The City will reimburse Contractor monthly for the documented actual direct cost paid to governmental agencies or utilities for all Permit Fees according to the payment provisions of the Contract Documents after submission to the City of the Contractor's and/or Subcontractors' original receipts from the governmental entities or utilities ("Permit Fee Reimbursement"). Contractor shall deliver the original receipt to the City's Project Manager with each permit. All Permit Fees shall be ARTICLE 1 GC-5 separately itemized in each Application for Payment and copies of the receipt(s)and permit(s)must be attached. The Base Bid sum 1 Contract Sum shall include the cost of administration and coordination for all Governmental Approvals and Utility Fees. [OPTION #2] (If applicable) Contractor shall obtain a no-fee encroachment permit from the City of Vernon's Public Work,Water and Development Services Department. C. All documents evidencing Contractor's satisfaction with all Govemmentai Approvals and Utility Fees must be submitted to the City prior to submission of the Application for Final Payment. D. Where requirements of the Govemmental Approvals differ from those of the Drawings and Specifications,the more stringent requirements shall apply. E. [OPTION#1] Unless otherwise specified in the Contract Documents, Contractor shall be responsible for payments of all Utility Fees from the Date of Commencement until City's Final Acceptance of the Work. 1.04 LICENSES The Contractor shall apply for, obtain, and pay for all licenses required by governing authorities for the Work. (If applicable)Contractor shall apply and pay for a City of Vernon business license. 1.05 ALLOWANCES A. Contractor shall include in the Contract Sum and Schedule of Values for Payment,the City's estimated cost established for each Worts item covered by an Allowance stated in the Contract Documents. See Paragraph 1.01 for definition of Allowance. B. The line item cost estimate established by the City for Work covered by an Allowance includes the cost to Contractor of: all materials and equipment,preparation of submittals;labor;transportation;delivery; handling;installation;supervision;overhead;profit;licenses; bonds;insurance;all sales,use and other taxes legally chargeable;and all other costs and expenses incidental to such Work. C. Work items covered by Allowances shall be supplied with such materials and equipment and for such prices approved in advance by City. Contractor shall notify and request City's approval of material equipment, and pricing information for Work covered by an Allowance before ordering the material or equipment and in sufficient time to avoid delay to the Work. City shall provide approval of materials, equipment, and prices with reasonable promptness. The material, equipment,and pricing information submitted by the Contractor to the City's Project Manager shall, at a minimum, include product data and detailed costs of material,equipment,and labor to complete such Work,itemized by costs incurred by Contractor and each subcontractor associated with the performance of such Work. Contractor shall not order materials or equipment or proceed with Work covered by an Allowance until the material, equipment, and pricing information for such Work items have been submitted to the City's Project Representative for review and the Contractor has received City's approval to proceed with a Work item covered by an Allowance. D. All expenditures for Allowance Work shall be separately itemized in each Application for Payment. E. To the extent that the cost of Work items covered by an Allowance is less than the Allowance cost estimate established by the City,the Contact Sum shall be reduced by Change Order or Construction Change Directive to reflect the actual cost of the Allowance item. Similarly, to the extent the cost of ARTICLE 1 GC-6 Work items covered by an Allowance is greater than the Allowance cost estimate, the Contract Sum shall be increased by Change Order or Construction Change Directive to reflect the actual cost of the Allowance item. If Work items covered by an Allowance are not performed or the City deletes such items from the Scope of Work, the Contract Sum shall be reduced by Change Order or Construction Change Directive to deduct the Cost of the unused Allowance item. 1.06 WAIVER A waiver by City of any breach of any term, covenant, or condition contained in the Contract Documents shall not be deemed to be a waiver of any subsequent breach of the same or any other term,covenant,or condition contained therein,whether of the same or a different character. 1.07 DATA TO BE FURNISHED BY THE CONTRACTOR The Contractor shall furnish the Director with such information as the Director may desire respecting the character of the materials and the progress and manner of the Work, including all information necessary to determine the Contractor's costs, such as the number of persons employed, their pay, the time during which they worked on the various classes of construction,and other pertinent data. 1.08 CONTRACT DRAWINGS The City will accept no responsibility for error;resulting from misinterpretation or scaling of the Drawings. 1.09 SPECIFICATIONS AND DRAWINGS A. The Contractor shall keep on the Work Site a copy of all Specifications, Drawings, and Change Orders pertaining to the Work and shall at all times give the Director access thereto. Anything mentioned in the Specifications and not shown on the Drawings or shown on the Drawings and not mentioned in the Specifications shall be of like effect as though shown or mentioned in both. B. In general, the Drawings will show dimensions, positions, and kind of construction; and the Specifications will define materials, quality, and standards. Any Work not particularly detailed, marked or specified, shall be the same as similar parts that are detailed, marked or specified. C. The Drawings shall not be scaled to determine dimensions, and in all cases shall be calculated from figures shown on the Drawings. Any discrepancies between scale and figured dimensions, not marked "not to scale," must be brought to the Director's attention before proceeding with the Work affected by the discrepancy. D. Omissions from the Drawings and/or Specifications shall not relieve the Contractor from the responsibility of furnishing, making, or installing all items required by law or code, or usually furnished,made or installed in a project of the scope and general character indicated by the Drawings and Specifications. E. For convenience,the Drawings and Specifications may be arranged in various trade subparagraphs, but such segregation shall not be considered as limiting the Work of any subcontract or trade. The Contractor shall be solely responsible for all subcontract arrangements of the Work regardless of the location or provision in the Drawings and Specifications. F. The City will furnish free of charge to the Contractor, a maximum of six(6)sets of Contract Drawings ARTICLE 1 GC-7 and Specifications. The Contractor shall pay for the costs of any additional sets or portions thereof. The Contractor shall be responsible to see that all sets are the same as the up-to-date approved set. 1.10 PRECEDENCE OF CONTRACT DOCUMENTS A. In the event of conflict between any of the Contract Documents, the provisions placing a more stringent requirement on the Contractor shall prevail. The Contractor shall provide the better quality or greater quantity of Work and/or materials unless otherwise directed by City in writing. In the event none of the Contract Documents place a more stringent requirement or greater burden on the Contractor,the controlling provision shall be that which is found in the document with higher precedence in accordance with the following order of precedence: 1. Governmental Approvals including, but not limited to,permits required for the Work 2. Modifications issued after execution of the Contract (including modifications to Drawings and Specifications) 3. The Contract, including all exhibits, attachments, appendices and Addenda, with later Addenda having precedence over earlier Addenda a. Special Conditions, if any 5. General Conditions 6. Specifications 7. Drawings 8. Bidding Requirements B. With reference to the Drawings,the order of precedence is as follows: 1. Change Order Drawings 2. Addenda Drawings 3. Contract Drawings 4. Project Drawings 5. Standard Drawings 6. Detail Drawings 7. General Drawings 8. Figures 9. Scaled dimensions ARTICLE 1 GC-8 C. Within the Specifications,the order of precedence is as follows: 1. Change Orders 2. Special Conditions 3. Project Technical Specifications 4. Standard Specifications, if any 5. Applicable Trade Association Specifications 1.11 NOTICE OF CONFLICTS If the Contractor, in the course of the Work, becomes aware of any claimed conflicts, errors or omissions in the Contract Documents or in the City's fieldwork or work of City's separate contractors,the Contractor shall immediately notify the Director in writing. The Director shall promptly review the matter, and if the Director finds a conflict,error or omission,the Director shall determine the corrective actions and advise the Contractor accordingly. If the correction associated with a conflict,error or omission increases or decreases the amount of Work called for in the Contract, the City shall issue an appropriate Change Order in accordance with the Contract Documents. After discovery of an error or omission by the Contractor, any related additional work performed by the Contractor shall be done at the Contractor's risk unless authorized by the Director. 1.12 REPORTS A. Daily Construction Reports: The Contractor shall prepare a daily construction report recording the following information concerning events at Project site: 1. List of Subcontractors at Project site. 2. List of other contractors at Project site. 3. Approximate count of personnel at Project site. 4. Equipment at Project site. 5. Material deliveries. 6. High and low temperatures and general weather conditions, including presence of rain or snow. 7. Accidents. 8. Meetings and significant decisions. 9. Unusual events. 10. Stoppages,delays,shortages,and losses. 11. Meter readings and similar recordings. 12. Emergency procedures. 13. Orders and requests of authorities having jurisdiction. 14. Change Orders received and implemented. 15. Construction Change Directives received and implemented. 16. Services connected and disconnected. 17. Equipment or system tests and startups. 18. Partial completions and occupancies. 19. Substantial Completions authorized. 20. List of visitors to Project Site. 21. List of personnel at Project Site including names and job classifications. 22. Description of Work for the day including locations,quantities and related bid items. ARTICLE 1 GC-9 Immediately upon discovery of a difference between field conditions and the Contract Documents, the Contractor shall prepare and submit a detailed report through a Request for Information (RFI). Include a detailed description of the differing conditions, together with recommendations for a remedy. The Daily Construction Report must be: signed by Contractor's Superintendent, submitted within 24 hours (next Working Day)to the Director, and shall be made available to others as directed by City. 1.13 LINES GRADES,AND MEASUREMENTS A. All lines and grades will be established by the Contractor. The Contractors shall carefully preserve all surrey stakes and reference points as far as possible. Should any stakes or points be removed or destroyed unnecessarily by any act of the Contractor or his/her employees, they must be reset to the satisfaction of the Director,at the Contractors expense. a. The Contractor shall inform the Director 48 hours(two Work Days)in advance of the times and places at which he/she intends to Work in order that inspection may be provided, and that necessary measurements for records and payments may be made with minimum inconvenience. C. No direct payment will be made for the cost to the Contractor of any of the Work or delay occasioned by giving lines and grades, by making other necessary measurements,or by inspection. 1.14 RIGHT OF WAY A. The site for the installation of equipment or the right of way for the Work to be constructed under this Contract will be provided by the City. B. The City will provide the appropriate rights of way and property for pipelines and structures. Upon approval by the Director,the Contractor may, without cost, use portions of any of the City's rights of way or property which may be suitable for working space and for storage of equipment and materials. The Contractor will be held responsible for any damage to structures,streets, and roads, trees and landscaping, and for any damage that may result from his/her use of City property. C. In case areas additional to those available on the City's rights of way or property are required by the Contractor for his/her operations,he/she shall make arrangements with the property owners for the use of such additional areas at his/her own expense. 1.15 CONTRACTOR'S OPERATIONS/STORAGE YARD In the event the Contractor requires space for the storage and/or staging of construction materials, supplies, equipment,stockpiling of debris,or any other needs required for construction operations,he/she shall acquire at his/her own expense such areas as he/she may desire. For properties within the City of Vernon, the staging area must be enclosed at Contractor's expense with construction fencing covered with a mesh screen to limit visibility to the site. Private property used for storage of construction material or debris shall be restored to a legal condition with regard to appearance and maintenance upon conclusion of the project. Property should be graded and free of weeds and debris when project is completed. [END OF ARTICLE] ARTICLE 1 GC-10 ARTICLE 2-PERFORMANCE OF THE WORK 2.01 PERFORMANCE OF WORK-GENERAL Contractor shall, at its own cost and expense, furnish all necessary materials, labor, transportation, and equipment for doing and performing said Work and the materials used shall comply with the requirements of the Contract Documents. All Work shall be performed and completed as required in the Contract Documents, and subject to the approval of the Director,or his/her designated assistant. 2.02 NO ASSIGNMENT OR DELEGATION Contractor shall not assign or delegate the duties or obligations under this Contract or his/her interest therein in whole or in part without the prior written consent of the City which may be withheld at the City's sole discretion. 2.03 STANDARD OF PERFORMANCE Contractor agrees that all services performed hereunder shall be provided in a manner commensurate with the highest professional standards and shall be performed by qualified and experienced personnel; that any Work performed by Contractor under the Contract will be performed in the best manner, that any material furnished shall be subject to the approval of the Director;and that both Work and materials will meet fully the requirements of the Contract Documents. Any work deemed unacceptable by the Director,whether a cause is determined or not shall be repaired or replaced by Contractor at Contractor's expense. The Contractor shall be responsible for the final product and shall make any quality control,adjustments and corrections necessary to obtain the final product accepted by the City Engineer.The Contractor shall perform process and quality control sampling and testing and exercise management control the worts of his/her subcontractors, technicians and workers to ensure that the milling, transporting, recycling, spreading, compaction, and finishing processes conform to these Specifications. The proficiency of testing laboratories and sampling and testing personnel shall be reviewed and approved by the City Engineer prior to providing services to the project. The City Engineer shall have unrestricted access to the laboratory, sampling,testing sites, and all information resulting from mix design and quality control activities. All Quality Control testing results shall be submitted to the City Engineer on a daily basis. 2.04 DEFECTIVE WORK Within the time periods that the City specifies,the Contractor shall correct all deficient, improperly executed,or unsatisfactory Work determined by the City. The Contractor shall remove and shall repair or replace, at his/her own expense any part of the Work that is deficient, improperly executed, or unsatisfactorily executed, even though it has been included in the monthly estimates. If he/she refuses or neglects to remove, repair, or replace such defective Work, prior to the City's acceptance of the Work,it may be replaced by the City at the expense of the Contractor,plus 15%for overhead expenses,and his/her sureties shall be liable therefor. (See Paragraph 2.15 for curing defects after acceptance of the Work.) ARTICLE 2 GC-11 2.05 CITY'S RIGHT TO CARRY OUT THE WORK A. Notwithstanding other remedies available to the City, if the Contractor defaults, fails to perform Work required by the Contract Documents, or otherwise neglects to carry out the Work in accordance with the Contract Documents and fails within a 48 hour period after receipt of written notice from the City to commence and correct such default,failure to perform, or neglect with diligence and promptness,the City,at its sole discretion and without obligation,may,with its own or outside forces,perform the Work Contractor has failed to perform and/or replace or correct deficiencies in the Work. In such case, a Change Order or Construction Change Directive shall be issued deducting from payments then or thereafter due to the Contractor the cost of completion, replacement or correction of such deficiencies, including compensation for additional services by the City's project management staff, the Architect, and their respective consultants made necessary by such default, failure to perform, or neglect, plus 15%for City's overhead expenses. If payments then or thereafter due the Contractor are not sufficient to cover such amounts,the Contractor shall pay the difference to the City immediately. This remedy is cumulative. B. The City also has the right,but not the obligation,to self-perform or have outside forces perform portions of the Work previously assigned to Contractor. In such case a Change Order or Construction Change Directive shall be issued, reducing the Contract Sum by the Unit Price(s) applicable to such deleted Work or,in the absence of Unit Prices,an amount that reflects the reasonable cost of performing such deleted Work and the Allowable Mark-Up applicable to such deleted Work. 2.06 COMMUNICATIONS AND NOTICES REGARDING THE WORK A. Notices under the Contract Documents shall be in writing and (a) delivered personally, (b) sent by certified mail, return receipt requested, (c) sent by a recognized overnight mail or courier service, with delivery receipt requested,or(d)sent by facsimile communication followed by a hard copy and with receipt confirmed by telephone, to the following addresses (or to such other address as may from time to time be specified in writing by such Person): All correspondence with Contractor shall be sent to the following address: Attention: Phone: Facsimile: All communications shall be copied to City and shall be delivered to City's Director at the address set forth below,with copies to such additional persons as may be directed by City's Director. City of Vernon Community Service and Water Department 4305 Santa Fe Avenue Vernon, CA 90058 Attention: (INSERT PROJECT MANGER'S NAME) Phone: ARTICLE 2 GC-12 Facsimile: E-mail: B_ Notices shall be deemed received when actually received in the office of the addressee (of by the addressee if personally delivered)or when delivery is refused, as shown on the receipt of the U. S. Postal Service, private carrier or other Person making the delivery. Notwithstanding the foregoing, notices sent by facsimile after 4:00 p.m. Pacific Standard or Daylight Time (as applicable) and all other notices received after 5:00 p.m. shall be deemed received on the first business day following delivery(that is, in order for a fax to be deemed received on the same day, at least the first page of the fax must have been received before 4:00 p.m.). Any technical or other communications pertaining to the Work shall be conducted by Contractors Project Manager and technical representatives designated by City. Contractors representatives shall be available at all reasonable times for consultation, and shall be authorized to act on behalf of Contractor in matters concerning the Work. C. Contractor shall copy City on all written correspondence pertaining to the Contract between Contractor and any Person other than Contractors Subcontractors,consultants and attorneys. D_ Notification of Affected Residents/Businesses—The Contractor shall be responsible for distribution of the general information letter of the project to all affected residents and businesses.A project general information letter and sufficient copies thereof will be prepared by City staff for Contractor distribution to all residents,business establishments,and institutions fronting on or directly affected by the project. The Contractor shall be responsible for distribution of said letter in handout form to all the appropriate residences and buildings in the subject area. Distribution shall be accomplished in a manner acceptable to the City Engineer and shall be five(5)working days prior to the beginning of construction operations in the immediate vicinity. In addition to the above,the Contractor shall be fully responsible for such other notifications as may be required related to necessary closures of streets, alleys, driveways,etc.,or to unavoidable access or parking restrictions.These notifications shall apply where the closures and access or parking restrictions required in the performance of any work under this contract preclude any resident, tenant, or property owner from utilizing the premises or conducting business thereon in a reasonable and customary manner. Additional notification to the affected businesses and residents shall be prepared by the City and distributed by the Contractor for roadway and driveway closures five (5) working days in advance of any construction work. No removal or excavation work is allowed until the additional notification has been distributed to the affected residents and businesses. If a Contractor is unable to adhere to his schedule as indicated on his written notification,then all the affected residents and places of business shall be re-notified of the revised schedule, in writing, as indicated above. Contractor costs for all of the above notifications shall be considered as included in the appropriate items of the Bid Proposal. E. Notification of Utilities—The provisions of Section 5 entitled "Utilities" of the "Greenbook" Standard Specifications shall apply. The Contractor shall contact the Underground Service Alert of Southem Califomia(U.S.A.)at least two working days in advance of the construction work ARTICLE 2 GC-13 2.07 INDEPENDENT CONTRACTOR The Contractor in the performance of the Work hereunder will be acting in an independent capacity and not as an agent,employee, partner,or joint venture of the City. 2.08 EMERGENCY WORK A. During Working Hours: In case of an emergency which threatens loss or injury of property,and/or safety of life during working hours, the Contractor shall act, without previous instructions from the City, as the situation may warrant. He/she shall notify the Director of the emergency and the action taken immediately thereafter. Any compensation claimed by the Contractor, together with substantiating documents in regard to expense, shall be submitted to the Director within 15 calendar days after the emergency. Compensation, if allowed,will be paid for as Extra Work. B. Outside of Working Hours: Whenever, in the opinion of the City, there shall arise outside of the regular Working hours on the Contract Work of an emergency nature which threatens loss or injury of property, or danger to public safety, the Contractor shall act, without previous instructions from the City as the situation may warrant. He/she shall notify the Director of the emergency and the action taken immediately thereafter. Any compensation claimed by the Contractor, together with substantiating documents in regard to expense, shall be submitted to the Director within 15 calendar days after the emergency. Compensation, if allowed, will be paid for as Extra Work. In the event the Contractor is not able to respond to an emergency outside of regular working hours, the City's forces will handle such emergency Work. If such emergency arises out of or is the result of operations by the Contractor,the cost of the corrective measures will be billed to the Contractor and deducted from his/her payment as provided in the Contract Documents. The performance of emergency Work by City forces will not relieve the Contractor of any of his/her responsibilities,obligations,or liabilities under the Contract. 2.08 SUBCONTRACTORS A. Each subcontract shall contain a reference to the Contract between the City and the principal Contractor,and the terms of the Contract and all parts thereof shall be made part of each subcontract insofar as applicable to the Work covered thereby. If, in the Director's opinion,the Subcontractor fails to comply with the requirements of the principal Contract insofar as the same may be applicable to the Subcontractor's Work,the Director may disqualify the Subcontractor. B. Nothing contained in these Contract Documents shall be construed as creating any contractual relationship between any Subcontractor and the City. C. The Contractor shall be considered the employer of the Subcontractors and shall be fully responsible to the City for the acts and omissions of Subcontractors and of persons employed by them as the Contractor is for the acts and omissions of persons directly employed by him/her. D. The Contractor shall be responsible for the coordination of the trades, Subcontractors, and material suppliers engaged upon the Work. It shall be the Contractors duty to see that all of his/her Subcontractors commence their Work at the proper time and carry it on with due diligence so that they do not delay or injure either the Work or materials; and that all damage caused by them or their workers is made good at his/her expense. ARTICLE 2 GC-14 E. The City will not undertake to settle differences between the Contractor and his/her Subcontractors or between subcontractors. F. The Contractor shall utilize the services of specialty Subcontractors,without additional expense to the City,on those parts of the Work which are specified to be performed by specialty contractors. 2.10 USE OF FACILITIES PRIOR TO COMPLETION OF CONTRACT A. Whenever in the opinion of the Director any Work under the Contract,or any portion(s)thereof, is in a condition suitable for use by the City, the City may, after written notice and designation from the Director to the Contractor, use (which includes, but is not limited to, taking over or placing into service)any portion(s)designated by the Director. B. The use of any portion(s) by the City shall not be construed as, and will not constitute acceptance in any sense,of any portion(s)of the Work of the Contractor nor will such use trigger the running of any warranty and/or guarantee periods. C. All necessary repairs, renewals,changes,or modifications in the Work or any portion thereof so used, not due to ordinary wear and tear, but due to defective materials or workmanship, the operations of the Contractor,or any other cause,shall be made at the expense of the Contractor. D. The use of any portion(s) by the City shall not relieve the Contractor of any of his/her responsibilities or liabilities under the Contract nor constitute a waiver by the City of any of the conditions thereof. Said use shall not cancel liquidated damages as of the first date of use, or any continuance thereof, nor impair,reduce,or change the amount of liquidated damages. 2.11 COOPERATION WITH OTHER WORK FORCES A. The City reserves the right to perform other Work at or near the site at any time by the use of its own forces or other contractors. B. Other contractors, other utilities and public agencies or their contractors, other City contractors, and City personnel may be working in the vicinity during the project construction period, There may be some interference between these activities and the Work under the Contract Documents. The Contractor shall cooperate and coordinate his/her Work with that of other Work forces to assure timely Contract completion. 2.12 AGREEMENTS WITH PROPERTY OWNERS Agreements with property owners for storing excavated material,storing any other materials,or for any other purpose related to the Work shall be made in writing and a copy submitted to the Director for his/her information. All storage charges shall be at the Contractor's sole expense. 2.13 PROTECTION OF PROPERTY All public and private property, pavement or improvement, shall be safely guarded from damage or loss in connection with this Contract by the Contractor at all times. Should any facility,structure,or property be damaged during operations of the Contractor, he/she shall immediately notify the property owners or authorities. All damages and losses incurred shall be paid by the Contractor. ARTICLE 2 GC-15 2.14 CONTRACTOR'S RESPONSIBILITIES FOR LOSSES OR LIABILITIES A. Risk of Loss Except as otherwise provided in the Contract Documents and except as to the cost of repair or restoration of damage to the Work caused by force majeure, the Contractor shall bear all losses resulting to him/her on account of the amount or character of the Work, or from any unforeseen obstructions or difficulties which may be encountered, or from any encumbrances on the line of the Work, or because the nature of the ground in or on which the Work is done is different from what is assumed. The Contractor shall bear the risk for any City equipment, material, or supplies with which he/she has been entrusted. B. Materials and Facilities The Contractor shall be responsible for materials and facilities as hereinafter provided and in the event of his/her failure to cant'out said responsibilities,the same may be carried out by the City at the expense of the Contractor: 1. The Contractor shall be responsible for any materials so fumished and for the care of all Work until its completion and final acceptance,and he/she shall at his/her own expense replace damaged or lost materials and repair damaged parts of the Work. 2. The Contractor shall protect City facilities from damage resulting from his/her Work. City facilities damaged by,or as a result of,the Contractor's Work under this Contract shall be repaired or replaced,as directed by the Director,at the Contractor's expense. 3. The Contractor shall remove from the vicinity of the completed Work all buildings,rubbish, unused material,concrete forms,and other materials belonging or used under his/her direction during construction. If Contractor fails to completely remove such items within a reasonable time the City may do so at the Contractor's expense. C. Laws and Regulations 1. The Contractor shall obey all laws, ordinances, and regulations in any manner affecting those engaged or employed on the Work, or the materials used in the Work, or in any way affecting the conduct of the Work,and of all court orders and decrees having any jurisdiction or authority over the same. If any discrepancy or inconsistency should be discovered in this Contract,or in the Drawings or Specifications herein referred to, in relation to any such law, ordinance, regulation,order,or decree, he/she shall immediately report the same in writing to the Director. 2. Contractor shall,at all times,cause all his/her agents and employees to observe and comply with all such applicable laws, ordinances, regulations, orders, and decrees in effect or which may become effective before Final Completion of this Contract. 3. Nothing in the Contract Documents shall be construed to permit Work not conforming to such laws, ordinances, and regulations. If the Contractor ascertains at any time that any requirement of this Contract is at variance with such applicable law requirement, he/she shall immediately notify the Director. 4. If such applicable law requirement was not in effect on the date of submission of bids, any necessary adjustment of the Contract price shall be made as provided in Article 6 herein. If such ARTICLE 2 GC-16 applicable law requirement was in effect on said date of bid submission, no adjustment of Contract price will be considered. 5. The Contractor, at his/her own expense, shall pay all taxes properly assessed against his/her equipment, materials,or property used or required in connection with the Work. 2.15 WARRANTY AND CORRECTIONS A. Warranty 1. Warran . The Contractor warrants to the City that: (i) materials and equipment fumished under the Contract will be of good quality and new unless otherwise required or permitted by the Contract Documents; (4)the Work will be of good quality and free from defects; (iii) the Work will conform to the requirements of the Contract Documents; and (iv) Contractor will deliver the Project free of stop notice claims. Work not conforming to these requirements, including substitutions not accepted by the City, will be deemed defective. The Contractors warranty excludes improper or insufficient maintenance, improper operation, or normal wear and tear and normal usage. If required by the City, the Contractor shall furnish satisfactory evidence as to the kind and quality of materials and equipment. This warranty is not limited by the correction obligation of Paragraph 2.04 herein. 2. Overlap. Where any warranties provided under the Contract Documents overlap,conflict,or are duplicative,Contractor will be bound by the more stringent requirements. 3. Procurement and Assignment of Warranties: Contractor shall obtain in the name of City,or transfer or assign to City or City's designee prior to the time of Final Completion of the Work, any and all warranties or guarantees which Contractor is required to obtain pursuant to the contract Documents and which Contractor obtained from any other person or entity other than Contractor including,but not limited to,Subcontractors and manufacturers,and further agrees to perform the Work in such a manner so as to preserve any and all such warranties. Contractor shall secure written warranties from all Subcontractors. Contractor and its Subcontractors shall offer any warranty upgrades or extensions that are offered by manufacturers of any equipment or system installed in the Work to the City. Contractor shall deliver to City all warranty and guarantee documents and policies. 4. Survival of Warranties: The provisions of this paragraph 2.15 will survive Contractor's completion of the Work or termination of Contractors performance of the Work. B. Correction of Work 1. Before or After Final Completion. The Contractor shall promptly correct Work rejected by the City or City's designee, as failing to conform to the requirements of the Contract Documents, whether discovered before or after Final Completion and whether or not fabricated, installed, or completed. Costs of correcting such rejected Work, including additional testing, inspections, and compensation for the City's services and expenses made necessary thereby,will be at the Contractors expense within the Contract Price. 2. After Final Completion. (a) In addition to the Contractors warranty obligations under Paragraph 2.15-A, if, within one(1)year after the date of Final Completion of the Work or within the time period established by any applicable special warranty required by the Contract ARTICLE 2 GC-]7 Documents, any of the Work is found to be not in accordance with the requirements of the Contract Documents, the Contractor shall commence correction or replacement of such Work within forty-eight(48) hours after receipt of written notice from the City to do so. The Contractor shall perform such corrective work without charge or cost to the City after Final Completion of the Work. The City shall give such notice promptly after discovery of the condition. (b) If the Contractor fails to commence correction or replacement of non-conforming Work within forty-eight (48) hours after receipt of written notice, the City will proceed to have defects repaired or replaced at the expense of the Contractor and its Performance Bond surety, plus fifteen percent (15%) for the City's overhead and administrative expense. The City may charge such costs against any payment due Contractor. If, in the opinion of the City, defective work creates a dangerous or hazardous condition or requires immediate correction or attention to prevent further loss to the City or to prevent interruption of operations of the City, the City may take immediate action,give notice, make such correction,or provide such attention and the cost of such correction or attention will be charged against the Contractor. Such action by the City will not relieve the Contractor of the warranties provided in this Article or elsewhere in the Contract Documents. 3. Replacement or Removal of Defective or Unauthorized Work. The Contractor shall remove from the Site and replace those portions of the Work which are not in accordance with the requirements of the Contract Documents in a manner acceptable to and as ordered by the Director. No compensation shall be allowed for such removal or replacement. Director shall have authority to cause defective work to be remedied, removed or replaced and to deduct the costs from monies due or to become due to the Contractor. 4. Destniction or Damage. In the event the Contractor destroys or damages any construction of the City or another contractor while correcting or removing Work which is not in accordance with the requirements of these Contract Documents, the Contractor shall bear the cost of repairing or reconstructing that other construction as well. 5. No Limitation. Nothing contained in Paragraph 2.15-13 will be construed to establish a period of limitation with respect to other obligations which the Contractor might have under the Contract Documents. Establishment of the one-year period for correction of Work as described in Paragraph 2.15-B relates only to the specific obligation of the Contractor to correct the Work, and has no relationship to the limitations periods established by statute for any construction defect or other causes of action. 2.16 CLEANING AND ENVIRONMENTAL CONTROLS The Contractor, Subcontractors and employees shall comply with all litter and pollution laws and it shall be the responsibility of the Contractor to ensure compliance.The Contractor shall do all of the following: A. Maintain the Site free of waste materials, debris, and rubbish and in a clean and orderly condition; and Remove waste materials,debris and rubbish from site and dispose off-site legally. B. The Contractor shall maintain at histher disposal any and all equipment necessary to prevent and remediate any sanitary sewer overflow arising out of the Work. The Contractor shall fumish and operate a self-loading motor sweeper with spray nozzles, as directed by the Director,to maintain the affected areas in a condition of cleanliness acceptable to the City at all locations affected by the Contractors ARTICLE 2 GC-18 operations. For purposes of this Paragraph, the affected areas include the project Site as well as all haul routes to and from the project Site and all areas of construction and restoration which have not been completed. C. The Contractor shall take appropriate action to ensure that no dust originates from the project Site. D. Any equipment or vehicles driven and/or operated within or adjacent to a street gutter, storm drain, runoff conveyance or ocean shall be checked and maintained daily to prevent leaks of materials that if introduced to water could be deleterious to aquatic life. E. No debris,soil,silt,sand, bark,trash,sawdust, rubbish,cement or concrete or washings thereof,oil or petroleum products or other organic or earthen material from any construction,or associated activity or whatever nature shall be allowed to enter into or placed where same 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. 2.17 WATER POLLUTION CONTROL A. The Contractor shall comply with the requirements of Vemon Municipal Code Chapter 21, Article 5 regarding Storm Water controls. B. Water Quality Protection Requirements for Construction Projects with Less than One (1) Acre of Disturbed Soil. All construction projects, regardless of size, will be required to implement best management practices (BMPs) necessary to reduce pollutants to the Maximum Extent Practicable (MEP) to meet the minimum water quality protection requirements as defined in Table 2-1. ARTICLE 2 GC-19 Table 2-1 Minimum Water Quality Protection Requirements for Construction Projects Category Minimum Requirements BMPs 1. Sediment Control Sediments generated on the project site shall be retained Sediment Control using adequate Treatment Control or Structural BMPs. 2. Construction Materials Construction-related materials, wastes,spills or residues Site Management; Control shall be retained at the project site to avoid discharge to Material and Waste streets,drainage facilities, receiving waters,or adjacent Management properties by wind or runoff. Non-storm water runoff from equipment and vehicle washing and any other activity shall be contained at the project sites. 3. Erosion Control Erosion from slopes and channels shall be controlled by Erosion Control implementing an effective combination of BMPs, such as the limiting of grading scheduled during the wet season; inspecting graded areas during rain events; planting and maintenance of vegetation on slopes;and covering erosion susceptible slopes. Please refer to the California Stormwater Quality Association's Construction Handbook(available on their website: www,cabmphandbooks.com)for further information regarding the BMPs listed in Table 2-1. C. Water Quality Protection Requirements for Construction Projects with One(1)Acre(or greater) of Disturbed Soil. In addition to the minimum BMPs required in Paragraph A, all construction projects where at least one (1) acre of soil will be disturbed, construction activity that results in land surface disturbances of less than one acre if the activity is part of a larger common plan of development,or the sale of one or more acres of disturbed land surface requires a Construction Activities Storm Water General Permit(2009-0009-DWQ Permit). Prior to commencement of construction activities,the Permit Registration Documents(PRDs)must be submitted electronically in the Storm Water Multi-Application Report Tracking System (SMARTS) (http:Jlsmarts.waterboards.ca.gov/smarts/faces/SwSmartsLogin.'sp). PRDs consist of the Notice of Intent, Risk Assessment, Post-Construction Calculations, a Site Map, the Storm Water Pollution Prevention Plan(SWPPP), a signed certification statement by the Legally Responsible Person(LRP), and the first annual fee. See: http'JJwww_swrcb,c . eoo „-' � - .'s-armwater+canstruction_shtmF for more information. A Waste Discharger Identification(WDID)will be emailed to the LRP after the PRDs have been submitted and are deemed complete. Construction activities cannot begin until a WDID is issued by the State Water Resources Control Board. Contractor shall bear the costs of any delays to the Project caused by a delay in obtaining its WDID. The SWPPP shall include: 1. The name, location, period of construction,and a brief description of the project; 2. Contact information for the owner and contractor; 3. The building permit number for the project; 4. The grading permit number for the project(where applicable); 5. A list of major construction materials, wastes, and activities at the project site; 6. A list of best management practices to be used to control pollutant discharges from major construction materials,wastes, and activities; ARTICLE 2 GC-20 7. A site plan (construction plans may be used) indicating the selection of BMPs and their location where appropriate; 8. Non-storm water discharges, their locations, and the BMPs necessary to prevent the discharge; 9. A maintenance and self-inspection schedule of the BMPs to determine the effectiveness and necessary repairs of the BMPs;and 10. A certification statement that all required and selected BMPs will be effectively implemented. Within seven(7)days after the City awards the Contract,the Contractor shall submit seven 7 copies of the proposed SWPPP to the City. The City shall review the SWPPP within 14 days of receipt of the plan. If revisions are required,the Contractor shall revise and re-submit the document within seven(7) days of its receipt of the City's comments. The City shall then have seven (7) days to consider the revisions made by the Contractor and approve the SWPPP. The Contractor shall maintain a minimum of two (2) readily accessible copies of the SWPPP at the Project site. The SWPPP shall be made available upon request of a representative of the Los Angeles Regional Water Quality Control Board (LARWQCB) or the U.S. Environmental Protection Agency(U.S. EPA). Requests by environmental groups and the public shall be directed to the City. D. Best Management Practices The objective of the SWPPP is to identify potential sources of pollution that may reasonably affect the quality of storm water discharge associated with construction activities. The plan will describe and ensure the implementation of Best Management Practices (BMPs) which will be used to reduce pollutants in the storm water discharges from the construction site. A Best Management Practice is defined as any program, technology, process, operating method, measure, or device that controls, prevents, removes, or reduces pollution. The Contractor shall select appropriate BMPs from the California Stormwater BMP Handbook, Municipal, Industrial, New Development, and Construction Volumes (www.cabmphandbooks.com) in conjunction with all activities and construction operations. Copies of the California Stormwater BMP Handbooks may be obtained from: California Stormwater Quality Association Cashier P.O. Box 2313 Los Angeles County DPW Livermore, CA 94551 900 South Fremont Avenue www.cabmphandbooks.com Alhambra, CA 91803 Tel. No. (626)458-6959 E. Implementation The Contractor will be responsible throughout the duration of the Project for the installation, monitoring, inspection and maintenance of the BMPs included in the SWPPP and for removing and disposing of temporary BMPs. The Contractor may be required to implement additional BMPs as a result of changes in actual field conditions,contractor's activities,or construction operations. The Contractor shall demonstrate the ability and preparedness to fully deploy these SWPPP control measures to protect soil-disturbed areas of the project site before the onset of precipitation and shall maintain a detailed plan for the mobilization of sufficient labor and equipment to fully deploy these control measures. ARTICLE 2 GC-21 Throughout the winter season, active soil-disturbed areas of the project site shall be fully protected at the end of each day with these control measures unless fair weather is predicted through the following day. The Contractor shall monitor daily weather forecasts. If precipitation is predicted prior to the end of the following workday, construction scheduling shall be modified, as required, and the Contractor shall deploy functioning control measures prior to the onset of the precipitation. The City may order the suspension of construction operations which are creating water pollution if the Contractorfails to conform to the requirements of this Paragraph 2.17. Unless otherwise directed by the City,the Contractor's responsibility for SWPPP implementation shall continue throughout any temporary suspension of the Work. F. Sewage Spill Prevention. The Contractor's attention is directed to the sewer bypass operation required during any sewer construction pursuant to the 2012 edition of the "Greenbook" Standard Specifications for Public Works Construction, Section 500.1.2.4 or as that section is subsequently amended. The Contractor shall exercise extraordinary care to prevent the cause of events that may lead to a sewage spill. In the event of a sewage spill, the Contractor shall make arrangements for an emergency response unit comprised of emergency response equipment and trained personnel to be immediately dispatched to the project site. The Contractor shall be fully responsible for preventing and containing sewage spills as well as recovering and properly disposing of raw sewage. In addition,the Contractor is responsible for any fines, penalties and liabilities arising from negligently causing a sewage spill. Any utility that is damaged by the contractor shall be immediately repaired at the Contractor's expense. The Contractor shall take all measures necessary to prevent further damage or service interruption and to contain and clean up the sewage spills. G. Sewage Spill Telephone Notification Should a sewage spill occur, the Contractor shall immediately report the incident to either one of these two City Departments: Sewer Maintenance Services Fire Department Dispatch Center 911 The Contractor is encouraged to obtain telephone numbers, pager numbers and cellular telephone numbers of City representatives such as Project Managers and Inspectors. However, if these City representatives are not available,then the Contractor shall immediately call: H Sewage Spill Written Notification The Contractor shall prepare and submit a written report to the Director within three (3) Working Days from the occurrence of a spill to the City. This report shall describe all of the following: 1. The exact location on the Thomas Guide map 2. The nature and volume 3. The date,time and duration ARTICLE 2 GC-22 4. The cause 5. The type of remedial and/or cleanup measures taken and date and time implemented 6. The corrective and preventive action taken, and 7. The water body impacted and results of necessary monitoring I. Enforcement The City is subject to enforcement actions by the LARWQCB, U.S. EPA,environmental groups and private citizens. The Contractor shall indemnify, defend and hold City, its officers, agents and employees harmless from Contractor's failure to comply and/or fulfill the requirements set forth in this Paragraph 2.17. Contractor shall be responsible for all costs and liabilities imposed by law as result of Contractor's failure to comply and/or fulfill the requirements set forth in this Paragraph 2.17. The costs and liabilities include, but are not limited to fines, penalties and damages whether assessed against the City or the Contractor. In addition to any remedy authorized by law, any money due to the Contractor under this contract shall be retained by the City until all costs and liabilities imposed by law against the City or Contractor have been satisfied. J. Maintenance The Contractor shall ensure the proper implementation and functioning of BMP control measures and shall regularly inspect and maintain the construction site for the BMPs identified in the SWPPP. The Contractor shall identify corrective actions and time frames in order to property address any damaged measure,or reinitiate any BMPs that have been discontinued. If the City identifies a deficiency in the deployment or functioning of identified control measures,the deficiency shall be corrected by the Contractor immediately or by a later date and time if agreed to by Director and if requested in writing, but not later than the onset of the subsequent precipitation events. The correction of deficiencies shall be at no additional cost to the City. K. Payment All costs involved in the implementation of the SWPPP, including furnishing all labor, materials, tools,equipment and all incidentals;and for doing all the work involved in installing,constructing, maintaining, removing, and disposing of control measures,except those that were installed as a part of another structure, shall be included in the unit prices bid for the various related items of work and no additional compensation will be made therefor. 2.18 SOLID WASTE DISPOSAL AND DIVERSION The Contractor shall submit to the Director the following summary of solid waste generated by the Work, disposed in Class III landfills, or diverted from disposal through recycling. Report disposal in inert fill separately. This form must be accompanied by legible copies of weight tickets, receipts, or invoices that specifically identify the project generating the material. Said documents must be from recyclers and/or disposal site operators that are acceptable to the Director. Further, the documents must be submitted to the Director with each application for progress payment. Failure to submit the form and its supporting documentation will render the application for progress payment incomplete and delay progress payments. ARTICLE 2 GC-23 SUMMARY OF SOLID WASTE DISPOSAL AND DIVERSION Project Title: Specification No. Type of Material (a) (b) (c) (d) Disposed in Class III Landfills Diverted from Class III [Leave This Column Blank] Disposed in Inert Fills Landfills by Recycling Tons/CY Tons/CY Tons/CY Tons/CY Asphalt Concrete Metal Other Segregated Materials (Describe): Miscellaneous Construction Waste Total Form to be submitted to the City SIGNATURE: TITLE: DATE: 2.19 RECYCLED, REUSABLE AND RECYCLABLE PRODUCTS The Contractor is encouraged to propose recycled, reusable and recyclable products for use by the City. Those items should be clearly identified. The City may require further information or documentation to ascertain the suitability/appropriateness of a proposed product. [END OF ARTICLE] ARTICLE 2 GC-24 ARTICLE 3 -TIME OF COMMENCEMENT AND COMPLETION 3,01 COMMENCEMENT, PROSECUTION,AND COMPLETION OF WORK A. Notice to Proceed The Contractor is not authorized to perform any Work the Contract Documents until he/she has received from the City an official notification to commence Work. The date on which the notification is received by the Contractor is herein referred to as the Notice to Proceed. The Contractor shall commence Work on the Date of Commencement established in the Notice to Proceed is issued. The Notice to Proceed shall be issued after the Contract is properly executed, bonds are furnished and approved,and insurance has been submitted and approved. B. Prosecution of the Work Work shall be continued at all times with such force and equipment as will be sufficient to complete it within the specified time. The Contractor expressly proposes that he/she has taken into consideration and made allowances for all ordinary delays and hindrances to the Work to be performed and that he/she will complete the Work within the specified time. C. Required Contract Completion Time is of the essence in the completion of this Contract. The Work shall be completed in its entirety and made ready for service within calendar days following the Date of Commencement established in the Notice to Proceed ("Contract Time"). By executing the Contract, Contractor confirms that the Contract Time is a reasonable period for performing the Work. 3.02 CITY'S DISCRETION TO EXTEND CONTRACT TIME In the event the Work required hereunder is not satisfactorily completed in all parts and in compliance with the Contract Documents,City shall have the right, in its sole discretion,to increase the number of Working Days or not, as may seem best to serve the interest of City. A change order extending the Contract Time only will be issued by the City should the City decide to increase the number of Working Days. 3.03 SUBSTANTIAL COMPLETION A. Contractor Request for Inspection and Punch List When the Contractor considers that it has achieved Substantial Completion of the Work, or designated portion thereof, Contractor shall prepare and submit to the Director a request for inspection and a comprehensive punch list of items to be completed or corrected prior to Final Payment. Failure to include an item on such punch list does not alter the responsibility of the Contractor to complete all Work in accordance with the Contract Documents. B. City Inspection Upon receipt of the Contractor's punch list,the Directorwill make an inspection to determine whether the Work or designated portion thereof is Substantially Complete. If the inspection discloses any item, whether or not included on the Contractor's punch list, which is not sufficiently complete in accordance with the Contract Documents so that the City can occupy or utilize the Work or ARTICLE 3 GC-25 designated portion thereof for its intended use, the Contractor shall, before City's issuance of the Certificate of Substantial Completion, complete or correct such item upon notification by City. The Contractor shall then submit a request for another inspection by City to determine Substantial Completion. C. Certificate of Substantial Completion When the Work or designated portion thereof is substantially complete, the Director will prepare a Certificate of Substantial Completion which shall establish the date of Substantial Completion, shall establish responsibilities of the City and Contractorfor security,maintenance, utilities,damage to the Work, and insurance, and shall fix the time within which the Contractor shall finish all items on the Contractor's punch list accompanying the Certificate. Warranties required by the Contract Documents shall commence on the date of Substantial Completion of the Work. Contractor shall deliver to City all warranty and guarantee documents and policies. 3.04 DELAYS AND EXTENSIONS OF TIME FOR CONTRACTOR A. The Contractor shall take reasonable precautions to foresee and prevent delays to the Work. In the event of any delay to the Work, the Contractor shall revise his/her sequence of operations, to the extent possible under the terms of the Contract,to offset the delay. B. If any delay to the Work is caused by circumstances within the Contractors control,it is not excusable and not compensable, and the Contractor will not be entitled to any extension of time or to any other compensation for damages resulting directly or indirectly therefrom. C. if any delay having a direct effect on the Work is caused by circumstances beyond the control of the Contractor except forcauses of delay specked in Paragraph 3.04-D.,such delay may be excusable and may entitle the Contractor to an equivalent extension of time,but not to any other compensation. Excusable but not compensable causes include but are not limited to labor disputes, weather conditions unfavorable for prosecution of the Work, and force majeure. D. If any delay having a direct effect on the Work is caused by failure of the City to provide information as specified,or necessary instructions for carrying on the Work, or to provide the necessary right of way or site for installation, or failure of a utility to remove or relocate an existing facility such delay may be compensable and may entitle the Contractor to an equivalent extension of time, and to compensation for damages resulting directly from any of the causes of delay specified in this paragraph. E. The Contractor shall notify the Director in writing of any delay having a direct effect on the Work and the causes thereof within 15 days from the beginning of such delay. F. Any claim for an extension of time or for compensation for damages resulting from delay shall be made in writing to the Director not more than 30 days after the ending of such delay. The Contractor shall provide a written report evaluating the impact of the delay which shall include, at a minimum, all of the following: 1. a narrative description of the delay and its impact on the critical path to Substantial Completion of the Work or a portion of the Work designated by City; 2. a detailed breakdown of the Allowable Costs, if any, sought by Contractor due to the delay; ARTICLE 3 GC-26 3. the number of days of extension sought by Contractor as an adjustment to the Contract time, 4. a statement that Contractor has complied with the requirements of the General Conditions for written notice of delays,along with the dates and copies of such notices; 5. the measures taken by Contractor and Subcontractors to prevent or minimize the delay; and 6. the Contactoris recommendations for reordering or re-sequencing the Work to avoid or minimize further delay. No extension of time or compensation for damages resulting from delay will be granted unless the delay affects the timely completion of the overall Work under the Contract or the timely completion of a portion of the Work for which a time of completion is specified. G. The Director will investigate the facts and ascertain the extent of the delay, and his/her findings thereon shall be final and conclusive. H. Failure of the Contractor to give written notice of a delay, or to submit or document a claim for an extension of time or for damages resulting from delay in the manner and within the times stated above shall constitute a waiver of all claims thereto. I. When a Contractor experiences two concurrent delays, one compensable and the other excusable, no compensation other than an extension of time will be allowed. J. An extension of time must be approved by the Director to be effective, but an extension of time whether with or without consent of the sureties, shall not release the sureties from their obligations, which shall remain in full force until the discharge of the Contract. 3.05 CLIMATIC CONDITIONS A. The Director may suspend the Work whenever weather conditions or conditions resulting from inclement weather are unfavorable for the prosecution of the Work. The delay caused by such suspension may entitle the Contractor to an extension of time but not to any other compensation. B. If the Contractor believes that Work should be suspended under this Paragraph 3.05, he/she may request such suspension. The delay caused by such suspension may entitle the Contractor to an extension of time but not to any other compensation. C. No extension of time will be granted for suspension of Work unless the suspension affects the timely completion of all Work under the Contract or the timely completion of a portion of the Work for which a time of completion is specified. Determination that the suspension for inclement weather conditions or conditions resulting from inclement weather affects timely completion and entitles the Contractor to an extension of time shall be made and agreed to in writing by the Director and the Contractor on each day that Work is suspended. In the event of failure to agree,the Contractor may protest under the provisions of Paragraph 7.07. D. If Work is suspended and an extension of time is granted under this Paragraph 3.05 the Contractor will be entitled to a one day extension of time for each day that he/she is unable to Work at least one-half of his/her current normal Work day;and if the Work is suspended at the regular starting time on any Work day and the Contractor's Workforce is dismissed as a result thereof, then he/she will ARTICLE 3 GC-27 be entitled to a one day extension of time whether or not conditions change thereafter and the major portion of the day is suitable for Work. 3.06 COMPLETION AND ACCEPTANCE A. Upon request by the Contractor, the Director shall conduct a final inspection of the Work. If, in the Director's opinion, Final Completion has been achieved,the Director will accept the Work by issuing a "Notice of Completion"of the Work to the Contractor. Upon the issuance of the Notice of Completion the Contractor will be relieved from responsibility to protect the Work. B Within 15 calendar days after issuing the Notice of Completion, the Director will record the Notice of Completion with the County Recorder. 3.07 LIQUIDATED DAMAGES A. Contractor and City agree to liquidate damages in the amount of dollars($ ]per day, with respect to Contractor's failure to achieve Substantial Completion of the Work within the Contract Time. The Parties intend for the liquidated damages set forth herein to apply to this Contract as set forth in Government Code Section 53069.85. The Contractor acknowledges and agrees that the liquidated damages are intended to compensate City solely for the Contractors failure to meet the deadline for Substantial Completion and shall not excuse Contractor from liability from any other breach,including any failure of the Work to conform to the requirements of the Contract Documents. B In the event that Contractor fails to achieve Substantial Completion of the Work within the Contract Time, Contractor agrees to pay City the amount specified in the Contract form for each calendar day that Substantial Completion is delayed. C. Contractor and City acknowledge and agree that the foregoing liquidated damages have been set based on an evaluation of damages that the City will incur in the event of late completion of the Work. Contractor and City acknowledge and agree that the amount of such damages are impossible to ascertain as of the effective date hereof and have agreed to such liquidated damages to fix City's damages and to avoid later disputes. It is understood and agreed by Contractor that liquidated damages payable pursuant to this Agreement are not a penalty and that such amount are not manifestly unreasonable under the circumstances existing as of the effective date of this Agreement. D. It is further mutually agreed that City shall have the right to deduct liquidated damages against progress payments or retainage and that the City will issue a Construction Change Directive and seduce the Contract Sum accordingly. In the event the remaining unpaid Contract Sum is insufficient to cover the full amount of liquidated damages. Contractor shall pay the difference to City. [END OF ARTICLE] ARTICLE 3 GC-28 ARTICLE 4 -CONSTRUCTION SCHEDULES 4.01 BASELINE PROJECT SCHEDULE The Contractor shall submit his/her work Baseline Project Schedule, in electronic as well as hard-copy format, to the Director at the pre-construction meeting showing in detail how the Contractor plans to execute and coordinate the Work. The construction schedule shall show the sequence of work, critical path and estimated time for completion of each segment of work. This schedule must be reviewed and accepted by the Director before the Contractor will be permitted to begin work.In addition,the Contractor shall submit a detailed schedule forecasting two(2)weeks of work describing each day's work.This schedule shall be updated and submitted to the City every other Monday during the construction period.The Contractor shall give 48 hours notice to the City Engineer prior to the start of the work. A. Format 1. At a minimum, the Baseline Project Schedule activities shall be coded on a work discipline basis and by geographic area or location on the Project. The Baseline Project Schedule shall include a detailed description of each activity code. The Baseline Project Schedule shall be based on and incorporate contract milestone and completion dates specified in the Contract Documents. It shall depict events,jobs,and their interrelationships and shall recognize the progress that must be made on one task before subsequent tasks can begin. The schedule shall be comprehensive and shall include all logical interdependencies and interactions required to perform the Work of the Project. 2. Overall time of completion and time of completion for each milestone shown on the Schedule shall adhere to the specified Contract Time, unless an earlier (advanced) time of completion is requested by Contractor, agreed to by the City and formalized by Change Order. 3. Contractor shall use the latest version of Microsoft Project or equivalent software agreed to by the parties. 4. The City will review the submitted Baseline Project Schedule for conformance with these scheduling requirements. Within fourteen(14)calendar days after receipt,the City will accept the proposed Baseline Project Schedule or will return it with comments. If the proposed Baseline Project Schedule is accepted by the City, it shall be deemed part of the Contract Documents. If the Baseline Project Schedule is not accepted by City,Contractor shall revise the Baseline Project Schedule, in accordance with the recommendations of the City, and re-submit same for acceptance, no later than seven(7)calendar days after receipt of said recommendation. u. Acceptance of Baseline Project Schedule by City, failure to include an element of work, or inaccuracy in Baseline Project Schedule shall not relieve Contractor from the responsibility for accomplishing the Work in accordance with the Contract Documents. B. Float 1. Critical Work activities are defined as Work activities which, if delayed or extended,will delay the scheduled completion of the milestones and/or time of completion. All other Work activities are defined as non-critical Work activities and are considered to have float. Float is defined as the time that a non-critical Work activity can be delayed or extended without delaying the scheduled completion of the milestones and/or time of completion. Float is considered a Project resource available to either party or both parties as needed. Once identified, Contractor shall monitor, account for,and maintain float in accordance with Critical Path Methodology. ARTICLE 4 GC-29 2. Delays of any non-critical Work shall not be the basis for an extension of Contract Time until the delays consume all float associated with that non-critical Work activity and cause the Work activity to become critical. 3. it is acknowledged that City-caused time savings (i.e., critical path submittal reviews returned in less time than allowed by the Contract Documents,approval of substitution requests which result in a savings of time for Contractor,etc.)create shared float. Accordingly,City-caused delays may be offset by City-caused time savings. C. Weather (This section applies only to projects of one(1)year duration or Longer) The completion time contemplated by this Contract anticipates lost days(Work Days) due to normal weather conditions annually and prorated for any duration less than twelve months. Only unusual or extreme weather conditions, as determined by the National Oceanic and Atmospheric Administration,for the time of year will be considered as justification for an extension of time to complete the Project,and only after the .._ _ ._ _weather days have been utilized. Annual weather days are not cumulative,and unused days shall become"float"for the benefit of the project,and the schedule adjusted accordingly. The use of weather days by the Contractor shall be subject to all the conditions of claim for an extension of time. The Contractor shall notify the City in writing within ten(10)days of the commencement of each rain event. D. Early Completion While the Contractor may schedule completion of the Project earlier than the date established by the Contract Documents,no additional compensation shall become due the Contractor for the use of float time between the Contractor's projected early completion date and the date for Substantial Completion established by the Contract Documents, unless an earlier(advanced)time of completion is requested by Contractor,agreed to by the City,and formalized by Change Order. 4.02 SCHEDULE UPDATES A. With each Application for Payment submitted by Contractor (other than the final Application for Payment),the Contractor shall submit to the City an updated Project Schedule revised to indicate the Work completed, status of Work in progress, all progress slippages, corrective actions taken, or slippage carry-over, for all anticipated delays or difficulties, and all other information required to accurately present the actual status of the progress of the Work as of the date of the Application for Payment. If the Contractor does not submit an updated Project Schedule with an Application for Payment, City may withhold payment, in whole or in part, until the updated Project Schedule is submitted. In the event that an update to the Project Schedule indicates a delay to the Contract Time the Contractor shall propose an affirmative plan to correct each such delay, including overtime and/or additional labor, if necessary. In no event shall any Project Schedule update constitute an adjustment in the Contract Time, any deadline,or the Contract Sum unless any such adjustment is agreed to by the City and authorized pursuant to Change Order or Work Directive. B. At no time shall historical data contained within the updated Project Schedule(i.e.completed activities) be removed and/or altered in any way. This historical data is to be preserved within each of the updated Project Schedules and submitted with the final schedule update to reflect the actual start and finish dates for each activity within the Schedule. C. Any work stoppages within individual work activities that exceed seven (7) calendar days in duration shall be clearly indicated within the updated Project Schedule. In cases where unplanned activity work ARTICLE 4 GC-30 stoppages exceed seven(7)calendar days activities shall be added to the Project Schedule to clearly indicate the work stoppage period and identify forecasted resumption and completion of the activity where work has stopped. Contractor shall clearly note all schedule revisions when Project Schedule updates are submitted,as required in this Paragraph 4.02 above. 4.03 NONCOMPENSABLE EXTRAORDINARY MEASURES A. Should the City determine, in its sole judgment,that the performance of the Work has not progressed to the level of completion required by the Contract Documents, City shall have the right to order the Contractor to take corrective measures to expedite the progress of construction, at no additional cost to the City,including,without limitation,the following: 1. Working additional shifts of overtime. 2. Supplying additional manpower,equipment,and/or facilities. 3. Reschedule activities to maximize practical concurrence of accomplishment of activities. 4. Submitting a Recovery Schedule discussed above,for resequencing performance of the Work or other similar measures. 5. Any other actions that may be necessary to mitigate delays. B. Such Extraordinary Measures shall continue until the progress of the Work is no longer behind schedule and/or reaches the stage of completion required by the Contract Documents. Contractor shall not be entitled to an adjustment in the Contract Sum in connection with the performance of any such Extraordinary Measures required by the City under this Paragraph. The City may exercise the rights fumished the City pursuant to this Paragraph as frequently as the City deems necessary to ensure that the Contractors performance of the Work will comply with the Contract Time or interim completion dates set forth in the Contract Documents. If Contractor or its Subcontractors fail to implement or commence Extraordinary Measures within ten(10)calendar days of City's written demand, City may, without prejudice to other remedies,take corrective action at the expense of the Contractor which shall reduce the Contract Sum accordingly. 4.D4 CONDITION OF PAYMENT Compliance by Contractor with the requirements of the Contract Documents pertaining to preparation, submission, revising and updating of the Schedule is a condition precedent to City's obligation to make payment to Contractor of any or all sums that might otherwise be due to Contractor in the absence of such noncompliance. Payment by City under circumstances in which City,for any reason,fails or elects not to assert its right to withhold payment for noncompliance with this Paragraph shall not be construed as a waiver of the right to withhold future payments on account of such noncompliance or any other noncompliance. [END OF ARTICLE] ARTICLE 4 GC-31 ARTICLE 5-SUSPENSION OR TERMINATION OF CONTRACT 5.01 TERMINATION BY THE CONTRACTOR A. Contractor shall have the right to terminate its performance of the Contract only upon the occurrence of one of the following: 1. The Work is stopped for a period of ninety (90) consecutive days through no act or fault of the Contractor, any Subcontractor, Sub-subcontractor, their agents or employees, or any other persons or entities performing portions of the Work under direct or indirect contract with the Contractor,due to: a. the issuance of an order of a court or other public authority having jurisdiction;or b. an act of government,such as a declaration of national emergency making material unavailable; and Contractor has given City written notice within ten(10)days of the occurrence of such ground for termination,then the Contractor may, upon thirty(30)additional calendar days written notice to City, unless the reason has theretofore been cured,terminate its performance of the Work. 2. The Work is stopped for a period of 120 consecutive days through no act or fault of Contractor, any Subcontractor,Sub-subcontractor,their agents or employees,or any other persons or entities performing portions of the Work under direct or indirect contract with the Contractor, because the City has persistently failed to perform any material obligation under the Contract Documents and fails to cure such default within ninety(90)days after the receipt of notice from Contractor stating the nature of such default. B. If Contractor terminates its performance of the Contract in accordance with this Paragraph 5.01, the City shall pay Contractor for the Work executed through the date of termination as set forth in Paragraph 5.04-C below. 5.02 TERMINATION BY THE CITY FOR CAUSE A_ Grounds The City shall have the right to terminate the Contractor's performance of the Contract, in whole or in part,without liability to City if: 1. Contractor fails promptly to begin the Work under the Contract Documents;or 2. Contractor refuses or fails to supply enough properly skilled workers or proper materials;or 3. Contractor fails to perform the Work in accordance with the Contract Documents, including conforming to applicable standards set forth therein in constructing the Project, or refuses to remove and replace rejected materials or unacceptable Work;or 4. Contractor discontinues the prosecution of the Work (exclusive of work stoppage: (a) due to termination by City; or (b) due to and during the continuance of a Force Majeure event or suspension by City);or ARTICLE 5 GC-32 5. Contractor fails to resume performance of Work which has been suspended or stopped, within a reasonable time after receipt of notice from City to do so or(if applicable) after cessation of the event preventing performance;or 6. Any representation or warranty made by Contractor in the Contract Documents or any certificate, schedule, instrument, or other document delivered by Contractor pursuant to the Contract Documents shall have been false or materially misleading when made;or 7. Contractor fails to make payment to Subcontractors or Material Suppliers for materials or labor in accordance with the respective Contract Documents and applicable law;or 8. Contractor disregards laws,ordinances,or rules,regulations,or orders of a public authority having jurisdiction;or 9. Contractor is guilty of breach of a provision of the Contract Documents;or 10. Contractor becomes insolvent, is adjudicated bankrupt, or makes a general assignment for the benefit of creditors and fails to provide City with adequate assurances of Contractor's ability to satisfy its contractual obligations. A receiver,trustee,or other judicial officer shall not have any right,title,or interest in or to the Contract. Upon that person's appointment, City has, at its option and sole discretion, the right to immediately cancel the Contract and declare it null and void. B. City's Rights. When any of the reasons specified in Paragraph 5.02-A exist,the City may, in addition to and without prejudice to any other rights or remedies of the City, and after giving the Contractor five(5)calendar days written notice,terminate Contractors performance of the Work, in whole or in part,and may: 1. Take possession of the site and all materials, equipment, tools, construction equipment, and machinery thereon owned by the Contractor, 2. Withhold from Contractor amounts unpaid hereunder and to offset such amounts against damages or losses incurred by City; 3. Accept assignment of subcontracts from Contractor,at the sole discretion of City,and 4. Finish the Work by whatever reasonable method the City may deem expedient. Upon request of the Contractor, the City shall fumish to the Contractor a detailed accounting of the costs incurred by the City in finishing the Work. C. Costs If City's costs to complete and damages incurred due to Contractors default exceed the unpaid Contract balance,the Contractor shall pay the difference to the City. D. Wrongful Termination If it has been adjudicated or otherwise determined that City has wrongfully terminated the Contractor for cause, then said termination shall be deemed converted to a termination for convenience as set ARTICLE 5 GC-33 forth in Paragraph 5.04 and Contractor's remedy for wrongful termination in such event shall be limited to the recovery of the payments permitted for termination for convenience as set forth in Paragraph 5.04. 5,03 PARTIAL DELETION OR SUSPENSION OF WORK BY THE CITY A. Contractor agrees that the City may determine whether any or all of the Work described in the Contract Documents shall be deleted or performance suspended without electing to terminate the Contractor's performance under the Contract and without any penalty being incurred by the City. B. Any such partial deletion or suspension of the Work shall in no way void or invalidate the Contract nor shall it provide Contractor with any basis for seeking payment from City for Work deleted or suspended except to the extent such Work has already been performed and is otherwise compensable under the Contract. C. The City shall have the rig htto later have any such suspended or deleted Worts performed by Contractor or others without any penalty to the City. D. In the event of any partial or complete deletion or suspension of Work,the City shall furnish Contractor with prompt written notice thereof, and the City shall be entitled to take possession of and have as its property all Record Documents, Accounting Records, and other data prepared by Contractor or its Subcontractors. E. Suspension for Convenience. 1. The City may at any time and from time to time,without cause,order the Contractor, in writing,to suspend, delay, or interrupt the Work in whole or in part for such period of time as the City may determine. Such order shall be specifically identified as a"Work Suspension Directive"under this Section. 2. Upon receipt of a Work Suspension Directive,Contractor shall,at the Co's expense,comply with its terms and take all reasonable steps to minimize costs allocable to the Work covered by the Work Suspension Directive during the period of Work stoppage. 3. Within the period of suspension,or such extension to that period as is agreed upon by Contractor and the City,the City shall either cancel the Work Suspension Directive or delete the Work covered by such Work Suspension Directive by issuing a Change Order or Construction Change Directive. 4. If a Work Suspension Directive is cancelled or expires, Contractor shall continue the Work. A Change Order or Construction Change Directive will be issued to cover any adjustments of the Contract Sum and Contract Time necessarily caused by such suspension.No adjustment shall be made to the extent: (a) That performance is, was, or would have been so suspended, delayed, or interrupted by another cause for which the Contractor is responsible;or (b) That an equitable adjustment is made or denied under another provision of the Contract. F. Suspensions for Cause City has the authority by written order to suspend the Work, in whole or in part,without liability to City for Contractors failure to: ARTICLE 5 GC-34 1. Correct conditions unsafe for the Project personnel or general public,or 2. Carry out the Contract;or 3. Cary out orders of City. G. Responsibilities of Contractor During Suspension Periods During periods that Work is suspended, Contractor shall continue to be responsible for the Work and shall prevent damage or injury to the Project,provide for drainage,and shall enact necessary temporary structures, signs or other facilities required to maintain the Project and continue to perform according to the Contract Documents, 5.04 TERMINATION BY THE CITY FOR CONVENIENCE A. Grounds Without limiting any rights which City may have by reason of any default by Contractor hereunder,City may terminate Contractor's performance of the Contract, in whole or in part, at any time, for convenience upon fifteen(15)calendar days written notice to Contractor. B. Contractor Actions Upon receipt of such notice, Contractor shall perform the duties required by Paragraph 5.05 below. At the election of and as directed by the City, any or all of the subcontracts and purchase orders entered in to by Contractor prior to the effective date of termination shall be terminated or shall be assigned to City. C. Compensation 1. If the Parties are unable to agree on the amount of a termination settlement, the City shall pay the Contractor the following amounts: a. For Work performed before the effective date of termination,the total(without duplication of any items)of: i. The cost of the Work;and ii. A sum,as overhead and profit on the cost of the Work,determined by the City to be fair and reasonable. In no event shall Contractor be entitled to recover overhead or profit on Work not performed. b. The reasonable costs of settlement of the Work terminated,including: i. Accounting,clerical, and other expenses reasonably necessary for the preparation of termination setlfement proposals and supporting data,if any;and ii. Storage,transportation,and other costs reasonably necessary for the preservation, protection,or disposition of inventory. 2. Such payment shall be Contractor's exclusive remedy for termination for convenience and will be due and payable on the same conditions as set forth for final payment to the extent applicable. ARTICLE 5 GC-35 Upon receipt of such payment, the Contractor and City shall have no further obligations to each other except for Contractor's obligations with respect to warranties, representations, indemnity, maintenance of insurance, and other obligations that survive termination or Final Completion as provided for herein. 3. It is understood and agreed that no fee,anticipated profit,compensation for lost opportunity costs, or other compensation or payment of any kind or character shall be due or payable for unperformed Work regardless of the basis of termination and the inclusion of this provision within this subparagraph shall in no way limit its application to termination under this Paragraph. 4. Contractor agrees that each of its subcontracts will reserve for the Contractor the same right of termination for convenience provided by this Paragraph 5.04. D. No Consequential Damages Under no circumstances shall Contractor be entitled to anticipatory or unearned profits or consequential or other damages as a result of a termination or partial termination under this Article 5. The payment to Contractor determined in accordance with this Article constitutes Contractor's exclusive remedy for a termination hereunder. 5.05 CONTRACTOR'S DUTIES UPON TERMINATION FOR CAUSE OR CONVENIENCE If the City terminates Contractor's performance of Work under the Contract, for cause or convenience or if Contractor terminates a Subcontractor with the City's approval,Contractor shall: (1)cease performance of the Work to the extent specified in the notice; (2)take actions necessary or that the City may direct,for the protection and preservation of the Work; (3)settle outstanding liabilities,as directed by City; (4)transfer title and deliver to City Work in progress,specialized equipment necessary to perform the Work; (5) submit all Record Documents, Accounting Records and other data prepared pursuant to the Contract by Contractor and/or its Subcontractors, as applicable, to the City with fifteen (15) calendar days after the City's notice of termination in an organized, usable form, in both bard copy and electronic/digital form, with all items property labeled to the degree of detail specified by the City;and, (6)except for Work directed by City to be performed prior to the effective date of termination stated in the notice, incur no further costs or expenses and enter into no further subcontracts and purchase orders. No compensation shall be due Contractor, if any, until Contractor complies with the requirements of this Paragraph. [END OF ARTICLE] ARTICLE 5 GC-36 ARTICLE 6-CHANGES 6.01 CITY'S RIGHT TO ORDER CHANGES The City, without invalidating the Contract, may authorize changes in the Work consisting of additions, deletions, or other revisions, with the Contract Sum and Contract Time being adjusted accordingly, if necessary. All such changes in the Work shall be authorized by Change Order or Construction Change Directive and Contractor shall perform such changes in the Work according to the applicable requirements of the Contract Documents. 6,02 APPLICABLE PROVISIONS Changes in the Work shall be performed under applicable provisions of the Contract Documents. The Contractor shall proceed promptly and diligently with the change, unless otherwise provided in the Change Order or Construction Change Directive. It is of the essence to this Contract that all scope changes in the Work that foram the basis of an adjustment of the Contract Sum or Contract Time must be authorized in advance in writing through either a Change Order or Construction Change Directive. A change in the Contract Sum or the Contract Time shall be accomplished only by Change Order or Construction Change Directive. Accordingly, no verbal directions, course of conduct or dealings between the Parties, express or implied acceptance of alterations or additions to the Work,or claim that the Contract has been abandoned or the City has been unjustly enriched by any alteration or addition to the Work shall be the basis of any claim for an increase in any amounts due under the Contract Documents or a change in any time period provided in the Contract Documents. 6.03 NOTICE OF SCOPE CHANGE Contractor shall submit written notice of any change in scope to the Director if, in the Contractor's opinion, any instruction, request, Drawings, Specifications, action, condition, omission, default, or other situation occurs that the Contractor believes constitutes a scope change or other matter resulting in Extra Work, for which Contractor believes it is entitled to an adjustment of the Contract Sum or Contract Time. Such notice shall be provided prior to performance of the Work affected by such occurrence and within seven(7)calendar days after the discovery date of the circumstances of such scope change or other matters. The written notice shall state the date, circumstances, extent of adjustment to the Contact Sum or the Contract Time, if any, requested. The mere presentation of such notice shall not establish the existence of any right by Contractor to adjustment of the Contract Sum or Contract Time. Failure to provide such timely written notice described herein shall constitute a waiver by Contractor of the right to any adjustment to the Contract Sum or Contract Time on account thereof. 6.04 CHANGE ORDERS A. Computation Methods used in determining adjustments to the Contract Sum by Change Order may include those listed in Paragraph 6.06 below. B. Accord and Satisfaction Agreement on any Change Order shall be a full compromise and settlement of all adjustments to Contract Time and Contract Sum, and compensation for any and all delay, extended or additional field and home office overhead, disruption, acceleration, inefficiencies, lost labor or equipment ARTICLE 6 GC-37 productivity, differing Site conditions, construction interferences and other extraordinary or consequential damages (hereinafter called "Impacts"), including any ripple or cumulative effects of said Impacts on the overall Work under the Contract arising directly or indirectly from the performance of Work described in the Change Order.By execution of any Change Order, Contractor agrees that the Change Order constitutes a complete accord and satisfaction with respect to all claims for schedule extension, Impacts, or any costs of whatever nature, character or kind arising out of or incidental to the Change Order. No action, conduct, omission, product failure or course of dealing by the City shall act to waive,modify,change,or alter the requirement that(i)Change Order's must be in writing, signed by the City and Contractor and; (ii) that such written Change Orders are the exclusive method for effectuating any change to the Contract Sum and/or Contract Time. 6.05 CONSTRUCTION CHANGE DIRECTIVE(FIELD DIRECTIVE) A. A Construction Change Directive shall be used in the absence of total agreement on the terms of a Change Order. The City may by Construction Change Directive, without invalidating the Contract, order changes in the Work within the general scope of the Contract consisting of additions,deletion, or other revisions,the Contract Sum and Contract Time being adjusted accordingly. B. If the Construction Change Directive provides for an adjustment to the Contract Sum,the adjustment shall be calculated in accordance with Paragraph 6.06 herein(Pricing Changes in the Work). C. Upon receipt of the Construction Change Directive, the Contractor shall promptly proceed with the change in the Work involved and advise the City of the Contractor's agreement or disagreement with the method, if any, provided in the Construction Change Directive, for determining the proposed adjustment in the Contract Sum or Contract Time. D. If Contractor believes a Construction Change Directive constitutes a basis for adjustment to the Contract Sum or Contract Time, then Contractor shall give a Notice of Scope Change provided in Paragraph 6.03, followed by a submission of a Change Order Request as required by Paragraph 6.08. Contractor shall,if requested by City in such Construction Change Directive or in a subsequent Construction Change Directive, proceed with the performance of the Work as described in the Construction Change Directive. Failure of Contractor to proceed with the performance of Work, as described in the Construction Change Directive shall give the City the right to cart'out the Work, as set forth in Paragraph 2.05. E. A Construction Change Directive signed by the Contractor indicates the Contractor's agreement therewith, including adjustment in Contract Sum and Contract Time or the method for determining them. Such agreement shall be effective immediately and shall be recorded as a Change Order. F. If the Contractor does not respond promptly or disagrees with the method for adjustment in the Contract Sum, the method and the adjustment shall be determined by the City on the basis of reasonable expenditures and savings of those performing the Work attributable to the change, including, in the case of an increase in the Contract Sum, Allowable Mark-Ups in accordance with Paragraph 6.06(E) herein. ARTICLE 6 GC-38 6.06 PRICING CHANGES IN THE WORK A. Alternative Methods of Pricing The amount of any adjustment by Change Order or Construction Change Directive increasing or decreasing the Contract Sum shall be determined by the Director using one or a combination of the following methods: 1. Lump Sum. By mutual acceptance of a lump sum proposal from Contractor properly itemized and supported by sufficient substantiating data to permit evaluation. Such proposal shall be based solely on Allowable Costs, as defined in Subparagraph 6.06-C, and Allowable Mark-Ups, as defined in Subparagraph 6.06-E, and shall not include any costs or expense that is not permitted by the terms of any provision of the Contract Documents. 2. Unit Prices. By unit prices contained in Contractor's original Bid and incorporated in the Contract Documents or fixed by subsequent agreement between City and Contractor. Unless otherwise stated in the Bidding Documents, unit prices stated in the Contract Documents or agreed upon by the County and Contractor shall be deemed to include and encompass all Allowable Markups. 3. Time and Materials. By calculating the actual Allowable Costs directly incurred, plus a sum for Allowable Mark-Ups on such Allowable Costs. 4. Deletion of Work. By Unit Prices contained in Contractor's original Bid and incorporated in the Contract Documents,or by using the Schedule of Values to determine the value of the decrease of the Contract Sum, less the value of any Work performed, plus a reasonable percentage of the decrease for the Contractor's saved overhead unless the Schedule of Values allocates general conditions costs to individual line items, in which case no percentage of the decrease shall be added. When a change consists of both addition and deletion of Work,the added costs and deleted costs shall be calculated separately, and then added together, resulting in the net cost for the change. The Allowable Mark-Up shall be applied to this net cost. B. Contractor Maintenance of Daily Records for Changes 1. In the event that Contractor is directed to perform any Extra Work, or should Contractor encounter conditions which the Contractor believes would obligate the City to adjust the Contract Sum and/or the Contract Time, Contractor shall maintain detailed records of the cost of such changes on a daily basis summarized in a daily report supplemented by back-up records. Such records shall include without limitation: a. Labor. At the close of each day on which such Extra Work is performed, Contractor shall submit an Extra Work labor report,on forms provided by Director,to Director that sets forth a list of the actual hours spent in performing the Extra Works that clearly differentiates between the labor expended on the Extra Work and other Work, and the Allowable Costs for such Extra Work performed that day showing the names of workers,their classifications, hours worked and hourly rates. b. Materials, Equipment. A list of Allowable Costs of materials and equipment consumed in the performance of the Extra Work on the day on which such Extra Work is performed, together with copies of applicable delivery tickets and unit prices for all materials and for all equipment used the type of equipment, identification number, ARTICLE 6 GC-39 hours of operation(including loading and transportation)and hourly/daily rates involved for that day. C. Other Services or Expenditures. A list of other services and expenditures constituting Allowable Costs incurred in performance of the Extra Work on the day on which such Extra Work is performed, along with documentation verifying the amounts thereof in such detail as Director may require. 2. In the event that more than one change to the Work is performed by the Contractor in a calendar day,Contractor shall maintain separate records of labor,construction equipment, materials,and equipment for each such change. In the event that any Subcontractor of any tier shall provide or perform any portion of any change to the Work, Contractor shall require that each such Subcontractor maintain records in accordance with this Section. 3. Each daily record maintained hereunder shall be signed by Contractor;such signature shall be deemed Contractors representation and warranty that all information contained therein is true, accurate, complete, and relates only to the change referenced therein. All records maintained by Subcontractors of any tier, relating to the costs of a change in the Work shall be signed by such Subcontractors authorized project manager or superintendent. All such records shall be forwarded to the Director on the day the Work is performed(same day) for independent verification. The Director shall attempt to review and reconcile costs for changes on a daily basis. Records not available on the day on which the Extra Work is performed,such as, but not limited to,material invoices,shall be submitted as soon as they are available but not later than five (5) calendar days after the earlier of the day of delivery or incorporation of the particular item of Extra Work at the Site. 4. The Director may additionally require authentication of all time and material tickets and invoices by persons designated by the Director for such purpose. In the event that Contractor shall fail or refuse, for any reason, to maintain or make available for inspection, review, and/or reproduction such records,adjustments to the Contract Sum or Contract Time,if any,on account of any change to the Work may be deemed waived for that day. Contractors obligation to maintain back-up records hereunder is in addition to, and not in lieu of, any other Contractor obligation under the Contract Documents with respect to changes to the Work. 5. Waiver by Contractor. Failure to submit such records as are required by this Paragraph daily shall waive any rights for recovery of Allowable Costs incurred for Extra Work performed that day. The failure of the Contractor to secure any required authentication shall, if the City elects in its sole discretion to treat it as such, constitute a waiver by the Contractor of any right to adjustment of the Contract Sum for the Allowable Cost of all or that portion of the Extra Work covered by such non-authenticated ticket or invoice. Allowable Costs The term'Allowable Costs"shall mean in the case of Extra Work actual costs incurred by Contractor and/or any Subcontractor, regardless of tier, and necessarily involved in direct performance of the Extra Work, or in the case of deleted work the actual costs that would have been incurred in performing deleted work by Contractor and/or any Subcontractor, regardless of tier, and shall be limited to the following costs: ARTICLE 6 GC40 1. Labor. Straight-time wages or salaries,and overtime wages and salaries specifically authorized by City in writing, for employees employed at the site, or at fabrication sites off the site, in the direct performance of the Extra Work or that would have been incurred in the direct performance of the deleted work, based on the actual cost for wages prevailing locally for each craft or type of workers at the time the Extra Work is done or the deleted work is ordered eliminated. Labor costs for equipment operators and helpers shall be reported only when such costs are not included in the invoice for equipment rental. The use of labor classification which would increase the Allowable Cost for Extra Work will not be permitted unless Contractor establishes the necessity for such additional costs. Benefits. Payroll taxes, insurance, health and welfare, pension, vacation, apprenticeship funds and benefits required by lawful collective bargaining agreements for employees on straight-time wages or salaries,and on overtime wages and salaries specifically authorized by City in writing, for employees employed at the site,or at fabrication sites off the site, in the direct performance of the Extra Work or that would have been incurred in the direct performance of the deleted work. 3. Materials, Consumables. Costs of materials and consumable items which are furnished and incorporated into the Work, as approved by City,or that would have been incorporated into the Work in the case of deleted work shall be at the lowest price available to Contractor but in no event shall such costs exceed competitive wholesale prices obtainable from other Subcontractors, suppliers, manufacturers and distributors in the general vicinity of the site. If City determines, in its discretion, that the cost of materials is excessive,or if Contractor fails to furnish satisfactory evidence of the cost from the actual supplier thereof,then in either case the cost of the materials shall be deemed to be the lowest wholesale price at which similar materials are available in the quantities required at the time they were needed. The City reserves the right to furnish such materials as it deems advisable,and Contractor shall have no claim for costs or profits on materials so furnished. Material invoices must be included with the extra work report to obtain payment. 4 Taxes. Sales taxes on the costs of materials and consumable items described in Paragraph 5.04-C.3 above. 5. Tool, Equipment Rental. Rental charges for necessary machinery and equipment, whether owned or hired, as authorized in writing by City, exclusive of hand tools, used directly in the performance of the Extra Work or that would have been used in the direct performance of the deleted work. Regardless of ownership, such rental charges shall not exceed the hourly rate derived from the most recently published 'Rental Rate Blue Book for Construction Equipment" or the"Rental Rate Blue Book for Older Construction Equipment,"as published by K-111, San Jose, California, which is in effect at the time of commencement of the changed work. The Contractor shall attach a copy of the rate schedule to the daily reports required by Paragraph 6.06-B,above.The charges for any machinery and equipment shall cease when the use thereof is no longer necessary for the Extra Worts or deleted work. No charge shall be allowed for use of equipment or tools which have a replacement value of$500 or less. The allowable rental rates shall include the cost of fuel, power oil, lubrication, supplies, small tools, necessary attachments, loading, transportation, repairs and maintenance of any kind, depreciation, storage, insurance, and all incidentals. Notwithstanding the provisions of Paragraph 6.06-E below, no mark-up shall be allowed for overhead, profit or bond premiums for use of equipment if the equipment is supplied by an equipment rental firm. If equipment is used intermittently and, when not in use, could be returned to its rental source at less expense to City than holding it at the Site, it shall be returned,unless Contractor elects to keep it at the Site at no expense to City. ARTICLE 6 GC41 Costs incurred while equipment is inoperative due to breakdowns, regular maintenance, or for non-Working Days shall not be allowed. The rental time shall include the time required to move the equipment to the Work from the nearest available source for rental of such equipment and to return it to the source. If such equipment is not moved by its own power, then loading and transportation will be allowed. Neither moving time nor loading and transportation costs will be paid if the equipment is for use on the Project unrelated to the Extra Work. All equipment shall be acceptable to City, in good working condition, and suitable for the purpose for which it is to be used. 6. Royalties.yalties. Additional or saved costs of royalties due to the performance of the Extra Work or deleted work. 7. Insurance, Bonds. Additional or saved costs of insurance and bonds, provided, however, that for Extra Work such costs shall not exceed one percent(1%)of Items 1 through 6 above. D. Costs Not Allowed Allowable Costs shall not include any of the following: 1. Wages, salaries, fringe benefits and payroll taxes of Contractor's and all Subcontractor's non- craft labor(above a Foreman level); 2. Overhead (including home office overhead), administrative or general expenses of any kind including engineering, estimating, scheduling, drafting, detailing, etc., incurred in connection with Extra Work; 3. Vehicles not dedicated solely for the performance of the extra of deleted work; 4. Small tools(replacement value not exceeding$500); 5. Office expenses, including secretarial and administrative staff,materials and supplies; 6. On-site and off-site trailer and storage rental and expenses; 7. Site fencing; 8. Utilities, including gas, electric, sewer, water,telephone,telefax,copier equipment; 9. Computer and data processing personnel,equipment and software; 10. Federal, state of local business income and franchise taxes; 11. Losses of efficiency or productivity; and 12. Costs and expenses of any kind or item not specifically and expressly included in Paragraph 6.06-C. ARTICLE 6 GC-42 E. Allowable Mark-Up(Staff to Determine one of the following 2 options for Allowable Mark Up) [OPTION#11 r. If the Net Cost of Extra Work is less than or equal to$25,000, the Allowable Mark-Up shall be computed as follows: (a) For Extra Work performed directly by the Contractor's forces,the added cost for all expenses of overhead,profit,bond and insurance("Allowable Mark-Up")shall not exceed fifteen percent (15%)of the net cost of the Extra Work. (b) For Extra Work performed by a Subcontractor, the added cost of combined expenses, Allowable Mark-Up for Contractor and all Subcontractor(s)shall not exceed twenty(20%)of the net cost of all Subcontractor(s)'s Extra Work. 2. If the net cost of Extra Work is greater than $25,000 and less than or equal to $100,000, the Allowable Marie-up shall be computed as follows: (a) For Extra Work performed directly by the Contractor's forces the added cost for Allowable Mark-Up shall not exceed twelve(12%)of the net cost of the Extra Work. (b) For Extra Worts performed by a Subcontractor, the added cost of combined expenses for Allowable Mark-Up for Contractor and all Subcontractor(s)shall not exceed seventeen(17%) of the net cost of all Subcontractor(s)'s Extra Work. 3. If the net cost of Extra Work is greater than$100,000,the Allowable Mark-up shall be computed as follows: (a) For Extra Work performed directly by the Contractor's forces the added cost for Allowable Mark-Up shall not exceed ten percent(10%)of the net cost of the Extra Work. (b) For Extra Work performed by a Subcontractor, the added cost of combined expenses for Allowable Mark-Up for Contractor and all Subcontractor(s)shall not exceed fifteen (15%)of the net cost of all Subcontractor(s)'s Extra Work. [Option#2] 1. Extra Work by contractor(Markup): The following percentages shall be added to the Contractor's costs and shall constitute the markup for all overhead and profits: Labor 33% Materials 15% Equipment Rental 15% Other Items and Expenditures 15% 2. Extra Work by Subcontractor(Markup?: When all or any part of the extra work is performed by a Subcontractor, the markup provided for the Contractor in 6.06.E.1 shall apply to the Subcontractors actual costs. A markup of 5% on the subcontracted portion of each extra work may be added for the Contractor. ARTICLE 6 GC-43 F. Net Allowable Costs If anyone scope change involves both Extra Work and deleted work in the same portion of the Work and the additive allowable costs exceed the deductive allowable costs, the Allowable Markups on the Extra Work will be only the difference between the two amounts. 6.07 CITY ORIGINATED REQUEST FOR ITEMIZED CHANGE ORDER PROPOSAL REQUEST City may issue a Construction Change Directive or other written request to Contractor describing a proposed change to the Work and requesting the Contractor submit an itemized change order proposal in a format acceptable to City within ten(10)calendar days after City issues the request.The Contractors change order proposal shall include an analysis of impacts to cost and time, if any, to perform additional work, change Work or delete Work, as applicable,including the effects and impacts,if any,on unchanged Work,estimates of costs (broken down by the cost categories listed in this Paragraph), and Contractor's proposed methods to minimize costs,delay,and disruption to the performance of the Work. If Contractor fails to submit a written change order proposal within such period of time,it shall be presumed that the change described in the City's original proposal request will not result in an increase to the Contract Sum or Contract Time and the change shall be performed by Contractor without additional compensation to Contractor. City's request for itemized change order proposal request does not authorize the Contractor to commence performance of the change. if City desires that the proposed change be performed,the Work shall be authorized according to the Change Order or Construction Change Directive procedures set forth herein. 6,08 CONTRACTOR ORIGINATED CHANGE ORDER REQUEST(COR) If the Contractor believes that instructions issued by the City after the effective date of the Contract will result in changes to the Contract Sum or Contract Time or if the Contractor otherwise becomes aware of the need for or desirability of a change in the Work, Contractor may submit a written Change Order Request("COR") to the City in writing, in a format acceptable to City and in accordance with the notice provisions and other requirements of Article 7 below for Claims.The COR must specify the reasons for the proposed change,cost impacts and relevant circumstances and impacts on the Construction Schedule. The document shall be complete in its description of the Work, its material and labor quantities and detail, and must support and justify the costs and credits claimed by the Contractor. A Critical Path Method schedule Fragnet is required to support and justify any additional time of performance requested by the Contractor.The City will not review any COR which is incomplete. The Contractor may request additional compensation and/or time through a COR but not for instances that occurred more than ten(10)calendar days prior to the notice date.Contractor's failure to initiate a COR within this ten-day period or to provide detailed back-up documentation to substantiate the COR within thirty(30)calendar days of the initial written notice shall be deemed a waiver of the right to adjustment of the Contract Sum or the Contract Time for the alleged change. Any COR that is approved by the City shall be incorporated in a Change Order or Construction Change Directive. If the COR is denied but the Contractor believes that it does have merit,the Contractor shall proceed with the disputed Work and may submit a Claim in accordance with the procedures set forth herein. 6.09 ISSUANCE OF WORK DIRECTIVE(UNILATERAL). In the event of a dispute as to whether or not Extra Work is required, City shall have the right to unilaterally issue a Work Directive;Contractor shall continue performance of disputed Work pending resolution and shall maintain and submit to City all accounting and cost data necessary to substantiate Contractor's cost of such disputed Work. [END OF ARTICLE] ARTICLE 6 GC-44 ARTICLE 7 - CONTRACT PAYMENTS AND CLAIMS 7.01 GENERAL A. Payment will be made at the price for each item listed on the bidding form or as Extra Work as provided in the General Conditions. B. Initial progress payment will not be made prior to approval by the Director of the Schedule of Values, the Construction Progress Schedule,and the Schedule of Submittals. C. No subsequent progress payment will be made prior to receipt by the Director of the monthly revision of the Construction Progress Schedule. 7.02 SCHEDULE OF VALUES FOR PAYMENTS A. Submission Upon City's request,the three(3) lowest bidders shall complete and submit a Preliminary Schedule of Values,within seven(7)calendar days. In addition, Contractor shall complete and furnish within seven(7)calendar days after receiving the Notice of Award of the Construction Contract a Final Schedule of Values giving a complete breakdown of the Contract Sum for each component of the Work. B. Content The Schedule of Values shall be in sufficient detail as the Director may, in its discretion, deem necessary to evaluate progress at any point in the performance of the Work. Unless otherwise specified in the Contract Documents, the Schedule of Values shall include, without limitation, a breakdown of the general categories of Subcontractor work,direct overhead,profit and contingency, and a further breakdown of the general categories of Subcontractor work into separate trade line items of costs for Subcontractor services,labor and material,which is based on actual Subcontractor contract, subcontract, purchase order or vendor prices. If requested by Director, Contractor shall revise the Schedule of Values to allocate sums for Contractor overhead, profit and/or contingency among the individual line items for trade portions of the Work. No amounts shall be reflected in the Schedule of Values or Application for Payment for Extra Work or Deleted Work for which a Change Order has not been executed by Contractor and City or for which a Construction Change Directive has not been issued by City. Amounts that have been mutually agreed to by Change Order or unilaterally determined by City pursuant to a Construction Change Directive shall be segregated from the cost of the base Contract Work and separately listed by line item in the Schedule of Values. The Schedule of Values must be prepared in sufficient detail and supported by sufficient data to substantiate its accuracy as the Director may require. C Applications for Payment The Schedule of Values, when approved by the Director, shall be used as a basis for Contractor's Applications for Payment and may be considered as fixing a basis for adjustments to the Contract Sum. ARTICLE 7 GC-45 D. Revisions If, at any time, it is determined that the Schedule of Values does not allocate the Contract Sum in a manner that reasonably and fairly reflects the actual costs anticipated to be progressively incurred by Contractor, it shall be revised and resubmitted for the Director's approval. 7.03 APPLICATIONS FOR PAYMENT A. Marked Schedule of Values Five(5)Days prior to the date set forth in Paragraph 7.03-13 below for the monthly progress payment meeting, Contractor shall submit to Director a copy of the proposed Schedule of Values, marked to show the percentage of completion certified by Contractor for each line item in the Schedule of Values, including any stored materials approved for payment by City pursuant to Paragraph 7.03-D, below and any withholdings from Contractor proposed by Director. B. Monthly Review For the purpose of expediting the progress payment procedure, Contractor shall meet with the Director on or before the twentieth (20th) day of each month to review the Contractor's marked Schedule of Values prepared in accordance with Paragraph 7.03-A,above.The Director shall revise as appropriate and sign the marked Schedule of Values to verify such review. If any item in the marked Schedule of Values submitted for payment is disputed during this review, Contractor agrees to use its best efforts to resolve the disputed items with the Director before submitting its Application for Payment. If the Director and Contractor cannot agree, then the percentage completion shall be established at such percentage as the Director, in good faith,determines is appropriate to the actual progress of the Work. No inaccuracy or error in the Director's good faith estimate shall operate to release Contractor or Surety from any responsibility or liability arising from or related to performance of the Work.The Director shall have the right subsequently to correct any error and dispute any item submitted in Contractor's Application for Payment, regardless of whether an item was identified as disputed in the review process provided for herein. C. Certification Each Application for Payment shall be signed and certified by Contractor under penalty of perjury to City that: 1. the data comprising the Application for Payment is accurate and the Work has progressed to the point indicated; 2. to the best of Contractor's knowledge, information and belief,the Work is in accordance with the Contract Documents; 3. Contractor is entitled to payment in the amount certified;and 4. all sums previously applied for by Contractor on account of Work performed by Subcontractors and that have been paid by City have been paid to the Subcontractors performing such Work, without any retention,withholding or backcharge by Contractor. ARTICLE 7 GC-46 D. Stored Materials Payments may be made by City, at its discretion, on account of materials or equipment not incorporated into the Work but delivered on the ground at the Site and suitably stored by Contractor or stored off-Site under the control of City.Such payments shall only be considered upon submission by Contractor of satisfactory evidence that it has acquired title to same,that the material or equipment will be utilized in the Work and that the material is satisfactorily stored, protected and insured, and that such other procedures are in place satisfactory to City to protect City's interests. To be considered for payment, materials or equipment stored off-Site shall, in addition to the above requirements and unless otherwise specifically approved by City in writing, be stored in a bonded warehouse, fully insured, and available to City for inspection. City shall have sole discretion to determine the amount of material and equipment that may be stored on the Site at any given time. 7.04 PROGRESS PAYMENTS A. Conditions to Progress Payments Contractor shall submit its Application for Payment to the Director, using such forms as required by City, once a month on or before the first (1st) Day of the month following the month in which the Work that is the subject of such Application for Payment was performed. Without limitation to any other provisions of the Contract Documents,the following shall be conditions precedent to a proper submission and to the Director approval of each Application for Payment: 1. submission of a Schedule of Values that reflects the percentages of completion either agreed to or determined by Director in accordance with Paragraph 7.03-B, above; 2. submission of the Contractor's certification required by Paragraph 7.03-C, above; 3. submission of conditional releases of stop notice, if any, and bond rights upon progress payment, complying with California Civil Code Section 8132,for all Work performed during the time period covered by the current Application for Payment, signed by Contractor, its Subcontractors of every tier, and all material suppliers to each, and (2) forms of unconditional release of stop notice and bond rights upon progress payment, complying with California Civil Code Section 8134 for all Work performed during the time period covered by the previous Application for Payment, signed by Contractor, its Subcontractors of every tier and all material suppliers to each; 4. compliance by Contractor with its obligation for maintenance of As-Builts as required by the Contract Documents; 5. compliance by Contractor with its obligation for submission of monthly and daily reports as required by the Contract Documents; 6. compliance by Contractor with its obligations for submission of scheduling information and updating of the Construction Schedule as required by Article 4, above and other provisions of the Contract Documents pertaining to preparation or updating of schedule information; 7. submission of certified payroll records as required by the Contract Documents; ARTICLE 7 GC-47 8. submission of certifications by Contractor and each Subcontractor as required by applicable collective bargaining agreements certifying that all employee benefit contributions due and owing pursuant to any applicable collective bargaining agreement have been paid in full;and 9. compliance by Contractor with all of its other obligations for submission of documentation or performance of conditions which, by the terms of the Contract Documents,constitute conditions to Contractor's right to receive payment for Work performed. B_ Payments by City Pursuant to California Public Contract Code Section 20104.50, City shall make progress payment of undisputed sums due within thirty(30) Days after receipt by Director of an undisputed and properly submitted Application for Payment, calculated on the basis of ninety-five percent (95%) of value determined pursuant to Paragraph 7.03-13 above of the following: 1. the portion of the Work permanently installed and in place; 2. plus, the value of materials delivered on the ground or in storage as approved by City pursuant to Paragraph 7.03-D, above, 3. less, the aggregate of previous payments, and 4. less,any other withholdings authorized by the Contract Documents. C. Rejection by City Any Application for Payment determined not to be undisputed, proper and suitable for payment shall be returned to Contractor as soon as practicable, but not later than seven (7) Days, after receipt by City accompanied by an written explanation of the reasons why the payment request was rejected. Failure by City or Director to either timely reject an Application for Payment or specify any grounds for rejection shall not constitute a waiver of any rights by City. Applications for Payment that are rejected shall be corrected and resubmitted within seven(7) Days after receipt by Contractor. D_ interest If City fails to make a progress payment to Contractor as required by Paragraph 7.04-13,above, City shall pay interest to Contractor equivalent to the legal rate set forth in subdivision (a) of California Code of Civil Procedure Section 685.010. The number of Days available to City to make payment pursuant to Paragraph 7.04-B, above without incurring interest pursuant to this Paragraph shall be reduced by the number of Days by which City exceeds the seven (7) Day return requirement applicable to City as set forth in Paragraph 7.04-C, above. 7Z FINAL PAYMENT A. Retention In addition to withholdings permitted by Paragraph 7.09 below, a sum equal to five percent(5%)of all sums otherwise due to Contractor as progress payments shall be withheld by city pursuant to Paragraph 7.04-13 from each progress payment("Retention")and retained until such time as it is due as described herein.A higher Retention amount may be approved by the City Council where project is deemed "substantially complex" by City Council. (Note to Staff: Public Contract Code §7201(b)(1), 9203:To qualify for higher retention than 5%, the Council must determine the ARTICLE 7 GC-48 project to be substantially complex,when the project goes before the City Council to approve the plans and specifications, and authorizes the City Clerk to advertise for bids. The City Council resolution will need to include "findings" (factual statements)that(1)the project is "substantially complex," and (2) the reasons why it is "substantially complex." The bid documents must also contain the Council findings) B. Conditions to Final Payment Contractor shall submit its Application for Final Payment, using such forms as required by Director, prior to requesting a final inspection of the Work in accordance with Paragraph 3.06 above. Such Application for Final Payment shall be accompanied by all the following: 1. an affidavit that payrolls, bills for materials and equipment, and other indebtedness connected with the Project for which City or City's property or funds might be liable have been paid or otherwise satisfied; 2. Contractor's certification as required by Paragraph 7.03-C, above; 3. consent of surety, if any,to Final Payment; 4. a certificate evidencing that the insurance required by the Contract Documents is in force; 5. Conditional Waiver and Release Upon Final Payment in the form required by California Civil Code Section 8136 executed by Contractor, all Subcontractors of every tier and by all material suppliers of each, covering the final payment period; 6. Unconditional Waiver and Release Upon Progress Payment in the form required by California Civil Code Section 8136 executed by Contractor, all Subcontractors of every tier and by all material suppliers of each,covering the previous payment period; 7. all Record Documents (including, without limitation, complete and accurate As-Built drawings which shall be kept up to date during the performance of the Work); 8. documentation that Contractor has inspected,tested,and adjusted performance if every system or facility of the Work to ensure that overall performance is in compliance with the terms of the Contract Documents; 9. four(4) copies of all warranties from vendors and Subcontractors, operation and maintenance manuals, instructions and related agreements, and equipment certifications and similar documents; 10. certifications by Contractor and each Subcontractor as required by applicable collective bargaining agreements that all employee benefit contributions due and owing pursuant to any applicable collective bargaining agreement have been paid in full; 11. releases of rights and claims relating to patents and trademarks, as required by the Contract Documents; and 12. any other documents or information required by the Contract Documents as a condition of Final Payment or Final Completion. ARTICLE 7 GC-49 C. Final Payment Pursuant to the Public Contract Code Section 7107,within sixty(60)Days after City issues the Notice of Completion to Contractor,the Final Payment,including Retention,shall be released to Contractor, subject to the City's right to withhold 150%of any disputed amounts. D. Disputed Amounts Pursuant to California Public Contract Code 7107, City may deduct and withhold from the Final Payment due under Paragraph 7.05-C, above, an amount up to 150% of any disputed amounts, including,without limitation,amounts to protect City against any loss caused or threatened as a result of Contractor's failing to fully perform all of those obligations that are required to be fulfilled by Contractor as a condition to Final Completion and Final Payment.Alternatively,City may elect, in its sole discretion, to accept the Work without correction or completion and adjust the Contract Sum pursuant to the Contract Documents. E. Acceptance of Final Payment Acceptance of Final Payment by Contractor shall constitute a waiver of all rights by Contractor against City for recovery of any loss, excepting only those Claims that have been submitted by Contractor in the manner required by the Contract Documents prior to or at the time of the Final Payment. 7.06 MISCELLANEOUS A. Joint Payment City shall have the right, if deemed necessary in its sole discretion, to issue joint checks made payable to Contractor and any Subcontractor(s)of any Tier. The joint check payees shall be solely responsible for the allocation and disbursement of funds included as part of any such joint payment. Endorsement on such check by a payee shall be conclusively presumed to constitute receipt of payment by such payee. In no event shall any joint check payment be construed to create any contract between City and a Subcontractor of any Tier,any obligation from City to such Subcontractor or any third party rights against City or Director. B. Withholding/Duty to Proceed The payment, withholding or retention of all or any portion of any payment claimed to be due and owing to Contractor shall not operate in any way to relieve Contractor from its obligations under the Contract Documents. Contractor shall continue diligently to prosecute the Work without reference to the payment, withholding or retention of any payment. The partial payment, withholding or retention by City in good .faith of any disputed portion of a payment, whether ultimately determined to be correctly or incorrectly asserted, shall not constitute a breach by City of the Construction Contract and shall not be grounds for an adjustment of the Contract Sum or Contract Time. C. No Acceptance No payment by City or partial or entire use of the Work by City shall be construed as approval or acceptance of the Work,or any portion thereof. ARTICLE 7 GC-50 D. Contractor Payment Warranty Submission of an Application for Payment shall constitute a representation and warranty by Contractor that: 1. Title to Work covered by an Application for Payment will pass to City either by incorporation into the construction or upon receipt of payment by Contractor, whichever occurs first; and 2. Work covered by previous Applications for Payment are free and clear of liens, stop notices, claims, security interests or encumbrances imposed by the Contractor or any other person. E. Corrections No inaccuracy or error in any Application for Payment provided by Contractor shall operate to release Contractor from the error, or from losses arising from the Work, or from any obligation imposed by the Contract Documents. City retains the right to subsequently correct any error made in any previously approved Application for Payment, or progress payment issued, by adjustments to subsequent payments. 7.07 PAYMENTS BY CONTRACTOR Contractor shall not include in its Applications for Payment sums on account of any Subcontractor's portion of the Work that it does not intend to pay to such Subcontractor.Upon receipt of payment from City,Contractor shall pay the Subcontractor performing Work on the Project,out of the amount paid to Contractor on account of such Subcontractors portion of the Work,the amount to which said Subcontractor is entitled in accordance with the terms of its contract with Contractor and applicable laws,including,without limitation,California Public Contract Code Section 7107. Contractor shall remain responsible notwithstanding a withholding by City pursuant to the terms of these Contract Documents, to promptly satisfy from its own funds sums due to all Subcontractors who have performed Work that is included in Contractor's Application for Payment.Contractor shall, by appropriate agreement, require each Subcontractor to make payments to its subcontractors and material suppliers in similar manner. City shall have no obligation to pay or be responsible in any way for payment to a Subcontractor of any tier or material supplier. 7.08 PAYMENTS WITHHELD A. Withholding by City In addition to any other amounts which City may have the right to retain under the Contract Documents, City may withhold a sufficient amount of any payment otherwise due to Contractor as City, in its sole discretion, may deem necessary to cover actual or threatened loss due to any of the following: 1. Third Party Claims. Third-party claims or stop notices filed or reasonable evidence indicating probable filing of such claims or stop notices. City shall promptly inform Contractor of any third party claims related to this Contract; [NOTE: PUBLIC ENTITES ARE REQUIRED TO INCLUDE PROVISIONS IN PUBLIC WORKS CONTRACTS FOR TIMELY NOTIFICATION TO THE CONTRACTOR OF THE RECEIPT OF ANY THIRD PARTY CLAIM RELATED TO THE CONTRACT, PC C§9201(b). 2. Defective Work. Defective Work not remedied; ARTICLE 7 GC-51 3. Nonpayment. Failure of Contractor to make proper payments to its Subcontractors for services, labor, materials or equipment; 4. Inability to Complete. Reasonable doubt that the Work can be completed for the then unpaid balance of the Contract Sum or within the Contract Time; 5. Violation of Applicable Laws. Failure of Contractor or its Subcontractors to comply with applicable laws or lawful orders of governmental authorities; 6. Penalty. Any claim or penalty asserted against City by virtue of Contractor's failure to comply with applicable laws or lawful orders of govemmental authorities (including, without limitation labor laws); 7. Failure to Meet Contract Time. Any damages which may accrue as a result of Contractor failing to meet the Construction Schedule or failing to perform within the Contract Time; 8. Setoff. Any reason specified elsewhere in the Contract Documents as grounds for a withholding offset or set off or that would legally entitle City to a set-off or recoupment; 9. Consultant Services. Additional professional, consultant or inspection services required due to Contractor's failure to comply with the Contract Documents. 10. Liquidated Damages. Liquidated damages assessed against Contractor 11. Materials. Materials ordered by City pursuant to the Contract Documents. 12. Damages. Loss caused by Contractor or Subcontractor to City, Separate Contractors or any other person or entity under contract to City. 13. Clean Up. Clean up performed by City and chargeable to Contractor pursuant to the Contract Documents. 14. Employee Benefits. Failure of Contractor to pay contributions due and owing to employee benefits funds pursuant to any applicable collective bargaining agreement or trust agreement. 15. Required Documents. Failure of Contractor to submit on a timely basis, proper and sufficient documentation required by the Contract Documents, including, without limitation, Construction Schedule updates, 'look ahead' schedules, Submittals, Schedules of Values, information on Subcontractors,Change Orders,certifications and other required reports or documentation. 16. Other Breach. A breach of any obligation or provision of the Contract Documents. r3_ Release of Withholding If and when City determines, in its sole discretion, that the above grounds for withholding have been removed and that all losses incurred or threatened have been paid,credited or otherwise satisfied,then payment shall be made for amounts withheld because of them. C. Application of Withholding City may apply sums withheld pursuant to Paragraph 7.08-A above, in payment of any loss or threatened loss as City determines,in its sole discretion,to be appropriate. Such payments may be ARTICLE 7 GC-52 made without a pdorjudicial determination of City's actual rights with respect to such loss. Contractor agrees and hereby designates City as its agent for such purposes, and agrees that such payments shall be considered as payments made under Construction Contract by City to Contractor. City shall not be liable to Contractor for such payments made in good faith. City shall submit to Contractor an accounting of such funds disbursed on behalf of Contractor. As an alternative to such payment,city may, in its sole discretion, elect to exercise its right to adjust the Contract Sum as provided in the Contract Documents. D. Continuous Performance Provided City pays the undisputed portion, if any, of funds withheld in good faith, Contractor shall maintain continuous and uninterrupted performance of the Work during the pendency of any disputes or disagreements with City. 7.09 SUBSTITUTION OF SECURITIES A. Public Contract Code Pursuant to the requirements of California Public Contract Code Section 22300, upon Contractor's request, City will make payment to Contractor of any funds withheld from payments to ensure performance under the Contract Documents if Contractor deposits with City, or in escrow with a Califomia or federally chartered bank in California acceptable to City ("Escrow Agent"), securities eligible for the investment of State Funds under Government Code Section 16430,or bank or savings and loan certificates of deposit, interest-bearing demand deposit accounts,standby letters of credit,or any other security mutually agreed to by the Contractor and the City, upon the following conditions: 1. Contractor shall be the beneficial owner or any securities substituted for monies withheld for the purpose of receiving any interest thereon. 2. All expenses relating to the substitution of securities under Public Contract Code Section 22300 and under this Paragraph 7.04, including, but not limited to City's overhead and administrative expenses,and expenses of Escrow Agent shall be the responsibility of Contractor. 3. Securities or certificates of deposit substituted for monies withheld shall be of a value of at least equivalent to the amounts of retention to be paid to Contractor pursuant to the Contract Documents. 4. If Contractor chooses to deposit securities in lieu of monies withheld with an Escrow Agent, Contractor,City and Escrow Agent shall,as a prerequisite to such deposit,enter into an escrow agreement, using the City's form, "Escrow Agreement for Deposit of Securities in Lieu of Retention." 5. Contactor shall obtain the written consent of Surety to such agreement. 6. Securities, if any, shall be retumed to Contractor only upon satisfactory Final Completion of the Work. B. Substitute Security To minimize the expense caused by such substitution of securities, Contractor shall, prior to or at the time Contractor requests to substitute security,deposit sufficient security to cover the entire amount to ARTICLE 7 GC-53 be withheld. Should the current market value of such substituted security fall below the amount for which it was substituted, or any other amounts which the City withholds pursuant to the Contract Documents, Contractor shall immediately and at Contractor's expense and at no cost to City deposit additional security qualifying under Public Contract Code Section 22300 until the current market value of the total security deposited is no less than the amount subject to withholding under the Contract Documents. Securities shall be valued as often as conditions of the securities market warrant, but in no case less frequently than once per month. C. Deposit of Retentions Alternatively, subject to the conditions set forth in Paragraph 7.04-A above, upon request of Contractor, City shall make payment of retentions directly to Escrow Agent at the expense of Contractor, provided that Contractor, City and Escrow Agent shall, as a prerequisite such payment, enter into an escrow agreement in the same form as prescribed in Part 4 of Paragraph A, above. At the expense of Contractor and at no cost to City, Contractor may direct the investment of the payments into securities and interest bearing accounts, and Contractor shall receive the interest earned on the investments. Escrow Agent shall hold such direct payments by City under the same terms provided herein for securities deposited by Contractor. Upon satisfactory Final Completion of the Work, Contractor shall receive from Escrow Agent all securities, interest and payments received by Escrow Agent from City, less escrow fees and charges of the Escrow Account, according to the terms of Public Contract Code Section 22300 and the Contract Documents. D. Time for Election of Substitution of Securities Notwithstanding the provision of 7.04 A, B, and C above and California Public Contract Code Section 22300,the failure of Contractor to request the Substitution of eligible securities for monies to be withheld by City within ten (10)days of the award of Contract to Contractor shall be deemed to be a waiver of all such rights. 7.10 CLAIMS A. Arising of Claim. 1. Scope Change. When Contractor has a claim for an increase in the Contract Sum or Contract Time due to a scope change which has not yet become final, a"claim"will be deemed to arise once the Director has issued a decision denying, in whole or in part, the Contractor's Change Order Request. 2. Other Claims. In the case of a Claim by Contractor that does not involve an adjustment to the Contract Sum or Contract Time due to a scope change and which has not become final, the Claim may be asserted if, and only if, Contractor gives written notice to City of intent to file the Claim within three (3) days of the date of discovery relative to such circumstances (even if Contractor has not yet been damaged or delayed). Such written notice of intent to file a Claim shall be valid if, and only if, it identifies the event or condition giving rise to the Claim, states its probable effect, if any with respect to Contractor's entitlement to an adjustment of the Contract Sum or Contract Time and complies with the requirements of Paragraph 7.11-13, below. For purposes of this Paragraph 7.11,a Claim for which such written notice is required and has been given by Contractor shall be deemed to arise on the date that such written notice is received by City. ARTICLE 7 GC-54 B. Content of Claim A Claim by Contractor must include all of the following: 1. A statement that it is a Claim and a request for a decision on the Claim; 2. A detailed description of the act, error, omission, unforeseen condition, event or other circumstance giving rise to the Claim. 3. If the Claim involves an adjustment to the Contract Sum or Contract Time due to a change in scope, a statement demonstrating that all requisite notices were provided, including, without limitation, timely written notice and a Change Order Request as required by Article 6 of these General Conditions and timely notice of delay and request for extension of time in accordance with Article 3. If the Claim does not involve an adjustment to the Contract Sum or Contract Time due to a change in scope,a statement demonstrating that a notice of intent to file the Claim was timely submitted as required by Paragraph 7.10-A.2, above; 4. A detailed justification for any remedy or relief sought by the Claim including without limitation, a detailed cost breakdown in the form' required for submittal of Change Order Requests and actual job cost records demonstrating that the costs have been incurred; 5. If the Claim involves a request for adjustment of the Contract Time, written documentation demonstrating that Contractor has complied with the requirements of the Contract Documents and written substantiation (including, without limitation, a Time Impact Analysis) demonstrating that Contractor is entitled to an extension of time under the Contract Documents; and 6. A written certification signed by a managing officer of Contractors organization, who has the authority to sign contracts and purchase orders on behalf of Contractor and who has personally investigated and confirmed the truth and accuracy of the matters set forth in such certification, in the'following foram: "I hereby certify under penalty of perjury that I am a managing officer of(Contractors name)and that I have reviewed the Claim presented herewith on Contractors behalf and/or on behalf of (Subcontractors name)and that,to the best of my knowledge after conducting a diligent inquiry into the facts of the Claim,the following statements are true and correct: The facts alleged in or that form the basis for the Claim are, to the best of my knowledge following diligent inquiry, true and accurate;and, (a) I do not know of any facts or circumstances, not alleged in the Claim, that by reason of their not being alleged render any fact or statement alleged in the Claim materially misleading; and, (b) I have, with respect to any request for money or damages alleged in or that forms the basis for the Claim, reviewed the job cost records(including those maintained by Contractor and by any Subcontractor, of any tier, that is asserting all or any portion of the Claim) and confirmed with reasonable certainty that the losses or damages suffered by Contractor and/or such Subcontractor were in fact suffered in the amounts and for the reasons alleged in the Claim; and, ARTICLE 7 GC-55 (c) I have, with respect to any request for extension of time or claim of delay, disruption, hindrance or interference alleged in or that forms the basis for the Claim, reviewed the job schedules(including those maintained by Contractor and the Subcontractor,of any tier,that is asserting all or any portion of the Claim)and confirmed on an event-by-event basis that the delays or disruption suffered by Contractor and/or such Subcontractor were in fact experienced for the durations, in the manner, and with the consequent effects on the time and/or sequence of performance of the Work, as alleged in the Claim;and, (d) I have not received payment from City for, nor has Contractor previously released City from,any portion of the Claim." Signature: Date. Name: Title: Company C. Noncompliance Failure to submit any of the information,documentation or certifications required by Paragraph 7.10- B,above,shall result in the Claim being retumed to Contractor without any decision. D. Submission of Claims 1. Director. Claims shall be first submitted to the City for decision by the Director. 2. Continuous Work. Notwithstanding the making of any Claim or the existence of any dispute regarding any Claim, unless otherwise directed by City, Contractor shall not delay,slow or stop performance of the Work, but shall diligently proceed with performance in accordance with the Contract Documents and City will continue, to make undisputed payments as by the Contract Documents. 3. Time for Filing. All Claims and supporting documentation and certifications must be filed within thirty(30)days after the Claim arises. No Claims shall be filed after Final Payment. 4. Conditions Precedent. No Claim may be asserted unless Contractor has strictly complied with the requirements of this Paragraph 7.10-D, which shall be considered conditions precedent to Contractor's right to assert the Claim and to initiate the Dispute Resolution Process with respect to such Claim. E. Response to Claims, Meet and Confer 1. Claims less than $50,000. Claims less than $50,000 shall be responded to by City in writing within forty-five(45)days of receipt of the Claim, unless City requests additional information or documentation of the Claim within thirty (30) days of receipt of the Claim, in which case City shall respond to the Claim within fifteen (15) days after receipt of the further information or documentation or within a period of time no greater than that taken by Contractor in producing the additional information or documentation, whichever is greater. ARTICLE 7 GC-56 2. Claims$50,000 or more. Claims$50,000 or more shall be responded to by City in writing within (60)days of receipt of the Claim, unless City requests additional information or documentation of the Claim within thirty(30)days of receipt of the Claim, in which case City shall respond to the Claim within thirty(30)days after receipt of the further information or documentation or within a period of time no greater than that taken by Contractor in producing the additional information or documentation, whichever is greater. 3. Meet and Confer. If Contractor disputes City's response, or if City fails to respond within the prescribed time set forth in Paragraph 7.10-E.1 and 7.10-E.2, above, Contractor may so notify City, in writing, within fifteen (15) days of City's response, or within fifteen (15) days of City's response due date in the event of a failure to respond, and demand an informal conference to meet and confer for settlement of the issues in dispute. Upon such demand, City shall schedule a meet and confer conference within thirty (30) days of such demand, for discussion of settlement of the dispute. F. Finality of Decision If Contractor disputes the Director's decision under this Article, it shall commence the Dispute Resolution Process as set forth in Article 15 of these General Conditions by filing a Statement of Dispute within seven(7)days after receipt of the Director's response. f= Continuing Contract Performance/Duty to Proceed with Disputed Work Contractor shall not delay or postpone any Work pending resolution of any claims, disputes or disagreements. Pending final resolution of a claim, the Contactor shall proceed diligently with performance of the Contract and the City shall continue to make payments for undisputed Work in accordance with the Contract Documents. In the event of disputed Work, City shall have the right to unilaterally issue a Work Directive and Contractor shall continue performance pending resolution of the dispute and shall maintain the accounting and cost data to substantiate the cost of such disputed work. [END OF ARTICLE] ARTICLE 7 GC-57 ARTICLE 8 - MATERIALS AND EQUIPMENT 8_01 GENERAL A. The Contractor shall furnish all materials and equipment needed to complete the Work and installations required under the terms of this Contract, except those materials and equipment specified to be furnished by the City. B. The Contractor shall submit satisfactory evidence that the materials and equipment to be fumished and used in the work are in compliance with the Specifications. Materials and equipment incorporated in the Work and not specifically covered in the Specifications shall be the best of their kind. Unless otherwise specified, all materials and equipment incorporated in the Work under the Contract shall be new. 9.02 QUALITY AND WORKMANSHIP All material and equipment fumished by the Contractor shall be new, high grade, and free from defects and imperfections, unless otherwise hereinafter specified. Workmanship shall be in accordance with the best standard practices. All materials and equipment must be of the specified quality and equal to approved samples, if samples have been required. All Work shall be done and completed in a thorough, workmanlike manner, notwithstanding any omission from the Specifications or Drawings, and it shall be the duty of the Contractor to call attention to apparent errors or omissions and request instructions before proceeding with the Work. The Director may,by appropriate instructions,correct errors and supply omissions,which instructions shall be binding upon the Contractor as though contained in the original Specifications or Drawings. All Work performed under the Specifications will be inspected by the Director as provided in Paragraph 8.04. All materials and equipment furnished and all Work done must be satisfactory to the Director.Work,material,or equipment not in accordance with the Specifications, in the opinion of the Director shall be made to conform thereto. Unsatisfactory materials and equipment will be rejected, and if so ordered by the Director, shall, at the Contractor's expense, be immediately removed from the vicinity of the Work. 8.03 TRADE NAMES AND"OR APPROVED EQUAL" PROVISION Whenever in the Specifications or Drawings the name or brand of a manufactured article is used it is intended to indicate a measure of quality and utility or a standard. Except in those instances where the product is designated to match others in use on a particular improvement either completed or in the course of completion, the Contractor may substitute any other brand or manufacture of equal appearance, quality, and utility on approval of the Director, provided the use of such brand or manufacture involves no additional cost to the City. 8.04 APPROVAL OF MATERIALS A. The Contractor shall fumish without additional cost to the City such quantities of construction materials as may be required by the Director for test purposes. He/she shall place at the Director's disposal all available facilities for and cooperate with him in the sampling and testing of all materials and workmanship. The Contractor shall prepay all shipping charges on samples. No samples are to be submitted with the bids unless otherwise specified. B. Each sample submitted shall be labeled. A letter, in duplicate, submitting each shipment of samples shall be mailed to the Director by the Contractor. Both the label on the sample and the letter of transmittal shall indicate the material represented, its place of origin, the names of the producer and ARTICLE 8 GC-58 the Contractor, the Specifications number and title, and a reference to the applicable Drawings and Specifications paragraphs. C. Materials or equipment of which samples are required shall not be used on the Work until approval has been given by the Director in writing.Approval of any sample shall be only for the characteristics of the uses named in such approval and no other. No approval of a sample shall be taken in itself to change or modify any Contract requirement. D. Failure of any material to pass the specified tests, including life cycle maintenance data may be sufficient cause for refusal to consider under this Contract, any further sample of the same brand or make of that material. 8.05 ORDERING MATERIALS AND EQUIPMENT One copy of each of the Contractors purchase orders for materials and equipment forming a portion of the Work must be furnished to the Director, if requested. Each such purchase order shall contain a statement that the materials and equipment included in the order are subject to inspection by the City. Materials and equipment purchased locally will, at the City's discretion, be inspected at the point of manufacture or supply, and materials and equipment supplied from points outside the Los Angeles area will be inspected upon arrival at the job,except when other inspection requirements are provided for specific materials in other sections of the Contract Documents. 8.06 AUTHORITY OF THE DIRECTOR A. On all questions concerning the acceptability of materials or machinery,the classification of materials, the execution of the Work,and conflicting interests of Contractors performing related work,the decision of the Director shall be final and binding. B. The Director will make periodic observations of materials and completed work to observe their compliance with Drawings, Specifications, and design and planning concepts, but he/she is not responsible for the superintendence of construction processes,site conditions,operations,equipment, personnel,or the maintenance of a safe place to work or any safety in,on,or about the site of work. 8.07 INSPECTION All materials furnished and work done under this Contract will be subject to rigid inspection.The Contractor shall fumish,without extra charge,the necessary test pieces and samples, including facilities and labor for obtaining them, as requested by the Director. The Director, or his/her authorized agent or agents, at all times shall have access to all parts of the shop and the works where such materials under his/her inspection is being manufactured or the work performed. Work or material that does not conform to the Specifications, although accepted through oversight,may be rejected at any stage of the Work. Whenever the Contractor is permitted or directed to do night work or to vary the period during which work is tamed on each day, he/she shall give the Director due notice, so that inspection may be provided. Such work shall be done under regulations to be furnished in writing by the Director. 8.08 INFRINGEMENT OF PATENTS The Contractor shall hold and save the City, its officers, agents, servants, and employees harmless from and against all and every demand or demands, of any nature or kind, for or on account of the use of any patented invention, process, equipment, article, or appliance employed in the execution of the Work or included in the materials or supplies agreed to be furnished under this Contract, and should the Contractor, his/her agents, ARTICLE B GC-59 servants,or employees,or any of them,be enjoined from furnishing or using any invention,process,equipment, article, materials, supplies or appliance supplied or required to be supplied or used under this Contract, the Contractor shall promptly substitute other inventions, processes, equipment, articles, materials, supplies, or appliances in lieu thereof,of equal efficiency,quality,finish, suitability,and market value, and satisfactory in all respects to the Director. Or in the event that the Director elects, in lieu of such substitution, to have, supplied, and to retain and use,any such invention,process,equipment,article,materials,supplies,or appliances,as may by this Contract be required to be supplied and used, in that event the Contractor shall at his/her expense pay such royalties and secure such valid licenses as may be requisite and necessary to enable the City,its officers, agents,servants,and employees,or any of them,to use such invention,process,equipment,article, materials, supplies, or appliances without being disturbed or in way interfered with by any proceeding in law or equity on accountthereof.Should the Contractor neglect or refuse promptly to make the substitution hereinbefore required, or to pay such royalties and secure such licenses as may be necessary and requisite for the purpose aforesaid, then in that event the Director shall have the right to make such substitution,or the City may pay such royalties and secure such licenses and charge the cost thereof against any money due the Contractor from the City, or recover the amount thereof from him/her and his/her surety, notwithstanding final payment under this Contract may have been made. [END OF ARTICLE] ARTICLE 8 GC-6O ARTICLE 9 — SUBMITTALS 9.01 GENERAL A. The Contractor shall submit samples,drawings,and data for the Directors approval which demonstrate fully that the construction, and the materials and equipment to be fumished will comply with the provisions and intent of the Drawings and Specifications. B Specific items to be covered by the submittals shall include,as a minimum,the following: 1. For structures, submit all shop, setting, equipment, miscellaneous iron and reinforcement drawings and schedules necessary. 2. For conduits, submit a detailed layout of the conduit with details of bends and fabricated specials and fumish any other details necessary. Show location of shop and field welds. 3. For equipment which requires electrical service,submit detailed information to show power supply requirements, wiring diagrams, control and protection schematics, shop test data, operation and maintenance procedures, outline drawings, and manufacturer's recommendation of the interfacelintedock among the equipment. 4. For mechanical equipment submit all data pertinent to the installation and maintenance of the equipment including shop drawings, manufacturer's recommended installation procedure,detailed installation drawings,test data and curves, maintenance manuals, and other details necessary. 5. Samples 6. Colors 7. Substitutions 8. Manuals 9. As-built drawings 10. Safety plans required by Article 10 9.02 PRODUCT HANDLING A. Submittals shall be accompanied by a letter of transmittal and shall be in strict accordance with the provisions of this Article. B. Submit priority of processing when appropriate. 9.03 SCHEDULE OF SUBMITTALS A. The Contractor shall prepare and submit a schedule of submittals. The schedule of submittals shall be in the form of a submittal log. Refer to Paragraph 9.12. ARTICLE 9 GC-6 1 9.04 SHOP DRAWINGS A. All shop drawings shall be produced to a scale sufficiently large to show all pertinent features of the item and its method of connection to the Work. B. All shop drawing prints shall be made in blue or black line on white background. Reproductions of City/Contract Drawings are not acceptable. C. The overall dimensions of each drawing submitted to the Director shall be equal to one of the City s standard sheet sizes as listed below. The title block shall be located in the lower right hand comer of each drawing and shall be dear of all line Work,dimensions,details,and notes. Sheet Sizes Height X Width 11"X 81/2" 11"X 17" 24"X 36" 30"X 42" 9.05 COLORS Unless the precise color and pattern are specified elsewhere,submit accurate color charts and pattern charts to the Director for his/her review and selection whenever a choice of color or pattern is available in a specified product. Label each chart naming the source,the proposed location of use on the project,and the project. 9.06 MANUFACTURERS'LITERATURE Where contents of submitted literature from manufacturers includes data not pertinent to the submittal, clearly show which portions of the contents are being submitted for review. 9.07 SUBSTITUTIONS A. The Contract is based on the materials,equipment,and methods described in the Contract Documents. Any Contractor proposed substitutions are subject to the Director's approval. The Director will consider proposals for substitution of materials,equipment, and methods only when such proposals are accompanied by full and complete technical data, and all other information, including life cycle maintenance data, required by the Director to evaluate the proposed substitution. B. Any requests for substitutions by the Contractor must be made within forty-five(45)calendar days from the Issuance Date on the Notice to Proceed. Otherwise,such requests will not be considered. C. Trade names and"or approved equal"provision as set forth in Paragraph 8.03. 9.08 MANUALS A. When manuals are required to be submitted covering items included in this Work, prepare and submit such manuals in approximately 8-1/2" X 11" format in durable plastic binders. In addition, manuals shall be submitted in electronic format. Manuals shall contain at least the following: 1. Identification on,or readable through,the front cover stating general nature of the manual. ARTICLE 9 GC-62 2. Neatly typewritten index near the front of the manual,furnishing immediate information as to location in the manual of all emergency data regarding the installation. 3. Complete instructions regarding operation and maintenance of all equipment involved. 4. Complete nomenclature of all replaceable parts,their part numbers,current cost, and name and address of nearest vendor of parts. 5. Copy of all guarantees and warranties issued. 6. Copy of drawings with all data concerning changes made during construction. B. Where contents of manuals include manufacturers' catalog pages, clearly indicate the precise items included in this installation and delete,or otherwise clearly indicate,all manufacturers'data with which this installation is not concerned. 9.09 AS-BUILT DRAWINGS A. When required to be submitted covering items included in this Work,the Contractor shall deliver to the City one complete set of final As-Built hand copy drawings together with a set of AutoCAD drawing files in electronic format showing completed building, "as-built'for City records before the Contract will be accepted by the City. B. The drawings shall be duplicates and at the same size and dimensional scale as the originals. They shall be on a polyester translucent base material with a minimum sheet thickness of.003 inch(.08mm). C. The legibility and contrast of each drawing submitted to the City shall be such that every line, number, letter,and character is clearly readable in a full size blow back from a 35 mm microfilm negative of the drawing. 9.10 SUBMITTALS QUANTITIES A. Submit seven(7)copies of all data and drawings unless specified otherwise. B. Submit all samples, unless specified otherwise, in the quantity to be returned, plus two, which will be retained by the Director. 9.11 IDENTIFICATION OF SUBMITTALS Completely identify each submittal and re-submittal by showing at least the following information: A. Name and address of submitter, plus name and telephone number of the individual who may be contacted for further information. B. Name of project as it appears in the Contract Documents and Specification No. C. Drawing number and Specifications section number other than this section to which the submittal applies. D. Whether this is an original submittal or re-submittal. E. For samples, indicate the source of the sample. ARTICLE 9 GC-63 9.12 SCHEDULE OF SUBMITTALS A. Submit initial schedule of submittals within five(5)Working Days after the Issuance Date on Notice to Proceed. B. Submit revised schedule of submittals within five (5) Working Days after date of request from the Director. C. The Director will review schedule of submittals and will notify Contractor that schedule is acceptable or not acceptable within five(5)Working Days after receipt. 9.13 COORDINATION OF SUBMITTALS A. Prior to submittal for the Director's review, use all means necessary to fully coordinate all material, including the following procedures: 1. Determine and verify all field dimensions and conditions, materials, catalog numbers, and similar data. 2. Coordinate as required with all trades and with all public agencies involved. 3. Secure all necessary approvals from public agencies and others and signify by stamp, or other means,that they have been secured. 4. Clearly indicate all deviations from the Specifications. B. Unless otherwise specifically permitted by the Director, make all submittals in groups containing all associated items;the Director may reject partial submittals as not complying with the provisions of the Specifications. 9A4 TIMING FOR SUBMITTALS A. Make all submittals far enough in advance of scheduled dates of installation to provide all required time for reviews, for securing necessary approvals, for possible revision and re-submittal, and for placing orders and securing delivery. B. In scheduling,allow at least 15 Working Days for the Director's review,plus the transit time to and from the City office. C. Manuals shall be submitted prior to performing functional tests. 9.15 APPROVAL BY CITY A. Up to three (3)copies of each submittal, except manuals, schedule of costs for progress payments, and as-built drawings will be returned to the Contractor marked "No Exceptions Taken," "Make Corrections Noted-Do Not Resubmit,"or"Make Corrections Noted-Resubmit."Manuals,schedule of costs,and as-built drawings will be returned for re-submittal if incomplete or unacceptable. B. Submittals marked"Approved as Noted"need not be resubmitted,but the notes shall be followed. C. If submittal is returned for correction, it will be marked to indicate what is unsatisfactory. ARTICLE 9 GC-64 D. Resubmit revised drawings or data as indicated, in five(5)copies. E. Approval of each submittal by the Director will be general only and shall not be construed as: 1. Permitting any departures from the Specifications requirements. 2. Relieving the Contractor of the responsibility for any errors and omissions in details, dimensions, or of other nature that may exist. 3. Approving departures from additional details or instructions previously furnished by the Director. 9.16 CHANGES TO APPROVED SUBMITTALS A. A re-submittal is required for any proposed change to an approved submittal. Changes which require re-submittal include, but are not necessarily limited to, drawing revisions, changes in materials and equipment, installation procedures and test data.All re-submittals shall include an explanation of the necessity for the change. B. Minor corrections to an approved submittal may be accomplished by submitting a"Corrected Copy". [END OF ARTICLE] ARTICLE 9 GC-65 ARTICLE 10- SAFETY 10.01 PROTECTION OF PERSONS AND PROPERTY A. Contractor's Responsibility: Notwithstanding any other provision of the Contract Documents, the Contractor shall be solely and completely responsible for conditions of the job site, including safety of all persons and property,during performance of the Work.This requirement will apply continuously and will not be limited to normal working hours.Safety and sanitary provisions shall conform to all applicable Federal, State, County, and local laws, regulations, ordinances, standards, and codes. Where any of these are in conflict,the more stringent requirement shall be followed. B. Sanitary Facilities. The Contractor shall furnish and maintain sanitary facilities by the worksites for the entire construction period. C. Protection of the Public. The Contractor shall take such steps and precautions as his/her operations warrant to protect the public from danger, loss of life,loss of property or interruption of public services. Unforeseen conditions may arise which will require that immediate provisions be made to protect the public from danger or loss, or damage to life and property, due directly or indirectly to prosecution of work under this contract. Whenever, in the opinion of the Director, a condition exists which the Contractor has not taken sufficient precaution of public safety,protection of utilities and/or protection of adjacent structures or property, the Director will order the Contractor to provide a remedy for the condition. If the Contractor fails to act on the situation within a reasonable time period as determined by the Director,or in the event of an emergency situation,the Director may provide suitable protection by causing such work to be done and material to be furnished as, in the opinion of the Director, may seem reasonable and necessary. The cost and expense of all repairs (including labor and materials) as are deemed necessary, shall be bome by the Contractor. All expenses incurred by the City for emergency repairs will be deducted from the final payment due to the Contractor. 10.02 PROTECTION FROM HAZARDS A. Trench Excavation Excavation for any trench four(4)feet or more in depth shall not begin until the Contractor has received approval from the Director of the Contractor's detailed plan for worker protection from the hazards of caving ground during the excavation of such trench. Such plan shall show the details of the design of shoring, bracing, sloping or other provisions to be made for worker protection during such excavation. No such plan shall allow the use of shoring,sloping or protective system less effective than that required by the Construction Safety Orders of the Division of Occupational Safety and Health, and if such plan varies from the shoring system standards established by the Construction Safety Orders,the plan shall be prepared and signed by an engineer who is registered as a Civil or Structural Director in the State of California. B. Confined Spaces Contractor shall comply with all of the provisions of General Industry Safety Orders of the Califomia Code of Regulations. Entry of a confined space shall not be allowed until the Contractor has received approval from the Director of the Contractor's program for confined space entry. Confined space means a space that (1) Is large enough and so configured that an employee can bodily enter and perform assigned Work; and (2) Has limited or restricted means for entry or exit(for example, tanks, vessels, silos,storage bins, hoppers,vaults,and pits are spaces that may have limited means of entry);and(3) ARTICLE 10 GC-66 Is not designed for continuous employee occupancy. Failure to submit a confined space entry program may result in actions as provided in Article 5:"Suspension or Termination of Contract." C. Material Safety Data Sheet Contractor shall comply with all of the provisions of General Industry Safety Orders of the California Administrative Code. The Contractor shall submit to the Director a Material Safety Data Sheet(MSDS) for each hazardous substance proposed to be used,ten(10)days prior to the delivery of such materials to the job site or use of such materials at a manufacturing plant where the Director is to perform an inspection. For materials which are to be tested in City laboratories,the MSDS shall be submitted with the sample(s). Hazardous substance is defined as any substance included in the list(Directors List) of hazardous substances prepared by the Director, California Department of Industrial Relations, pursuant to Labor Code Section 6382. Failure to submit an MSDS for any hazardous substance may result in actions as provided in Article 5,"Suspension or Termination of Contract". 10.03 DIFFERING SITE CONDITIONS A. Differing Site Conditions Defined. The Contractor shall promptly, and before such conditions are disturbed, notify the Director in writing of any Differing Site Conditions. Differing Site Conditions are those conditions,located at the project site or in existing improvements and not otherwise ascertainable by Contractor through the exercise of due diligence in the performance of its inspection obligations in the Contract Documents, encountered by Contractor in digging trenches or other excavations(s)that extend deeper than four feet below the surface of the ground that constitute: 1. Material that the Contractor believes may be material that is hazardous waste as defined in Section 25117 of the Health and Safety Code, which is required to be removed to a Class 1, Class 11, or Class III disposal site in accordance with provisions of existing law. 2. Subsurface or latent physical conditions at the site differing materially from those indicated in these Contract Documents. 3. Unknown physical conditions at the site, of any unusual nature, different materially from those ordinarily encountered and generally recognized as inherent in Work of the character provided for in these Contract Documents. S. Notice by Contractor. If the Contractor encounters conditions it believes constitute Differing Site Conditions, then notice of such conditions shall, before such conditions are disturbed, be promptly reported to the Director followed within twenty-four (24) hours by a further written notice stating a detailed description of the conditions encountered. C. The Director will promptly investigate the conditions and If he/she finds that such conditions do materially differ, or do involve hazardous waste, and do cause an increase or decrease in the Contractor's cost of,or time required for, performance of any part of the Work under this Contract,an equitable adjustment will be made,as determined by the Director. D. Change Order Request. If Contractor intends to seek an adjustment to the Contract Sum or Contract Time based upon Differing Site Conditions,it must,within ten(10)Days after the Discovery Date relative to such conditions,submit a Change Order Request setting forth a detailed cost breakdown and Time Impact Analysis, in the form required by Article 6 of these General Conditions, of the additional Allowable Costs and Excusable Delay resulting from such Differing Site Conditions. ARTICLE 10 GC-67 E. Failure to Comply. Failure by Contractor to strictly comply with the requirements of this Paragraph 10.03 concerning the timing and content of any notice of Differing Site Conditions or request for adjustment in Contract Sum or Contract Time based on Differing Site Conditions shall be deemed waiver of any right by the Contractor for an adjustment in the Contract Sum or Contract Time by reason of such conditions. F. Final Completion. No claim by the Contractor for additional compensation for Differing Site Conditions shall be allowed if asserted after Final Payment. G. In the event of disagreement between the Contractor and the Director whether the conditions do materially differ or whether a hazardous waste is involved or whether the conditions cause an increase or decrease in the Contractors cost of, or time required for, performance of any part of the Work, the Contractor shall not be excused from any completion date required by the Contract, but shall proceed with all Work to be performed under the Contract Documents. H. The Contractor shall retain all rights provided by, and shall be subject to all requirements of, this Contract which pertain to the resolution of disputes and protests. I. Contractor Responsibility. Except as otherwise provided in this Paragraph 10.03 for Differing Site Conditions, Contractor agrees to solely bear the risk of additional cost and Delay due to concealed or unknown conditions,surface or subsurface,at the Site or in Existing Improvements,without adjustment to the Contract Sum or Contract Time. 10.04 TRAFFIC REGULATION A. During the performance of the Work the Contractor shall erect and maintain necessary temporary fences, bridges,railings, lights,signals,barriers,or other safeguards as shall be appropriate under the circumstance in his/her judgment for the prevention of accidents; and he/she shall take other precautions as necessary for public safety including, but not limited to, traffic control. Traffic control shall be conducted in accordance with the latest edition of the Work Area Traffic Control ("WATCH") handbook, published by BNi Books, and as directed and approved by the City Traffic and Transportation Administrator. B. Contractor shall submit at least ten(10)Working Days prior to Work a detailed traffic control plan,that is approved by all agencies having jurisdiction and that conforms to all requirements of the Specifications. C. No changes or deviations from the approved detailed traffic control plan shall be made, except temporary changes in emergency situations, without prior approval of the City Traffic and Transportation Administrator and all agencies having jurisdiction. Contractor shall immediately notify the Director,the City Traffic and Transportation Administrator and the agencies having jurisdiction of occurrences that necessitate modification of the approved traffic control plan. D. Contractor's failure to comply with this provision may result in actions as provided in Article 5: "Suspension or Termination of Contract'of these General Conditions. ARTICLE 10 GC-68 10.05 TRAFFIC CONTROL DEVICES A. Traffic signs, flashing lights, barricades and other traffic safety devices used to control traffic shall conform to the requirements of the WATCH handbook or the manual of traffic control, whichever is more stringent,and as approved by the City Traffic and Transportation Administrator. 1. Portable signals shall not be used unless permission is given in writing by the agency having jurisdiction. 2. Warning signs used for nighttime conditions shall be reflectorized or illuminated. "Reflectorized signs" shall have a reflectorized background and shall conform to the current State of California Department of Transportation specification for reflective sheeting on highway signs. B. If the Contractor fails to provide and install any of the signs or traffic control devices required herby or ordered by the City staff, staff may cause such signs or traffic control devices to be placed by others, charge the costs therefore against the Contractor, and deduct the same from the next progress payment. 10.06 EXECUTION A. The Contractor shall provide written notification to the Police Department, Traffic Bureau (323) . at least two (2) weeks prior to the beginning of construction at any particular location. Notification will include the specific location, project dates,what lanes of the roadway will be closed and when. Also the construction project manager's name and business phone number and the construction inspector's name and business phone number. B. The Contractor shall notify, by telephone, the Police Department, (323) at the completion of any posting of temporary no parking signs. Notification will include the times,dates and locations of the posting. When vehicles must be towed for violation of temporary no parking signs,the person who actually posted the signs, or on-view supervisor of that posting, will be present to answer pertinent questions that may be asked by the parking enforcement officer or police officer towing the vehicles. C. The Contractor shall notify the Vernon Fire Department, on a daily basis during the entire period that construction is in progress whenever roadways are reduced in width or blocked. Notification shall be made to the Fire Dispatch(323) _ ___ _ _ _and the Contractor shall provide the information required to identify which roadways would have accessibility problems due to his/her operations. The Contractor shall submit to Fire Department schedule of Work for their use and files. D. Roads subject to interference from the Work covered by this Contract shall be kept open, and the fences subject to interference shall be kept up by the Contractor until the Work is finished. Except where public roads have been approved for closure, traffic shall be permitted to pass through designated traffic lanes with as little inconvenience and delay as possible. E. Where alternating one-way traffic has been authorized, the maximum time that traffic will be delayed shall be posted at each end of the one-way traffic section. The maximum delay time shall be approved by the agency having jurisdiction. F. Contractor shall install temporary traffic markings where required to direct the flow of traffic and shall maintain the traffic markings for the duration of need. Contractor shall remove the markings by abrasive blasting when no longer required. ARTICLE 10 GC-69 G. Convenient access to driveways and buildings in the vicinity of Work shall be maintained as much as possible. Temporary approaches to, and crossing of, intersecting traffic lanes shall be provided and kept in good condition. H. When leaving a Work area and entering a roadway carrying public traffic,the Contractors equipment, whether empty or loaded,shall in all cases yield to public traffic. 10.07 FLAGGING A. Contractor shall provide flaggers to control traffic where required by the approved traffic control plan. 1. Flaggers shall perform their duties and shall be provided with the necessary equipment in accordance with the current "Instructions to Flaggers" of the California Department of Transportation. 2. Flaggers shall be employed full time on traffic control and shall have no other duties. 10.08 PEDESTRIAN CANOPIES OR BARRICADE IMPROVEMENTS Refer to City of Vernon for requirements for building or access road safety improvements that the Contractor shall construct during construction period. These devices or improvements, as the City deems necessary or prudent,shall be at the expense of the Contractor. [END OF ARTICLE] ARTICLE 10 GC-70 ARTICLE 11 - INDEMNITY 11.01 INDEMNITY To the maximum extent permitted by law,the Contractor shall fully indemnify,hold harmless,protect,and defend the City, its officers,employees,agents, representatives and their successors and assigns("Indemnitees")from and against any and all demands, liability, loss, suit, claim, action, cause of action, damage, cost,judgment, settlement,decree, arbitration award, stop notice, penalty, loss of revenue, and expense(including any fees of accountants,attomeys,experts or other professionals,and costs of investigation,mediation,arbitration,litigation and appeal),in law or in equity,of every kind and nature whatsoever,arising out of or in connection with,resulting from or related to,or claimed to be arising out of the Work performed by Contractor,or any of its officers,agents, employees, Subcontractors,Sub-Subcontractors,design consultants or any person for whose acts any of them may be liable, regardless of whether such claim, suit or demand is caused,or alleged to be caused, in part, by an Indemnitee, including but not limited to: A. Bodily injury,emotional injury,sickness or disease,or death to any persons; B. Infringement of any patent rights, licenses, copyrights or intellectual property which may be brought against the Contractor or City arising out of Contractor's Work,for which the Contractor is responsible; C. Stop notices and claims for labor performed or materials used or furnished to be used in the Work, including all incidental or consequential damages resulting to City from such stop notices and claims; D. Failure of Contractor or its Subcontractors to comply with the provisions for insurance; E. Failure to comply with any Governmental Approval or similar authorization or order, F. Misrepresentation, misstatement,or omission with respect to any statement made in or any document famished by the Contractor in connection therewith; G. Breach of any duty,obligation,or requirement under the Contract Documents; H. Failure to provide notice to any Party as required under the Contract Documents; I. Failure to protect the property of any utility provider or adjacent property owner,or J. Failure to make payment of all employee benefits. This indemnity provision is effective regardless of any prior, concurrent, or subsequent active or passive negligence by Indemnitees, except that,to the limited extent mandated by California Civil Code Section 2782, the Contractor shall not be responsible for liabilities which arise from the sole negligence or willful misconduct of Indemnitees or arise from the active negligence of City. 11.02 ENFORCEMENT Contractor's obligations under this Article extend to claims occurring after termination of the Contractor's performance of the Contract or Final Payment to Contractor. The obligations apply regardless of any actual or alleged negligent act or omission of Indemnitees. Contractor, however, shall not be obligated under this Agreement to indemnify an Indemnitee for claims arising from the sole active negligence or willful misconduct of the Indemnitee or independent contractors who are directly responsible to Indemnitees. Contractor's obligations under this Article are in addition to any other rights or remedies which the Indemnitees may have under the law ARTICLE 11 GC-71 or under the Contract Documents. In the event of any claim,suitor demand made against any Indemnitees,the City may in its sole discretion reserve, retain or apply any monies due to the Contractor under the Contract for the purpose of resolving such claims; provided,however,that the City may release such funds if the Contractor provides the City with reasonable assurance of protection of the City's interests. The City shall in its sole discretion determine whether such assurances are reasonable. 11.03 NO LIMITATIONS Contractor's indemnification and defense obligations set forth in this Article are separate and independent from the insurance provisions set forth in Article 12 herein; and do not limit, in any way, the applicability, scope, or obligations set forth in those insurance provisions. In claims, suits,or demands against any Indemnitee by an employee of the Contractor, a Subcontractor, anyone directly or indirectly employed by them, or anyone for whose acts they may be liable,the Contractor's indemnification and defense obligations shall not be limited by a limitation on amount or type of damages, compensation, or benefits payable by or for the Contractor or a Subcontractor under workers'compensation acts,disability benefits acts,or other employee benefits acts. [END OF ARTICLE] ARTICLE 11 GC-72 ARTICLE 12-INSURANCE 12.01 CONDITION TO COMMENCEMENT Contractor shall not commence Work under this Contract until Contractor has obtained all insurance required hereunder from a company or companies acceptable to City, nor shall the Contractor allow any Subcontractor to commence Work on a subcontract until all insurance required of said Subcontractor has been obtained. Proof of insurance including insurance certificates and endorsements as set forth in Exhibit 4 must be submitted by the Contractor prior to the City's execution of the Contract. 12.02 MINIMUM COVERAGE AND LIMITS Contractor shall maintain the insurance coverage as set forth in Exhibit 4 throughout the term of the Contract. 12.03 CONDITIONS REGARDING INSURANCE COVERAGE AND LIMITS City and Contractor agree as follows: A. All insurance coverage and limits provided pursuant to the Contract Documents shall apply to the full extent of the policies involved, available or applicable. Nothing contained in the Contract Documents or any other agreement relating to City or its operations limits the application of such insurance coverage. B. None of the policies required by this Contract shall be in compliance with these requirements if they include any limiting endorsement that has not been first submitted to City and approved in writing by the City Attorney or City's Risk Manager. 12.04 INSURANCE OBLIGATION IS SEPARATE FROM INDEMNITY OBLIGATION This Agreement's insurance provisions: A. Are separate and independent from the indemnification and defense provisions in Article 12 of the Agreement; and B. Do not limit, in any way,the applicability,scope,or obligations of the indemnification and defense provisions in Article 12 of the Agreement. [END OF ARTICLE] ARTICLE 12 GC-73 ARTICLE 13- BONDS 13.01 REQUIRED BONDS A. Contractor shall furnish the following bonds: 1. A Performance Bond in an amount equal to one hundred percent(100%)of the total Contract price in the form shown in Exhibit"1"attached hereto. 2. A Payment Bond (Labor and Material) in an amount equal to one hundred percent(100%)of the total Contract price in the form shown in Exhibit"2"attached hereto. 3. A Maintenance Bond in an amount equal to ten percent (10%) of the total Contract price in the form shown in Exhibit"3"attached hereto. 13.02 POWER OF ATTORNEY All bonds shall be accompanied by a power of attorney from the surety company authorizing the person executing the bond to sign on behalf of the company. If the bonds are executed outside the State of California, all copies of the bonds must be countersigned by a California representative of the surety. The signature of the person executing the bond on behalf of Surety shall be acknowledged by a Notary Public as the signature of the person designated in the power of attorney. 13.03 APPROVED SURETY All bonds must be issued by a California admitted surety insurer with the minimum A.M Best Company Financial strength rating of"A: VII", or better. Bonds issued by a California admitted surety not listed on Treasury Circular 570 will be deemed accepted unless specifically rejected by the City. Bonds issued from admitted surety insurers not listed in Treasury Circular 570 must be accompanied by all documents enumerated in California Code of Civil Procedure Section 995.660. All such bonds must be accompanied by a power of attorney from the surety company authorizing the person executing the bond to sign on behalf of the company. If the bonds are executed outside the State of California, all copies of the bonds must be countersigned by a California representative of the surety. The signature of the person executing the bond on behalf of Surety must be acknowledged by a Notary Public as the signature of the person designated in the power of attorney. 13.04 REQUIRED PROVISIONS Every bond must display the surety's bond number and incorporate the Contract for construction of the Work by reference. The terms of the bonds shall provide that the surety agrees that no change, extension of time, alteration, or modification of the Contract Documents or the Work to be performed thereunder shall in any way affect its obligations and shall waive notice of any such change,extension of time,alteration, or modification of the Contract Documents. 13.05 NEW OR ADDITIONAL SURETIES If, during the continuance of the Contract, any of the sureties, in the opinion of the City, are or become non- responsible or otherwise unacceptable to City, City may require other new or additional sureties, which the Contractor shall famish to the satisfaction of City within ten (10) days after notice, and in default thereof the ARTICLE 13 GC-74 Contract may be suspended and the materials may be purchased or the Work completed as provided in Article 5 herein. 13.06 WAIVER OF MODIFICATIONS AND ALTERATIONS No modifications or alterations made in the Work to be performed under the Contract or the time of performance shall operate to release any surety from liability on any bond or bonds required to be given herein. Notice of such events shall be waived by the surety. 13.07 APPROVAL OF BONDS The Contract will not be executed by City nor the Notice to Proceed issued until the required bonds have been received and approved by City. City's decision as to the acceptability of all sureties and bonds is final. No substitution of the form of the documents will be permitted without the prior written consent of City. [END OF ARTICLE] ARTICLE 13 GC-75 ARTICLE 14- LABOR PROVISIONS 14.01 WORKING HOURS A. Work or activity of any kind shall be limited to the hours from 7:00 a.m. to 7:00 p.m. No construction noise shall be permitted between the hours of 7:00 p.m.and 7:00 a.m.of the next day. B. Work in excess of eight(8) hours per day, on Saturdays, Sundays, or on City holidays requires prior consent of the Director and is subject to Cost of Overtime Construction Inspection. C Night,Sunday and Holiday Work. No Worts shall be performed at night, Sunday, or the ten(10)legal holidays to wit: New Year's Day, Martin Luther King,Jr. Day,Washington's Birthday, Memorial Day, Independence Day, Labor Day, Veteran's Day, Thanksgiving Day, Friday following Thanksgiving Day, and Christmas Day, except Work pertaining to the public safety or with the permission of the Director, and accordance with such regulations as he/she shall furnish in writing. Before performing any Work at said times,except Work pertaining to the public safety,the Contractor shall give written notice to the Director so that proper inspection may be provided. "Night"as used in this paragraph shall be deemed to include the hours from 7:00 P.M.to 7:00 A.M.of the next succeeding day. 14.02 COST OF OVERTIME CONSTRUCTION SERVICES AND INSPECTIONS A. Overtime construction Work performed at the option of,or for the convenience of, the Contractor will be inspected by the City at the expense of the Contractor. For any such overtime beyond the regular 8-hour day and for any time worked on Saturday, Sunday,or holidays the charges will be determined by the City, and submitted to the Contractor for payment. B. Equipment,materials,or services provided by the City,in connection with Contractor-initiated overtime construction Work described in Paragraph 14.02(A),will also be at the expense of the Contractor. The charges will be determined by the City,and submitted to the Contractor for payment. C. There will be no charges to the Contractor for the inspection of overtime Work ordered by the Director or required by the Contract Documents. 14.03 COMPLIANCE WITH STATE LABOR CODE A_ Contractor shall comply with the provisions of the Labor Code of the State of California and any amendments thereof. 1. The time of service of any worker employed upon the Work shall be limited and restricted to eight (8) hours during any one-calendar day,and 40 hours during any one-calendar week. 2. Worts performed by employees of the Contractor in excess of eight(8)hours per day,and 40 hours during any one calendar week, shall be permitted upon compensation for all hours worked in excess of eight(8)hours per day at not less than one and one-half times the basic rate of pay. 3. The Contractor and every Subcontractor shall keep an accurate record showing the name of and the actual hours worked each calendar day and each calendar week by each worker employed by him/her in connection with the Work;the record shall be kept open at all reasonable hours to the inspection of the City and to the Division of Labor Standards Enforcement of the State of California. 4. In the event City deems Contractor is in violation of this Paragraph 14.03,the Contractor shall,as ARTICLE 14 GC-76 a penalty,forfeit Fifty Dollars($50.00)for each worker employed in the execution of the Contract by the Contractor or by any Subcontractor for each calendar day for which the employee was underpaid in addition to an amount sufficient to recover underpaid wages. For each subsequent violation, a (one hundred dollar) $100 penalty shall apply for each underpaid employee for each pay period for which the employee was underpaid in addition to an amount sufficient to cover underpaid wages. This subparagraph is effective to the extent it does not directly conflict with the overtime penalty provision of Califomia Labor Code Section 558. In the event of such conflict,the California Labor Code governs over this Paragraph 14.03(A)(4). 14.04 WAGE RATES A. Prevailing Wages 1. Contractor shall comply with the general prevailing rates of per diem wages and the general prevailing rates for holiday and overtime Work in the locality in which the Work is to be performed, for each craft, classification, or type of worker needed to execute the Contract. The Director of the Department of Industrial Relations of the State of California (pursuant to Califomia Labor Code) and the United States Secretary of Labor (pursuant to the Davis-Bacon Act) have determined the general prevailing rates of wages in the locality in which the Work is to be performed. The rates are available online at www.dir.ca.,qov/DLSPJPWD/. To the extent that there are any differences in the federal and state prevailing wage rates for similar classifications of labor,the Contractor and its Subcontractors shall pay the highest wage rate. 2. The Contractor shall post a copy of the general prevailing rate of per diem wages at the job site. 3. The Contractor and any Subcontractor under him/her shall pay not less than the specified prevailing rate of wages to all workers employed in the execution of the Contract. 4. The holidays upon which such rates shall be paid shall be all holidays recognized in the collective bargaining Contract applicable to the particular craft,classification,or type of worker employed on the project. 5. The Contractor shall, as a penalty to the State or the City, forfeit not more than Fifty Dollars ($50) for each calendar day, or portion thereof, for each worker paid less than the prevailing rates for the Work or craft in which the worker is employed under the Contract by the Contractor or by any Subcontractor under him. The difference between the prevailing wage rates and the amount paid to each worker for each calendar day or portion thereof for which such worker was paid less than the stipulated prevailing wage rate shall be paid to such worker by the Contractor. 6. The specified wage rates are minimum rates only and the City will not consider and shall not be liable for any claims for additional compensation made by the Contractor because of payment by him/her of any wage rate in excess of the general prevailing rates. All disputes in regard to the payment of wages in excess of those specified herein shall be adjusted by the Contractor at his/her own expense. B. Payroll Records 1. Pursuant to Califomia Labor Code Section 1776, the Contractor and each Subcontractor shall keep an accurate payroll record, showing the name, address, social security number, Work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker or other employee employed in ARTICLE 14 GC-77 connection with the Work. The payroll records shall be certified and shall be available for inspection. 2. The Contractor shall inform the City of the location of the payroll records, including the street address,city and county, and shall,within five(5)Working Days, provide a notice of change in location and address. 3. Upon request by the Director,the Contractor shall provide a copy of the certified payroll records along with a statement of compliance. 14.05 APPRENTICESHIP STANDARDS A. Compliance with California Labor Code Section 1777.5 requires all public works contractors and subcontractors to: 1. Prior to commencing work on a public works contract, submit Contract Award information to the applicable joint apprenticeship committee, including an estimate of the journeyman hours to be performed under the Contract,the number of apprentices to be employed, and the approximate dates the apprentices will be employed. Use Form DAS-140 from the State Department of Industrial Relations. The City reserves the right to require Contractor and Subcontractors to submit a copy of said forms to the City. 2. Employ apprentices for the public work at a ratio of no less than one(1)hour or apprentice work for every five(5) hours or labor performed by a journeyman. To request dispatch of apprentices, use Form DAS-142 from the State Department of Industrial Relations. The City reserves the right to require Contractor and Subcontractors to submit a copy of said forms to the City. 3. Pay the apprentice rate on public works projects only to those apprentices who are registered,as defined in Labor Code Section 3077. 4. Contribute to the training fund in the amount identified in the Prevailing Wage Rate publication for journeyman and apprentices. Contractors who choose not to contribute to the local training trust fund must make their contributions to the California Apprenticeship Council, P.O. Box 420603, San Francisco, CA 94142. B. Failing to comply with the provisions of California Labor Code Section 1777.5 may result in the loss of the right to bid on all public works projects for a period of one to three years and the imposition of a civil penalty of Fifty Thousand Dollars ($50,000) for each calendar day of noncompliance. Contractor should make a separate copy of this material for each of his/her Subcontractors. C. Payroll Records. The Contractor and each Subcontractor shall keep an accurate payroll record, showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each joumeyman apprentice, worker or other employee employed in connection with the work. The payroll records shall be certified and shall be submitted to the Project Manager every two weeks. D. Statement of Employer Fringe Benefit Payments.Within five(5)calendar days of signing the Contract or Subcontract, as applicable, the Statement of Employer Payments (DLSE Form PW 26 from the State Department of Industrial Relations)shall be completed for each Contractor and Subcontractor of any tier who pays benefits to a third party trust, plan or fund for health and welfare benefits, ART CLE 14 GC-78 vacation funds or makes pension contributions. The form must contain, for each worker classification, the fund, plan or trust name, address, administrator,the amount per hour contributed and the frequency of contributions. Training fund contributions shall also be reported in this form. City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to the City. 14.06 EMPLOYMENT OF APPRENTICES A. In the performance of this Contract, the Contractor and any Subcontractor shall comply with the provisions concerning the employment of apprentices in the Labor Code of the State of California and any amendments thereof. B. In the event the Contractor or any Subcontractor willfully fails to comply with the aforesaid provisions of the Labor Code, such Contractor or Subcontractor shall be subject to the penalties for noncompliance in the Labor Code of the State of California and any amendments thereof. 14.07 CHARACTER OF WORKERS The Contractor shall not allow his/her agents oremployees,Subcontractors,or any agent or employee thereof, to trespass on premises or lands in the vicinity of the Work. Only skilled foremen and workers shall be employed on Work requiring special qualifications, and when required by the Director, the Contractor shall discharge any person who commits trespass,or in the opinion of the Director,acts in a disorderly,dangerous, insubordinate, incompetent,or otherwise objectionable manner. Any employee being intoxicated or bringing or having intoxicating liquors or controlled substances on the Work shall be discharged. Such discharge shall not be the basis of any claim for compensation of damages against the City or any of its officers,agents,and employees. 14.08 NO SMOKING—STATE LABOR CODE SECTION 6404.5 The Contractor and its agents,employees, Subcontractors, representatives,and any person under Contractor's control,are prohibited from smoking in—or within a 20-foot distance from—the Site, which is a "place of employment" under California Labor Code§6404.5. [END OF ARTICLE] ARTICLE 14 GC-79 ARTICLE 15- DISPUTE RESOLUTION 15.01 SUBMISSION OF CLAIMS A. By Contractor Contractors right to commence the Claims Dispute Resolution Process shall arise upon the Director's written response denying all or part of a Claim. Contractor shall submit a written Statement of Dispute to the Director within seven (7) Days after the Director rejects all or a portion of Contractor's Claim. Contractor's Statement of Dispute shall be signed under penalty of perjury and shall state with specificity the events or circumstances giving rise to the Claim,the dates of their occurrence and the effect,if any,on the compensation due or performance obligations of Contractor under the Construction Contract. Such Statement of Dispute shall include adequate supporting data to substantiate the disputed Claim. Adequate supporting data for a Claim relating to the adjustment of the Contractor's obligations relative to time of performance shall include a detailed, event-by-event description of the impact of each delay on Contractor's time for performance. Adequate supporting data to a Statement of Dispute submitted by Contractor involving Contractor's compensation shall include a detailed cost breakdown and supporting cost data in such form and including such detailed information and other supporting data as required to demonstrate the grounds for, and precise amount of,the Claim. B. By City City's right to commence the Claims Dispute Resolution Process shall arise at any time following the City's actual discovery of the circumstances giving rise to the Claim. Nothing contained herein shall preclude City from asserting Claims in response to a Claim asserted by Contractor. A Statement of Dispute submitted by City shall state the events or circumstances giving rise to the Claim,the dates of their occurrence and the damages or other relief claimed by City as a result of such events. C. Claims Defined The term"claims"as used herein shall be as defined in California Public Contract Code§20104(b)(2). 15.02 CLAIMS DISPUTE RESOLUTION PROCESS The parties shall utilize each of the following steps in the Claims Dispute Resolution Process in the sequence they appear below. Each party shall participate fully and in good faith in each step in the Claims Dispute Resolution Process, which good faith effort shall be a condition precedent to the right of each party to proceed to the next step in the Claims Dispute Resolution Process. A. Direct Negotiations Designated representatives of City and Contractor shall meet as soon as possible (but not later than ten (10) Days after receipt of the Statement of Dispute) in a good faith effort to negotiate a resolution to the Claim. Each party shall be represented in such negotiations by an authorized representative with full knowledge of the details of the Claim or defenses being asserted by such party, and with full authority to resolve such Claim then and there,subject only to City's right and obligation to obtain City Council(or other City official]approval of any agreed settlement or resolution, In the Claim involves the assertion of a right or claim by a Subcontractor against Contractor that is in turn being asserted by Contractor against City, then such Subcontractor shall also have a representative attend such negotiations, with the same authority and knowledge as just described. Upon completion of the meeting, if the Claim is not resolved, the parties may either continue the negotiations or either party ARTICLE 15 GC-80 may declare negotiations ended. All discussions that occur during such negotiations and all documents prepared solely for the purpose of such negotiations shall be confidential and privileged pursuant to California Evidence Code Sections 1119 and 1152. B. Deferral of Claims Following the completion of the negotiations required by Paragraph 15.02-A., all unresolved Claims, except those that do not involve parties other than the Contractor and City,shall be deferred pending Final Completion of the Work, subject to City's right, in its sole and absolute discretion,to require that the claims Dispute Resolution Process proceed prior to Final Completion. In the event that City does not elect to proceed with the Claims Dispute Resolution Process prior to Final Completion of the Work, all Claims that have been deferred until such Final Completion shall be consolidated within a reasonable time after such Final Completion and thereafter pursued to resolution pursuant to the Claims Dispute Resolution Process. Nothing contained in this Article 15 shall be interpreted as limiting the parties' rights to continue informal negotiations of Claims that have been deferred until such Final Completion; provided, however,that such informal negotiations shall not be interpreted as altering the provisions of this Article 15 deferring final determination and resolution of unresolved Claims until after Final Completion of the Work. C. Legal Proceedings If the Claim is not resolved by direct negotiations then the party wishing to further pursue resolution or determination of the Claim shall submit the Claim for determination by commencing legal proceedings in a court of competent jurisdiction. 15.03 NO WAIVER Participation in the Claims Dispute Resolution Process shall not constitute a waiver, release or compromise of any defense of either party, including, without limitation, any defense based on the assertion that the rights of Contractor that are the basis of a Claim were previously waived by Contractor due to failure to comply with the Contract Documents, including, without limitation, Contractor's failure to comply with any time periods for providing notices or for submission or supporting documentation of Claims. [END OF ARTICLE] ARTICLE 15 GC-81 ARTICLE 16 -ACCOUNTING RECORDS 16.01 MAINTENANCE OF RECORDS Contractor shall keep, and shall include in its contracts with its Subcontractors, provisions requiring its Subcontractors to keep full and detailed books and records in accordance with the requirements of the Contract Documents, including the following: all information, materials and data of every kind and character (hard copy,as well as computer readable data if it exists),that have any bearing on or pertain to any matters, rights,duties or obligations relating to the Project or the performance of the Work,including,without limitation, agreements, purchase orders, leases,contracts,commitments,arrangements,notes,change orders,change order requests,estimates,field orders,schedules,diaries, logs, reports,shop drawings,samples,exemplars, Drawings, Specifications, invoices, delivery tickets, receipts, vouchers, cancelled checks, memoranda; accounting records; job cost reports; job cost files (including complete documentation covering negotiated settlements); backcharge; general ledgers; documentation of cash and trade discounts earned; insurance rebates and dividends, and other documents relating in way to Claims or Change Orders, Construction Change Directives,Work Directives,or other claims for payment related to the Project asserted by Contractor or any Subcontractor("Accounting Records"). Contractor shall exercise such controls as may be necessary for proper financial management of the Work. Such accounting and control systems shall comply with prevailing custom and practice for similar projects, be satisfactory to City and shall include preservation of such records for a period of five(5)years after approval of the Notice of Completion and Acceptance by City, or for such longer period as may be required by applicable laws. 16.02 ACCESS TO RECORDS Contractor shall allow, and shall include in its contracts with its Subcontractors provisions requiring its Subcontractors to allow, City and its authorized representative(s), auditors, attorneys and accountants, upon twenty-four(24) hours notice to Contractor, full access to inspect and copy all books and records relating to the Project that Contractor is required to maintain pursuant to Paragraph 16.01, above. 16.03 CONTRACTOR NONCOMPLIANCE,WITHHOLDING Contractor's compliance with Paragraphs 16.01 and 16.02, above, shall be a condition precedent to maintenance of any legal action or arbitration by Contractor against City. In addition to and without limitation upon City's other rights and remedies for breach, including any other provisions for withholding set forth in the Contract Documents, City shall have the right, exercised in its sole discretion, to withhold from any payment to Contractor due under a current Application for Payment an additional sum of up to ten percent(10%)of the total amount set forth in such Application for Payment, until Contractor and its Subcontractors have complied with any outstanding and unsatisfied request by City under this Article 16. Upon such compliance with this Article 16, any additional monies withheld pursuant to this Paragraph 16.03 shall be released to Contractor. 16.04 SPECIFIC ENFORCEMENT BY CITY Contractor agrees that any failure by Contractor or any Subcontractor to provide access to its books and records as required by this Article 16 shall be specifically enforceable, by issuance of a preliminary and/or permanent mandatory injunction by a court of competent jurisdiction based on affidavits submitted to such court and without the necessity of oral testimony, to compel Contractor to permit access, inspection, audits and/or reproduction of such books and records or to require delivery of such books and records to City for inspection, audit and/or reproduction. [END OF ARTICLE] ARTICLE 16 GC-82 ARTICLE 17-MISCELLANEOUS PROVISIONS 17.01 COMPLIANCE WITH APPLICABLE LAWS A. Notices,Compliance Contractor shall give all notices required by governmental authorities and comply with all applicable laws and lawful orders of governmental authorities,including but not limited to the provisions of the California Code of Regulations applicable to contractors performing construction and all laws, ordinances, rules, regulations and lawful orders relating to safety, prevailing wage and equal employment opportunities. B. Taxes, Employee Benefits Contractor shall pay at its own expense, at no cost to the City and without adjustment to the Contract Sum, all local, state and federal taxes, including, without limitation all sales, consumer,business license,use and similartaxes on materials,labor or other items furnished for the Work or portions thereof provided by Contractor or Subcontractors,all taxes arising out of its operations under the Contract Documents and all benefits, insurance, taxes and contributions for social security and unemployment insurance which are measured by wages, salaries or other remuneration paid to Contractor's employees.If under federal excise tax law any transaction hereunder constitutes a sale on which a federal excise tax is imposed and the sale is exempt from such excise tax because it is a sale to meat for its exclusive use, then City,upon request,will execute documents necessary to show that is a political subdivision of the State for the purposes of such exemption and that the sale is for the exclusive use of the City, in which case no excise tax for such materials shall be included in the Bid or Contract Sum. C. Notice of Violations Contractor shall immediately notify the City and Director in writing of any instruction received from the City,Director,Architect or other person or entity that, if implemented,would cause a violation of any applicable law or lawful order of a governmental authority. If Contractor fails to provide such notice, then Director and Architect shall be entitled to assume that such instruction is in compliance with applicable laws and lawful orders of governmental authorities. If Contractor observes that any portion of the Drawings and Specifications or Work are at variance with applicable laws or lawful orders of governmental authorities, or should Contractor become aware of conditions not covered by the Contract Documents which will result in Work being at variance therewith,Contractor shall promptly notify Director in writing. If,without such notice to Director,Contractor or any Subcontractor performs any Work which it knew,or through the exercise of reasonable care should have known,was contrary to lawful orders of governmental authorities or applicable laws,then Contractor shall bear all resulting losses at its own expense,at no cost to City and without adjustment to the Contract Sum. 17.02 OWNERSHIP OF DESIGN DOCUMENTS A. Property of City All Design Documents, Contract Documents and Submittals (including, without limitation, all copies thereof)and all designs and building designs depicted therein are and shall remain the sole and exclusive property of the City and the City shall solely and exclusively hold all copyrights thereto.Without derogation the City's rights under this Paragraph,the Contractor and Subcontractors are granted a limited, non-exclusive license, revocable at will of City, to ARTICLE 17 GC-83 use and reproduce applicable portions of the Contract Documents and Submittals as appropriate to and for use in the execution of the Work and for no other purpose. B. Documents on Site Contractor shall keep on the Project site, at all times and for use by City,Director, Inspectors of Record and City's Consultants,a complete set of the Contract Documents that have been approved by applicable Governmental Authorities. C. Delivery to City All Design Documents, Contract Documents and Submittals in the possession of Contractor or Subcontractors shall be returned to the City upon the earlier of Final Completion or termination of the Construction Contract; provided, however, that Contractor and each Subcontractor shall have the right to retain one (1) copy of the Contract Documents and Submittals for its permanent records D. Subcontractors Contractor shall take all necessary steps to assure that a provision is included in all subcontracts with Subcontractors,of every tier,who perform Work on the Project establishing, protecting and preserving the,City's rights set forth in this Paragraph. 17.03 AMENDMENTS The Contract Documents may be amended only by a written instrument duly executed by the parties or their respective successors or assigns. 17.04 WAIVER Either party's waiver of any breach or failure to enforce any of the terms, covenants, conditions or other provisions of the Contract Documents at any time shall not in any way limit or waive that parry's right thereafter to enforce or compel strict compliance with every term, covenant, condition or other provision, any course of dealing or custom of the trade notwithstanding. Furthermore, if the parties make and implement any interpretation of the Contract Documents without documenting such interpretation by an instrument in writing signed by both parties, such interpretation and implementation thereof will not be binding in the event of any future disputes. 17.05 INDEPENDENT CONTRACTOR Contractor is an independent contractor, and nothing contained in the Contract Documents shall be construed as constituting any relationship with City other than that of Project owner and independent contractor. In no event shall the relationship between City and Contractor be construed as creating any relationship whatsoever between City and Contractor's employees. Neither Contractor nor any of its employees is or shall be deemed to be an employee of City. Except as otherwise specified in the Contract Documents, Contractor has sole authority and responsibility to employ, discharge and otherwise control its employees and has complete and sole responsibility as a principal for its agents, for all Subcontractors and for all other Persons that Contractor or any Subcontractor hires to perform or assist in performing the Work. 17.06 SUCCESSORS AND ASSIGNS The Contract Documents shall be binding upon and inure to the benefit of City and Contractor and their permitted successors, assigns and legal representatives. ARTICLE 17 GC-84 A. City may assign all or part of its right, title and interest in and to any Contract Documents, including rights with respect to the Payment and Performance Bonds, to (a) any other governmental person as permitted by governmental rules, provided that the successor or assignee has assumed all of City's obligations, duties and liabilities under the Contract Document then in effect; and (b) any other Person with the prior written approval of Contractor. B. Contractor may collaterally assign its rights to receive payment under the Contract Documents. Contractor may not delegate any of its duties hereunder, except to Subcontractors as expressly otherwise permitted in the Contract Documents. Contractor's assignment or delegation of any of its Work under the Contract Documents shall be ineffective to relieve Contractor of its responsibility for the Work assigned or delegated, unless City, in its sole discretion, has approved such relief from responsibility. Any assignment of money shall be subject to all proper set-offs and withholdings in favor of City and to all deductions provided for in the Contract.All money withheld,whether assigned or not, shall be subject to being used by City for completion of the Work, should Contractor be in default. C. Except for the limited circumstances set forth in Paragraph 17.06-B,above,Contractor may not, without the prior written consent of City in its sole discretion, voluntarily or involuntarily assign, convey, transfer, pledge, mortgage or otherwise encumber its rights or interests under the Contract Documents. No partner, joint venturer, member or shareholder of Contractor may assign, convey, transfer, pledge, mortgage or otherwise encumber its ownership interest in Contractor without the prior written consent of City, in City's sole discretion. 17.07 SURVIVAL Contractor's representations and warranties, the dispute resolution provisions contained in Article 15, and all other provisions which by their inherent character should survive termination of the Contract and/or Final Acceptance, shall survive the termination of the Contract and the Final Acceptance Date. 17.08 LIMITATION ON THIRD PARTY BENEFICIARIES It is not intended by any of the provisions of the Contract Documents to create any third party beneficiary hereunder or to authorize anyone not a party hereto to maintain a suit for personal injury or property damage pursuant to the terms or provisions hereof, except to the extent that specific provisions (such as the warranty and indemnity provisions) identify third parties and state that they are entitled to benefits hereunder. The duties, obligations and responsibilities of the parties to the Contract Documents with respect to such third parties shall remain as imposed by law.The Contract Documents shall not be construed to create a contractual relationship of any kind between City and a Subcontractor or any other Person except Contractor. 17.09 PERSONAL LIABILITY OF CITY EMPLOYEES City's authorized representatives are acting solely as agents and representatives of City when carving out the provisions of or exercising the power or authority granted to them under the Contract. They shall not be liable either personally or as employees of City for actions in their ordinary course of employment. No agent, consultant, Council member, officer or authorized employee of City, shal[ be personally responsible for any liability arising under the Contract. ARTICLE 47 GC$5 17.10 NO ESTOPPEL City shall not, nor shall any officer thereof, be precluded or estopped by any measurement,estimate or certificate made or given by the City representative or other officer, agent, or employee of City under any provisions of the Contract from at any time(either before or after the final completion and acceptance of the Work and payment therefor) pursuant to any such measurement, estimate or certificate showing the true and correct amount and character of the work done, and materials furnished by Contractor or any person under the Contract or from showing at any time that any such measurement,estimate or certificate is untrue and incorrect,or improperly made in any particular,or that the work and materials, or any part thereof, do not in fact conform to the Contract Documents. Notwithstanding any such measurement, estimate or certificate, or payment made in accordance therewith, City shall not be precluded or estopped from recovering from Contractor and its Sureties such damages as City may sustain by reason of Contractor's failure to comply or to have complied with the Contract Documents. 17.11 GOVERNING LAW The laws of the State of California govern the construction and interpretation of the Contract Documents, without regard to conflict of law principles. Unless the Contract Documents provide otherwise, any reference to laws, ordinances, rules, or regulations include their later amendment, modifications,and successor legislation. If Contractor or City brings a lawsuit to enforce or interpret one or more provisions of the Contract Documents,jurisdiction is in the Superior Court of the County of Los Angeles,California,or where otherwise appropriate,in the United States District Court,Central District of California. Contractor and City acknowledge that the Contract Documents were negotiated, entered into, and executed—and the Work was performed—in the City of Vernon, California. 17.12 FURTHER ASSURANCES Contractor shall promptly execute and deliver to City all such instruments and other documents and assurances as are reasonably requested by City to further evidence the obligations of Contractor hereunder, including assurances regarding assignments of Subcontractors contained herein. 17.13 SEVERABILITY If any clause, provision, section, paragraph or part of the Contract is ruled invalid by a court having proper jurisdiction, then the parties shall: (a) promptly meet and negotiate a substitute for such clause, provision, section, paragraph or part, which shall, to the greatest extent legally permissible, effect the original intent of the parties, including an equitable adjustment to the Contract Price to account for any change in the Work resulting from such invalidated portion; and (b) if necessary or desirable, apply to the court or other decision maker(as applicable) which declared such invalidity for an interpretation of the invalidated portion to guide the negotiations. The invalidity or unenforceability of any such clause, provision, section, paragraph or part shall not affect the validity or enforceability of the balance of the Contract, which shall be construed and enforced as if the Contract did not contain such invalid or unenforceable clause, provision,section, paragraph or part. 17.14 HEADINGS The captions of the sections of the Contract are for convenience only and shall not be deemed part of the Contract or considered in construing the Contract. ARTICLE 17 GC-86 17.15 ENTIRE AGREEMENT The Contract Documents contain the entire understanding of the parties with respect to the subject matter hereof and supersede all prior agreements,understandings,statements, representations and negotiations between the parties with respect to its subject matter. 17.16 COUNTERPARTS This instrument may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. [END OF ARTICLE] ARTICLE 17 GC-87 EXHIBIT i Bond No.: Premium Amount:$ Bond's Effective Date.- PERFORMANCE BOND RECITALS: 1. The City of Vernon, California("City").has awarded to (Name,address,and telephone of Contractor) ("Principal"), a Contract(the"Contract")for the Work described as follows: Specification No. in Vemon,CA. 2. Principal is required under the terms of the Contract— and all contract documents referenced in it ("Contract Documents")—to furnish a bond guaranteeing Principal's faithful performance of the Work. 3. The Contract and Contract Documents,including all their amendments and supplements,are incorporated into this Bond and made a part of it by this reference, OBLIGATION: THEREFORE,for value received,We, Principal and (Name,address,and telephone of Surety) ("Surety"), a duly admitted surely insurer under California's laws,agree as follows.- By this Bond, We jointly and severally obligate and bind ourselves,and our respective heirs,executors, administrators, successors,and assigns to pay City the penal sum of Dollars($!_ _ )("the Bonded Sum"),this amount comprising not less than the total Contract Sum,in lawful money of the United States of America. The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No. THE CONDITION OF THIS BOND'S OBLIGATION IS THAT,if Principal promptly and faithfully performs the undertakings, terms, covenants, conditions, and agreements in the Contract and Contract Documents (including all their amendments and supplements), all within the time and in the manner that those documents specify, then this obligation becomes null and void. Otherwise,this Bond remains in full force and effect,and the following terms and conditions apply to this Bond: t, This Bond specifically guarantees Principal's performance of each obligation and all obligations under the Contract and Contract Documents, as they may be amended and supplemented—including,but not limited to, Principal's liability for liquidated damages,Warranties,Guarantees, Correction,and Maintenance obligations as specified in the Contract and Contract Documents—except that Surety's total obligation,as described here,will not exceed the Bonded Sum. 2. For those obligations of Principal that survive Final Completion of the Work described in the Contract and Contract Documents,the guarantees in this Bond also survive Final Completion of the Work. 3. When City declares that Principal is in default under the Contract, or Contract Documents, or both, Surety shall promptly: (a)remedy the default; (b)complete the Project according to the Contract Documents'terms and conditions then in effect;or(c)using a procurement methodology approved by City,select a contractor or contractors—acceptable to City—to complete all of the Work,and arrange for a contract between the contractor(s)and City. Surety shall make available, as the Work progresses, sufficient funds to pay the cost of completion less the balance of the Contract Sum, EXHIBIT 1 -PERFORMANCE BOND-1 of 3 and to pay and perform all obligations of Principal under the Contract and Contract Documents—including other costs and damages for which Surety is liable under this Bond—except that Surety's total obligation,as described here,will not exceed the Bonded Sum. 4. An alteration, modification, change, addition, deletion, omission, agreement, or supplement to the Contract, Contract Documents,or the nature of the Work performed under the Contractor Contract Documents—including,without limitation, an extension of time for performance—does not,in any way,affect Surety's obligations under this Bond. Surety waives any notice of alteration,modification,change,addition,deletion,omission,agreement,supplement,or extension of time. 5. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's guaranteeing Principal's faithful performance of the Work. 6. No right of action accrues on this Bond to any entity other than City or its successors and assigns. 7. If an action at law or in equity is necessary to enforce or interpret this Bond's terms,Surety must pay—in addition to the Bonded Sum—City's reasonable attorneys'fees and litigation costs,in an amount the court fixes. B. Surety shall mail City written notice at least 30 days before:(a)the effective date on which the Surety will cancel,terminate, or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. On the date set forth below, Principal and Surety duly executed this Bond,with the name of each party appearing below and signed by its representative(s)under the authority of its governing body. Date: PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By: By: (Name) (Name) Its: Its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: CORPORATE SEAL CORPORATE SEAL • THIS BOND MUSTBE EXECUTED IN TRIPLICATE ■ EVIDENCE MUST BEATTACNFDOFTNFAUTHORMYOFANYPERSON SIGNING ASATI`ORNEY-IN-FACT ■ THEATTORNEWNFACTS SIGNATURE MUST BENOTARIZED. ■ A CORPORATE SEAL MUST BE IMPRESSED ON THIS FORM WHEN THE PRINCIPAL,OR THE SURETY,OR BOTH, AREA CORPORATION APPROVED AS TO SURETY AND APPROVED AS TO FORM: AMOUNT OF BONDED SUM: By. - By Director of Community Service&Water City Attorney EXHIBIT 1 -PERFORMANCE BOND-2 of 3 BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ) SS. COUNTY OF ) On this day of , 20 before me, (name),a Notary Public for said County, personally appeared (name),who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of and acknowledged to me that he/she subscribed the name of _ thereto as principal, and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Notary Public SEAL ' EXHIBIT 1 -PERFORMANCE BOND-3 of 3 EXHIBIT 2 Bond No.: Premium Amount:$ Bond's Effective Date: PAYMENT BOND (LABOR AND MATERIALS) RECITALS: 1. The City of Vernon, California("City"), has awarded to (Name,address,and telephone of Design-Builder) ("Principal"), a Contract(the"Contract")for the Work described as follows: Specification No. in Vernon,CA. 2. Principal is required under California Civil Code Sections 3247-3248 and the terms of the Contract—and all contract documents referenced in it ("Contract Documents")—to furnish a bond guaranteeing Principal's paying claims, demands,liens,or suits for any work, labor,services,materials,or equipment furnished or used in the Work. 3. The Contract and Contract Documents,including all their amendments and supplements,are incorporated into this Bond and made a part of it by this reference. OBLIGATION: THEREFORE,for value received,We,Principal and (Name,address,and telephone of Surety) ("Surety"), a duly admitted surety insurer under California's laws,agree as follows: By this Bond, We jointly and severally obligate and bind ourselves, and our respective heirs,executors,administrators, successors, and assigns to pay City the penal sum of Dollars($ )("the Bonded Sum"),this amount comprising not less than the total Contract Sum,in lawful money of the United States of America. The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No. THE CONDITION OF THIS BOND'S OBLIGATION IS THAT, if Principal or a subcontractor fails to pay (a) any person named in California Civil Code Section 3181, or any successor legislation; (b) any amount due under California's Unemployment Insurance Code,or any successor legislation,for work or labor performed under the Contract or Contract Documents;or(c)any amount under Unemployment Insurance Code Section 13020,or any successor legislation,that Principal or a subcontractor must deduct,withhold,and pay over to the Employment Development Department from the wages of its employees, for work or labor performed under the Contract or Contract Documents, then Surety shall pay for the same in an amount not-to-exceed the Bonded Sum. Otherwise, this obligation becomes null and void. While this Bond remains in full force and effect,the following terms and conditions apply to this Bond: 1. This Bond inures to the benefit of any of the persons named in California Civil Code Section 3181,or any successor legislation,giving those persons or their assigns a right of action in any suit brought upon this Bond,unless California Civil Code Section 3267,or any successor legislation,applies. 2. An alteration,modification,change,addition,deletion,omission,agreement,or supplement to the Contract,Contract Documents, or the nature of the Work performed under the Contract or Contract Documents—including, without EXHIBIT 2-PAYMENT BOND-1 of 3 limitation, an extension of time for performance—does not, in any way, affect Surety's obligations under this Bond. Surety waives any notice of alteration,modification,change,addition,deletion,omission,agreement,supplement,or extension of time. 3 Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's paying claims, demands, liens,or suits for any work, labor, services, materials, or equipment furnished or used in the Work. 4. If an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay—in addition to the Bonded Sum—City's reasonable attorneys'fees and litigation costs,in an amount the court fixes. 5. Surety shall mail City written notice at least 30 days before: (a) the effective date on which the Surety will cancel, terminate,or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. On the date set forth below,Principal and Surety duly executed this Bond,with the name of each party appearing below and signed by its representatives)under the authority of its governing body. Date: PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By: By: (Name) (Name) Its: Its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: CORPORATE SEAL CORPORATE SEAL • THIS BOND MUST BE EXECUTED IN TRIPLICATE. ■ EVIDENCE MUST BEATTACHEDOF THE AUTHORITYOFANY PERSON SIGNING ASA7TORNEY-IN-FACT. ■ THE ATTORNEYW-FACTSSIGNATURE MUST BENOTARIZED. ■ A CORPORATE SEAL MUST BE IMPRESSED ON THIS FORM WHEN THE PRINCIPAL,OR THE SURETY,OR BOTH, AREA CORPORATION. APPROVED AS TO SURETY AND APPROVED AS TO FORM: AMOUNT OF BONDED SUM: BY. BY. Director of Community Service&Water City Attorney EXHIBIT 2-PAYMENT BOND-2 of 3 BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ss COUNTY OF On this day of . 20 , before me, (name), a Notary Public for said County,personally appeared ,.(name), who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of ,and acknowledged to me that he/she subscribed the name of_ thereto as principal, and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of Califomia that the foregoing paragraph is true and correct. Notary Public SEAL EXHIBIT 2-PAYMENT BOND-3 of 3 EXHIBIT 3 Bond No.: Premium Amount:$ Bond's Effective Date: MAINTENANCE BOND RECITALS: 1. The City of Vernon,California("City"),has awarded to (Name,address,and telephone of Contractor) ("Principal"), a Contract(the"Contract")for the Work described as follows: Specification No. in Vernon,CA. 2. Principal is required under the terms of the Contract— and all contract documents referenced in it ("Contract Documents")—after completion of the Work and before the filing and recordation of a Notice of Completion for the Work, to furnish a bond to secure claims for Maintenance equal to ten percent(10%) of the total amount of the Contract Which shall hold good for a period of one (1) year from the date the City's Notice of Completion and Acceptance of the Work is filed with the County Recorder,to protect the City against the result of faulty material or workmanship during that time. 3. The Contract and Contract Documents,including all their amendments and supplements,are incorporated into this Bond and made a part of it by this reference. OBLIGATION: THEREFORE,for value received,We, Principal and (Name,address,and telephone of Surety) ("Surety"), a duly admitted surety insurer under California's laws,agree as follows: By this Bond,We jointly and severally obligate and bind ourselves, and our respective heirs,executors, administrators, successors,and assigns to pay City the penal sum of Dollars($ )("the Bonded Sum"),this amount comprising not less than the total Contract Sum,in lawful money of the United States of America. The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No. THE CONDITION OF THIS BOND'S OBLIGATION IS THAT if the said Principal or any of his or her or its subcontractors, or the heirs,executors,administrators,successors, or assigns or assigns of any,all,or either of them,shall fail to execute within a reasonable amount of time,or fail to respond within seven (7)days with a written schedule acceptable to the City for same,repair or replacement of any and all Work,together with any other adjacent Work which may be displaced by so doing, that proves to be defective in its workmanship or material for the period of one (1) year(except when otherwise required in the Contract to be for a longer period) from the date the City's Notice of Completion and Acceptance, or equivalent,is filed with the County Recorder,ordinary wear and tear and unusual abuse or neglect excepted with respect to such Work and labor,the Surety herein shall pay for the same,in an amount not exceeding the sum specified in this Bond. 1. When City declares that Principal is in default under the Contract, or Contract Documents, or both, Surety shall promptly remedy the default using a procurement methodology approved by City, select a contractor or contractors— acceptable to City to complete all of the Work,and arrange for a contract between the contractor(s)and City. Surety shall make available sufficient funds to pay the cost of repair or replacement of any and all Work and to pay and perform all obligations of Principal under the Contract and Contract Documents—including other costs and damages for which Surety is liable under this Bond except that Surety's total obligation,as described here,will not exceed the Bonded Sum. EXHIBIT 3-MAINTENACE BOND-1 of 3 2 Should the condition of this bond be fully performed,then this obligation shall become null and void,otherwise it shall be and remain in full force and effect. 3. Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration,or addition to the terms of said Contract or to the Work to be perforated thereunder or the specifications accompanying the same shall in any manner affect its obligations on this bond, and it does hereby waive notice of any such change,extension,alteration, or addition, 4. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's guaranteeing Principal's faithful performance of the Work. 5. No right of action accrues on this Bond to any entity other than City or its successors and assigns. 6. If an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay,in addition to the Bonded Sum,City's reasonable attorneys'fees and litigation costs,in an amount the court fixes. 7. Surety shall mail City written notice at least 30 days before:(a)the effective date on which the Surety will cancel,terminate, or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. 8. Death of the Principal shall not relieve Surety of its obligations hereunder. On the date set forth below, Principal and Surety duly executed this Bond,with the name of each party appearing below and signed by its representative(s)under the authority of its governing body. Date: PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By: By: (Name) (Name) Its: Its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: CORPORATE SEAL CORPORATE SEAL • TNS BOND MUSTSE EXECUIEDIN TFW LICATt= EVIDENCE MIST SEATTACtED OF TFEAtlTNORITY OFANY PERSON SIGNING AS ATTORMEY IN-FACT. • TFEATTDRHEY-IN-FACTS SIGNATURE NJSTBE NOTAMED. ■ A CORPORATE SEAL MUST BE IMPRESSED ON THIS FORM MEN Ti'i6E MCIPAI, OR THE SURETY, OR BOTH,ARE A CORPOR4TM APPROVED AS TO SURETY&AMOUNT OF BONDED SUM: APPROVED AS TO FORM: BY. BY Director of Community Service&Water City Attorney EXHIBIT 3—MAINTENACE BOND-2 of 3 BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ) ss. COUNTY OF ) On this day of , 20 before me, (name), a Notary Public for said County, personally appeared (name), who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attomey in fact of and acknowledged to me that he/she subscribed the name of thereto as principal, and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Notary Public SEAL EXHIBIT 3—MAINTENACE BOND-3 of 3 EXHIBIT 4 (CONFIRM INSURANCE LIMITS W/RISK MANAGEMENT PRIOR TO ADVERTISING, TYPICAL LIMITS BELOW COULD CHANGE FOR SPECIFIC PROJECTS) INSURANCE REQUIREMENTS 1.0 REQUIRED INSURANCE POLICIES At its own expense, Contractor shall obtain, pay for,and maintain—and shall require each of its Subcontractors to obtain and maintain—for the duration of the Agreement, policies of insurance meeting the following requirements: A. Workers'Compensation/Employer's Liability Insurance shall provide workers'compensation statutory benefits as required by law. 1. Employers Liability insurance shall be in an amount not less than: (a) ONE MILLION DOLLARS($1,000,000)per accident for bodily injury or disease; (b) ONE MILLION DOLLARS($1,000,000)per employee for bodily injury or disease; and (c) ONE MILLION DOLLARS($1,000,000)policy limit. B. Commercial General Liability("CGL")(primary).City and its employees and agents shall be added as additional insureds, not limiting coverage for the additional insured to"ongoing operations"or in any way excluding coverage for completed operations. Coverage shall apply on a primary,non-contributing basis in relation to any other insurance or self-insurance,primary or excess,available to City or any employee,representative or agent of City. Coverage shall not be limited to the vicarious liability or supervisory role of any additional insured. Coverage shall contain no contractors'limitation or other endorsement limiting the scope of coverage for liability arising from explosion, collapse,or underground property damage. 1. CGL insurance must not be written for less than the limits of liability specified as follows: (a) ONE MILLION DOLLARS($1,000,000)per occurrence for bodily injury(including accidental death)to any one person; (b) ONE MILLION DOLLARS($1,000,000)per occurrence for personal and advertising injury to any one person; (c) ONE MILLION DOLLARS($1,000,000)per occurrence for property damage;and (d) TWO MILLION DOLLARS($2,000,000)general aggregate limit. 2. CGL insurance must include all major divisions of coverage and must cover: (a) Premises Operations(including Explosion, Collapse,and Underground mu"] coverages as applicable); (b) Independent Contractor's Protective; EXHIBIT 4—INSURANCE REQUIREMENTS-1 of 6 (c) Independent Contractors; (d) Products and Completed Operations(maintain same limits as above until five(5) years after recordation of Notice of Completion) (e) Personal and Advertising Injury(with Employers Liability Exclusion deleted); (f) Contractual Liability(including specified provision for Contractors obligation under Article 11 of the General Conditions);and (g) Broad Form Property Damage. 3. Umbrella or Excess Liability Insurance(over primary),if provided,shall be at least as broad as any underlying coverage. Coverage shall be provided on a"pay on behalf basis,with defense costs payable in addition to policy limits. There shall be no cross liability exclusion and no contractor's limitation endorsement. The policy shall have starting and ending dates concurrent with the underlying coverages. The Named Insured may determine the layering of primary and excess liability insurance provided that if such layering differs from that described here,the actual coverage program meets the minimum total required limits and complies with all other requirements listed here. C. Business Automobile Liability Insurance 1. Business Automobile Liability Insurance must cover all vehicles,whether rented,leased, hired,scheduled,owned or non-owned. If Contractor does not own any vehicles,this requirement may be satisfied by a non-owned vehicle endorsement to the general and umbrella liability policies. Business Automobile Liability Insurance coverage amounts shall not be less than the following: (a) ONE MILLION DOLLARS($1,000,000)per occurrence for bodily injury(including accidental death)to any one person;and (b) ONE MILLION DOLLARS($1,000,000)per occurrence for property damage;or (c) ONE MILLION DOLLARS($1,000,000)combined single limit. D. Contractors Pollution Liability Insurance(CPL)REQUIRED I NOT REQUIRED FOR THIS PROJECT(OPTIONAL AT DISCRETION OF CITY—CHECK W/RISK MANAGEMENT—LEAVE IN ALL SPECS&NOTE IF REQUIRED) 1. Contractor or Subcontractor shall obtain,pay for,and maintain for the duration of the Contract Contractors Pollution Liability insurance that provides coverage for liability caused by pollution conditions arising out of the operations of the Contractor. Coverage shall be included on behalf of the insured for covered claims arising out of the actions of independent contractors. If the insured is using Subcontractors,the policy must include work performed "by or on behalf"of the insured. 2. The policy limit shall provide coverage of no less than one million dollars($1,000,000)per claim and in the aggregate. Coverage shall apply to bodily injury;property damage, including loss of use of damaged property or of property that has not been physically inured; EXHIBIT 4—INSURANCE REQUIREMENTS-2 of 6 cleanup costs;and costs of defense,including costs and expenses incurred in the investigation,defense,or settlement of claims. 3. All activities contemplated in the Contract shall be specifically scheduled on the CPL policy as"covered operations." In addition,the policy shall provide coverage for the hauling of waste from the Project site to the final disposal location, including non-owned disposal sites. 4. The policy shall specifically provide for a duty to defend on the part of the insurer. City,its officers,employees and agents shall be added to the policy as additional insureds by endorsement. E. Builder's Risk Insurance REQUIRED/NOT REQUIRED FOR THIS PROJECT(OPTIONAL AT DISCRETION OF CITY—CHECK WI RISK MANAGEMENT—LEAVE IN ALL SPECS&NOTE IF REQUIRED) 1. Builder's Risk Insurance covering all real and personal property for"all risks"of loss or "comprehensive perils"coverage including but not limited to the perils of earth movement including earthquake and flood for all buildings,structures,fixtures,materials,supplies, machinery and equipment to be used in or incidental to the construction at the site,off site, or in transit,for the full replacement value of such properties. Coverage shall be included for property of others in the care,custody or control of the insured for which any insured may be liable. The City will purchase a builder's risk policy for the Project instead of a contractor purchased policy. Bidder should not include cost for this coverage in his/her bid. 2.0 GENERAL REQUIREMENTS—ALL POLICIES A. Qualifications of Insurer. At all times during the term of this Contract, Contractor's insurance company must meet all of the following requirements: 1. "Admitted"insurer by the State of California Department of Insurance or be listed on the California Department of Insurance's"List of Surplus Line Insurers"("LESLI"); 2. Domiciled within,and organized under the laws of,a State of the United States;and 3. Carry an A.M. Best&Company minimum rating of"A:VII". B. Continuation Coverage. For insurance coverages that are required to remain in force after the Final Payment, and if reasonably available, Contractor shall submit to City,with the final Application for Payment,all certificates and additional insured endorsements evidencing the continuation of such coverage. C. Deductibles or Self-Insured Retentions. All deductibles or self-insured retentions are subject to City's review and approval, in its sole discretion. D. Commercial General Liability and Business Automobile insurance policies must be written on an "occurrence"basis and must add the City of Vernon and its officers,agents,employees and representatives as additional insureds. E. Contractor's Insurance Primary. Other insurance(whether primary,excess, contingent or self- insurance,or any other basis)available to City,or its representatives,or both, is excess over Contractor's insurance. City's insurance,or self-insurance, or both,will not contribute with Contractor's insurance policy. EXHIBIT 4—INSURANCE REQUIREMENTS-3 of 6 F. Waiver of Subrogation. Contractor and Contractor's insurance company waive—and shall not exercise—any right of recovery or subrogation that Contractor or the insurer may have against City,or its representatives,or both. G. Separation of Insureds. Contractor's insurance policy applies separately to each insured or additional insured who is seeking coverage,or against whom a claim is made or suit is brought,except that the naming of multiple insureds will not increase an insurance company's limits of liability. H. Claims by Other Insureds. Contractors insurance policy applies to a claim or suit brought by an additional insured against a Named Insured or other insured, arising out of bodily injury, personal injury,advertising injury,or properly damage. I. Premiums. City is not liable for a premium payment or another expense under Contractors policy J. At any time during the duration of this Contract, City may do any one or more of the following: 1. Review this Agreement's insurance coverage requirements; 2. Require that Contractor obtain, pay for,and maintain more insurance depending on City's assessment of any one or more of the following factors: (a) City's risk of liability or exposure arising out of,or in any way connected with,the services of Contractor under this Agreement; (b) The nature or number of accidents,claims, or lawsuits arising out of, or in any way connected with,the services of Contractor under this Agreement;or (c) The availability, or affordability,or both,of increased liability insurance coverage. 3. Obtain, pay for,or maintain a bond(as a replacement for an insurance coverage)from a California corporate surety,guaranteeing payment to City for liability,or costs,or both, that City incurs during City's investigation, administration, or defense of a claim or a suit arising out of this Agreement;or K. Contractor shall maintain the insurance policy without interruption, from the Project's commencement date to the Final Payment date,or until a date that City specifies for any coverage that Contractor must maintain after the Final Payment. L. Contractor shall not allow any insurance to expire,cancel,terminate, lapse,or non-renew. Contractors insurance company shall mail City written notice at least thirty(30)days in advance of the policy's cancellation, termination, non-renewal,or reduction in coverage and ten (10)days before its insurance policy's expiration,cancellation,termination, or non-renewal, Contractor shall deliver to City evidence of the required coverage as proof that Contractors insurance policy has been renewed or replaced with another insurance policy which,during the duration of this Agreement,meets all of this Agreement's insurance requirements. M. At any time, upon City's request, Contractor shall furnish satisfactory proof of each type of insurance coverage required—including a certified copy of the insurance policy or policies;certificates,endorsements, renewals, or replacements; and documents comprising Contractors self-insurance program—all in a form and content acceptable to the City Attorney or City's Risk Manager. EXHIBIT 4—INSURANCE REQUIREMENTS-4 of 6 N. If Contractor hires,employs,or uses one or more Subcontractor(s)to perform work,services, operations, or activities on Contractor's behalf, Contractor shall ensure that the Subcontractor complies with the following. 1. Meets,and fully complies with,this Agreement's insurance requirements; and 2. Furnishes City at any time upon its request,with a complete copy of the Subcontractors insurance policy or policies for City's review,or approval,or both. Failure of City to request copies of such documents shall not impose any liability on City,or its employees. 0. Contractors failure to comply with an insurance provision in this Agreement constitutes a material breach upon which City may immediately terminate or suspend Contractor's performance of this Agreement,or invoke another remedy that this Agreement or the law allows. At its discretion and without waiving any other rights it may have pursuant to law, City has the right but not a duty to obtain or renew the insurance and pay all or part of the premiums. Upon demand, Contractor shall repay City for all sums or monies that City paid to obtain, renew,or reinstate the insurance,or City may offset the cost of the premium against any sums or monies that City may owe Contractor. 3.0 CONTRACTOR'S SUBMITTAL OF CERTIFICATES AND ENDORSEMENTS A. Contractor shall have its insurance carrier(s)or self-insurance administrator(s)complete and execute the following insurance documents and shall deliver said documents at the same time Contractor delivers this Agreement to City. City will neither sign this Agreement nor issue a"Notice to Proceed" until the City Attorney or City's Risk Manager has reviewed and approved all insurance documents. City's decision as to the acceptability of all insurance documents is final. Sample insurance documents in the City's approved format are set forth in this 4. B. Required Submittals for Commercial General Liability and Business Automobile Insurance and Contractors Pollution Liability Insurance.The following submittals must be on forms satisfactory to the City Attorney or City's Risk Manager,and signed by the insurance carrier or its authorized representative--which fully meet the requirements of,and contain provisions entirely consistent with,all of the insurance requirements set forth herein. 1. "Certificate of Insurance" 2. "Additional Insured Endorsement" 3. Subrogation Endorsement:"Waiver of Transfer to Rights of Recover Against Others" Both Certificates of Insurance and Additional Insured Endorsements must read as follows:"The City of Vernon, and its officers, agents,employees and representatives are included as additional insureds under the policy(s). This insurance is primary to all other insurance of the City. The City's insurance and self-insurance will apply in excess of, and will not contribute with this insurance. This insurance applies separately to each insured or additional insured who is seeking coverage,or against whom a claim is made or a suit is brought. The issuing company shall mail thirty(30) days advance notice to the City for any policy cancellation,termination, non-renewal,or reduction in coverage." C. Required Submittals for Workers'Compensation Insurance. Contractor shall provide City with a certificate of insurance and a subrogation endorsement on forms satisfactory to the City Attorney or City's Risk Manager, and signed by the insurance carrier or its authorized representative—which fully meet the requirements of, and contain provisions entirely consistent with,this Contract's workers compensation insurance requirements. If Contractor is self-insured for workers'compensation, a copy of the"Certificate of Consent to Self-insure"from the State of California is required;or if Contractor is lawfully exempt from workers'compensation laws,an"Affirmation of Exemption from Labor Code§3700"form is required. EXHIBIT 4-INSURANCE REQUIREMENTS•5 of 6 D. Required Evidence of Builder's Risk Coverage. City will provide a certificate of insurance and a declarations page on a form satisfactory to the City Attorney or City's Risk Manager, and signed by the insurance carrier or its authorized representative. The policy terms must fully meet the requirements of,and contain provisions entirely consistent with,all of the insurance requirements set forth herein. The City shall be named as a loss payee on the insurance policy for the full replacement value of all buildings,structures,fixtures and materials to be constructed, maintained, repaired or supplied pursuant to this Contract. E. Contractor agrees to monitor and review all such coverage and assumes all responsibility for ensuring that all required coverage is provided. Contractor agrees to obtain certificates evidencing such coverage. F. Contractor agrees to provide immediate notice to City of any claim or loss against Contractor that includes City or any other indemnitee as a defendant. City assumes no obligation or liability by such notice,but has the right(but not the duty)to monitor the handling of any such claim or claims if they are likely to involve City. G. No liability policy shall contain any provision or definition that would serve to eliminate so-called"third party action over claims, including any exclusion for bodily injury to an employee of the insured or of any contractor or subcontractor. H. Any"self-insured retention"must be declared and approved by City. City reserves the right to require the self-insured retention to be eliminated or replaced by a deductible. Self-funding,policy fronting or other mechanisms to avoid risk transfer are not acceptable. If Contractor has such a program,Contractor must fully disclose such program to City. EXHIBIT 4—INSURANCE REQUIREMENTS-6 of 6 EXHIBIT B SPECIAL PROVISIONS SPECIFIC FOR THIS PROJECT (to be added as project requires) EXHIBIT C LIVING WAGE PROVISIONS Minimum Living Wages: A requirement that Employers pay qualifying employees a wage of no less than$10.30 per hour with health benefits, or$11.55 per hour without health benefits. Paid and Unpaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave,vacation,or personal necessity,and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employers compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations,and attomey's fees,or to compel City officials to terminate the service contract of violating employers. EXHIBIT D EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A_ Contractor certifies and represents that, during the performance of this Agreement,the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed,color, national origin,ancestry, handicap,sex,or age. Contractor further certifies that it will not maintain any segregated facilities. 13. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor,state that it is an"Equal Opportunity Employer"or that all qualified applicants will receive consideration for employment without regard to their race, religious creed,color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City,certify that it has not, in the performance of this Agreement,discriminated against applicants or employees because of their membership in a protected class. D. Contractor agrees to provide the City with access to, and, if requested to do so by City,through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. BIDDING FORDS BIDDING FORMS BIDDER'S PROPOSAL The undersigned submits this Bid in response to the Notice Inviting Bids issued by the City to construct the Work of the following Project in accordance with the Contract Documents: PROJECT: Insert Project Name Specification No. XXXX A. Enclosed herewith and by this reference incorporated herein and made a part of this Bidder's Bid are the following completed forms: 1. Bidders Proposal 2. Schedule of Bid Prices 3. Incumbency Certificate 4. Bid Security in the following form (check one): ❑ Cashiers Check ❑ Certified Check ❑ Bid Bond ❑Cash 5. Bidder's Statement of Qualifications 6. Experience Form 7. Statement of Violations of Federal, State or Local Law, if applicable 8. (OPTIONAL)Specialty Contractor Statement of Qualifications 9. Contractor Safety Questionnaire 10. Designation of Subcontractors 11. Contractors Affidavit of Noncollusion 12. Insurance Requirements Affidavit 13. Statement of Disqualification or Debarment. 14. Pre-Bid Site Inspection Certification. B. Acknowledgment of Addenda. The Bidder shall acknowledge the receipt of all Addenda by attaching a signed copy of all Addenda, and by listing all Addenda received and attached in the space below. If an Addendum or Addenda have been issued by the City and not attached and noted above as being received by the Bidder, the Bid may be rejected. C. Inspection of the Work and Contract Documents. Bidder certifies that it has carefully examined and is fully familiar with all of the provisions of the Bidding Documents and said Bidding Documents contain sufficient detail regarding the Work to be performed;that it has notified City of any errors or omissions in the Bidding Documents and/or any unusual site conditions;and that it has carefully checked all words, prices,and statements in this Bidding Document. Bidder hereby certifies that he/she and his/her Subcontractors have BF 1 of 38 BIDDING FORMS inspected the site and related Drawings and Specifications of Work and fully acquainted themselves with all conditions and matters which may in any way affect the Work,time of completion or the costs thereof. Bidder also certifies he/she has observed the designated Contractor Work areas and access routes, if disclosed or shown, as part of the Work in this Contract. SITE INSPECTION—CERTIFICATION: Person(s)who inspected site of the proposed Work for your firm: Name: Date of Inspection Title: Name: Date of Inspection Title: D. Bidder agrees that all costs of Work shown in the Bidding Documents, including work reasonably inferable therefrom and necessary thereto, are included in his/her Bid. All Work shown in the Contract Documents for which a specific line item is not provided in the Bidding Form is included in the Bidder's Total Base Bid Price. (OPTIONAL)Contractor shall be reimbursed for the actual direct cost of all Permit Fees,if any,as defined in Paragraph 1.01 and addressed in Paragraph 1.03 of the General Conditions. Bidder shall exclude the cost of Permit Fees from Bidder's Base Bid sum; Base Bid sum shall include the cost of administration and coordination of Governmental Approvals and Utility Fees. Bidder agrees that City will not be responsible for any errors or omissions on the part of the undersigned in making this Bid. E. Forfeiture of Bid Security. Bidder further agrees that, in case of his/her default in executing the required Contract and the required bonds, or furnishing the required insurance, the money payable under the Bid Security accompanying this Bid shall be applied by the City towards payment of the damage to the City on account of such default,as provided in the Bidding Documents. F. Period of Irrevocability. Bidder agrees that this Bid shall remain open and shall not be withdrawn for a period of not less than ninety(90) calendar days from the date of award of Contract, or until rejected by the City, whichever period is shorter. G. Bid Dispute Indemnification. In the event of a Bid dispute based upon the Bidder's submission of this Bid and the City acceptance of same,the Bidder shall indemnify,defend(with counsel acceptable to City),and hold harmless the City, its City Council members, employees, and agents from liability, claims, demands, damages, and costs arising therefrom if such dispute or action arises solely upon the award of a Contract in compliance with federal, state,and local laws. The Bidder declares that neither he/she nor any member of his/her firm or corporation is an officer or employee of the City of Vernon. I hereby certify under penalty of perjury under the laws of the State of California that the representations made herein are true and correct. Executed this day of at City State BF2of38 BIDDING FORMS Bidder's Proposal Respectfully Submitted, NAME OF BIDDER COMPANY NAME: ADDRESS: CONTACT PERSON: TELEPHONE NUMBER: FAX NUMBER: E-MAIL: CALIFORNIA STATE CONTRACTOR'S LICENSE NUMBER: EXPIRATION DATE: TAX IDENTIFICATION NO.: SURETY COMPANY: All Bid forms must be signed where so indicated by the person or persons duly authorized to sign on behalf of the Bidder. By signing the Bid,the person signing is deemed to represent that he or she has authority to bind the Bidder. Failure to sign the Bidders Proposal may invalidate the Bid. BIDDER'S PROPOSAL—SIGNATURE(S): Form of Entity of Bidder: Please check the appropriate signature block below and fill in all related information. Sole Proprietorship: By: Title: Printed name of person signing Signature List all d/b/a's: Partnership: ❑ General Partner ❑ Limited Partner By: Title: Printed name of person signing Signature BF3of38 BIDDING FORMS ❑ Corporation: By: Corporate Officer Title: Printed name of person signing Corporate Seal Signature ❑ Joint Venture: ❑ Corporation ❑ Partnership ❑ Individual ❑ Other By: -- Title: Printed name of person signing Signature Name of all Joint Venturers: [If the Bidder is a corporation or a limited liability company, enter state or county of incorporation in addition to the business address and include an incumbency certificate executed by a Secretary thereof in the form set forth herein listing each officer with signing authority and his/her corresponding office. If the Bidder is a partnership or joint venturer stating that the respective partner or joint venturer agrees to be held jointly and severally liable for any and all of the duties and obligations of the Bidder under the Bid and under any contract arising therefrom. Attach evidence to the Bid Proposal Form that the individual signing has authority to do so.] BF4of38 BIDDING FORMS SCHEDULE OF BID PRICES PROJECT: (Insert Proiect Name), Specification No. (XXXX) BIDDER'S NAME: BASE BID Pursuant to and in compliance with your Notice Inviting Bids and Contract Documents relating to the Project including all Addenda (attach signed copies), Bidder, having become thoroughly familiar with the terms and conditions of the Contract Documents and with local conditions affecting the performance and the costs of the Work at the place where the Work is to be done,hereby proposes and agrees to fully perform the Work within the time stated in strict accordance with the Contract Documents (including the furnishing of any and all labor, materials, tools, expendable equipment, and utility and transportation services necessary to fully perform the Work and complete it in a workmanlike manner) for the total Base Bid sum of: Dollars ($ ) Item Description Units Quantity Unit Cost Amount No. 1. 2. 3. BID TOTAL $ All other work items, labor, materials,tools and incidentals which are not specifically listed in the above bid items, but are necessary to complete the project per specifications,and all other applicable standards and codes are considered to be included in the above bid items. If there is a discrepancy between (1)the"Grand Total"shown immediately above, (2)any of the "total costs" shown in the far right column above, or(3)the individual Unit Price,then the Unit price shall control over the total cost,and the total cost shall control over the total. If,however,the unit price is ambiguous,unintelligible, or uncertain for any cause,or is omitted, or is the same amount as the entry for the item total, then the item total shall prevail and shall be divided by the estimated quantity for the item and the price thus obtained shall be the unit price. (OPTIONAL): Bidder shall exclude the cost of Permit Fees from Bidder's Base Bid sum; Base Bid sum shall include the cost of administration and coordination of Governmental Approvals and Utility Fees. (OPTIONAL): (IF ALTERNATES OR OPTIONAL BID ITEMS ARE USED) Bidder acknowledges that determination of the lowest Bid will be based on the combined total of the amounts entered below for the Base Bid plus all of the listed Bid Alternate items, and that once the low bid is determined on this basis, the City will be free to select Bid Alternates for inclusion in the Work in any order or combination,or to reject any or all Bid Alternates. BF5of38 BIDDING FORMS ALTERNATE BID ITEM(S): [BIDDER:PLEASE SPECIFYIFALTERNATE BID ITEMS ARE PRICED AS LUMP SUM OR UNIT PRICES) (ADDITIVE or DEDUCTIVE)ALTERNATE NO. 1: (Insert Scope of Work) Dollars ($ y (written dollar amount) (dollar amount) (ADDITIVE or DEDUCTIVE)ALTERNATE NO.2: (Insert Scope of Work) Dollars ($ ) (written dollar amount) (dollar amount) (OPTIONAL :TOTAL BID AMOUNT Base Bid Sum plus Additive or Deductive Alternate Na s . Dollars ($ } (written dollar amount) (dollar amount) Respectfully submitted: Signature Address Title Date License Number Date of Expiration (SEAL-if Bid is by a corporation) Attest Amount of Certified or Cashiers Check or Bid Bond Name of Bonding Company BF6of38 BIDDING FORMS INCUMBENCY CERTIFICATE Print legibly the names and title of the president and all officers of the Company who are authorized to sign the Bid Forms: PRESIDENT'S&OFFICERS' NAME: TITLE: The undersigned hereby certifies to the City of Vernon that he/she is the duly elected and acting Secretary of ,. (the"Company"), and that, as such, he/she is authorized to execute this Incumbency Certificate on behalf of the Company,and further certifies that the persons named above are the duly elected, qualified and acting officers of the Company, holding on the date hereof, the titles and positions set forth opposite their names and are authorized to sign the Bid Forms. IN WITNESS WHEREOF, the undersigned has executed this Incumbency Certificate this day of Secretary's Name-Printed Secretary's Signature BF7of38 BIDDING FORMS Bond No.: Premium Amount:$ _ Bond's Effective Date: BID BOND RECITALS: 1. The City of Vernon, California("City"), has issued a Notice Inviting Bids for the Work described as follows: Specification No. in Vernon,CA.("Project"). 2. In response to the Notice Inviting Bids, (Name,address,and telephone of Contractor) ("Principal"), has submitted the accompanying Bid for the Project. 3. Principal is required under the terms of the Specification—and all Bidding Documents referenced in it—to furnish a bond with the Bid. 4. The Specification,including all its amendments and supplements,and Principal's Bid are incorporated into this Bond and made a part of it by this reference, OBLIGATION: THEREFORE,for value received,We, Principal and (Name,address,and telephone of Surety) ("Surety"), a duly admitted surety insurer under California's laws,agree as follows: By this Bond,We jointly and severally obligate and bind ourselves, and our respective heirs,executors, administrators, successors,and assigns to pay City the penal sum of Dollars($ )("the Bonded Sum"),this amount comprising not less than FIVE PERCENT(5%)of Principal's Base Bid, in lawful money of the United States of America. The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No. THE CONDITION OF THIS BOND'S OBLIGATION IS THAT,if:(1)Principal does not(a)withdraw its Bid for the period specified in the Bidding Documents, or—if no period is specified—for ninety(90) calendar days after City awards the Contract for the Project, or(b) attempt to withdraw its Bid when the requirements of California Public Contract Code §5101 of seq., or any successor legislation, are not met; or (2) City awards Principal the Contract in response to Principal's Bid,and within the time and manner specified by the Specification or Contract Documents or—if no period is specified—within fourteen (14) calendar days after the Contract's award, Principal (a) signs and delivers to City the Contract, in accordance with the Bid as accepted, (b) furnishes the required bonds for not only Principal's faithful performance and proper fulfillment of the Contract, but also Principal's payment for labor and materiais used in the Project,and(c)furnishes the required insurance,then this obligation becomes null and void. Otherwise,this Bond remains in full force and effect,and the following terms and conditions apply to this Bond: 1. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's guaranteeing that upon City's awarding the Contract to Principal,the Principal will enter into the Contract with City. 2. No right of action accrues on this Bond to any entity other than City or its successors and assigns. 3. If an action at law or in equity is necessary to enforce or interpret this Bond's terms,Surety must pay--in addition to the Bonded Sum—City's reasonable attorneys'fees and litigation costs,in an amount the court fixes. BF8of38 BIDDING FORMS 4. Surety shall mail City written notice at least 30 days before:(a)the effective date on which the Surety will cancel,terminate, or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. On the date set forth below,Principal and Surety duly executed this Bond,with the name of each party appearing below and signed by its representative(s)under the authority of its governing body. Date: PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By: By: (Name) (Name) Its: Its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: CORPORATE SEAL CORPORATE SEAL ■ EVIDENCE MUST BE ATTACHED OF THE AUTHORITY OFANY PERSON SIGNING AS ATTORNEY-IN-FACT. ■ THEATTORNEY-IN-FACTS SIGNATURE MUST BE NOTARIZED. ■ A CORPORATE SEAL MUST BE IMPRESSED ON THIS FORM WHEN THE PRINCIPAL,OR THE SURETY,OR BOTH,AREA CORPORATION. BF9of38 BIDDING FORMS BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ) ss. COUNTY OF ) On this day of . 20 before me, (name), a Notary Public for said County, personally appeared (name), who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of ,and acknowledged to me that he/she subscribed the name of _thereto as principal,and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. !Votary Public SEAL BF 10 of 38 BIDDING FORMS BIDDER'S STATEMENT OF QUALIFICATIONS 1. ORGANIZATION 1.1 How many years has your organization been in business as a Contractor? 1.2 How many years has your organization been in business under its present name? 1.2.1 Under what other names has your organization operated? 1.3 If your organization is a corporation, answer the following: 1.3.1 Date of incorporation/organization: 1.3.2 State of incorporation/organization: 1.3.3 Corporate ID number: 1.3.4 Name of President: 1.3.5 Agent for Service of Process: 1.4 If your organization is a partnership, answer the following: 1.4.1 Date of organization/formation: 1.4.2 Type of partnership(if applicable): 1.4.3 Name(s)of general partner(s): 1.4.4 List all states in which you are registered and state ID numbers for each: 1.5 If your organization is individually owned, answer the following: 1.5.1 Date of organization: 1.5.2 Name of owner: 1.6 If the form of your organization is other than those listed above,describe it and name the principals: BF 11 of 38 BIDDING FORMS 2. LICENSING 2.1 List jurisdictions in which your organization is legally qualified to do business, indicate registration or license numbers, and category of license, if applicable. 2.2 List jurisdictions in which your organization's partnership or trade name is filed. 2.3 List any licensing suspensions and/or violations assessed against your organization within the past five years. 3. EXPERIENCE 3.1 List the categories of Work that your organization normally performs with its own personnel. 3.2 On the Experience Form, list the project information that establishes that Bidder meets the essential requirements for qualification set forth in the Mandatory Qualifications paragraph of the Notice Inviting Bids for this Project. 3.3 (OPTIONAL): Have Subcontractors for(Insert specialty sub-contractors work) Work complete the Specialty Contractors'Statements of Qualifications(or Bidder to complete if self-performing). 3.4 On a separate sheet, list projects to which your firm or business has been awarded a government contract since your firm or business has been in existence (giving the name and address of the project,the government agency,contact name and phone number,the contract amount, and contract's starting date and ending date). 3.5 On a separate sheet,list the experience and present commitments of the key individuals of your organization. 4. CLAIMS; LAWSUITS; CRIMINAL ACTS For the following questions, the term "owner' does not include owners of stock in your firm if your firm is a publicly-traded corporation. 4.1 In the past five (5) years, have, you, your firm or any of its owners, partners, officers, or employees been a defendant in court, or participated in an arbitration or mediation, on a matter related to: BF 12 of 38 BIDDING FORMS 4.1.1 The performance, non-performance, default, violation, or breach of a contract or agreement? ❑ YES ❑ NO 4.1.2 A vehicle collision or accident involving your firm's employees? ❑ YES ❑ NO 4.1.3 Damage to real property arising out of your services or operations? ❑ YES ❑ NO 4.1.4 Employment-related litigation brought by an employee of your firm? ❑ YES ❑ NO 4.1.5 Payment to a subcontractor or supplier? ❑ YES ❑ NO 4.1.6 Defective,deficient,or substandard work? ❑ YES ❑ NO If the answer to any questions in 4.1.1 to 4.1.6 is YES, identify the name of the person or entity that sued (i.e., "the plaintiff") or was involved in the mediation or arbitration; list the date, court,court address, and case number; describe the facts and circumstances giving rise to the lawsuit, mediation,or arbitration;and set forth the outcome or disposition. Attach additional sheets as necessary. 4.2 Have you or your firm ever filed a claim for damages or a lawsuit, or requested arbitration or mediation, against a government entity or a Client? ❑ YES ❑ NO if YES, identify the government entity or client; list the date,court and case number; describe the facts and circumstances about the claim for damages,or the lawsuit, or both; and set forth the outcome or disposition. Attach additional sheets as necessary. 4.3 Are there any pending or outstanding judgments or liens against you, your firm, or any of its owners, partners,officers,or employees? ❑ YES ❑ NO If YES, identify the name of the person or entity entitled to payment; list the date court and case number; describe the facts and circumstances giving rise to the judgment or lien;and set forth the amount of the judgment or lien. Attach additional sheets if necessary. BF13of38 BIDDING FORMS 44 In the past five(5)years,has any government entity ever:(a)investigated,cited,disciplined, or assessed any penalties against you, your firm,or any of its owners, partners, officers,or employees, or(b) determined or concluded that your firm or any of its owners, partners, officers,or employees violated any laws, rules,or regulations? ❑ YES ❑ NO If YES, identify the government entity; list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 4.5 In the past five(5)years, have you, your firm or any of its owners, partners,officers or employees been convicted of a crime related to the bidding of a government contract,the awarding of a government contract, or the performance of a government contract? ("Convicted"includes a verdict of guilty by a judge or jury,a plea of guilty, a plea of nolo contendere, or a forfeiture of bail.) ❑ YES ❑ NO If YES, identify the government entity; list the date,court and case number,describe the facts and circumstances about each instance;and set forth the penalty or punishment imposed. Attach additional sheets as necessary. 4.6 In the past five(5)years, have you, your firm,or any of its owners, partners,officers or employees been convicted of a crime involving embezzlement,theft,fraud, forgery, bribery,deceptive or unlawful business practices, perjury,falsifying or destroying records or evidence,or receiving stolen property,or making or submitting a false claim? ❑ YES ❑ NO If YES, identify the crime or offense; list the date, court and case number, describe the facts and circumstances about each instance;and set forth the penalty or punishment imposed. Attach additional sheets as necessary. 47 Have you or, if Bidder is a corporation,any principal of the corporation ever been convicted of a felony? ❑ YES ❑ NO If YES, please explain the details of that conviction and, if so,whether you or said officer have served his or her sentence. 4.8 In the past five(5)years, has a government entity determined or concluded that you, your firm,or any of its owners, partners,officers or employees made or submitted a false claim (including a false claim for payment), or made a material misrepresentation? ❑ YES ❑ NO If YES, identify the government entity,and describe the facts and circumstances about each instance. Attach additional sheets as necessary. BF 14 of 38 BIDDING FORMS 4.9 Have you or your company ever been charged by any governmental agency for failure to follow safety procedures? If YES, please explain. ❑ YES ❑ NO 4.10 Has any governmental agency ever submitted a complaint against you or your firm to the California State Labor Commission for failure to submit certified payrolls? If your answer is"Yes", please provide the details of such complaint. ❑ YES ❑ NO 5. FIRM'S OPERATIONAL STATUS 5.1. In the past seven(7)years, has your firm,or anyone else acting on behalf of your firm,fled for bankruptcy, insolvency, receivership,or reorganization? ❑ YES ❑ NO If YES, list the filing date, identify the court and case number;describe the facts and circumstances giving rise to each instance; and set forth the disposition or current status. Attach additional sheets as necessary. 5.2. In the past five (5) years, has your firm had an consolidations, mergers, acquisitions, closings, layoffs or staff reductions? ❑ YES ❑ NO If YES, list the filing date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 5.3. Is your firm in the process of,or in negotiations toward: (a)consolidating, merging,selling, or closing its business,or(b)laying off employees or reducing staff? ❑ YES ❑ NO If YES, describe the transaction; list the anticipated date for completing the transaction, laying off employees,or reducing staff;and describe the facts,circumstances, and reason for taking the action. Attach additional sheets as necessary. 6. BIDDING; DEBARMENT; CONTRACT PERFORMANCE 6.1. Has a government entity ever debarred, disqualified, removed, suspended, or otherwise prevented you or your firm from bidding on, contracting, or completing a construction project? ❑ YES ❑ NO BF15of38 BIDDING FORMS If YES, identify the name of the government entity, list the date, and describe the facts and circumstances about each instance, and state the reason for the government entity's action against your firm. Attach additional sheets as necessary. 6.2. Has a government entity ever rejected your firm's Bid or Proposal on the ground that you or your firm is a"non-responsible"bidder or proposer? ❑ YES ❑ NO If YES, identify the name of the government entity, list the date,describe the facts and circumstances about each instance,and state the reason or basis for the govemment entity's determining that your firm was a"non-responsible"bidder. Attach additional sheets as necessary. 6.3. Have you or your firm ever failed to fulfill or perform — either partially or completely — a contract or an agreement with a government entity or a client? ❑ YES ❑ NO If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.4. In the past five(5)years, have you or any officer or principal of your firm been an officer of another firm which failed to perform a contract or agreement? ❑ YES ❑ NO If YES,list the date,and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.5. Has your firm ever advised a government entity or a client, while your firm was under contract with the govemment entity or client,that your firm could not(or would not)fulfill or perform—either partially or completely—the contract or the agreement based on the prices that your firm had originally submitted in a Bid or a Proposal? ❑ YES ❑ NO If YES, list the date, identify the name of the government entity or client, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6,6. Has your firm ever requested a government entity or a client, while your firm was under contract with the govemment entity or client,to renegotiate one or more terms of the existing contract or agreement? ❑ YES ❑ NO If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. BF 16 of 38 BIDDING FORMS 6 7. Has your firm ever requested a government entity or a client, while your firm was under contract with the government entity or client, to: (a) cancel the contract or agreement, or (b) release or discharge your firm form the contract or agreement? ❑ YES ❑ NO If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.8. Has a government entity or a client ever terminated, suspended,or non-renewed your firm's contract or agreement before its completion? ❑ YES ❑ NO If YES, identify the name of the government entity, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.9. Has a government entity or a client ever notified or advised your firm that your firm's performance under a contract or agreement was poor, sub-standard, deficient, or non- compliant? ❑ YES ❑ NO If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.10. In the past five (5) years, has your firm paid, or has your firm been assessed, liquidated damages on a contract or agreement? ❑ YES ❑ NO If YES, identify all such contracts/projects by owner, owner's address, the date of completion of the project,amount of liquidated damages assessed,and all other information necessary to fully explain the assessment or payment of liquidated damages. Attach additional sheets as necessary. 7. INSURANCE AND BONDS 7.1. In the past ten years, has an insurance company or a surety company: 7.1.1. Refused to insure your firm for liability coverage? ❑ YES ❑ NO 7.1.2. Canceled or non-renewed your firm's insurance coverage? ❑ YES ❑ NO 7.1.3. Refused to issue your firm a bond? ❑ YES ❑ NO BF17of38 BIDDING FORMS 7.1.4. Canceled or revoked a bond obtained by your firm? ❑ YES ❑ NO If the answer to any questions in 7.1.1 to 7.1.4 is YES, identify the name of the insurance company or surety company,list the date, and describe the facts and circumstances about each instance. Attach addition sheets as necessary. 7.2 In the past ten (10) years, has an insurance company or surety company made any payments on your firm's behalf as a result of a default,to satisfy any claims against a performance bond, payment bond,or maintenance bond issued on your firm's behalf? ❑ YES ❑ NO If YES, identify each contract completed or amount of each claim,the name and telephone number of the claimant, the date, grounds and current status of the claim, and if resolved, the method, nature, and amount of the resolution. Attach addition sheets as necessary. 8. SURETY 8.1 If a performance and/or payment bond is required by this bid,identify the bonding company if arrangements for the bond have been made; if not, identify the bonding company for the Contractor's most recent project: 8.2 Name and address of agent: All of the above statements as to experience, financial qualifications, and available plant and equipment are submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the information is guaranteed by the Bidder. I hereby certify under penalty of perjury under the laws of the state of California that the representation made herein are true and correct. Signature of Bidder BF 18 of 38 BIDDING FORMS BIDDER'S EXPERIENCE FORM PROJECT NAME: (Insert Project Names SPECIFICATION NO. (Insert Spec. Number) COMPANY NAME: ***Please use additional sheets if necessary List below the project information that establishes that Bidder meets the essential requirements for qualification set forth in the Mandatory Qualifications paragraph of the Notice Inviting Bids for this Project. CONTRACT CONTRACT CONTRACT CONTACT PHONE START DATE END DATE $AMOUNT PROJECT NAME ADDRESS CONTACT NAME NUMBER - - - - -- � - 1 2 3 All of the above statements as to experience are submitted in conjunction with the proposal,as a part thereof,and the truthfulness and accuracy of the information is guaranteed by the Bidder. I hereby certify under penalty of perjury under the laws of the state of California that the representation made herein are true and correct. Signature of Bidder Print name: State of California Contractor's License No. Contractor's License expiration date BF19of39 BIDDING FORMS CONTRACTOR SAFETY QUESTIONNAIRE Company Name: Primary Type of Work: Person Completing Form: Title: Phone Number: Date: SAFETY PERFORMANCE 1. List your company's Interstate Experience Rating Modifier(ERM)l for the three most recent years. 20 20 20 2. List your company's number of injuries/illnesses from your OSHA 300 logs for the three most recent years. 20 20 20 a. Fatalities b. OSHA recordable incidents c. Lost work day incidents d. Total lost work days e. Total hours worked 3. Please provide copies of the following items(a-g);and Items(d-g)for each listed Subcontractor a). OSHA 300 logs for the most recent three years e). Training Plans and current year-to-date b). Verification of ERM from your insurance carrier f). Training Certificates for Employees c). Injury/Illness Report g). Emergency Response Training d). Complete written Safety Program 4. Company Safety Contact: a. Name b. Phone ' ERM=applies to workers'compensation policies. It compares the experience of this contractor to others of similar size,type and ratio. Used against annual premium. It has a direct correlation to how much the contractor pays in workers'comp premium. BF 20 of 39 BIDDING FORMS CONTRACTOR SAFETY QUESTIONNAIRE (continued) SAFETY PROGRAM 1. SAFETY PROGRAM DOCUMENTATION Circle One a. Do you have a written safety program manual? Yes No 1) Last revision date _ b. Do you have a written safety field manual? Yes No c. Are all workers given a booklet that contains work rules, responsibilities, and other appropriate information? Yes No 2. POLICY AND MANAGEMENT SUPPORT a. Do you have a safety policy statement from an officer of Yes No the company? b. Do you have a disciplinary process for enforcement Yes No of your safety program? c. Does management set corporate safety goals? Yes No d. Does executive management review: ❑Accident reports? Yes No ❑ Safety statistics? Yes No ❑ Inspection reports? Yes No e. Do you safety pre-qualify subcontractors? Yes No f. Do you have a written policy on accident reporting Yes No and investigation? g. Do you have a light-duty, return-to-work policy? Yes No h. Is safety part of your supervisor's performance evaluation? Yes No i. Do you have a personal protective equipment(PPE)policy? Yes No j. Do you have a written substance abuse program? Yes No If yes,does it include(check all applicable boxes): ❑ Pre-employment testing ❑ Return-to-duty testing ❑ Random testing ❑ Disciplinary process ❑ Reasonable cause testing ❑Alcohol testing ❑ Post accident testing ❑ National Institute on Drug Abuse ❑ Panel Screen k. Does each level of management have assigned safety Yes No duties and responsibilities? BF 21 of 39 BIDDING FORMS 3. TRAINING AND ORIENTATION a. Do you conduct safety orientation training for each employee? Yes No b. Do you conduct site safety orientation for every Yes No person new to the job site? c. Does your safety program require safety training meetings? Yes No for each supervisor(foreman and above)? How often? ❑Weekly ❑ Monthly❑Quarterly ❑Annually ❑ Other. d. Do you hold tool box/tailgate safety meetings focused on your specific work operations/exposures? Yes No How often? ❑Weekly ❑ Daily ❑ Other e. Do you require equipment operation/certification training? Yes No 4. ADMINISTRATION AND PROCEDURES a. Does your written safety program address administrative procedures? Yes No If yes,check which apply: Pre project/task planning _Emergency procedures Record keeping _Audits/inspections Safety committees _Accident investigations/reporting HAZCOM _Training documentation Substance abuse prevention _Hazardous work permits Return-to-work _Subcontractor prequalification b. Do you have project safety committees? Yes No c. Do you conductjob site safety inspections? Yes No How often? ❑ Daily ❑ Weekly ❑ Monthly ❑ Other. Do these inspections includes a routine safety inspection of equipment(e.g.,scaffold, ladders,fire extinguishers, etc.)? Yes No d. Do you investigate accidents? Yes No How are they reported? ❑ Total company ❑ By superintendent ❑ By project ❑ By project manager ❑ By foreman ❑ In accordance with OSHA e. Do you discuss safety at all preconstruction and progress meetings? Yes No BF 22 of 39 BIDDING FORMS f. Do you perform rigging and lifting checks prior to lifting? Yes No ❑ For personnel ❑ For equipment ❑ Heavy lifts(more than 10,000 lbs.) 5. WORK RULES a. Do you periodically update work rules? Yes No When was the last update? b. What work practices are addressed by your work rules? ❑ CPR/first aid ❑Access—entrances/stairs ❑ Barricades, signs, ❑ Respiratory protection and signals ❑ Blasting ❑ Material handling/storage ❑Communications ❑Temporary heat ❑ Compressed air and gases ❑Vehicle safety ❑ Concrete work ❑Traffic control ❑Confined-space entry ❑Site visitor escorting ❑ Cranes/rigging and hoisting ❑ Public protection ❑ Electrical grounding ❑ Equipment guards and grounding ❑ Environmental controls and ❑ Monitoring equipment Occupational health ❑ Emergency procedures ❑ Flammable material handling/storage ❑ Fire protection and prevention ❑ Site sanitation ❑ Floor and wall openings ❑Trenching and excavating ❑ Fall protection ❑ Lockout/Tagout ❑ Housekeeping ❑ Energized/pressurized equipment ❑ Ladders and scaffolds ❑ Mechanical equipment/ ❑ Personal protective equipment maintenance/pre-op checks/ ❑Tools, power and hand operation ❑ Electrical power lines ❑Welding and cutting (hot work) ❑Other 6. OSHA INSPECTIONS a. Have you been inspected by OSHA in the last three years? Yes No b.Were these inspections in response to complaints? Yes No c. Have you been cited as a result of these inspections? Yes No If yes,describe the citations(add additional sheets if necessary): BF 23 of 39 BIDDING FORMS DESIGNATION OF SUBCONTRACTORS NAME OF BIDDER: Each Bidder must list, on the form provided on the next page, each Subcontractor who will perform work or labor or render service to the Contractor in or about the construction of the Work or improvement, or a Subcontractor licensed in the State of California who, under subcontract to the Contractor, specially fabricates and installs a portion of the Work or improvement according to detailed drawings contained in the Drawings and Specifications, in an amount in excess of one-half of one percent of the Contractor's Base Bid Amount. Each Subcontractor must have an active and current license, and all requisite specialty certifications, when listed. Bidder must provide the following information for EACH Subcontractor. 1. The name of the Subcontractor; 2. The trade and type of work that the Subcontractor will perform; 3. Location(address)of Subcontractor's place of business; 4. Subcontractor's license number; and any specialty licenses;and 5. Dollar value of the Work that the Subcontractor will perform. Subletting or subcontracting of any portion of the Work in excess of one-half of one percent of the Contractor's Base Bid to which no Subcontractor was designated in the original Bid shall only be permitted in cases of public emergency or necessity, and then only after a finding reduced to writing as a public record of the City setting forth the facts constituting the emergency or necessity. If the Contractor violates any of the above provisions the Contractor may be in breach of this Contract and the City may exercise the option, in its own discretion,to(1)cancel this Contract, or(2)assess the Contractor a penalty in an amount not more than ten percent(10%) of the amount of the subcontract involved, and this penalty shall be deposited in the fund out of which the prime Contract is awarded. If the Contractor fails to specify a Subcontractor, or if the Contractor specifies more than one Subcontractor for the same trade or type of Work to be performed under the Contract in excess of one-half of one percent of the Contractor's Base Bid Amount, then the Contractor agrees that he/she is fully qualified to perform that Work himself/herself,and that he/she shall perform that Work himself/herself. If after award of Contract, the Contractor subcontracts any such Work, the Contractor will be subject to the statutory penalties. DESIGNATION OF SUBCONTRACTORS FORM IS ON THE FOLLOWING PAGE BF 24 of 39 BIDDING FORMS DESIGNATION OF SUBCONTRACTORS (continued) Please type or legibly print(attach additional sheets as necessary). Trade and License Dollar($) Name of Subcontractor Type of Work Business Location Number Value to be Performed I BF25of39 BIDDING FORMS The Contractor shall not: A. Substitute any personas Subcontractor in place of the Subcontractor listed in the original Bid,except that the City may consent to the substitution of another person as Subcontractor in any of the following situations: 1. When the Subcontractor listed in the Bid,after having had a reasonable opportunity to do so,fails or refuses to execute a written contract for the scope of Work specified in the Subcontractor's bid and at the price specified in the Subcontractor's bid,when that written contract, based upon the general terms, conditions, Drawings and Specifications for the Project or the terms of Contractors written Bid, is presented to the Subcontractor by the Contractor; 2. When the listed Subcontractor becomes insolvent or the subject of an order for relief in bankruptcy; I When the listed Subcontractor fails or refuses to perform his/her subcontract; 4. When the listed Subcontractor fails or refuses to meet the bond requirements of the Contractor as set forth in Public Contract Code Section 4108; 5. When the Contractor demonstrates to the City that the name of the Subcontractor was listed as the result of an inadvertent clerical error; 6. When the listed Subcontractor is not licensed pursuant to the Contractors License Law; 7. When the City determines that the Work performed by the listed Subcontractor is substantially unsatisfactory and not in substantial accordance with the Drawings and Specifications, or that the Subcontractor is substantially delaying or disrupting the progress of the Work; 8. When the listed Subcontractor is ineligible to work on a public works project pursuant to Section 1777.1 or 1777.7 of the Labor Code;or 9. When the City determines that the listed Subcontractor is not a responsible contractor. B. Permit any subcontract to be voluntarily assigned or transferred or allow it to be performed by anyone other than the original Subcontractor listed in the original Bid,without the consent of the City. C. Other than in the performance of "change orders" causing changes or deviations from the original Contract, sublet or subcontract any portion of the Work in excess of one-half of one percent of the Contractors Base Bid Amount as to which his/her original Bid did not designate a Subcontractor. Prior to approval of the Contractors request for a Subcontractor substitution,the City shall give notice in writing to the listed Subcontractor of the Contractors request to substitute and of the reason for the request. The notice will be served by certified or registered mail to the last known address of the Subcontractor. The listed Subcontractor who has been so notified shall have five (5) Working Days within which to transmit to the City written objections to the substitution. Failure to file these written objections shall constitute the listed Subcontractors consent to the substitution. If written objections are fried, the City shall give notice in writing of at least five (5) Working Days to the listed Subcontractor of a hearing by the City on the Contractor's request for substitution. The Contractor, as a condition to asserting a claim of inadvertent clerical error in the listing of a Subcontractor, shall within two(2)Working Days after the time of the Bid Deadline,give written notice to the City and copies of such notice to both the Subcontractor he/she claims to have listed in error and the intended Subcontractor who had bid to the Contractor prior to the Bid Deadline. BF26of39 BIDDING FORMS QUESTIONNAIRE REGARDING SUBCONTRACTORS Bidder shall answer the following questions and submit with his/her Contract proposal. 1. Were bid depository or registry services used in obtaining subcontractors bid figures in order to compute your bid? Yes❑ No❑ 2. If the answer to No. 1 is"Yes", please forward a copy of the rules of each bid depository you used with this questionnaire. 3. Did you have any source of subcontractors' bids other than bid depositories? 4. Has any person or group threatened you with subcontractor boycotts, union boycotts, or other sanctions to attempt to convince you to use the services or abide by the rules of one or more bid depositories? Yes❑ No ❑ 5. If the answer to No.4 is"Yes", please explain the following details: (a) Date: (b) Name of person or group: (c) Job involved(if applicable): (d) Nature of the threats: (e) Additional comments: (Use additional paper if necessary) 6. Was a conscious effort made to recruit or provide equal opportunity for bids by minority or project area subcontractors? Yes❑ No❑ 7. Was a conscious effort made to recruit and hire project area lower-income residents? Yes❑ No❑ Please submit statement. 8. We declare under penalty of perjury that the foregoing is true and correct. Dated this day of , 20 All of the above statements as to experience,financial qualifications,and available plant and equipment are submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the information is guaranteed by the bidder. Name of Company By: Title: BF 27 of 39 BIDDING FORMS (OPTIONAL) SPECIALTY CONTRACTOR OR SUBCONTRACTOR STATEMENT OF QUALIFICATIONS (INSERT SPECIALTY CONTRACTOR OR SUBCONTRACTOR WORK) As part of its Bid, Bidder shall submit this Statement of Qualifications for the Subcontractor that will perform the {Insert specialty sub-contractor work}, or for the Bidder itself, if Bidder will self-perform the (insert specialty sub-contractor work)Work.This information shall provide evidence to indicate successful experience in providing(Insert specialty sub- contractor work)work comparable to that specified in the Project Drawings and Specifications. Referenced qualifications shall demonstrate experience as a successful installer of(insert description of the work to be performed). A Bid may be rejected as non-responsive if Bidder fails to provide this completed form with the Bid or submits this form with inaccurate information. Mandatory qualifications: (OPTION 1)Specialty Contractor(or Bidder, if self-performing)shall possess a valid (Insert applicable license number for the specified specialty sub-contractor work) California Contractors License at the time of the Bid Deadline and at all times during performance of the Work and shall establish that it satisfactorily completed at least(insert number of projects)(J projects as the installer of a minimum of{Insert description of the work to be performed);each comparable in scope and complexity to this Project,within(insert number of years)(-)years prior to the Bid Deadline. Note: (If applicable,insert any special notes). (OPTION 2)Specialty Contractor(or Bidder,if self-performing)shall possess a valid(Insert Applicable license number for the specified specialty sub-contractor work)California Contractors License at the time of the Bid Deadline and at all times during performance of the Work and shall establish that it satisfactorily completed at least(insert number of projects)public contracts for construction of a new(insert type of project)in California;each(staff choose(1)comparable in scope and complexity to this Project, or(2)description or work to be performed)within (insert number of years)(� years prior to the Bid Deadline. Specialty Contractor Name: Project Manager I Foreman: Phone No: E-mail: COMPARABLE PROJECTS(Provide(insert same#of projects as listed above) 1. Project Name: Address: Date Completed: Reference/Contact Name: Reference I Contact Phone No: Description of work performed: Project Name: Address: Date Completed: BF 28 of 39 BIDDING FORMS Reference I Contact Name: Reference 1 Contact Phone No: Description of work performed: I Project Name: Address: Date Completed: Reference I Contact Name: Reference 1 Contact Phone No: Description of work performed: 4. Project Name: Address: Date Completed: Reference 1 Contact Name: Reference J Contact Phone No: Description of work performed: BF 29 of 39 BIDDING FORMS CONTRACTOR'S AFFIDAVIT OF NONCOLLUSION STATE OF CALIFORNIA ) COUNTY OF ) being first duly swom,deposes and says: 1. That he/she is the (Title of office if a corporation, "sole owner," "Partner," or other proper title)of ,(hereinafter called"Contractor") who has submitted to the City of Vernon a Bid for the construction of the(INSERT PROJECT NAME); 2. That said Bid is genuine;that the same is not sham;that all statements of fact therein are true; 3. That said Bid is not made in the interest or behalf of any person, partnership, company, association, organization,or corporation not named or disclosed; 4. That Contractor did not, directly or indirectly induce, solicit, agree, collude, conspire or contrive with anyone else to submit a false or sham bid,to refrain from bidding, or withdraw his/her bid,to raise or fix the Bid price of Contractor or of anyone else, or to raise or fix any overhead profit, or cost element of Contractor's price or the price of anyone else; and did not attempt to induce action prejudicial to the interests of the City of Vernon,or of any other Bidder,or anyone else interested in the proposed Contract; 5. That the Contractor has not in any manner sought by collusion to secure for himself an advantage over any other Bidders or induce action prejudicial to the interests of the City of Vernon or of any other Bidder, or anyone else interested in the proposed Contract; 6. That the Contractor has not accepted any bid from any Subcontractor or material supplier through any bid depository, the bylaws, rules or regulations of which prohibit or prevent the Contractor from considering any bid from any Subcontractor or material supplier,which is not processed through said bid depository, or which prevent any Subcontractor or material supplier from bidding to any Contractor who does not use the facilities of or accept bids from or through such bid depository; 7. That the Contractor did not, directly or indirectly, submit the Contractor's Bid price or any breakdown thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation, partnership,company,association, organization, bid depository,or to any member or agent thereof,or BF 30 of 39 BIDDING FORMS to any individual or group of individuals, except to the City of Vernon, or to any person or persons who have partnership or other financial interest with said Contractor in his/her business. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Dated this day of at MonthNear City State Contractor (Please Print) Contractors Signature Title CONTRACTOR'S SIGNATURE MUST BE NOTARIZED BF 31 of 39 BIDDING FORMS THE BIDDER'S INSURANCE COMPANY(S) OR INSURANCE AGENT MUST COMPLETE THIS FORM AND THE BIDDER MUST SUBMIT THIS CERTIFICATION WITH THE BID FORMS. I, the undersigned (Please check one box) 5 underwriter ri agent, certify that i and the Contractor listed below have jointly reviewed the"Insurance Requirements"in these Bidding Documents and the Contract Documents. If the City of Vernon ("City") awards the Contractor the Contract for this project, I will be able—within fourteen (14)calendar days after the Contractor is notified of the Contract's award—to furnish the City with valid insurance forms(including one or more insurance certificates and additional insured endorsements)that fully meet all of the Insurance Requirements. Name of Insurance Company Date Insurance Agent's Name(Printed) Insurance Agent's Name (signature) Address Gty State Zip Code Telephone Number FAX Number Email Address Contractor's Name City Specification Number Below State the Name of Insurance Company Providing Coverage: DO NOT write"Will Provide,"'To Be Determined,""When Required,"or similar phrases. Commercial General Liability Automobile Liability Workers'Compensation Liability City Will Purchase Policy, if required Builders Risk Pollution Liability [NOTE TO CONTRACTOR: See"Insurance Requirements"EXHIBIT 4 of the Contract for the requirement of obtaining Pollution Liability Insurance.] NOTE TO THE UNDERWRITER l AGENT: If the insurance forms that the Contractor submits to the City do not fully comply with the Insurance Requirements, and/or if the Contractor fails to submit the forms within the 14-day time limit, the City may:(1)declare the Contractor's Bid non-responsive,and(2)award the Contract to the next lowest responsible Bidder. BF32of39 STANDARD FORM OF CONSTRUCTION CONTRACT BETWEEN CITY AND CONTRACTOR This Agreement is made and entered into at Vernon, California this_day of 20____, by and between the CITY OF VERNON, a chartered municipal corporation (hereinafter"City")and a [Insert State of Incorporation) corporation (hereinafter "Contractor"),for construction of(INSERT PROJECT NAME). THE PARTIES HERETO AGREE AS FOLLOWS: 1. CONTRACT DOCUMENTS The"Contract Documents"except for modifications issued after execution of this Agreement,shall consist of the following documents which are either attached hereto as exhibits or are incorporated into this Agreement by this reference, with the same force and effect as if set forth at length herein: A. Governmental Approvals including, but not limited to, permits required for the Work; B. This Agreement; C. Exhibit 1 —Performance Bond; D. Exhibit 2—Payment Bond; E. Exhibit 3—Maintenance Bond F. Exhibit 4—Insurance Requirements ; G. Notice Inviting Bids; H. Instructions to Bidders; I. Bid Forms; J. Designation of Subcontractors;and K. Bidding Addenda Nos. 2. REFERENCE DOCUMENTS The following Reference Documents are not considered Contract Documents and were provided to the Contractor for informational purposes. Contractor may rely upon the technical data contained in such documents but not upon non- technical data, interpretations, opinions or provisional statements contained therein: A. Geotechnical Reports dated STANDARD CONTRACT FORM 33 B. Sewer Utility Plans C. Gist additional documents) 3. SCOPE OF WORK Within the Contract Time and far the stated Contract Sum,subject to adjustments thereto,and pursuant to the Contract Documents, the Contractor shall perform and provide all necessary: labor; services; supervision; materials; tools; equipment; apparatus; facilities; supplies; tools; permits, inspections, plan checks, and similar Governmental Approvals;temporary utilities;utility connections;and transportation necessary to complete the Work in strict conformity with the Contract Documents for: {INSERT PROJECT NAME} Specification No. XXXX 4. TIME FOR PERFORMANCE Contract Time. Contractor shall achieve Substantial Completion of the Work within calendar days from the Date of Commencement established in City's written Notice to Proceed ("Contract Time'), subject to adjustment in accordance with the Contract Documents. Contractor shall achieve Final Completion of the Work,within the time established by the Certificate of Substantial Completion issued by the City. The Contract Time may only be adjusted as permitted by this Construction Contract and the General Conditions. Time is of the essence of this Agreement. Except when the Contract Documents state otherwise,time is of the essence in the performance of the Work. Contractor acknowledges that the time limits and deadlines set forth in the Contract Documents are reasonable for Contractor to perform and complete the Work. Liquidated Damages. If Contractor fails to achieve Substantial Completion of the entire Work within the Contract Time for Substantial Completion, Contractor shall pay City as liquidated damages the amount of ($ ) per day for each calendar day occurring after the expiration of the Contract Time for Substantial Completion until Contractor achieves Substantial Completion of the entire Work, as required by Article 3 of the General Conditions of Contract. Contractor Initial here: STANDARD CONTRACT FORM 34 5. CONTRACT SUM In consideration of the Contractor's full,complete,timely,and faithful performance of the Work required by the Contract Documents, City shall pay Contractor the sum of dollars/no cents ($ ), payable as set forth in the General Conditions("Contract Sum"). (Optional:The actual direct cost of all Permit Fees is excluded from the Contract Sum,however Contractors cost of administration and coordination of all Governmental Approvals and Utility Fees is included in the Contract Sum.) 6. (Optional: PERMIT FEE REIMBURSEMENT In accordance with Paragraph 1.03 of the General Conditions,the City shall reimburse Contractor for the documented actual direct cost of Permit Fees,without Allowable Mark-up, in addition to payment of the Contract Sum.) IN WITNESS WHEREOF,the parties have caused this Contract to be executed the date and year first above written. Executed at .California. [Contractors Corporate Seal] [Contractor]: An Authorized Signatory Printed Name: Title: Date: CITY OF VERNON: APPROVED AS TO FORM: By: By: Name: Name: Title: Title: Rate: ATTEST: By: Name: Title: CONTRACTOR'S SIGNATURE MUST BE NOTARIZED STANDARD CONTRACT FORM 35 LIVING WAGE COMPLIANCE CERTIFICATION This contract is subject to the City of Vernon's Living Wage Ordinance, Vernon Municipal Code Chapter 2, Article XVIII ("Ordinance"). The Ordinance requires that service contractors providing labor or services to the City by contract in excess of$25,000: ♦ Pay no less than ten dollars and thirty cents ($10.30)per hour with medical benefits, or eleven dollars and fifty-five cents($11.55)per hour without medical benefits to all employees, as defined in the Ordinance who, at any time,provide labor or delivery services to the City of Vernon. Additionally, on July 1 st of each year thereafter the Living Wage rate shall be adjusted by the change in the Federal Bureau of Labor Statistics Consumer Price Index, for the Los Angeles area, for the most recently available 12 month period. Accordingly, current City contractors will be required to adjust wage rates no later than July 1 st, to remain in compliance. ♦ Notify employees who spend any of their time providing labor or delivering services to the City of Vernon who make less than twelve dollars ($12)per hour of their possible right to the federal Earned Income Tax Credit(EITC)under § 32 of the Internal Revenue Code of 1954, 26 U.S.C. § 32, and making available to such employees forms required to secure advance EITC payments. ♦ If there is a difference between the Vernon Living Wage rates and the California Prevailing wage rates for the same classification of labor, the Contractor and subcontractor shall not pay less than the highest wage rate for that classification. The selected contractor will be required to show compliance with the Living Wage Ordinance by submitting payroll records as requested by the City. Each record shall include the full name of each employee performing labor or providing services under the contract;job classification; rate of pay and benefit rate. Provisions of the Living Wage Ordinance may be waived in a bona fide collective bargaining agreement,but only if the waiver is explicitly set forth in clear and unambiguous terms. If this provision applies, you must provide a copy of the collective bargaining agreement to the City. I do hereby certify and declare under penalty of perjury that if awarded the contract for which this bid/proposal is made. will comply with the (Name of Company) requirements of the Vernon Living Wage Ordinance, Vernon Municipal Code Chapter 2 Article XVIII and the rules and regulations promulgated thereunder. I understand that failure to comply with the provisions of the Vernon Living Wage Ordinance may result in termination of the contract as well as other penalties as stated in Vernon Municipal Code Chapter 2 Article XVIII. (Name) (Title) (Signature) (Date) Please return this form with your bid/proposal. Questions concerning the Living Wage Ordinance should be directed to the Department of Finance—Purchasing Division 323.583.8811. STANDARD CONTRACT FORM 36 Of VER CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES Purchasing&Payables Division 4305 Santa Fe AvenueVernon,CA 90058 (323)583-8811 Fax(323)826-1433 Internet: www.cityofvernon.org/departments/finance Article I. Affidavit of Equal Opportunity Employment& Non-segregation(Form AA-1) Article II. Vendor List Questionnaire(Forms AA-2&3) In order to be placed to the City's vendor list and be eligible to receive City business,you must provide the following information except where indicated as "optional." By submitting this form you are declaring under penalty of perjury under the laws of the State of California and the laws of the United States that the information is true and correct. Furthermore, you are certifying that your firm will adhere to equal opportunity employment practices to assure that applicants and employees are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex or age. And, your firm does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location, under its control,where segregated facilities are maintained. Name of Company: Business Telephone Address: Fax number: (optional) City _ State Zip Contact Person E-mail Address (optional) Tax ID Number(or Social Security Number) Remit Address (if different) Please state clearly and concisely the type(s) of goods and services your company provides: The following section is OPTIONAL and is for statistical reporting purposes only. Ownership(please check all that apply): African-American Asian_ Armenian Hispanic Native American Disabled Female STANDARD CONTRACT FORM 0 BIDDING FORMS Proiect Workforce Utilization (Form AA-2) This form is to be included in all bid documents for projects involving labor or services valued at $25,000 or more. Instructions: Please indicate the job titles/classifications to be used in the performance of this contract should it be awarded to your firm. Please indicate the number of employees in each job classification as well as the number of new hires, if any, as a result of this contract. Name of Company: Project: Job Titles/Classification Estimated number of existing staff to be employed Estimated number of new hires to be employed in this classification if awarded the contract in this classification if awarded the contract Are any current employees or potential new hires Vernon residents? If so, how many? STANDARD CONTRACT FORM 1 BIDDING FORMS Current Permanent Workforce Utilization (Form AA-3) OPTIONAL Name of Company: Project: Completion of this form is OPTIONAL. Any information supplied by vendors is for reporting purposes only and will not be factored into the award of any contract. Instructions: Please indicate the number of employees in each Job Classification belonging to the following groups. White African-American Hispanic Asian/Pacific Native Armenian Male Female (not of Hispanic (not of Hispanic Islander American origin) origin) CLASSIFICATION Officials/ Managers Professionals Technicians Office/Clerical Skilled Craft Workers Operators semi-skilled) Laborers Service Workers TOTAL STANDARD CONTRACT FORM 2 r Yh � n RECEIVED RECEME® �r``•`4LT 1"9V��,�� FEB 2 3 2015 FEB 24 2015 STAFF REPORT CITY ADMINISTRATION CITY CLERK'S OFFICE FIRE DEPARTMENT DATE: March 3, 2015 TO: Honorable Mayor and City Council FROM: Michael A. Wilson, Fire ChiefAe� RE: Approval of the 2014 UASI Subrecipient Agreement between the City of Los Angeles and the City of Vernon in connection with the Fiscal Year 2014 Urban Security Initiative Grant Program Recommendation It is recommended that the City Council: 1. Find that approval of the Agreement proposed in this staff report is exempt under the California Environmental Quality Act (CEQA) in accordance with Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment. 2. Adopt the attached resolution approving and authorizing the City's participation in the 2014 Urban Areas Security Initiative Grant Program, approving and authorizing the execution of an agreement by and between the City of Vernon and the City of Los Angeles, and authorizing the execution of documents necessary to obtain the grant. The City of Los Angeles has approved and awarded 2014 UASI grant funds in the amount of $898,507.00 to the City of Vernon's Fire and Police Departments. Background The U.S. Department of Homeland Security, through the Grant Programs Directorate within the Federal Emergency Management Agency, provides financial assistance to the Los Angeles/Long Beach Urban Area ("LA/LBUA"). The LA/LBUA consists of the City of Los Angeles, the City of Long Beach, the unincorporated area of the County of Los Angeles, and participating jurisdictions. Funding for the UASI grants is determined by using a formula based upon a combination of current threat estimates critical assets within the urban area, and population density. Core cities and core counties were identified and established urban areas including jurisdictions contiguous to the core city and county. Under the UASI grant, the City of Los Angeles is considered the "core city." Since the City of Vernon falls within the 10-mile buffer zone and is within the threat level of the core city, the City of Vernon is eligible to obtain grant funds. The objective of the UASI grant program is to address unique planning, equipment, and training requirements and to address the needs of large urban areas, while at the same time, helping core cities and core counties build an enhanced and sustainable capacity to prevent, respond to, and recover from threats or acts of terrorism. It is recommended that the City participate in the 2014 UASI grant program as it will allow the Fire and Police departments to purchase additional equipment to improve the City's response capabilities for threats or acts of terrorism. On November 25, 2014, the Los Angeles City Council accepted the awarded 2014 UASI grant funds. The grant performance period began on September 1, 2014. All purchases for this grant must be processed to the City of Los Angeles before the end of the performance period on May 31, 2016. Of the $898,507.00 awarded to the City of Vernon Fire and Police Departments, $828,507.00 has been allocated to the Fire Department to fund the purchase of chemical, biological, radiological, nuclear and explosive ("CBRNE"), Hazardous Materials and Urban Search & Rescue training and equipment. The Police Department has been allocated $70,000.00 to fund the purchase of Physical Security Enhancement Equipment and Personal Protective Equipment. These proposed purchases are specifically identified in the attached Project List/Budget. The 2014 UASI grant is administered for the LA/LBUA by the City of Los Angeles and is overseen by the California Governor's Office of Emergency Services. The 2014 UASI Subrecipient Agreement between the City of Los Angeles and the City of Vernon is attached as Exhibit A to the Resolution. For additional background information and time frames, the following documents are provided and attached to this staff report: 1. UASI 14 Exhibit Block — These documents explain UASI grant guidelines, reimbursement processes and project implementation. 2. Project List/Budget—A proposed grant budget/project list for your review. 3. Project Timeline- A general subrecipient project timeline is included for your reference. 4. Contract Execution Checklist—This can be used as a reference for executing this Agreement. Fiscal Impact The 2014 UASI grant is 100% reimbursable and there are no cost-share or match requirements. The City of Los Angeles will reimburse the City of Vernon for all purchased equipment up to the awarded grant funds. To receive reimbursement for equipment purchased using grant funds, the Fire and Police departments will be responsible for submitting all required documents/paperwork to the City of Los Angeles, demonstrating that the items were delivered and paid within the specified time frame. Attachment 3 UASI 14 Detailed Budget Proiect Sub- LA/LB Funding Solution Expenditure Sub-Line#'s Master Item#'s Letter Item# Line# IJ# Jurisdiction Department Project Name Source Disc Area Sub-Solution Category Total Allocated Total Allocated $898,507.00 $0.00 LACPCA ALPR Enhancement Physical Security B 7 18 2 'Vernon Police Department Project UASI LE Equip Enhancement N/A $ 70,000.00 Equipment F 31 57 3 Wernon Fire Department CBRNE Training UASI FS Train Staff Expenses OT/Backfill $ 45.989.00 Regional Training Center Props Course Delivery and O 78 153 4 Wernon Fire Department and Equipment UASI FS Train Evaluation training Equip $ 300,000.00 Urban Search and Rescue Custom- CBRNE Search and P 100 221 4 Wernon Fire Department Cab Tractors UASI FS Equip Rescue E ui ment N/A $ 400,000.00 P 100 222 4 'Vernon Fire Department Urban Search and Rescue Teams UASI FS Equip CBRNE Search and N/A $ 82.518.00 Training and PPE/Equipment Rescue Equipment FMFW v1.14-06114 UASI 2014 Sub Recipient Agreement Timeline Category/TopicSection $201 Contract Term September 1,2014-May 31, 2016 §202(C) (2) Budget Modification Requests Every 30 days- 151h of every month § 202(C) (3) Final Modification Reque5t5 February 28, 2016 § 202 (D} Project Timeline tanuary 2015; May 2015; September 2015; January 2016 § 202(G)(10) Aviation, E C, F HP Requests March 15,2015 § 301 (B)(2) Reimbursement Requests Once project completer every Payment 30 days § 301 (B)(2) Final Reimbursement Request March Al,2016 Contract Execution Checklist for Subrecipients El Review the contract Questions and errors should be reviewed with your contractspecialist ❑ Two copies of the contract with wet The Los Angeles City Clerk keeps one executed original copy and then signatures mails the other executed original copy to the subrecipient. No stamped signatures, or photocopies allowed Three Signatures are Required: City Representative: If someone other than the Mayor or City Manager is 1. City Representative: Mayor permitted to sign the contract, the subrecipient must provide the City of and/or City Manager Los Angeles a City Resolution authorizing the particular person signing 2. Attestation of the City Clerk said contract 3. City Attorney City Seal A City Seal is always required unless there is none for the particular subrecipient RESOLUTION NO . A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF VERNON APPROVING AND AUTHORIZING THE CITY' S PARTICIPATION IN THE 2014 URBAN AREAS SECURITY INITIATIVE GRANT PROGRAM, APPROVING AND AUTHORIZING THE EXECUTION OF AN AGREEMENT BY AND BETWEEN THE CITY OF VERNON AND THE CITY OF LOS ANGELES, AND AUTHORIZING THE EXECUTION OF DOCUMENTS NECESSARY TO OBTAIN THE GRANT WHEREAS, the U. S . Department of Homeland Security ("DHS" ) , through the Grant Programs Directorate within the Federal Emergency Management Authority (collectively the "Grantor" ) , has awarded a 2014 Urban Areas Security Initiative ("UASI" ) Grant of $56, 025, 000 . 00 to the City of Los Angeles for equipment, planning, exercises, organizational activities and training; and WHEREAS, the City of Los Angeles has approved and awarded 2014 UASI grant funds in the total amount of $898 , 507 . 00 to the Vernon Fire and Police Departments; and WHEREAS, the Grantor has allocated the sum of $828 , 507 . 00 to the Vernon Fire Department to fund the purchase of chemical, biological, radiological, nuclear and explosive ( "CBRNE" ) , Hazardous Materials and Urban Search & Rescue training and equipment; and WHEREAS, the Grantor has allocated the sum of $70, 000 . 00 to the Vernon Police Department to fund the purchase of Physical Security Enhancement Equipment and Personal Protective Equipment; and WHEREAS, the City of Los Angeles requires a formal agreement between the City and the City of Los Angeles setting forth the terms and conditions governing the disbursement and use of 2014 UASI grant funds (the "Agreement" ) prior to disbursing said funds to the City; and WHEREAS, City staff has recommended that the City participate in the 2014 UASI Grant Program and that the City Council approve and authorize the execution of the necessary documents to receive funding under said Program; and WHEREAS, the City Council desires to participate in the 2014 UASI Grant Program and approve and authorize the execution of necessary documents to receive 2014 UASI grant funds in the total sum of $898, 507 . 00 . NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF VERNON AS FOLLOWS: SECTION 1 : The City Council of the City of Vernon hereby finds and determines that the above recitals are true and correct . SECTION 2 : The City Council of the City of Vernon finds that this action is exempt under the California Environmental Quality Act (CEQA) , in accordance with Section 15061 (b) (3) , the general rule that CEQA only applies to projects that may have an effect on the environment . SECTION 3 : The City Council of the City of Vernon hereby approves the City' s participation in the 2014 UASI Grant Program. SECTION 4 : The City Council of the City of Vernon hereby approves the Agreement with the City of Los Angeles, in substantially the same form as the copy which is attached hereto as Exhibit A. SECTION 5 : The City Council of the City of Vernon hereby authorizes the Mayor or Mayor Pro-Tem to execute said Agreement for, and on behalf of, the City of Vernon and the City Clerk, or Deputy City Clerk, is hereby authorized to attest thereto. SECTION 6 : The City Council of the City of Vernon hereby instructs the City Administrator, or his designee, to execute any and all documents necessary to secure the grant funds and implement and - 2 - carry out the terms of the Agreement, including the Certifications regarding debarment, lobbying and drug-free requirements attached hereto and incorporated herein as Exhibits B, C, and D, respectively, and to take whatever action is deemed necessary or desirable for the purpose of implementing and carrying out the purposes specified in the Agreement for, and on behalf of, the City of Vernon. SECTION 7 : The City Council of the City of Vernon hereby directs the City Clerk, or the City Clerk' s designee, to send two executed Agreements to: Office of the Mayor, Homeland Security and Public Safety Attention: Kristina Gannon 200 N. Spring Street, Room 303 Los Angeles, CA 90012 - 3 - SECTION 8 : The City Clerk, or Deputy City Clerk, of the City of Vernon shall certify to the passage, approval and adoption of this resolution, and the City Clerk, or Deputy City Clerk, of the City of Vernon shall cause this resolution and the City Clerk' s, or Deputy City Clerk' s, certification to be entered in the File of Resolutions of the Council of this City. APPROVED AND ADOPTED this 3rd day of March, 2015 . Name : Title : Mayor / Mayor Pro-Tem ATTEST: City Clerk / Deputy City Clerk APPR,QVED AS TO FORM: /"--j4/,� Zayre N. Moussa, Deputy City Attorney I 4 - STATE OF CALIFORNIA } } ss COUNTY OF LOS ANGELES ) I, City Clerk / Deputy City Clerk of the City of Vernon, do hereby certify that the foregoing Resolution, being Resolution No. , was duly passed, approved and adopted by the City Council of the City of Vernon at a regular meeting of the City Council duly held on Tuesday, March 3, 2015 , and thereafter was duly signed by the Mayor or Mayor Pro-Tem of the City of Vernon. Executed this day of March, 2015, at Vernon, California. City Clerk / Deputy City Clerk (SEAL) - 5 - EXHIBIT A y QF LOS A SUBRECIPIENT AGREEMENT Jurisdiction: City of Vernon Title: FY 2014 Urban Area Security Initiative (UASI) Grant Program City Contract Number TABLE OF CONTENTS Section Section Title Page Number Number I. INTRODUCTION 3 101. Parties to the Agreement.....................................................................................3 102. Representatives of the Parties and Service of Notices........................................3 §103. Independent Party ...............................................................................................4 §-104. Conditions Precedent to Execution of This Agreement........................................4 II. TERM AND SERVICES TO BE PROVIDED 5 §201. Time of Performance ...........................................................................................5 §202. Use of Grant Funds .............................................................................................5 III. PAYMENT 13 301. Payment of Grant Funds and Method of Payment.............................................13 IV. STANDARD PROVISIONS 16 §401. Construction of Provisions and Titles Herein .....................................................16 §402. Applicable Law, Interpretation and Enforcement ...............................................16 §403. Integrated Agreement........................................................................................16 404. Excusable Delays ..............................................................................................16 405. Breach ...............................................................................................................17 §406. Prohibition Against Assignment or Delegation...................................................17 407. Permits ..............................................................................................................17 408. Nondiscrimination and Affirmative Action ..........................................................17 §!ja Bonds ................................................................................................................17 §410. Indemnification...................................................................................................18 &411. Conflict of Interest..............................................................................................18 412. Restriction on Disclosures .................................................................................20 §413. Minority, Women, and Other Business Enterprise Outreach Program...............20 §414. Publications and Use of Grantor Markings ........................................................20 415. Compliance with State and Federal Statutes and Regulations..........................21 416. Inventions, Patents and Copyrights ...................................................................35 V. DEFAULTS, AMENDMENTS, AND AGREEMENT 37 501. Defaults .............................................................................................................37 §502. Amendments......................................................................................................37 §503. Complete Agreement.........................................................................................37 SignaturePage..............................................................................................37 UASI 14 Subrecipient Agreement i EXHIBITS Exhibit A Insurance (Not applicable to this Agreement) Exhibit B Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion Lower Tier Covered Transactions Exhibit C Certification Regarding Lobbying Exhibit D Certification Regarding Drug Free Requirements Exhibit E. Grant Assurances Exhibit F Grant Guidance Materials Exhibit G Workbook Ledgers Exhibit H Modification Request Form Exhibit I Sole Source Request Form Exhibit J Reimbursement Request Form Exhibit K CaIOES Approved Forms Exhibit L Technology Standards UASI 14 Subrecipient Agreement >i AGREEMENT NUMBER _ OF CITY CONTRACTS BETWEEN THE CITY OF LOS ANGELES AND THE CITY OF VERNON THIS SUBRECIPIENT AGREEMENT ("Agreement" or "Contract") is made and entered into by and between the City of Los Angeles, a municipal corporation (the "City"), and the City of Vernon, a municipal corporation (the "Subgrantee" or "Subrecipient"). WITNESSETH WHEREAS, the U.S. Department of Homeland Security ("DHS"), through the Grant Programs Directorate within the Federal Emergency Management Agency ("FEMA" and along with DHS, collectively "Grantor"), has provided financial assistance to the Los Angeles/Long Beach Urban Area ("LAILBUA") through the Fiscal Year (FY) 2014 Urban Areas Security Initiative Grant Program ("UASI 14" or the "Grant"), Catalog of Federal Domestic Assistance ("CFDA") 97.067 in the amount of Fifty Six Million Twenty Five Thousand Dollars, $56,025,000 ("Grant Funds"), such Grant Funds having been awarded by Grantor to the City, as a Core City, for use in the LA/LBUA and such Grant having been accepted by the City Council on November 25, 2014 (C.F. #14- 0820); and WHEREAS, the LA/LBUA consists of the City of Los Angeles, the City of Long Beach, the unincorporated area of the County of Los Angeles, and participating jurisdictions, including the Subrecipient; and WHEREAS, the Grant is administered for the LA/LBUA by the City of Los Angeles and is overseen by the California Governor's Office of Emergency Services ("CalOES"); and WHEREAS, the Grant is being provided to support the development, sustainment and delivery of core capabilities essential to achieving National Preparedness Goal by addressing the unique equipment, training, planning, organization, and exercise needs of the LA/LBUA, and assisting it in building an enhanced and sustainable capacity to prevent, protect against, mitigate, respond to, and recover from acts of terrorism; and WHEREAS, the City has designated the Office of the Mayor, Office of Homeland Security and Public Safety ("Mayor's Office") to provide for the proper monitoring of the funding and administration of the Grant; and WHEREAS, the Mayor's Office wishes to disburse UASI 14 Grant Funds allocated to the Subrecipient as a participating jurisdiction in the LA/LBUA in accordance with this Agreement; and UASI 14 Subrecipient Agreement t WHEREAS, the City and Subrecipient are desirous of executing this Agreement as authorized by the Los Angeles City Council and the Mayor (C.F.# 14-0820, dated November 25, 2014). NOW, THEREFORE, in consideration of the mutual covenants set forth herein and the mutual benefits to be derived therefrom, the City and the Subrecipient (each a "Party" and collectively, the "Parties") agree as follows: [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK) UASI 14 Subrecipient Agreement 2 I. INTRODUCTION §101. Parties to the Agreement The Parties to this Agreement are: A. The City of Los Angeles, a municipal corporation, having its principal office at 200 N. Spring Street, Los Angeles, California 90012; and B. The City of Vernon, a municipal corporation, having its principal office at 4305 S. Santa Fe Avenue, Vernon, California 90058. §102. Representatives of the Parties and Service of Notices A. The representatives of the respective parties who are authorized to administer this Agreement and to whom formal notices, demands and communications shall be given are as follows: 1. The representative of the City of Los Angeles shall be, unless otherwise stated in this Agreement: Eileen Decker, Deputy Mayor Office of the Mayor, Homeland Security and Public Safety 200 N. Spring Street, Room 303 Los Angeles, California 90012 Phone: (213) 978-0687 Fax: (213) 978-0718 Eileen.Decker@lacity.org 2. The representative of the City of Vernon shall be: Michael Wilson, Fire Chief Vernon Fire Department 4305 S. Santa Fe Avenue Vernon, California 90058 Phone: (323) 583-8811, Ext. 287 Email: mwilson@ci.vernon.ca.us With a copy to: David Lazar, Battalion Chief Vernon Fire Department 4305 S. Santa Fe Avenue Vernon, California 90058 Phone: (323) 583-8811, Ext.511 Email: dlazar@ci.vernon.ca.us B. Formal notices, demands and communications to be given hereunder by either party shall be made in writing and may be effected by personal delivery or by registered or certified mail, postage prepaid, return receipt requested and shall be deemed communicated as of the date of mailing. C. If the name of the person designated to receive the notices, demands or communications or the address of such person is changed, written notice UASI 14 Subrecipient Agreement 3 shall be given, in accordance with this section, within five (5) business days of said change. §103. Independent Party Subrecipient is acting hereunder as an independent party, and not as an agent or employee of the City. No employee of Subrecipient is, or shall be, an employee of the City by virtue of this Agreement, and Subrecipient shall so inform each employee organization and each employee who is hired or retained under this Agreement. Subrecipient shall not represent or otherwise hold out itself or any of its directors, officers, partners, employees, or agents to be an agent or employee of the City by virtue of this Agreement. §104. Conditions Precedent to Execution of This Agreement Subrecipient shall provide copies of the following documents to the City, unless otherwise exempted. A. [Intentionally Omitted] B. Certifications Regarding Ineligibility, Suspension and Debarment as required by Executive Orders 12549 and 12689 in accordance with §415.A.12 of this Agreement and attached hereto as Exhibit B and made a part hereof. Subrecipient hereby certifies that said Certification so executed is true and correct as of the date of execution of this Agreement. C. Certifications and Disclosures Regarding Lobbying in accordance with §415.A.4 of this Agreement and attached hereto as Exhibit C. and made a part hereof. Subrecipient shall also file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of the information contained in any Disclosure Form previously filed by Subrecipient. Subrecipient hereby certifies that said Certification so executed is true and correct as of the date of execution of this Agreement. D. Certification Regarding Drug Free Workplace Requirements in accordance with § 415.A.13 of this Agreement and attached hereto as Exhibit D and made a part hereof. Subrecipient hereby certifies that said Certification so executed is true and correct as of the date of execution of this Agreement. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 4 II. TERM AND SERVICES TO BE PROVIDED §201. Time of Performance The term of this Agreement shall be from September 1, 2014 and end May 31, 2016 (the "Term"); provided, however, that any and all expenditures made by Subrecipient shall be reimbursed by Subrecipient's allocation of Grant Funds pursuant to this Agreement only if such expenditures were made no later than 60 days prior to the end of the Term of this Agreement (the "Expenditure Deadline"). Any and all expenditures made by Subrecipient after the Expenditure Deadline shall not be reimbursed under this Agreement unless, prior to such expenditure, the Mayors Office, in its sole discretion, has approved in writing the making of such expenditure after the Expenditure Deadline. Subrecipient shall cooperate with any necessary close out activities in connection with its use of the Grant Funds. §202. Use of Grant Funds A. Subrecipient's allocations and use of funds under this Grant shall comply and be in accordance with, and subject to, the guidance, regulations and requirements set forth in the following: (1) Department of Homeland Security FY 2014 Homeland Security Grant Program Funding Opportunity Announcement ("DHS 14 Guidance"), (2) Grantor Information Bulletins, (3) CalOES 2014 Recipient Handbook ("CalOES 14 Handbook"), (4) CalOES FY 14 Homeland Security Grant Program California Supplement to the Federal Funding Opportunity Announcement and Application Kit ("CalOES 14 Supplement"), (5) CalOES Grant Management Memos ("GMM"), (6) the current editions of the Office of Justice Programs ("OJP") Financial and Administrative Guide for Grants and the DHS Financial Management Guide, (7) Grantor's Grants Management Common Rule as codified in Title 44 Code of Federal Regulations (CFR) Part 13, (8) CalOES FY 14 Grant Assurances, attached hereto as Exhibit E and made a part hereof, (9) DHS Standard Administrative Terms and Conditions set forth in Section 6.1.1 of the DHS Chief Financial Officer financial management policy manual available at http://www.dhs.gov/xlibrary/assets/cfo-financial- management-policy-manual.pdf("DHS Terms and Conditions") and (10) this Agreement. Subrecipient shall use the Grant Funds allocated to it to support the goals and objectives included in the State and/or Urban Area Homeland Security Strategies as well as the investments and projects identified in the Investment Justifications, which were submitted as part of the California FY 2014 Homeland Security Grant Program application. Further, use of the Grant Funds is limited to those investments and projects included in the California FYI Investment Justifications submitted to DHS/FEMA/CalOES and evaluated through the peer review process. Grant funds not spend on those projects must be returned and will be redistributed at the discretion of the Grant Administrator. Subrecipient shall comply with any cost sharing commitments included in such FYI Investment Justifications, where applicable. Subrecipient agrees that Grant Funds will be used to supplement existing funds for UASI 14 Subrecipient Agreement program activities, and will not supplant (replace)funds that have been budgeted for the same purpose through non-federal sources, and, upon request by the City, CalOES and/or Grantor, Subrecipient shall be required to demonstrate and document that a reduction in non-Federal resources occurred for reasons other than the receipt or expected receipt of Grant Funds. Subrecipient shall use its allocation of Grant Funds in a manner consistent with the components of the National Preparedness System and Goal as set forth by the Grantor. B. Subrecipient hereby certifies that it has the legal authority to apply for the financial assistance given through the Grant and has the institutional, managerial and financial capability to ensure proper planning, management and completion of its projects being funded by the Grant Funds. Subrecipient shall assure that Grant Funds allocated to it are used for allowable, fair and reasonable costs only and will not be transferred between programs (State Homeland Security Program, Urban Area Security Initiative, Citizen Corps Program, and Metropolitan Medical Response System) or fiscal years. Subrecipient agrees that it will comply with the provisions and prohibitions regarding duplication of Federal assistance as set forth in 2 CFR Parts 220, 225, 225 Appendix A, paragraph (C)(3)(c), 230 and 48 CFR Part 31.2, whereby any cost allocable to a particular federal award or cost objective under the principles provided for in the Grant or this Agreement may not be charged to other federal awards to overcome fund deficiencies. Subrecipient shall also comply with the applicable provisions of the Improper Payments Information Act (IPIA) of 2002 (P.L. 107-300) as amended by the Improper Payments Elimination and Information Act of 2010 Subrecipient shall timely notify City and CalOES of any developments that have a significant impact on Grant Fund supported activities of Subrecipient, including changes to key program staff. Subrecipient shall cooperate with any special reporting, assessments, national evaluation efforts, or information or data collection requests, including, but not limited to, the provision of any information required for the assessment or evaluation of any activities contemplated by this Agreement. Subrecipient shall not be delinquent in the repayment of any Federal debt. Examples of relevant debt include delinquent payroll and other taxes, audit disallowances, and benefit overpayments. Additional information and guidance may be found in OMB Circular A-129, form SF-424B, item number 17. Subrecipient shall comply with the requirement of 31 U.S.C. Section 3729, which sets forth that no subgrantee, recipient or subrecipient of federal funds or payments shall submit a false claim for payment, reimbursement or advance. In the event of a violation of such requirement, Subrecipient agrees to be subject to the administrative remedies as found in 38 U.S.C. UASI 14 Subrecipient Agreement 6 Section 3801-3812, addressing false claims and statements made. C. Subrecipient and the City have previously completed a mutually approved Budget/Expenditure Plan as incorporated in the Financial Management Forms Workbook which was approved by CaIOES prior to the execution of this Agreement (the "Budget"). The Budget contains detailed listings of items and projects for expenditures under the terms of this Agreement and the Grant, and Subrecipient shall use the funds disbursed under this Agreement only for those specific items. 1. Any request by Subrecipient to modify the Budget must be made in writing and accompanied by a completed Modification Request Form, attached hereto as Exhibit H. All modification requests must be approved in writing by the City during the Term of this Agreement to be effective. 2. Budget modification requests must be submitted to the City every 30 days, as needed, pursuant to deadlines set by the City. Submissions made after the deadline will be returned to the Subrecipient and will not be accepted until the following submission period. The City will notify the Subrecipient in writing if modification requests are inaccurate and/or incomplete. Inaccurate and/or incomplete modification requests shall be returned to the Subrecipient for revision and shall be accepted by the City when modification requests are accurate and complete. Subrecipient shall not expend any funds on modified budget items for which reimbursement by Grant Funds is sought until such modification is approved by the City and CalOES/Grantor. 3. Final modification requests must be submitted to the City no later than 90 days prior to the end of the Term to provide the City time to meet CalOES/Grantor requirements. At that time, any unexpended funds may be re-directed to other needs across the LA/LBUA. The City will notify Subrecipient, in writing, when unexpended balances may be re-directed. D. Subrecipient shall complete a UASI 14 Project Timeline ("Project Timeline") provided by the City to manage its allocation of the Grant Funds. Subrecipient shall provide a completed Project Timeline and any reports requested by the City regarding performance of this Agreement by a date specified by the City. Plans and reports shall be provided in a timely manner. The completion of each milestone and deliverable referenced in the Project Timeline is subject to the prior review and written approval of the City. Subject to prior City approval, Subrecipient shall update the Project Timeline quarterly, if necessary, and provide such updates to the City in order to monitor and evaluate Subrecipient's performance. Failure to meet any milestones or deadlines as set forth in Subrecipient's Project Timeline may result in the City reducing Grant Funds allocated to the Subrecipient, as more fully set forth in §301 of this UASI 14 Subrecipient Agreement 7 Agreement. E. [Intentionally Omitted] F. Any equipment acquired pursuant to this Agreement shall be authorized, subject to, and in compliance with the CalOES 14 Handbook, CalOES 14 Supplement, GMMs, UASI Authorized Equipment List (https://www.rkb.us), Grantor Information Bulletins, DHS Terms and Conditions and DHS 14 Guidance. Subrecipient shall provide the City a copy of its most current procurement guidelines and follow its own procurement requirements as long as they meet the minimum federal requirements, which include, but are not limited to, those regulations set forth in OMB Circulars A-87, A-21, A-21, A-102 A- 110, A-122, A-133, Executive Order(E.O.) 12372, the current edition of the DHS Financial Management Guide, and Title 44 CFR Part 13_ Subrecipient shall maintain equipment acquired or obtained with Grant Funds in accordance with the provisions set forth in 44 CFR §13.32. Any and all property or equipment purchased in connection with this Agreement shall revert to CalOES if the Grant Funds allocated to the Subrecipient are deobligated/disallowed and/or not promptly repaid as required by applicable Grant regulations. Any equipment acquired or obtained with Grant Funds: 1. Shall be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement in consultation with representatives of the various fire, emergency medical, hazardous materials response services, and law enforcement agencies within the jurisdiction of the LA/LBUA, and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan; 2. Shall be consistent with needs as identified in the State Homeland Security Strategy and will be deployed in conformance with that Strategy. G. For the purposes of this subsection, "Equipment" is defined as nonexpendable property that is not consumed or does not lose its identity by being incorporated into another item of equipment, which costs $5,000 or more per unit, or is expected to have a useful life of one (1) year or more. Items costing less than $5,000, but falling into the following categories are also considered Equipment: (1) electronics communications equipment for stationary or vehicular use, including cellular telephones acquired by lease or purchase, and (2) electronic office equipment, including facsimile machines, copiers, electric typewriters, personal computers (monitors and CPU's), terminals and printers. 1. Equipment shall be used by Subrecipient in the program or project for which it was acquired as long as needed, whether or not the UASI 14 Subrecipient Agreement 8 project or program continues to be supported by Federal funds. When no longer needed for the original program or project, the Equipment may be used in other activities currently or previously supported by a Federal agency. 2. Subrecipient shall make Equipment available for use on other projects or programs currently or previously supported by the Federal Government, providing such use will not interfere with the work on the projects or program for which it was originally acquired. First preference for other use shall be given to other programs or projects supported by the awarding agency. 3. An equipment ledger, attached hereto as Exhibit G, shall be maintained for each item of Equipment acquired for the program. This record must be updated quarterly and forwarded to the City along with completed reimbursement request forms (Exhibit J), when applicable. Records must be retained pursuant to the current edition of the DHS Financial Management Guide, and Title 44 CFR Part 13 and all other applicable Grantor regulations. For each piece of equipment, the record shall include: a. The line item number and project number as stated in the Budget b. The equipment description as stated in the Budget C. The Authorized Equipment Listing number(AEL) found at http://www.rkb.mipt.o[g d. The AEL title e. The invoice number f. The vendor g. Total cost (prime vendor) h. Total cost (general) i. Cash request # j. Acquired date k. ID Tag # I. The condition and disposition of the equipment, indicating whether it is new or used M. The deployed location, including the address and/or name of the facility where the equipment is located n. The name and contact information to whom the equipment is assigned. o. Environmental and Historical Preservation (EHP) Notes 4. All equipment obtained under this Agreement shall have an UASI 14 Subrecipient Agreement 9 LA/LBUA identification decal affixed to it, and, when practical, shall be affixed where it is readily visible. Subrecipient also agrees that, when practicable, any equipment purchased with Grant Funds shall be prominently marked as follows: "Purchased with funds provided by the U.S. Department of Homeland Security." 5. A physical inventory of the Equipment shall be taken and the results reconciled with the Equipment records at least once every year. 6. Subrecipient must obtain a performance bond for any equipment item over$250,000; or any vehicle, aviation or watercraft (regardless of the cost) financed with UASI grant funds. 7. Requests for aviation equipment must be made in writing and accompanied by a completed Aviation Equipment Request form, attached hereto as Exhibit K. 8. Requests to establish or enhance Emergency Operation Centers (EOCs) must be made in writing and accompanied by a completed Establish/Enhance EOC Request form, attached hereto as Exhibit K. 9. Requests to establish or enhance the LA/LBUA Joint Regional Intelligence Center (JRIC) must be made in writing and accompanied by a completed Establish/Enhance JRIC Request form, attached hereto as part of Exhibit K. 10. EOC Aviation or Watercraft, and EHP Request forms must be approved by CalOES in writing during the term of this Agreement. Request forms must be submitted to the City by March 15, 2015. Purchases may not be made nor may the project commence until Request forms are submitted to and approved by the City. The City will notify the Subrecipient in writing if Request forms are inaccurate and/or incomplete. Inaccurate and/or incomplete Request forms shall be returned to the Subrecipient for revision and shall be accepted by the City when Request forms are accurate and complete. 11. If applicable, Subrecipient must meet the deadline for the any equipment items listed in its Project Timeline, as approved by the City. 12. Notwithstanding anything to the contrary in this Agreement, Equipment must meet all mandatory regulatory and/or Grantor adopted standards to be eligible for purchase using Grant Funds. In addition, Subrecipient shall be responsible for obtaining and maintaining all necessary certifications and licenses for the requested Equipment. H. Any training, planning, or organizational activities paid or any exercise undertaken pursuant to this Agreement shall be authorized, subject to, UASI 14 Subrecipient Agreement 10 and in compliance with the CalOES 14 Handbook, CaIOES 14 Supplement, GMMs, Grantor Information Bulletins, DHS Terms and Conditions and DHS 14 Guidance. A catalogue of Grantor approved and sponsored training courses is available at http:llwww.firstrespondertrainin. govlodp webforms. Subrecipient must have a City approved, tangible deliverable for all planning projects. Plans and reports for all organizational activities shall be in the form requested by the City, and shall be provided in a timely manner. Detailed Homeland Security Exercise and Evaluation Program Guidance is available at http://hseep.dhs.gov. Reference materials and additional details are available at http://www.oes.ca.gov. I. Because a hold is in place on Fusion Center activities, Subrecipient is prohibited from obligating, expending, or drawing down Grant Funds in support of any fusion center activities. The City will notify the Subrecipient in writing when Grantor has lifted the hold. If and when the hold is lifted, funds utilized to establish or enhance state and local fusion centers must support the development of a statewide fusion process that corresponds with the Global Justice/Homeland Security Advisory Council (HSAC) Fusion Center Guidelines, follow the Federal and State approved privacy policies, and achieve (at a minimum) a baseline level of capability as defined by the Fusion Capability Planning Tool. J. As required by CalOES, the City shall provide Subrecipient with an electronic, interactive, Financial Management Forms Workbook, based on the pro forma template, incorporated herein by reference. Subrecipient shall continuously maintain the Project Management Workbook to access, complete and update the following documents: 1. Reimbursement Checklist 2. Reimbursement Request Form 3. Equipment Ledger 4. Training Roster 5. Exercise Roster 6. Planning Roster _ Any and all requests for Sole Source procurements or contracts must be approved by the City and CalOES prior to Subrecipient entering into such contract. Such request shall be made on a Sole Source Request Form, as attached hereto as Exhibit I. Any such request may be denied by City and CalOES in their sole discretion. L_ Any Grant Funds allocated to the Subrecipient which are used for the improvement of real property must be promptly repaid following deobligationldisallowment of such costs. CalOES shall have the right to place a lien on any such improved real property for any amounts owed in connection with such deobligationldisallowment. UASI 14 Subrecipient Agreement 11 M. Subrecipient agrees that any equipment, products, exercise, training, planning and organizational activities or any other services purchased, or the costs of which are reimbursed by, Grant Funds shall comply with any and all technological and/or interoperabiiity specifications and standards as may be approved by the LA/LBUA region, and such products, services or activities not so compliant shall be not eligible for reimbursement by Grant Funds. A list of technological standards currently approved by the LA/LBUA region is attached as Exhibit L. Subrecipient shall further ensure that it retains from its contractors, subcontractors, and vendors all rights related to inventions, copyrightable materials, and data as set forth in Section 416 of this Agreement. N. When using Grant Funds to support the purchase of emergency communication equipment or activities related to the provision of emergency communications equipment, Subrecipient shall comply with the FY 2014 SAFECOM Guidance on Emergency Communications Grants, including provisions on technical standards that ensure and enhance interoperable communications. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 12 Ill. PAYMENT §301. Patent of Grant Funds and Method of Payment A. The City of Los Angeles shall disburse to Subrecipient its allocated Grant amount of Eight Hundred Ninety-Eight Thousand Five Hundred Seven Dollars ($ 898,507) to be used for purchase of equipment, planning, exercises, organizational activities, and training as described in Section 202 above. Such Grant amount represents the amount allocated to Subrecipient in the FY 14 UASI grant budget as approved by the Grantor. The disbursement of such funds shall be made on a reimbursement basis only. Subrecipient shall maintain procedures to minimize the time elapsing between the award of Grant Funds and the expenditure of funds to be reimbursed by such Grant Funds. B. Subrecipient shall prepare, maintain and provide to the City invoices requesting payment as well as purchase orders, proof of delivery, proof of payment and payroll records, timesheets, receipts and any other supporting documentation necessary to fully and accurately describe the expenditure of funds for which reimbursement from Grant Funds is sought under this Agreement. All such supporting documentation shall satisfy applicable Federal, State and City audit and review standards and requirements. Such documentation shall be prepared at the sole expense and responsibility of the Subrecipient, and the City will not reimburse the Subrecipient for any costs incurred for such preparation. The City may request, in writing, changes to the content and format of such documentation at any time, and the City reserves the right to request additional supporting documentation to substantiate costs incurred at any time. In addition, each reimbursement request shall be accompanied by the Reimbursement Request Form (Exhibit J) and Equipment Ledger (Exhibit G), Training Roster(Exhibit G), Planning Roster (Exhibit G) and/or Exercise Roster(Exhibit G), as applicable, detailing the expenditures made by Subrecipient as authorized by Section 202 above. For equipment for which Subrecipient is requesting reimbursement, an equipment ledger (Exhibit G) and all appropriate back-up documentation must be attached to the reimbursement form, including invoices and supporting documentation, including proof of payment and proof of delivery. For training and exercise reimbursements, Subrecipient must include a copy of the class training roster(Exhibit G) or class exercise roster (Exhibit G) verifying training attendees, proof that a CaIOES tracking number has been assigned to the course, and supporting documentation, including timesheets and payroll registers for all training attendees. 1. The Grantor seeks to encourage Regional Projects, where two or more jurisdictions or Urban Areas join together on a given project for the common good of the region. To that end, the City has been UASI 14 Subrecipient Agreement 13 charged with working with all subrecipients to develop regional projects and to discourage projects that only benefit one local jurisdiction. For regional project reimbursements, Subrecipient must include approval from the lead agency for all submitted invoices. 2. Reimbursement requests must be submitted to the City monthly. Final reimbursement requests for the grant period must be submitted to the City no later than 60 days prior to the end of the Term. The City will notify the Subrecipient in writing if reimbursement requests are inaccurate and/or incomplete. Inaccurate and/or incomplete reimbursement requests shall be returned to the Subrecipient for revision and shall be accepted by the City when reimbursement requests are accurate and complete. C. Payment of final invoices shall be withheld by the City until the City has determined that Subrecipient has turned in all supporting documentation and satisfied the requirements of this Agreement. D. If applicable, Subrecipient must account separately for all interest income earned from the Grant Funds. In accordance with Grantor regulations and 44 CFR Part 13, interest earned on Grant Funds must be reported and returned to the City. Subrecipient will maintain records of and account for any interest earned, if applicable, on Grant Funds. If applicable, Subrecipient shall promptly return to the City all Grant Funds received which exceed the approved, actual expenditures as accepted by CalOES and Grantor. In the event the amount of the Grant Funds allocated to Subrecipient is reduced, the reimbursement payable to the Subrecipient will be reduced accordingly. E. It is understood that the City makes no commitment to fund this Agreement beyond the terms set forth herein. Funding for all periods of this Agreement is subject to the continuing availability to the City of federal funds for this program from the Grantor. The Agreement may be terminated immediately upon written notice to Subrecipient of such loss or reduction of Federal grant funds. F. The City reserves the right at any time to modify the amount of Grant Funds allocated to the Subrecipient in this Agreement in the event that the Subrecipient does not meet milestone spending deadlines or other project milestones for their contemplated projects as set forth in Subrecipient's Project Timeline. The Subrecipient will be notified in writing of such modifications made to its allocation of Grant Funds for failure to meet milestones or deadlines set forth in its Project Timeline. Such modifications include, but are not limited to, suspension, termination or reduction of Grant Funds allocated to the Subrecipient. In addition, Subrecipient shall promptly repay to City any unapproved expenditures relating to such modifications. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 14 IV. STANDARD PROVISIONS §401. Construction of Provisions and Titles Herein All titles, subtitles, or headings in this Agreement have been inserted for convenience and shall not be deemed to affect the meaning or construction of any of the terms or provisions hereof. The language of this Agreement shall be construed according to its fair meaning and not strictly for or against either party. The word "Subrecipient" herein and in any amendments hereto includes the party or parties identified in this Agreement. The singular shall include the plural. If there is more than one Subrecipient as identified herein, unless expressly stated otherwise, their obligations and liabilities hereunder shall be joint and several. Use of the feminine, masculine, or neuter genders shall be deemed to include the genders not used. §402. Applicable Law, Interpretation_and Enforcement Each party's performance hereunder shall comply with all applicable laws of the United States of America, the State of California, the County and City of Los Angeles, including but not limited to, laws regarding health and safety, labor and employment, wage and hours and licensing laws which affect employees. This Agreement shall be enforced and interpreted under the laws of the State of California without regard to conflict of law principles. Subrecipient shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. In any action arising out of this Agreement, Subrecipient consents to personal jurisdiction, and agrees to bring all such actions, exclusively in state and federal courts located in Los Angeles County, California. If any part, term or provision of this Agreement shall be held void, illegal, unenforceable, or in conflict with any law of a federal, state or local government having jurisdiction over this Agreement, the validity of the remaining parts, terms or provisions of this Agreement shall not be affected thereby. §403. Integrated Agreement This Agreement sets forth all of the rights and duties of the parties with respect to the subject matter hereof, and replaces any and all previous agreements or understandings, whether written or oral, relating thereto. This Agreement may be amended only as provided for herein. §404. Excusable Delay In the event that performance on the part of any party hereto shall be delayed or suspended as a result of circumstances beyond the reasonable control and without the fault and negligence of said party, none of the parties shall incur any liability to the other parties as a result of such delay or suspension. Circumstances deemed to be beyond the control of the parties hereunder shall include, but not be limited to, acts of God or of the public enemy; insurrection; acts of the Federal Government or any unit of State or Local Government in either sovereign or contractual capacity; fires; floods; epidemics; quarantine UASI 14 Subrecipient Agreement 15 restrictions; strikes, freight embargoes or delays in transportation; to the extent that they are not caused by the party's willful or negligent acts or omissions and to the extent that they are beyond the party's reasonable control. §405. Breach Except for excusable delays as described in §404 herein, if any party fails to perform, in whole or in part, any promise, covenant, or agreement set forth herein, or should any representation made by it be untrue, any aggrieved party may avail itself of all rights and remedies, at law or equity, in the courts of law. Said rights and remedies are cumulative of those provided for herein except that in no event shall any party recover more than once, suffer a penalty or forfeiture, or be unjustly compensated. §406. Prohibition Against Assignment or Delegation Subrecipient may not, unless it has first obtained the written permission of the City: A. Assign or otherwise alienate any of its rights hereunder, including the right to payment; or B. Delegate, subcontract, or otherwise transfer any of its duties hereunder. §407. Permits Subrecipient and its directors, officers, agents, employees and contractors/subcontractors, to the extent allowed hereunder, shall obtain and maintain all licenses, permits, certifications and other documents necessary for Subrecipient's performance hereunder and shall pay any fees required therefor. Subrecipient shall immediately notify the City of any suspension, termination, lapses, non-renewals or restrictions of licenses, permits, certificates, or other documents. §408. Nondiscrimination and Affirmative Action Subrecipient shall comply with the applicable nondiscrimination and affirmative action provisions of the laws of the United States of America, the State of California, the County and the City of Los Angeles. In performing this Agreement, the Subrecipient shall not discriminate in its employment practices against any employee or applicant for employment because of such person's race, religion, national origin, ancestry, sex, sexual orientation, age, physical handicap, mental disability, marital status, domestic partner status, or medical condition. The Subrecipient shall comply with Executive Order 11246, entitled "Equal Employment Opportunity", as amended by Executive Order 11375, and as supplemented in Department of Labor regulations (41 CFR Part 60). Any subcontract entered into by the Subrecipient relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this paragraph. §409. Bonds Duplicate copies of all bonds, which may be required hereunder, shall conform to City requirements established by charter, ordinance or policy and all federal UASI 14 Subrecipient Agreement 16 requirements regarding the use of Grant Funds and shall be filed with the Office of the City Administrative Officer, Risk Management for its review in accordance with Los Angeles Administrative Code Sections 11.47 through 11.56. §410. Indemnification Each of the parties to this Agreement is a public entity. In contemplation of the provisions of Section 895.2 of the Government Code of the State of California imposing certain tort liability jointly upon public entities, solely by reason of such entities being parties to an Agreement as defined by Section 895 of said Code, the parties hereto, as between themselves, pursuant to the authorization contained in Sections 895.4 and 895.6 of said Code, will each assume the full liability imposed upon it or upon any of its officers, agents, or employees by law, for injury caused by a negligent or wrongful act or omission occurring in the performance of this Agreement, to the same extent that such liability would be imposed in the absence of Section 895.2 of said Code. To achieve the above- stated purpose, each party indemnifies and holds harmless the other party solely by virtue of said Section 895.2. The provision of Section 2778 of the California Civil Code is made a part hereto as if fully set forth herein. Subrecipient certifies that it has adequate self insured retention of funds to meet any obligation arising from this Agreement. A. Pursuant to Government Code Sections 895.4 and 895.6, the parties shall each assume the full liability imposed upon it, or any of its officers, agents or employees, by law for injury caused by any negligent or wrongful act or omission occurring in the performance of this Agreement. B. Each party indemnifies and holds harmless the other party for any loss, costs, or expenses that may be imposed upon such other party by virtue of Government Code section 895.2, which imposes joint civil liability upon public entities solely by reason of such entities being parties to an agreement, as defined by Government Code section 895. C. In the event of third-party loss caused by negligence, wrongful act or omission by both Parties, each party shall bear financial responsibility in proportion to its percentage of fault as may be mutually agreed or judicially determined. The provisions of Civil Code Section 2778 regarding interpretation of indemnity agreements are hereby incorporated §411. Conflict of Interest A. Subrecipient shall establish safeguards to prohibit employees from using their positions for a purpose that constitutes, or presents the appearance of, personal or organizational conflict of interest, or personal gain for themselves or others, particularly those with whom they have family, business, or other ties. Subrecipient covenants that none of its directors, officers, employees, or agents shall participate in selecting, or administrating any subcontract supported (in whole or in part) by Federal funds where such person is a director, officer, employee or agent of the subcontractor; or where the selection of subcontractors is or has the UASI 14 Subrecipient Agreement 17 appearance of being motivated by a desire for personal gain for themselves or others such as family business, etc.; or where such person knows or should have known that: 1. A member of such person's immediate family, or domestic partner or organization has a financial interest in the subcontract; 2. The subcontractor is someone with whom such person has or is negotiating any prospective employment; or 3. The participation of such person would be prohibited by 44 CFR §13.36, the California Political Reform Act, California Government Code §87100 et sea. if such person were a public officer, because such person would have a "financial or other interest" in the subcontract. B. Definitions: 1. The term "immediate family" includes but is not limited to domestic partners and/or those persons related by blood or marriage, such as husband, wife, father, mother, brother, sister, son, daughter, father-in-law, mother-in-law, brother-in-law, sister-in-law, son-in- law, daughter-in-law. 2. The term "financial or other interest" includes but is not limited to: a. Any direct or indirect financial interest in the specific contract, including a commission or fee, a share of the proceeds, prospect of a promotion or of future employment, a profit, or any other form of financial reward. b. Any of the following interests in the subcontractor ownership: partnership interest or other beneficial interest of five percent or more; ownership of five percent or more of the stock; employment in a managerial capacity; or membership on the board of directors or governing body. C. The Subrecipient further covenants that no officer, director, employee, or agent shall solicit or accept gratuities, favors, anything of monetary value from any actual or potential subcontractor, supplier, a party to a sub agreement, (or persons who are otherwise in a position to benefit from the actions of any officer, employee, or agent). D. The Subrecipient shall not subcontract with a former director, officer, or employee within a one year period following the termination of the relationship between said person and the Subrecipient. E. Prior to obtaining the City's approval of any subcontract, the Subrecipient shall disclose to the City any relationship, financial or otherwise, direct or indirect, of the Subrecipient or any of its officers, directors or employees or their immediate family with the proposed subcontractor and its officers, directors or employees. UASI 14 Subrecipient Agreement 18 F. For further clarification of the meaning of any of the terms used herein, the parties agree that references shall be made to the guidelines, rules, and laws of the City of Los Angeles, State of California, and Federal regulations regarding conflict of interest. G. The Subrecipient warrants that it has not paid or given and will not pay or give to any third person any money or other consideration for obtaining this Agreement. H. The Subrecipient covenants that no member, officer or employee of Subrecipient shall have interest, direct or indirect, in any contract or subcontract or the proceeds thereof for work to be performed in connection with this project during his/her tenure as such employee, member or officer or for one year thereafter. I. The Subrecipient shall incorporate the foregoing subsections of this Section into every agreement that it enters into in connection with this project and shall substitute the term "subcontractor" for the term "Contractor' and "sub subcontractor" for "Subcontractor". §412. Restriction on Disclosures Any reports, analysis, studies, drawings, information, or data generated as a result of this Agreement are to be govemed by the California Public Records Act (California Government Code §6250 et seq.). §413. Minority, Women and Other Business Enterprise Outreach Program It is the policy of the City to provide minority business enterprises (MBEs), women business enterprises (WBEs) and all other business enterprises an equal opportunity to participate in the performance of all contracts and subcontracts, including procurement, construction and personal services. In accordance with CalOES/Grantor directives, Subrecipient agrees that, to the extent contractors or subcontractors are utilized, Subrecipient shall use small, minority, women- owned, or disadvantaged business concerns and contractors or subcontractors to the extent practicable and shall take the affirmative steps as set forth in 44 CFR §13.36(e). §414. Publications and Use of Grantor Markings All publications created or published with funding under this Grant shall prominently contain the following statement: 'This document was prepared under a grant from FEMA's Grant Programs Directorate, U.S. Department of Homeland Security. Points of view or opinions expressed in this document are those of the authors and do not necessarily represent the official position or policies of FEMA's Grant Programs Directorate or the U.S. Department of Homeland Security." Subrecipient shall comply with requirements to acknowledge Federal funding when issuing statements, press releases, requests for proposals, bid invitations, and other documents describing projects or programs funded in whole or in part by Grant Funds. Subrecipient shall obtain Grantor approval prior to using Grantor seal(s), logos, UASI 14 Subrecipient Agreement 19 crests or reproductions of flags or likenesses of Grantor agency officials, including the use of the United States Coast Guard seal, logo, crests or reproductions of flags or likenesses of Coast Guard officials. §415. Compliance with State and Federal Statutes and_Regulations A. Statutes and Regulations Applicable To All Grant Contracts Subrecipient shall comply with all applicable requirements of Federal, State, County and City of Los Angeles laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this Agreement and the Grant. Subrecipient shall comply with state and federal laws and regulations pertaining to labor, wages, hours, and other conditions of employment. Subrecipient shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement and the Grant. When reference is made in the provisions set forth in this Section 415 with regards to laws, rules and regulations "as applicable" (or a variation thereof) to the Subrecipient, it shall be construed to mean "as applicable" to the Subrecipient as a subgrantee of the Grant. These requirements include, but are not limited to: 1. Office of Manaciement and Budget OMB Circulars and Forms Subrecipient shall comply with OMB Circulars, as applicable: OMB Circular A-21 (Cost Principles for Educational Institutions); OMB Circular A-87 (Cost Principles for State, Local, and Indian Tribal Governments); OMB Circular A-102 (Uniform Administrative Requirements for Grants and Cooperative Agreements with State and Local Governments); Common Rule, Subpart C for public agencies or OMB Circular A-110 (Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations); OMB Circular A-122 (Cost Principles for Non-Profit Organizations); OMB Circular A-133 (Audits of States, Local Governments, and Non-Profit Organizations); OBM Standard Form 424E Assurances — Non-construction Programs. 2. Single Audit Act If Federal funds are used in the performance of this Agreement, Subrecipient shall adhere to applicable rules and regulations of the Single Audit Act, 31 USC §7501 et seq.; City Council action dated February 4, 1987 (C.F. No. 84 2259 S1); and any administrative regulation or field memos implementing such Act. 3. Americans with Disabilities Act Subrecipient hereby certifies that it will comply, as applicable, with the requirements of Titles I, II and III of the Americans with Disabilities Act of 1990 ("ADA"), 42 USC §§ 12101 et sea., and its implementing regulations, including Subtitle A, Title II of the ADA. UASI 14 Subrecipient Agreement 20 Subrecipient will provide, as applicable, reasonable accommodations to allow qualified individuals with disabilities to have access to and to participate in its programs, services and activities in accordance with the provisions of the ADA. Subrecipient will not discriminate against persons with disabilities nor against persons due to their relationship to or association with a person with a disability. Any contract entered into by the Subrecipient (or any subcontract thereof), relating to this Agreement, to the extent allowed hereunder, shall be subject to the provisions of this paragraph. 4. Political and Sectarian Activity Prohibited a. Subrecipient shall comply with all applicable lobbying prohibitions and laws, including those found in 31 U.S.C. §1352, et seq., and agrees that none of the funds, materials, property or services funded or reimbursed under this Agreement shall be used for any partisan political activity, or to further the election or defeat of any candidate for public office, or to influence, or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any federal action concerning the award or renewal of any federal contract, grant, loan or cooperative agreement. Subrecipient shall not use any funds provided under this Agreement, directly or indirectly, to support the enactment, defeat, repeal, modification or adoption of any law, regulation, pending legislation, pending regulation, or policy (pending or otherwise), at any level of government. None of the funds provided pursuant to this Agreement shall be used for any sectarian purpose or to support or benefit any sectarian activity. b. Concurrent with the execution of this Agreement, Subrecipient shall submit to the City a Certification Regarding Lobbying and a Disclosure Form in accordance with 31 U.S.C. §1352. A copy of the Certificate is attached hereto as Exhibit C and incorporated herein. No funds will be released to Subrecipient until the Certification is filed. C. Subrecipient shall file a Disclosure Form at the end of each calendar quarter in which there occurs any event requiring disclosure or which materially affects the accuracy of any of the information contained in any Disclosure Form previously filed by Subrecipient. Subrecipient shall require that the language of this Certification be included in the award documents for all sub-awards at all tiers and that all subcontractors shall certify and disclose accordingly. UASI 14 Subrecipient Agreement 21 5. Re orts Records Inspection and Investigations a. At any time during normal business hours and as often as the Grantor, CalOES, the City, the Federal government, the General Accounting Office, the Comptroller General of the United States, the State of California and the Office of Inspector General may deem necessary, Subrecipient shall make available for examination all of its records with respect to all matters covered by this Agreement. Subrecipient hereby gives the Grantor, CalOES, the City, the Federal government, the General Accounting Office, the Comptroller General of the United States, the State of California and the Office of Inspector General, through any authorized representative, access to, and the right to examine, audit and make excerpts or transcripts of, all paper or electronic records, books, or documents related to the Grant Funds and all matters covered by this Agreement, including, but not limited to all Subrecipient's invoices, materials, payrolls, records of personnel, conditions of employment and other data. The access and inspections rights set forth herein shall include access to applicable facilities, personnel and other individuals and information as may be necessary and as required by the Grantor or CaIOES, through any authorized representative, or as required by applicable law, Grant regulations and guidance. b. Subrecipient agrees to submit timely, complete and accurate reports to appropriate Grantor, CalOES and City representatives as may be requested and maintain appropriate support documentation to support such reports. Subrecipient shall comply with all other special reporting, assessments, national evaluation efforts, or information or data collection requests, including, but not limited to, the provision of any information required for the assessment or evaluation of any activities funded by Grant Funds. C. Subrecipient shall cooperate with any compliance review or complaint investigation conducted by the Grantor, CalOES and/or the City in connection with Subrecipient's use of Grant Funds. d. Subrecipient shall require any of its subgrantees, contractors, successors, transferees, and assignees to acknowledge and agree to comply with the provisions governing Grantor, CalOES and the City's access to records, accounts, documents, information, facilities and staff as set forth in this Section 415(A)(5). e. The provisions of this Section shall survive the termination of UASI 14 Subrecipient Agreement 22 this Agreement. 6. Records Maintenance Records, in their original form, shall be maintained in accordance with requirements prescribed by the City and CalOES/Grantor with respect to all matters covered on file for all documents specified in this Agreement. Original forms are to be maintained on file for all documents specified in this Agreement. Such records shall be retained for a period of five (5) years after termination of this Agreement and after final disposition of all pending matters. "Pending matters" include, but are not limited to, an audit, litigation or other actions involving records. The City may, at its discretion, take possession of, retain and audit said records. Records, in their original form pertaining to matters covered by this Agreement, shall at all times be retained within the County of Los Angeles unless authorization to remove them is granted in writing by the City. Subrecipient shall establish a proper accounting system in accordance with generally accepted accounting standards and/or CalOES/Grantor directives. The provisions of this Section shall survive the termination of this Agreement. 7. Subcontracts and Procurement Subrecipient shall comply with applicable State, Federal and Subrecipient standards in the award of any subcontracts, including complying with the provisions set forth in 44 CFR §13.36. For purposes of this Agreement, subcontracts shall include but not be limited to purchase agreements, rental or lease agreements, third party agreements, consultant service contracts and construction subcontracts. Subrecipient shall ensure that the terms of this Agreement with the City are incorporated into all subcontract agreements. Subrecipient shall submit all Subcontractor Agreements to the City for review prior to the release of any funds to the subcontractor. Subrecipient shall withhold funds to any subcontractor agency that fails to comply with the terms and conditions of this Agreement and their respective subcontract agreement. 8. Labor a. Subrecipient shall comply, as applicable, with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§4728-4763) relating to prescribed standards for merit systems for programs funded under one of the 19 statutes or regulations specified in Appendix A of OPM's Standards for a Merit System Personnel Administration (5 CFR 900, Subpart F). b. Subrecipient shall comply, as applicable, with the provisions UASI 14 Subrecipient Agreement 23 of the Davis-Bacon Act (40 U.S.C. §§276a to 276a-7), the Copeland Act (40 U.S.C. §276c and 18 U.S.C. §874), the Contract Work Hours and Safety Standards Act (40 U.S.C. §§327-333), regarding labor standards for federally-assisted construction subagreements, and the Hatch Act (5 U.S.C. §§1501-1508 and 7324-7328), which limit the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. C. Subrecipient shall comply with minimum wage and maximum hours provisions, as applicable, with the Federal Fair Labor Standards Act (29 U.S.C. § 201), as they apply to employees of institutions of higher education, hospitals, and other non-profit organizations. d. None of the funds shall be used to promote or deter union/labor organizing activities in accordance with California Government Code §16645 et seq. 9. Civil Rights Subrecipient shall comply, and will assure the compliance of all its agents and contractors, with all applicable Federal and State statutes relating to civil rights and nondiscrimination. These include but are not limited to: (a) Title VI of the Civil Rights Act of 1964 (P.L. 88-352, 42 U.S.C. § 2000d et seg., 6 CFR Part 21 and 44 CFR Part 7), which provides that no person in the United States will, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance; (b) Title IX of the Education Amendments of 1972, as amended (20 U_S.C. §§1681- 1683, and 1685-1686, 6 CFR Part 17, 44 CFR Part 19), which prohibits discrimination on the basis of gender in educational programs and activities; (c) Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. §794), as amended, which provides that no otherwise qualified individual with a disability in the United States will, solely by reason of the disability, be excluded from participation in, be denied employment to, be denied the services or the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance; (d) The Age Discrimination Act of 1975, as amended (42 U.S.C. §§6101-6107), which prohibits discrimination on the basis of age in any program or activity receiving Federal financial assistance; (e) the Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended, relating to nondiscrimination on the basis of drug abuse; (f) the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970 (P.L. 91-616) as amended, relating to nondiscrimination on the basis of alcohol UASI 14 Subrecipient Agreement 24 abuse or alcoholism; (g) §§523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records; (h) Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§3601 et seq.), as amended, relating to non-discrimination in the sale, rental, financing and advertising of dwellings, or in the provision of services in connection therewith, as implemented by the Department of Housing and Urban Development at 24 CFR Part 100; (i) Title 44 Code of Regulations (CFR) Parts 7, 16, and 19 relating to nondiscrimination; 0) the requirements of any other nondiscrimination provisions in the specific statute(s) under which application for Federal assistance is being made; (k) the nondiscrimination requirements and all other provisions of the current edition of the OJP Financial and Administrative Guide for Grants, M7100.1; and (1) P.L. 93-348 regarding the protection of human subjects involved in research, development, and related activities supported by this award of assistance. Subrecipient will comply with the DHS Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons, 76 Fed. Reg. 21755-21768 (April 18, 2011), resulting from Executive Order 13166 (Improving Access to Services for Persons with Limited English Proficiency). Subrecipient shall take reasonable steps to ensure that persons with limited English proficiency (LEP) have meaningful access to its programs. Meaningful access may entail providing language assistance services, including oral and written translation, where necessary. Subrecipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities. For assistance and information regarding LEP obligations, refer to DHS Recipient Guidance at https://www.dhs.gov/guidance-published- help-department-supported-organizations-provide-meaningful- access-people-limited and additional resources on http://www.lep.gov. In the event any court or administrative agency makes a finding of discrimination on the grounds of race, color, religion, national origin (including limited English proficiency), gender, age, familial status or disability against Subrecipient, or the Subrecipient settles a case or matter alleging such discrimination, the Subrecipient will forward a copy of the complaint and findings to the City and the Grantor/CalOES. The United States shall have the right to seek judicial enforcement of the obligations set forth herein. If, during the past three years, the Subrecipient has been accused of any such discrimination (including limited English proficiency), the Subrecipient shall provide a list of all such proceedings, pending or UASI 14 Subrecipient Agreement 25 completed, including outcome and copies of settlement agreements to the City, the Grantor/CalOES, and the DHS Office of Civil Rights and Civil Liberties. 10. Environmental a. Subrecipient shall comply, or has already complied, with the applicable requirements of Titles II and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970 (42 U.S.C. §4601 et seq. [P.L. 91-646]) which provide for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or Federally-assisted programs. These requirements apply to all interests in real property acquired for project purposes regardless of Federal participation in purchases. Subrecipient shall also comply, as applicable, with Title 44 CFR Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally-assisted programs. b. Subrecipient shall comply, as applicable, with, and provide any information requested by DHSIFEMAICalOES to ensure compliance with, the following laws: (a) the requirements of the National Environmental Policy Act (NEPA), as amended (42 U.S.C. §4331 et seq.) and Executive Orders (EO) 11514 and 12898; (b) notification of violating facilities pursuant to EO 11738; (c) protection of wetlands pursuant to EO 11990 and 44 CFR Part §9; (d) evaluation of flood hazards in floodplains in accordance with EO 11988; (e) assurance of project consistency with the approved State management program developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§1451 et seq.); (f) requirements of the Clean Air Act of 1970 and the Clean Water Act of 1977 (42 U.S.C. §§7401 et seq.) and Executive Order 11738; (g) protection of underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended (P.L. 93- 523); (h) protection of endangered species under the Endangered Species Act of 1973, as amended (P.L. 93205); (i) the flood insurance purchase requirements of the Flood Disaster Protection Act of 1973, as amended (42 U.S.C. §4001 et seq.) which requires recipients of Federal funds in a special flood hazard area to participate in the program and to purchase flood insurance if the total cost of insurable construction and acquisition is ten thousand dollars ($10,000) or more; 0) requirements of Section 1306(c) of the National Flood Insurance Act of 1968, as amended (44 CFR Part §63); and (k) 44 CFR Part §10, Environmental Considerations. UASI 14 Subrecipient Agreement 26 a. Subrecipient shall comply with all applicable Federal, State, and local environmental and historical preservation (EHP) requirements. Failure to meet Federal, State, and local EHP requirements and obtain applicable permits may jeopardize Federal funding. Subrecipient shall comply with all applicable conditions placed on any project as the result of the EHP review, and any change to the scope of work of a project will require re-evaluation of compliance with these EHP requirements. Subrecipient agrees not to undertake any project funded by the Grant having the potential to impact the EHP resources without prior written approval of City and DHSIFEMA/CalOES, including, but not limited to, ground disturbance, construction, modification to any structure, communications towers, physical security enhancements, any structure over 50 years old, and purchase and/or use of any sonar equipment. Any construction related activities initiated prior to full EHP review may result in a noncompliance finding. Subrecipient must complete the DHSIFEMA EHP Screening Form (OMB Number 1660-01151FEMA Form 024-0-01) and submit it, with all supporting documentation, to City and CalOES for processing by the DHSIFEMA Grant Program Directorate EHP. The DHSIFEMA EHP Screening Form is available at: www.fema.gov/doclaovemment/grant/bulletins/info329 final screening memo.doc. If ground-disturbing activities occur during the project implementation, the Subrecipient must ensure monitoring of the disturbance. If any potential archaeological resources are discovered, the Subrecipient will immediately cease activity in that area and notify the City and DHS/FEMA/CalOES and the appropriate State Historic Preservation Office. b. Subrecipient shall comply, as applicable, with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§1271 et seq.) related to protecting components or potential components of the national wild and scenic rivers system. c. Subrecipient shall comply, as applicable, with the Lead- Based Paint Poisoning Prevention Act (42 U.S.C. §§4801 et seq.) which prohibits the use of lead-based paint in construction or rehabilitation of residence structures. d. Subrecipient shall comply, as applicable, with the Federal Water Pollution Control Act (33 U.S.C. § 1251 et seq.) which restores and maintains the chemical, physical and biological integrity of the Nation's waters. e. Subrecipient shall ensure that the facilities under its ownership, lease or supervision which shall be utilized in the UASI 14 Subrecipient Agreement 27 accomplishment of Subrecipient's projects funded by the Grant are not on the Environmental Protection Agency's (EPA) List of Violating Facilities, and it will notify the City and DHSIFEMAICalOES of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be used in the project is under consideration for listing by the EPA. f. Subrecipient is, and shall be in compliance with the applicable provisions of the California Environmental Quality Act (CEQA), Public Resources Code §21000 et seq. and Califomia Code of Regulations, Title 14, Chapter 3 Section 15000-15007. g. Subrecipient shall comply, as applicable, with the Energy Policy and Conservation Act (P.L. 94-163, 89 Stat. 871). h. Subrecipient shall comply with applicable provisions of the Coastal Barrier Resources Act (P.L. 97-348) dated October 19, 1982 (16 U.S.C. 3501 et seq.) which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 11. Preservation Subrecipient shall comply, as applicable, with Section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. §470), EO 11593 (identification and protection of historic properties), and the Archaeological and Historic Preservation Act of 1974 (16 U.S.C. §§469a-1 et seq.). 12. Suspension and Debarment Subrecipient shall comply, as applicable, with Federal Register, Volume 68, Number 228, regarding Suspension and Debarment, and Subrecipient shall submit a Certification Regarding Debarment required by Executive Order 12549 and 12689 and any amendment thereto (attached hereto as Exhibit B and made a part hereof). Said Certification shall be submitted to the City concurrent with the execution of this Agreement and shall certify that neither Subrecipient nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from participation in this transaction by any federal department head or agency. Subrecipient shall require that the language of this Certification be included in the award documents for all sub-award at all tiers and that all subcontractors shall certify accordingly. Subrecipient shall not make any award or permit any award (subcontract or contract) to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order UASI 14 Subrecipient Agreement 28 12549 and 12689, "Debarment and Suspension." 13. Drug-Free Workplace Subrecipient shall comply, as applicable, with the Federal Drug- Free Workplace Act of 1988, 41 U.S.C. §701 et. seq., 44 CFR Part 17, 2 CFR 3001, and the California Drug-Free Workplace Act of 1990, Government Code §§ 8350-8357. Subrecipient shall execute and submit to the City concurrent with the execution of this Agreement the Certification Regarding Drug Free Workplace Requirements attached hereto as Exhibit D and made a part hereof. Failure to comply with these requirements may be cause for debarment. 14. Miscellaneous Subrecipient shall comply, as applicable, with the Animal Welfare Act of 1966, as amended (P.L. 89-544, 7 U.S.C. §§2131 et seq.), pertaining to the care, handling and treatment of warm blooded animals held for research, teaching, or other activities. Subrecipients must establish appropriate policies and procedures for the humane care and use of animals based on the Guide for the Care and Use of Laboratory Animals and comply with the Public Health Service Policy and Government Principles Regarding the Care and Use of Animals. Pursuant to the Consolidated Appropriations Act of 2008 (P.L. 110-161) grant funds must not be used in contravention of the federal buildings performance and reporting requirements of Executive Order No. 13123, part 3 of Title V of the National Energy Conservation Policy Act (42 U.S.C. 8251 et seq.) or subtitle A of Title I of the Energy Policy Act of 2005 (including the amendments made thereby), nor shall Grant Funds be used in contravention of section 303 of the Energy Policy Act of 1992 (42 U.S.G. 13212). B. Statutes and Regulations Applicable To This Particular Grant Subrecipient shall comply with all applicable requirements of state and federal laws, executive orders, regulations, program and administrative requirements, policies and any other requirements governing this particular Grant program. Subrecipient shall comply with new, amended, or revised laws, regulations, and/or procedures that apply to the performance of this Agreement. These requirements Include, but are not limited to: 1_ Title 44 Code of Federal Regulations (CFR) Subchapters A, B and C; EO 12372; Current edition of the OJP Financial and Administrative Guide for Grants(M7100.1); Current edition of the DHS Financial Management Guide; DOJ Office for Civil Rights Regulations; Title 2 CFR Parts 215, 225, 220, and 230; All provisions of the Federal Acquisition Regulations (FAR), including, UASI 14 Subrecipient Agreement 29 without limitation, 48 CFR Part 31.2 Contract Cost Principles and Procedures, Contracts with Commercial Organizations; DHS 14 Guidance; CalOES 14 Supplement; CalOES 14 Handbook; CalOES FY 14 Grant Assurances (attached hereto as Exhibit E); Grantor Information Bulletins; and GMMs. 2. Standardized Emergency Management System (SEMS) requirements as stated in the California Emergency Services Act, Government Code Chapter 7 of Division 1 of Title 2, § 8607.1(e) and CCR Title 19, §§ 2445-2448. 3. Technology Requirement: a. Subrecipient shall use the latest National Information Exchange Model (NIEM) specifications and guidelines regarding the use of Extensible Markup Language (XML)for all projects funded by this Grant. Further information about the required use of NIEM specifications and guidelines is available at www.niem.gov. b. For any information technology system funded by Grant Funds under this Agreement, Subrecipient shall ensure that such project complies with 28 CFR Part 23, Criminal Intelligence Systems Operating Policies, if such regulation is determined to be applicable. C. Subrecipient shall comply with Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents. Subrecipient agrees and acknowledges that the adoption of the National Incident Management System (NIMS) is a requirement to receive Grant Funds under this Agreement. 4. In accordance with section 6 of the Hotel and Motel Fire Safety Action of 1990, 15 U.S.C. §2225a, Subrecipient shall ensure that all conference, meeting, convention, or training space funded in whole or in part with federal funds complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. §2225. 5. Subrecipient shall comply with the applicable provisions of Section 106(g) of the Trafficking Victims Protection Act (TVPA) of 2000, as amended (22 U.S.C. §7104, 2 CFR §175). Subrecipient understands and agrees that it, and any of its subrecipients, employees or subgrantees that are private entities, may not: a. Engage in severe forms of trafficking in persons during the period of time that this Grant award is in effect; b. Procure a commercial sex act during the period of time that the Grant award is in effect; or UASI 14 Subrecipient Agreement 30 c_ Use forced labor in the performance of the award or subaward under this Grant award. Subrecipient understands and agrees that the City, CalOES and/or Grantor may unilaterally terminate this Grant award to Subrecipient, without penalty, if Subrecipient: d. is determined to have violated a prohibition identified in this paragraph 5, subparagraph a, b, or c; or e. Has an employee who is determined by an agency official authorized to terminate this Grant award to have violated any such prohibition through conduct that is either i. associated with performance under this Grant award; or ii. imputed to the Subrecipient or its authorized agent using the standards and due process for imputing the conduct of an individual to an organization provided in 2 CFR Part 180, as implemented by Grantor at 2 CFR Part 3000. Subrecipient further understands and agrees that: f. It must inform the City and CalOES immediately of any information received from any source alleging a violation of a prohibition in this paragraph 5, subparagraph a, b or c; g. Grantor's right to terminate unilaterally as described in this paragraph 5 implements Section 106(g) of the TVPA, and that the right of the City, CalOES and Grantor to terminate this Grant award and Agreement unilaterally is in addition to all other remedies for noncompliance that are available under this Grant. h. For purposes of this paragraph 5: i. "Employee" means either: an individual employed by the Subrecipient who is engaged in the performance of the project or program under this award; or another person engaged in the performance of the project or program under this Grant award and not compensated by Subrecipient, including, but not limited to, a volunteer or individual whose services are contributed by a third party as an in-kind contribution toward cost sharing or matching requirements. ii. "Forced labor' means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for UASI 14 Subrecipient Agreement 31 labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage or slavery. iii. "Private entity" means any entity other than a state, local government, Indian Tribe, or foreign public entity, as those terms are defined in 2 CFR 175.25, and includes non-profit organizations, including any non-profit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian Tribe at 2 CFR 175.25(b), and for- profit organizations. iv. "Severe forms of trafficking in persons," "commercial sex act," and "coercion" have the meanings given at Section 103 of the TVPA, as amended. 6. "Classified national security information," as defined in Executive Order (EO) 12958, as amended, means information that has been determined pursuant to EO 12958 or any predecessor order to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form. Subrecipient shall not use any Grant Funds to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information if the Subrecipient has not been approved by the Grantor for and has access to such information. In the event Subrecipient has been so approved for and has access to such information, Subrecipient shall not use any Grant Funds to support a contract, subaward, or other agreement for goods or services that will include access to classified national security information by the contractor, subawardee, or other entity without prior written approval from the DHS Office of Security, industrial Security Program Branch (ISPB), or an appropriate official within the federal department or agency with whom the classified effort will be performed. Such contracts, subawards, or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures, Classified Contracting by States and Local Entities," dated July 7, 2008; Eos 12829, 12958, 12968, as amended; the National Industrial Security Program Operating Manual (NISPOM); and/or other applicable implementing directives or instructions. All security requirement documents are located at: http://www.dhs.gov/xopnbiz/grants/index.shtm. Upon determination by Subrecipient that Grant Funds will be used to support such a contract, subaward, or other agreement, and prior to execution of any actions to facilitate the acquisition of such contract, subaward, or other agreement, Subrecipient shall contact the City and ISPB, or the applicable federal department or agency, for approval and UASI 14 Subrecipient Agreement 32 processing instructions. 7. Subrecipient shall ensure that any of its potential subrecipients of Grant Funds has provided its Data Universal Numbering System (DUNS) number. 8. Subrecipient shall comply with Grantor guidelines regarding the handling of Personally Identifiable Information (PII), as required by OMB M-07-16 and as set forth in DHS Handbook for Safeguarding Sensitive PII, which can be found at hftp://www.dhs.gov/xlibra!y/assets/privacv/l)rivacy guide spii hand book.pdf. In collecting PII, Subrecipient shall have a publicly- available privacy policy that describes what PII it collects, how it plans to use the PII, whether it shares PII with third parties, and how individuals may have their PII corrected where appropriate. Subrecipient may find DHS Privacy Impact Assessments, guidance and templates online at http://www.dhs.aov/xlibrary/assets/privacy/privacy pia guidanceJu ne2010.pdf and at htt ://www.dhs. ov/xiibra /assets! rivac / rivac is tern late. df , respectively. 9. Subrecipient shall comply with the applicable requirements of the Federal regulations at 45 CFR Part §46 and DHS Management Directive 026-04 regarding the protection of human subjects in research. 10. Subrecipient shall comply with the applicable requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act (USA PATRIOT Act), which amends 18 U.S.C. §§175-175c. 11. Subrecipient shall comply with the applicable requirements of the Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. §41102) for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. §40118) and the interpretive guidelines issued by the Comptroller General of the United States in the March 31, 1981 amendment to Comptroller General Decision B138942. 12. Subrecipient shall comply with the requirements that project activities supported with Grant Funds and carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses, permits or approvals are obtained. 13. Subrecipient shall comply with the applicable requirements of the Federal Funding Accountability and Transparency Act (FFATA) UASI 14 Subrecipient Agreement 33 (P.L. 109-282), as amended by Section 6202(a) of the Government Funding Transparency Act of 2008 (P.L. 110-252), and as clarified in Grantor Information Bulletin #350 and GMM #350, regarding disclosure of subawards and executive compensation. C_ Noncompliance Subrecipient understands that failure to comply with any of the above assurances or the Grant Assurances attached hereto as Exhibit E may result in suspension, termination or reduction of Grant Funds, and repayment by Subrecipient to City of any unlawful expenditures. Subrecipient shall be liable to the Grantor for any funds the Grantor determines that Subrecipient used in violation of these Grant Assurances and Subrecipient shall indemnify and hold harmless the City for any sums the Grantor determines Subrecipient used in violation of the Grant Assurances. The provisions of this paragraph shall survive termination of this Agreement. §416. Inventions, Patents and Copyrights A. Reporting Procedure for Inventions If any project of Subrecipient funded under this Agreement produces any invention or discovery ("Invention") patentable or otherwise under Title 35 of the U.S. Code, including, without limitation, processes and business methods made in the course of work under this Agreement, Subrecipient shall report the fact and disclose the Invention promptly and fully to the City. The City shall report the fact and disclose the Invention to the Grantor/CalOES. Unless there is a prior agreement between the City and Grantor/CalOES, Grantor/CalOES shall determine whether to seek protection on the Invention. Grantor/CalOES shall determine how the rights in the Invention, including rights under any patent issued thereon, will be allocated and administered in order to protect the public interest consistent with the policy ("Policy") embodied in the Federal Acquisition Regulations System, which is based on Ch. 18 of Title 35 U.S.C. Sections 200 et seq. (Pub. L. 95-517, Pub. L. 98-620, 37 CFR part 401); Presidential Memorandum on Government Patent Policy to the Heads of the Executive Departments and Agencies, dated 2/18/1983); and Executive Order 12591, 4/10/87, 52 FR 13414, 3 CFR, 1987 Comp., p. 220 (as amended by Executive Order 12618, 12/22/87, 52 FR 48661, 3 CFR, 1987 Comp., p. 262). Subrecipient hereby agrees to be bound by the Policy, will contractually require its personnel to be bound by the Policy, and will consult with Grantor/CalOES regarding allocation of any patent rights that arise from, or are purchased with, Grant Funds. B. Rights to Use Inventions City and Grantor/CaIOES shall have an unencumbered right, and a non- exclusive, irrevocable, royalty-free license, to use, manufacture, improve upon, and allow others to do so for all government purposes, any UASI 14 Subrecipient Agreement 34 Invention developed under this Agreement. C. Copyright Policy Unless otherwise provided by the terms of the Grantor or of this Agreement, when copyrightable material ("Material") is first produced or developed as part of a project funded by Grant Funds, the Grantor, at Grantor's discretion, may copyright the Material. If the Grantor declines to copyright the Material, the Grantor shall have an unencumbered right, and a non-exclusive, irrevocable, royalty-free license, to reproduce, display, publish, disseminate, perform, prepare derivative works or otherwise use, and authorize others to use, for all government purposes: (a) any Material so produced or developed and (b) any rights of copyright to which Subrecipient purchases ownership with Grant Funds. Subrecipient shall affix the applicable copyright notices of 17 U.S.C. §401 or §402 and an acknowledgement of government sponsorship (including Grant award number) to any Material first produced or developed under this Grant, unless the Material includes any information that is otherwise controlled by the Government (e.g. classified information or other information subject to national security or export control laws or regulations). D. Rights to Data The Grantor shall have unlimited rights or copyright license to any data first produced or delivered under this Agreement or to any scientific, technical, or other copyright work based on or containing data first produced under this Agreement, including those works published in academic, technical or professional journals, symposia proceedings, or similar works. "Unlimited rights" means the right to use, disclose, reproduce, prepare derivative works, distribute copies to the public, and perform and display publicly, or permit others to do so; as required by 48 CFR 27.401. Where the data are not first produced under this Agreement or are published copyrighted data with the notice of 17 U.S.C. Section 401 or 402, the Grantor acquires the data under a copyright license as set forth in 48 CFR 27.404(f)(2) instead of unlimited rights. (48 CFR 27.404(a)). E. Obligations Binding on Subcontractors Subrecipient shall require all its contractors and subcontractors funded by Grant Funds to comply with the obligations of this section by incorporating the terms of this section into all contracts and subcontracts. In addition, Subrecipient shall ensure that all its contractors, subcontractors and vendors funded by Grant Funds be contractually obligated to give the rights set forth in this Section 416 to the Subrecipient as well as the Grantor. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 35 V. DEFAULTS, AMENDMENTS, AND AGREEMENT §501. Defaults Should Subrecipient fail for any reason to comply with the contractual obligations of this Agreement within the time specified by this Agreement, the City reserves the right to terminate the Agreement, reserving all rights under state and federal law. §502. Amendments Any change in the terms of this Agreement, including changes in the services to be performed by Subrecipient, and any increase or decrease in the amount of compensationlaIlocation which are agreed to by the City and Subrecipient shall be incorporated into this Agreement by a written amendment properly executed and signed by the person authorized to bind the parties thereto. Subrecipient agrees to comply with all future City Directives, or any rules, amendments or requirements promulgated by the City affecting this Agreement. §503. Complete Agreement This Agreement sets forth all of the rights and duties of the parties with respect to the subject matter hereof, and replaces any and all previous agreements or understandings, whether written or oral, relating thereto. This Agreement may be amended only as provided for herein and neither verbal agreement nor conversation with any officer or employee of either party shall affect or modify any of the terms and conditions of this Agreement. This Agreement is executed in three (3) duplicate originals, each of which is deemed to be an original. This Agreement includes thirty-seven (37) pages and twelve (12) Exhibits which constitute the entire understanding and agreement of the parties. [REMAINDER OF PAGE INTENTIONALLY LEFT BLANK] UASI 14 Subrecipient Agreement 36 IN WITNESS WHEREOF, the City and Subrecipient have caused this Agreement to be executed by their duly authorized representatives. APPROVED AS TO FORM AND For: THE CITY OF LOS ANGELES LEGALITY: ERIC GARCETTI, Mayor MICHAEL N. FEUER, City Attorney By Eric Garcetti, Mayor By Homeland Security and Deputy City Attorney Public Safety, Mayor's Office Date Date ATTEST: HOLLY L. WOLCOTT, Interim City Clerk By Deputy City Clerk Date APPROVED AS TO FORM: For: The City of Vernon, a municipal corporation By City Attorney By Date Date ATTEST: � BY City Clerk [SEAL] Date City Business License Number: Internal Revenue Service ID Number: Council File/OARS File Number: 14-0820 Date of Approval City Contract Number: UASI 14 Subrecipient Agreement 37 Exhibit A Insurance (Not applicable to this Agreement) EXHIBIT B INSTRUCTIONS FOR CERTIFICATION l. By signing and submitting this document,the prospective recipient of Federal assistance funds is providing the certification as set out below. 2. The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective recipient of Federal assistance funds knowingly rendered an erroneous certification,in addition to other remedies available to the Federal Government,the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment. 3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to which this agreement is entered,if at any time the prospective recipient of Federal assistance funds learns that its certification was erroneous,when submitted or has become erroneous by reason of changed circumstances. 4. The terms"covered transaction,""debarred,""suspended,""ineligible,""lower tier covered transaction," "participant,""person,""primary covered transaction,""principal,""proposal,"and"voluntarily excluded,"as used in this clause,have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. 5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that,should the proposed covered transaction be entered into,it shall not knowingly enter into any lower tier covered transaction with a person who is debarred,suspended,declared ineligible,or voluntarily excluded from participation in this covered transaction,unless authorized by the department or agency with which this transaction originated. 6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will include the clause titled"Certification Regarding Debarment,Suspension,Ineligibility and Voluntary Exclusion -Lower Tier Covered Transactions,"without modification,in all lower tier covered transactions and in all solicitations for lower tier covered transactions. 7. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred,suspended,ineligible,or voluntarily excluded from the covered transaction,unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may,but is not required to, check the List of Parties Excluded from Procurement or Non-Procurement Prop-rams., 8. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. 9. Except for transactions authorized under Paragraph 5 of these instructions,if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended,debarred, ineligible,or voluntary excluded from participation in this transaction,in addition to other remedies available to the Federal Government,the department or agency with which this transaction originated may pursue available remedies,including suspension and/or debarment. CERTIFICATION REGARDING DEBARMENT, SUSPENSION,INELIGIBILITY AND VOLUNTARY EXCLUSION LOWER TIER COVERED TRANSACTIONS This certification is required by the regulations implementing Executive Order 12549,Debarment and Suspension,44 CFR Part 17, Participants'responsibilities. (READ ATTACHED INSTRUCTIONS FOR CERTIFICATION BEFORE COMPLETING) 1. The prospective recipient(or subrecipient)of Federal assistance funds certifies that it or its principals: (a) Are not presently debarred, suspended,proposed for debarment,declared ineligible, sentenced to a denial of Federal benefits by a State or Federal court,or voluntarily excluded from covered transactions by any Federal department or agency; (b) Have not within a three-year period preceding this Agreement been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State,or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery,bribery, falsification or destruction of records, making false statements, or receiving stolen property; (c) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity(Federal, State,or local) with commission of any of the offenses enumerated in paragraph 1(b) of this certification; and (d) Have not within a three-year period preceding this Agreement had one or more public transactions(Federal, State,or local)terminated for cause or default. 2. Where the prospective recipient of Federal assistance funds is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal. AGREEMENT NUMBER RECIPIENT/SUBRECIPIENT/CONTRACTOR/BORROWER/AGENCY NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE DATE EXHIBIT C CERTIFICATION REGARDING LOBBYING Certification for Contracts,Grants,Loans and Cooperative Agreements The undersigned certifies, to the best of his or her knowledge and belief, that: 1. No Federal appropriated funds have been paid or will be paid,by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress,or an employee of a Member of Congress in connection with the awarding of any Federal contract,the making of any Federal grant,the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation,renewal, amendment, or modification of any Federal contract, grant, loan or cooperative agreement. 2. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress,an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant,loan, or cooperative agreement,the undersigned shall complete and submit Standard Form-LLL "Disclosure Form to Report Lobbying" in accordance with its instructions. 3. The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers(including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly. 4. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352 Title 31,U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less that$10,000 and not more than$100,000 for each such failure. AGREEMENT NUMBER SUBRECIPIENT/CONTRACTORBORROWER/AGENCY NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE DATE EXHIBIT D CERTIFICATION REGARDING DR UG FREE WORKPLACE ACT REQUIREMENTS The Contractor/Subrecipient certifies that it will or will continue to provide a drug-free workplace, in accordance with the federal Drug-Free Workplace Act of 1988 (41 U.S.C. 701 et sue), 28 CFR Part 67; and the California Drug-Free Workplace Act of 1990, Government Code §§ 8350-8357,by: 1. Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing,possession or use of a controlled substance is prohibited in the Contractor's workplace and specifying the actions that will be taken against employees for violation of such prohibition. 2. Establishing an on-going drug-free awareness program to inform employees about: a. The dangers of drug abuse in the workplace; b. The Contractor's policy of maintaining a drug-free workplace; c. Any available drug counseling,rehabilitation and employee assistance programs; and d. The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace. 3. Making it a requirement that each employee to be engaged in the performance of the program be given a copy of the statement required by paragraph 1 above. 4. Notifying the employee in the statement required by paragraph 1 that, as a condition of employment under the Grant program,the employee will: a. Abide by the terms of the statement, and b. Notify the Contractor in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction. 5. Notifying the City and Grantor, in writing, within 10 calendar days after receiving notice under subparagraph 4.b. from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to: Department of Justice, Office of Justice Programs ATTN: Control Desk 633 Indiana Avenue,N.W. Washington, D.C. 20531 6. Taking one of the following actions, within 30 calendar days of receiving notice under subparagraph 4.b. with respect to any employee who is so convicted: a. Taking appropriate personnel action against such an employee,up to and including termination,consistent with the requirements of the Rehabilitation Act of 1973, as amended; or b. Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State,or local health, law enforcement, or other appropriate agency. 7. Making a good faith effort to continue to maintain a drug-free workplace through implementation of the provisions of this certification. AGREEMENT NUMBER SUBRECIPIENT/CONTRACTOR/BORROWER/AGENCY NAME AND TITLE OF AUTHORIZED REPRESENTATIVE SIGNATURE DATE *NOTE: Capitalized terms herein shall have those meanings set forth in the Agreement to which this Certification is attached as an Exhibit EXHIBIT E California Governor's Office of Emergency Services FY 2014 Grant Assurances (All HSGP Applicants) Name of Applicant: City of Los Angeles Address: 200 No. Spring Street, Room 303 City: Los Angeles State: CA Zip Code: 90012 Telephone Number: (213) 978-0730 _ _ Fax Number: _(213) 978-0718 E-Mail Address: alisa.finsten@lacity.org As the duly authorized representative of the applicant, I certify that the applicant named above: 1. Will assure that the Funding Opportunity Announcement for this program is hereby incorporated into your award agreement by reference. By accepting this award,the recipient agrees that all allocations and use of funds under this grant will be in accordance with the requirements contained in the FY2014 Homeland Security Grant Program Funding Opportunity Announcement,the California Supplement to the FY2014 Homeland Security Grant Program Funding Opportunity Announcement,and all applicable laws and regulations. 2. All allocations and use of funds under this grant will be in accordance with the Allocations,and use of grant funding must support the goals and objectives included in the State and/or Urban Area Homeland Security Strategies as well as the investments identified in the Investment Justifications which were submitted as part of the California FY2014 Homeland Security Grant Program application.Further,use of FY2014 funds is limited to those investments included in the California FY2014 Investment Justifications submitted to DHS/FEMA and Cal OES and evaluated through the peer review process. 3. Understands that in the event FEMA determines that changes are necessary to the award document after an award has been made, including changes to period of performance or terms and conditions,recipients will be notified of the changes in writing.Once notification has been made,any subsequent request for funds will indicate recipient acceptance of the changes to the award.Please call the FEMA/GMD Call Center at (866)927-5646 or via e-mail to ASK-GMD0adhs.gov if you have any questions. 4. Has the legal authority to apply for Federal assistance and has the institutional,managerial and financial capability to ensure proper planning,management and completion of the grant provided by the U.S. Department of Homeland Security(DHS)/Federal Emergency Management Agency(FEMA)and sub- granted through the State of California,California Governor's Office of Emergency Services(Cal OES). 5. Will assure that grant funds are used for allowable,fair,and reasonable costs only and will not be transferred between grant programs(for example: State Homeland Security Program and Urban Area Security Initiative)or fiscal years. 6. Will comply with any cost sharing commitments included in the FY2014 Investment Justifications submitted to DHS/FEMA/Cal OES, where applicable. 7. Will establish a proper accounting system in accordance with generally accepted accounting standards and awarding agency directives. Page 1 Initials jQf 8. Will give the DHS/FEMA,the General Accounting Office,the Comptroller General of the United States, the Cal OES,the Office of Inspector General,through any authorized representatives,access to, and the right to examine,all paper or electronic records, books,and documents related to the award,and will permit access to its facilities, personnel and other individuals and information as may be necessary,as required by DHS/FEMA or Cal OES, through any authorized representative, with regard to examination of grant related records,accounts, documents, information and staff. 9. Agrees,and will require any subrecipient,contractor,successor,transferee,and assignee to acknowledge and agree to comply with applicable provisions governing DHS access to records,accounts,documents, information,facilities,and staff. a. Recipients must cooperate with any compliance review or complaint investigation conducted by DHS or Cal OES. b. Recipients must give DHS and Cal OES access to and the right to examine and copy records, accounts,and other documents and sources of information related to the grant and permit access to facilities,personnel,and other individuals and information as may be necessary,as required by DHS and Cal OES program guidance,requirements,and applicable laws. c. Recipients must comply with all other special reporting,data collection,and evaluation requirements, as prescribed by law or detailed in program guidance,and recipients must submit timely,complete, and accurate reports to the appropriate DHS officials and maintain appropriate backup documentation to support the reports. d. If,during the past three years,the recipient has been accused of discrimination on the grounds of race, color,national origin(including limited English proficiency),sex,age,disability, religion,or familial status,the recipient must provide a list of all such proceedings, pending or completed, including outcome and copies of settlement agreements to the DHS/Cal OES awarding office and the DHS Office of Civil Rights and Civil Liberties. e. In the event any court or administrative agency makes a finding of discrimination on grounds of race, color,national origin(including limited English proficiency), sex,age,disability,religion,or familial status against the recipient,or the recipient settles a case or matter alleging such discrimination, recipients must forward a copy of the complaint and findings to the DHS Component and/or awarding office. The United States has the right to seek judicial enforcement of these obligations. 10. Will comply with any other special reporting,assessments, national evaluation efforts,or information or data collection requests, including, but not limited to,the provision of any information required for the assessment or evaluation of any activities within this agreement,or detailed in the program guidance. 11. Agrees that funds utilized to establish or enhance State and Local fusion centers must support the development of a statewide fusion process that corresponds with the Global Justice/Homeland Security Advisory Council (HSAC)Fusion Center Guidelines,follow the Federal and State approved privacy policies, and achieve(at a minimum)the baseline level of capability as defined by the Fusion Capability Planning Tool. 12. Understands that a hold is in place on Fusion Center activities and the applicant is prohibited from obligating,expending,or drawing down HSGP—UASI funds in support of their State and/or Major Urban Area Fusion Center. Cal OES will notify the subgrantee in writing when DHS/FEMA has lifted the hold. 13. Will initiate and complete the work within the applicable timeframe(subgrantee performance period),in accordance with grant award terms and requirements,after receipt of approval from Cal OES and will maintain procedures to minimize the amount of time elapsing between the award of funds and the disbursement of funds. Page 2 Initials 14. Will provide timely, complete and accurate progress reports,and maintain appropriate support documentation to support the reports, and other such information as may be required by the awarding agency, including the Initial Strategy Implementation Plan(]SIP),within 45(forty-five)days of the award, and update these reports and related documentation via the Grant Reporting Tool(GRT)twice each year. 15. Will provide timely notifications to Cal OES of any developments that have a significant impact on award- supported activities, including changes to key program staff. 16. Agrees to be non-delinquent in the repayment of any Federal debt.Examples of relevant debt, include delinquent payroll and other taxes,audit disallowances, and benefit overpayments. See OMB Circular A- 129 and form SF-424B, item number 17 for additional information and guidance. 17. Will comply with the requirements of 31 U.S.C. §3729, which set forth that no subgrantee, recipient or subrecipient of federal payments,shall submit a false claim for payment, reimbursement,or advance. Administrative remedies may be found in 38 U.S.C. §§ 3801-3812,addressing false claims and statements made. 18. Will comply with all applicable provisions of DHS/FEMA's regulations, including Title 44 of the Code of Federal Regulations, Part 13,Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments, including the payment of interest earned on advances. 19. Will comply with the Office of Management and Budget(OMB)Circular A-102, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments(also known as the "A-102 Common Rule"),which are also located found within DHS regulations at Title 44,Code of Federal Regulations(CFR)Part 13, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments"; will comply with OMB Circular A-l 10,Uniform Administrative Requirements for Grants and Agreements with Institutions of Higher Education,Hospitals,and Other Non- Profit Organizations,relocated to 2 CFR Part 215. 20. Will comply with the financial and administrative requirements set forth in the current edition of the DHS Financial Management Guide;OMB Circular A-21,Cost Principles for Educational Institutions,relocated to 2 CFR Part 220;OMB Circular A-87, Cost Principles for State,Local,and Indian Tribal Governments, relocated to 2 CFR Part 225;OMB Circular A-122,Cost Principles for Non-Profit Organizations,relocated to 2 CFR Part 230;and OMB Circular A-]33, Audits of States,Local Governments and Non-Profit Organizations,as applicable. 21. Will comply with all provisions of the Federal Acquisition Regulations, including but not limited to Title 48 CFR Part 31.2, part 31.2 Contract Cost Principles and Procedures, Contracts with Commercial Organizations. 22. Will comply with provisions of the Hatch Act(5 U.S.C. §§ 1501-1508 and 7324-7328),which limits the political activities of employees whose principal employment activities are funded in whole or in part with Federal funds. 23. Will establish safeguards to prohibit employees from using their positions for a purpose that constitutes,or presents the appearance of,personal or organizational conflict of interest,or personal gain for themselves or others,particularly those with whom they have family, business,or other connections. 24. Understands and agrees that Federal funds will not be used,directly or indirectly,to support the enactment, repeal, modification or adoption of any law, regulation,or policy,at any level of government,without the express prior written approval from DHS/FEMA and Cal OES. 25. Will comply with all applicable lobbying prohibitions and laws,including those found 31 U.S.C.§ 1352., and agrees that none of the funds provided under this award may be expended by the recipient to pay any I person to influence,or attempt to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress,or an employee of a Member of Congress in connection with any Federal action concerning the award or renewal of any Federal contract,grant, loan, or cooperative agreement. 26. Agrees that,to the extent contractors or subcontractors are utilized, will use small,minority-owned, women-owned,or disadvantaged businesses,to the extent practicable. 27. Will comply with Title 2 of the Code of Federal Regulations Part 225,Appendix A, paragraph(C)(3)(c), which provides that any cost allocable to a particular Federal award or cost objective under the principles provided for in this authority may not be charged to other Federal awards to overcome fund deficiencies. 28. Will ensure that Federal funds do not replace(supplant)funds that have been budgeted for the same purpose through non-Federal sources. Subgrantees and subrecipients may be required to demonstrate and document that a reduction in non-Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. 29. Will comply, if applicable, with the Lead-Based Paint Poisoning Prevention Act(42 U.S.C. §4801 et seq.), which prohibits the use of lead based paint in construction or rehabilitation of structures. 30. Will comply with all federal and state laws and regulations relating to civil rights protections and nondiscrimination. These include, but are not limited to: a. Title VI of the Civil Rights Act of 1964, Public Law 88-352, (42 U.S.C. §2000d et seq.),codified at 6 CFR Part 21 and 44 CFR Part 7,which provides that no person in the United States will,on the grounds of race, color,or national origin, be excluded from participation in,be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance. b. Title IX of the Education Amendments of 1972,as amended(20 U.S.C. § 1681 et seq.),which prohibits discrimination on the basis of gender in educational programs and activities.These regulations are codified at 6 CFR Part 17 and 44 CFR Part 19. c. The Americans with Disabilities Act,as amended,which prohibits recipients from discriminating on the basis of disability in the operation of public entities,public and private transportation systems, places of public accommodation,and certain testing entities(42 U.S.C. § 12101 et seq.). d. The Age Discrimination Act of 1975,as amended(42 U.S.C. §§6101 et seq.),which prohibits discrimination on the basis of age in any program or activity receiving federal financial assistance. e. The Drug Abuse Office and Treatment Act of 1972(P.L.92-255),as amended,relating to nondiscrimination on the basis of drug abuse. f. The Comprehensive Alcohol Abuse and Alcoholism Prevention,Treatment and Rehabilitation Act of 1970 (P.L.91-616),as amended,relating to nondiscrimination on the basis of alcohol abuse or alcoholism. g. Sections 523 and 527 of the Public Health Service Act of 1912(42 U.S.C. §290 dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug abuse patient records. h. Title V111 of the Civil Rights Act of 1968(42 U.S.C. § 3601 et seq., as implemented by 24 CFR Part 100),as amended, relating to nondiscrimination in the sale, rental and financing of housing. i. Title 44 of the Code of Federal Regulations(CFR)Parts 7, 16,and 19 relating to nondiscrimination. j. The requirements of any other nondiscrimination provisions in the specific statute($)under which the application for Federal assistance is being made and any other applicable statutes. k. The requirements of Section 504 of the Rehabilitation Act of 1973,29 U.S.C. §794,as amended, which provides that no otherwise qualified individual with a disability in the United States will,solely by reason of the disability, be excluded from participation in, be denied the benefits of,or be subjected to discrimination under any program or activity receiving Federal financial assistance. These requirements pertain to the provision of benefits or services as well as to employment. 1. Will, in the event that a Federal or State court or Federal or State administrative agency makes a finding of discrimination after a due process hearing on the grounds or race,color, religion,national Page 4 Initials origin,gender, or disability against a recipient of funds,the recipient will forward a copy of the finding to the Office of Civil Rights,Office of Justice Programs. in. Will provide an Equal Employment Opportunity Plan, if applicable,to the Department of Justice Office of Civil Rights within 60 days of grant award. n. Will comply, and assure the compliance of all its subgrantees and contractors, with the nondiscrimination requirements and all other provisions of the current edition of the Office of Justice Programs Financial and Administrative Guide for Grants, M7100.1. 31. Will comply with the requirements of Titles 11 and III of the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970(42 U.S.C. § 4601 et seq. [P.L.91-646]),which provides for fair and equitable treatment of persons displaced or whose property is acquired as a result of Federal or Federally assisted programs. These requirements apply to al I interested in real property acquired for project purposes regardless of Federal participation in purchases. Will also comply with Title 44 CFR,Part 25, Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally-assisted programs. 32. Will comply with all provisions of DHS/FEMA's regulation 44 CFR Part 10, Environmental Considerations. 33. Will comply with all applicable Federal, State,and Local environmental and historical preservation(EHP) requirements. Failure to meet Federal, State,and Local EHP requirements and obtain applicable permits may jeopardize Federal funding. Agrees not to undertake any project having the potential to impact EHP resources without the prior written approval of DHS/FEMA and Cal OES, including, but not limited to, ground disturbance, construction,modification to any structure,physical security enhancements, communications towers,any structure over 50 years old,and purchase and/or use of any sonar equipment. The subgrantee must comply with all conditions and restrictions placed on the project as a result of the EHP review.Any construction-related activities initiated without the necessary EHP review and approval will result in a noncompliance finding,and may not be eligible for reimbursement with DHS/FEMA and Cal OES funding. Any change to the scope of work will require re-evaluation of compliance with the EHP. If ground-disturbing activities occur during the project implementation,the subgrantee must ensure monitoring of the disturbance. If any potential archeological resources are discovered,the subgrantee will immediately cease activity in that area and notify DHS/FEMA/and Cal OES and the appropriate State Historic Preservation Office. 34. Any construction activities that have been initiated prior to the full environmental and historic preservation review could result in a non-compliance finding. Subgrantees must complete the DHS/FEMA EHP Screening Form(OMB Number 1660-0115/FEMA Form 024-0-01)and submit it,with all supporting documentation,to their Cal OES program representative,for processing by the DHS/FEMA GPD EHP. 35. Grantees should submit the FEMA EHP Screening Form for each project as soon as possible upon receiving their grant award. The Screening From for these types of projects is available at: nr.w.fema. ov/docl overnment/ rant/bulletins.!!/! 3Z9 final screenin memo.doc. 36. Will ensure that the facilities under its ownership, lease or supervision,which shall be utilized in the accomplishment of this project,are not on the Environmental Protection Agency's(EPAs) List of Violating Facilities,and will notify Cal OES and the DHS/FEMA of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating if a facility to be used in the project is under consideration for listing by the EPA. 37. Will provide any information requested by DHS/FEMA/and Cal OES to ensure compliance with applicable laws including,but not limited to,the following: a. Institution of environmental quality control measures under the Archaeological and Historic Preservation Act,Endangered Species Act,and Executive Orders on Floodplains(11988),and Environmental Justice (EO12898)and Environmental Quality(EO11514). Page 5 Initials b. Notification of violating facilities pursuant to EO 11738. c. Assurance of project consistency with the approved state management program developed under the Coastal Zone Management Act of 1972(16 U.S.C. § 1451 et seq.). d. Protection of underground sources of drinking water under the Safe Drinking Water Act of 1974,as amended,(P.L. 93-523). e. California Environmental Quality Act(CEQA),California Public Resources Code Sections 21080- 21098,and California Code of Regulations,Title 14,Chapter 3 §§ 15000-15007. f. Wild and Scenic Rivers Act of 1968(16 U.S.C. § 1271 et seq.)related to protecting components or potential components of the national wild and scenic rivers system. g. Applicable provisions of the Coastal Barrier Resources Act(P.L.97-348)dated October 19, 1982(16 USC §3501 et seq.), which prohibits the expenditure of most new Federal funds within the units of the Coastal Barrier Resources System. 38. Will comply with Standardized Emergency Management System(SEMS)requirements as stated in the California Emergency Services Act,Government Code,Chapter 7 of Division i of Title 2, § 8607.1(e)and CCR Title 19, §§2445,2446,2447,and 2448. 39. Agrees that subgrantees and subrecipients collecting Personally Identifiable Information(PII)must have a publically-avai]able privacy policy that describes what PII they collect, how they plan to use the PII, whether they share PII with third parties, and how individuals may have their P11 corrected where appropriate. Subgrantees and subrecipients may also find DHS Privacy Impact Assessments,guidance and templates online at http:l/www.dhs.gL)v/xlib iassets! rival '/ rivac is fuidance iune2010. df and at http://www.dhs. ovlxlibrarylassetslprivacylprivacy_ pia template.udf: respectively. 40. Agrees that all DHS/FEMA-funded project activities carried on outside the United States are coordinated as necessary with appropriate government authorities and that appropriate licenses,permits,and approvals are obtained. 41. Will comply with Section 6 of the Hotel and Motel Fire Safety Act of 1990, 15 U.S.C. §2225(a),whereby all subgrantees,recipients,and subrecipients must ensure that all conference,meeting, convention,or training space,funded in whole or in part with Federal funds,complies with the fire prevention and control guidelines of the Federal Fire Prevention and Control Act of 1974, 15 U.S.C. §2225. 42. Will comply with the Preference for U.S. Flag Air Carriers: (air carriers holding certificates under 49 U.S.C. §41 102)for international air transportation of people and property to the extent that such service is available, in accordance with the International Air Transportation Fair Competitive Practices Act of 1974 (49 U.S.C. §401 18)and the interpretative guidelines issued by the Comptroller General of the United States in the March 31, 1981 amendment to Comptroller General Decision B 138942. 43. Agrees that all publications created or published with funding under this grant shall prominently contain the following statement: "This document was prepared under a grant from FEMA's Grant Programs Directorate, U.S.Department of Homeland Security.Points of view or opinions expressed in this document are those of the authors and do not necessarily represent the official position or policies of FEMA's Grant Programs Directorate or the U.S. Department of Homeland Security. " The recipient also agrees that,when practicable,any equipment purchased with grant funding shall be prominently marked as follows: "Purchased with funds provided by the U.S. Department of Homeland Security." 44. Acknowledges that DHS/FEMA reserves a royalty-free, nonexclusive,and irrevocable license to reproduce, publish,or otherwise use,and authorize others to use,for Federal government purposes: a)the copyright in any work developed under an award or sub-award;and b)any rights of copyright to which a recipient or sub-recipient purchases ownership with Federal support.The recipient must affix the applicable copyright notices of 17 U.S.C. section 401 or 402 and an acknowledgement of Government sponsorship(including award number)to any work first produced under Federal financial assistance awards, unless the work Page 6 Initial includes any information that is otherwise controlled by the Government(e.g.classified information or other information subject to national security or export control laws or regulations). The recipient agrees to consult with DHS/FEMA and Cal OES regarding the allocation of any patent rights that arise from,or are purchased with,this funding. 45. Recipients receiving Federal financial assistance to be used to perform eligible work approved in the submitted application for Federal assistance and after the receipt of Federal financial assistance,through the State of California,agrees to the following: a. Promptly return to the State of California all funds received which exceed the approved,actual expenditures as determined by the Federal or State government. b. In the event the approved amount of the grant is reduced,the reimbursement applicable to the amount of the reduction will be promptly refunded to the State of California. c. Property and equipment purchased under the HSGP reverts to Cal OES if the grant funds are deobligated or disallowed and not promptly repaid. d. HSGP funds used for the improvement of real property must be promptly repaid following deobligation or disallowment of costs,and Cal OES reserves the right to place a lien on the property for the amount owed. e. Separately account for interest earned on grant funds,and will return all interest earned, in excess of $100 per Federal Fiscal Year. 46. Understands that recipients who receive awards made under programs that provide emergency communication equipment and its related activities must comply with the SAFECOM Guidance for Emergency Communication Grants, including provisions on technical standards that ensure and enhance interoperable communications. 47. Will comply, if applicable,with the Laboratory Animal Welfare Act of 1966(P. L. 89-544,as amended,7 U.S.C. §2131 et seq.)pertaining to the care,handling,and treatment of warm blooded animals held for research,teaching,or other activities supported by this award of assistance. 48. Will comply with the minimum wage and maximum hour provisions of the Federal Fair Labor Standards Act(29 U.S.C. §201),as they apply to employees of institutions of higher education,hospitals,and other non-profit organizations. 49. Agrees that"Classified national security information," as defined in Executive Order(EO) 12958,as amended or updated via later executive order(s), means information that has been determined pursuant to EO 12958 to require protection against unauthorized disclosure and is marked to indicate its classified status when in documentary form.No funding under this award shall be used to support a contract, subaward,or other agreement for goods or services that will include access to classified national security information if the award recipient has not been approved for and granted access to such information by appropriate authorities. 50. Agrees that where an award recipient has been approved for and has access to classified national security information,no funding under this award shall be used to support a contract,subaward,or other agreement for goods or services that will include access to classified national security information by the contractor, subrecipient,or other entity without prior written approval from the DHS Office of Security,Industrial Security Program Branch(ISPB),or,an appropriate official within the Federal department or agency with whom the classified effort will be performed. Such contracts,subawards,or other agreements shall be processed and administered in accordance with the DHS "Standard Operating Procedures,Classified Contracting by States and Local Entities," dated July 7,2008;EOs 12829, 12958, 12968,and other applicable executive orders;the National Industrial Security Program Operating Manual(NISPOM);and other applicable implementing directives or instructions. Security requirement documents may be located at:.http://www.dhs.,Pov/xoi2nbiz/p-rants/index.shtm F'a�>� ' [nitials 51. Immediately upon determination by the award recipient that funding under this award may be used to support a contract,subaward,or other agreement involving access to classified national security information pursuant to paragraph 47,and prior to execution of any actions to facilitate the acquisition of such a contract,subaward,or other agreement,the award recipient shall contact ISPB, and the applicable Federal department or agency,for approval and processing instructions. DHS Office of Security ISPB contact information: Telephone:202-447-5 346 Email:DD254AdministrativeSecurity(a),dhs.eov Mail:Department of Homeland Security Office of the Chief Security Officer ATTN: ASD/Industrial Security Program Branch Washington,D.C.20528 52. Will comply with the requirements regarding Data Universal Numbering System(DUNS) numbers.If recipients are authorized to make subawards under this award,they must first notify potential subrecipients that no entity may receive or make a subaward to any entity unless the entity has provided a DUNS number. For purposes of this award term,the following definitions will apply: a. "Data Universal Numbering System(DUNS)'number means the nine digit number established and assigned by Dun and Bradstreet,Inc.(D&B)to uniquely identify business entities.A DUNS number may be obtained from D&B by telephone(currently 866-705-5711)or the Internet,currently at _httQ-HfedF_ov.dnb.com/webf6rm. b. "Entity",as it is used in this award term,means all of the following,as defined at 2 CFR part 25, subpart C,as a Governmental organization,which is a State, local government,or Indian Tribe; or a foreign public entity; or a domestic or foreign nonprofit organization;or a domestic or foreign for- profit organization; or a Federal agency, but only as a sub recipient under an award or subaward to a non-Federal entity. c. "Subaward"means a legal instrument to provide support for the performance of any portion of the substantive project or program for which you received this award and that you as the recipient award to an eligible subrecipient. It does not include your procurement of property and services needed to carry out the project or program(for further explanation,see section 210 of the attachment to OMB Circular A-]3 3,"Audits of States,Local Governments, and Non-Profit Organizations")and may be provided through any legal agreement, including an agreement that you consider a contract. d. "Subrecipient"means an entity that receives a subaward from you under this award,and is accountable to you for the use of the Federal funds provided by the subaward. 53. Will comply,as applicable,with the provisions of the Davis-Bacon Act(40 U.S.C. §276a to 276a-7) the Copeland Act(40 U.S.C. §276c and 18 U.S.C. §874),and the Contract Work Hours and Safety Standards Act(40 U.S.C. §§ 327-333), regarding labor standards for Federally-assisted construction sub-agreements. 54. Agrees that equipment acquired or obtained with grant funds: a. Will be made available pursuant to applicable terms of the California Disaster and Civil Defense Master Mutual Aid Agreement, in consultation with representatives of the various fire,emergency medical,hazardous materials response services,and law enforcement agencies within the jurisdiction of the applicant,and deployed with personnel trained in the use of such equipment in a manner consistent with the California Law Enforcement Mutual Aid Plan or the California Fire Services and Rescue Mutual Aid Plan. b. Is consistent with needs as identified in the State Homeland Security Strategy and will be deployed in conformance with that Strategy. 55. Will comply with Homeland Security Presidential Directive(HSPD)-5,Management of Domestic Incidents. The adoption of the National Incident Management System(NIMS) is a requirement to receive Federal preparedness assistance,through grants,contracts,and other activities.The NIMS provides a consistent Page S Initials nationwide template to enable all levels of government,tribal nations, nongovernmental organizations,and private sector partners to work together to prevent,protect against,respond to,recover from, and mitigate the effects of incidents, regardless of cause,size, location,or complexity. 56. Will comply with OMB Standard Form 424B Assurances—Non construction Programs,whereby the awarding agency may require subgrantees and subrecipients to certify to additional assurances. 57. Will not make any award or permit any award(subgrant or contract)to any party which is debarred or suspended or is otherwise excluded from or ineligible for participation in Federal assistance programs under Executive Order 12549 and 12689,"Debarment and Suspension."As required by Executive Order 12549, Debarment and Suspension,and implemented at 44 CFR Part 17, for prospective participants in primary covered transactions,the applicant will provide protection against waste,fraud and abuse, by debarring or suspending those persons deemed irresponsible in their dealings with the Federal government.Applicant certifies that it and its principals: a. Are not presently debarred,suspended,proposed for debarment,declared ineligible,sentenced to a denial of Federal benefits by a State or Federal court,or voluntarily excluded from covered transactions by any Federal department or agency. b. Have not within a three-year period preceding this application been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining,attempting to obtain,or performing a public(Federal,State,or local)transaction or contract under a public transaction,violation of Federal or State antitrust statutes or commission of embezzlement,theft,forgery, bribery,falsification or destruction of records,making false statements, or receiving stolen property. c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal,State,or local)with commission of any of the offenses enumerated in paragraph(1)(b)of this certification; and have not within a three-year period preceding this application had one or more public transactions(Federal,State,or local)terminated for cause or default;and d. Where the applicant is unable to certify to any of the statements in this certification,he or she shall attach an explanation to this application. 58. Will comply with requirements to acknowledge Federal funding when issuing statements, press releases, requests for proposals, bid invitations,and other documents describing projects or programs funded in whole or in part with Federal funds. 59. Will obtain,via Cal OES,the prior approval from DHS on any use of the DHS seal(s),logos,crests or reproductions of flags or likenesses of DHS agency officials, including use of the United States Coast Guard seal,logo,crests or reproductions of flags or likenesses of Coast Guard officials. 60. Will comply with the requirements of the Drug-Free Workplace Act of 1988(41 U.S.C. § 701 et seq.), which requires that all organizations receiving grants from any Federal agency agree to maintain a drug-free workplace.The recipient must notify the awarding office if an employee of the recipient is convicted of violating a criminal drug statute. Failure to comply with these requirements may be cause for debarment. These regulations are codified at 2 CFR 3001. 61. Will comply with the requirements of the government-wide award term which implements Section 106(g) of the Trafficking Victims Protection Act(TVPA)of 2000,as amended(22 U.S.C. §7104),located at 2 CFR Part 175.This is implemented in accordance with OMB Interim Final Guidance,Federal Register, Volume 72,No.218,November 13,2007. In accordance with Section 106(g)of the TVPA,as amended, requires the agency to include a condition that authorizes the agency to terminate the award,without penalty, if the recipient or a subrecipient engages in severe forms of trafficking in persons during the period of time that the award is in effect, procures a commercial sex act during the period of time that the award is Page 9 Initial in effect,or uses forced labor in the performance of the award or subawards under the award. Full text of the award term is provided at 2 CFR § 175.15. 62. Will comply with Title VI of the Civil Rights Act of 1964 prohibition against discrimination on the basis of national origin,which requires that recipients of federal financial assistance take reasonable steps to provide meaningful access to their programs and services. Meaningful access may entail providing language assistance services, including oral and written translation,where necessary. Recipients are encouraged to consider the need for language services for LEP persons served or encountered both in developing budgets and in conducting programs and activities. Recipient shall comply with DHS Guidance to Federal Financial Assistance Recipients Regarding Title VI Prohibition Against National Origin Discrimination Affecting Limited English Proficient Persons,76 Fed. Reg. 21755-21768(April 18,2011),resulting from Executive Order 13166. For assistance and information regarding LEP obligations, refer to DHS Recipient Guidance at https:/hvww.dhs.Lov' uidanee-published-help-department-supported-organirxtians-provide-meaningful- access-people-limited and additional resources on http:/hvww.Iep ov. 63. Will comply with the requirements of 42 U.S.C. §7401 et seq.and Executive Order 11738,which provides for the protection and enhancement of the quality of the nation's air resources to promote public health and welfare and for restoring and maintaining the chemical,physical,and biological integrity of the nation's waters is considered research for other purposes. 64. Will comply with the requirements of the Federal regulations at 45 CFR Part 46 and the requirements in DHS Management Directive 026-04,Protection of Human Subjects,prior to implementing any work with human subjects.The regulations specify additional protections for research involving human fetuses, pregnant women, and neonates(Subpart B); prisoners(Subpart C);and children(Subpart D).The use of autopsy materials is governed by applicable State and local law and is not directly regulated by 45 CFR Part 46. 65. Will comply with the requirements of the National Environmental Policy Act(NEPA),as amended,42 U.S.C. §4331 et seq.,which establishes national policy goals and procedures to protect and enhance the environment, including protection against natural disasters.To comply with NEPA for its grant-supported activities, DHS requires the environmental aspects of construction grants(and certain non-construction projects as specified by the Component and awarding office)to be reviewed and evaluated before final action on the application. 66. Will comply with the requirements of section 1306(c)of the National Flood Insurance Act,as amended, which provides for benefit payments under the Standard Flood Insurance Policy for demolition or relocation of a structure insured under the Act that is located along the shore of a lake or other body of water and that is certified by an appropriate State or local land use authority to be subject to imminent collapse or subsidence as a result of erosion or undermining caused by waves or currents of water exceeding anticipated cyclical levels.These regulations are codified at 44 CFR Part 63. 67. Will comply with the requirements of the Flood Disaster Protection Act of 1973,as amended(42 U.S.C. § 4001 et seq.), which provides that no Federal financial assistance to acquire,modernize,or construct property may be provided in identified flood-prone communities in the United States, unless the community participates in the National Flood Insurance Program and flood insurance is purchased within one year of the identification. The flood insurance purchase requirement applies to both public and private applicants for DHS support. Lists of flood-prone areas that are eligible for flood insurance are published in the Federal Register by FEMA. 68. Will comply with the requirements of Executive Order H 990,which provides that federally-funded construction and improvements minimize the destruction, loss,or degradation of wetlands.The Executive Order provides that, in furtherance of section 10l(b)(3)of NEPA(42 U.S.C. §4331(b)(3)),Federal agencies,to the extent permitted by law, must avoid undertaking or assisting with new construction located in wetlands unless the head of the agency finds that there is no practicable alternative to such construction, Ya�e I U Initials and that the proposed action includes all practicable measures to minimize harm to wetlands that may result from such use. In making this finding,the head of the agency may take into account economic, environmental,and other pertinent factors.The public disclosure requirement described above also pertains to early public review of any plans or proposals for new construction in wetlands.This is codified at 44 CFR Part 9. 69. Will comply with the requirements of the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act(USA PATRIOT Act), which amends 18 U.S.C. §§ 175-175c. Among other things, it prescribes criminal penalties for possession of any biological agent,toxin, or delivery system of a type or in a quantity that is not reasonably justified by a prophylactic,protective, bona fide research,or other peaceful purpose. The act also establishes restrictions on access to specified materials. "Restricted persons," as defined by the act,may not possess,ship,transport,or receive any biological agent or toxin that is listed as a select agent. 70. Understands the reporting of subawards and executive compensation rules, including first tier subawards to Cal OES. a. Applicability. Unless you are exempt as provided in paragraph d.of this award term,you must report each action that obligates$25,000 or more in Federal funds that does not include Recovery funds(as defined in section 1512(a)(2)of the American Recovery and Reinvestment Act of 2009, b. Where and when to report:you must report on each obligating action described in the following paragraphs to Cal OES. For subaward information,report no later than the end of the month following the month in which the obligation was made. (For example, if the obligation was made on November 7, 2013,the obligation must be reported by no later than December 31,2013.) c. What to report: You must report the information about each obligating action that the submission instructions posted in Information Bulletin 350,to Cal OES.To determine if the public has access to the compensation information,see the U.S. Security and Exchange Commission total compensation filings at http:!/www.see.gov/answers/execomp.htm. Subgrantees must report subrecipient executive total compensation to Cal OES by the end of the month following the month during which you make the subaward. Exemptions include: If, in the previous tax year,you had gross income,from all sources, under$300,000,you are exempt from the requirements to report on subawards,and the total compensation of the five most highly compensated executives of any subrecipient. d. Reporting Total Compensation of Recipient Executives: You must report total compensation for each of your five most highly compensated executives for the preceding completed fiscal year,if i. the total Federal funding authorized to date under this award is$25,000 or more; ii. in the preceding fiscal year,you received 80 percent or more of your annual gross revenues from Federal procurement contracts(and subcontracts)and Federal financial assistance subject to the Transparency Act,as defined at 2 CFR § 170.320(and subawards); and $25,000,000 or more in annual gross revenues from Federal procurement contracts(and subcontracts)and Federal financial assistance subject to the Transparency Act,as defined at 2 CFR§ 170.320(and subawards);and iii. The public does not have access to information about the compensation of the executives through periodic reports filed under Section 13(a)or 15(d)of the Securities Exchange Act of 1934(15 U.S.C. §§ 78m(a), 78o(d))or§ 6104 of the Internal Revenue Code of 1986. (To determine if the public has access to the compensation information,see the U.S. Security and Exchange Commission total compensation filings at htti):H,,A-%vw.sec.aov/atiswers/execomp.htm.) iv. Subrecipient Executives. Unless you are exempt as provided above,for each first-tier subrecipient under this award,you shall report the names and total compensation of each of the subrecipient's five most highly compensated executives for the subrecipient's preceding completed fiscal year, if in the subrecipient's preceding fiscal year,the subrecipient received 80 percent or more of its annual gross revenues from Federal procurement contracts(and subcontracts)and Federal financial assistance subject to the Transparency Act,as defined at 2 CFR § 170.320(and subawards); and$25,000,000 or more in annual gross revenues from Federal procurement contracts(and subcontracts),and Federal Page 1 l initials financial assistance subject to the Transparency Act(and subawards);and the public does not have access to information about the compensation of the executives through periodic reports filed under section 13(a)or 15(d)of the Securities Exchange Act of 1934(15 U.S.C. §§ 78m(a), 78o(d))or§ 6104 of the Internal Revenue Code of 1986. 71. Understands that failure to comply with any of these assurances may result in suspension,termination,or reduction of grant funds. 72. The undersigned represents that he/she is authorized by the above named applicant to enter into this agreement for and on behalf of the said applicant. Signature of Authorized Agent: OA" -" 1 � Printed Name of Authorized Agent. Alisa Finsten Title: Director of Grants and Finance Date: October 28, 2014 Page 12 EXHIBIT F U.S. DEPARTMENT OF HOMELAND SECURITY FUNDING OPPORTUNITY ANNOUNCEMENT (FOA) FY 2014 HOMELAND SECURITY GRANT PROGRAM (HSGP) OVERVIEW INFORMATION Issued By U.S. Department of Homeland Security(DHS): Federal Emergency Management Agency (FEMA) Catalog of Federal Domestic Assistance(CFDA) Number 97.067 CFDA Title Homeland Security Grant Program Program Title Homeland Security Grant Program Authorizing Authority for Program Section 2002 of The Homeland Security Act of 2002,as amended(Pub. L. No. 107-296), (6 U.S.C. § 603) Appropriation Authority for Program The Department of Homeland Security Appropriations Act, 2014(Pub. L.No. 113-76) FOA Number DHS-I4-GPD-067-000-01 Key Dates and Time Application Start Date: 03/18/2014 Application Submission Deadline Date: 05/23/2014 at 11:59:59 p.m. EDT Anticipated Funding Selection Date: 07/26/2014 Anticipated Award Date: No later than 09/30/14 Other Key Dates Period of Performance Start Date: 09/01/2014 Period of Performance End Date: 08/31/2016 Intergovernmental Review An intergovernmental review may be required. Applicants must contact their State's Single Point of Contact(SPOC)to comply with the State's process under Executive Order 12372(see http://www.fws.gov/policy/librarylrgeo]2372.pdjg. Name and addresses of the SPOCs are 1 FY 2014 HSGP FOA maintained at the Office of Management and Budget's home page at http://www.whitehouse.govlomb/grants spoc to ensure currency. 2 FY 2014 HSGP FOA FOA EXECUTIVE SUMMARY The FY 2014 HSGP plays an important role in the implementation of the National Preparedness System by supporting the building, sustainment,and delivery of core capabilities essential to achieving the National Preparedness Goal(the Goal) of a secure and resilient Nation. The building, sustainment, and delivery of these core capabilities are not exclusive to any single level of government, organization, or community,but rather,require the combined effort of the whole community. The FY 2014 HSGP supports core capabilities across the five mission areas of Prevention, Protection, Mitigation, Response,and Recovery based on allowable costs. HSGP is comprised of three interconnected grant programs: • State Homeland Security Program(SHSP) • Urban Areas Security Initiative(UASI) • Operation Stonegarden(OPSG) Together, these grant programs fund a range of preparedness activities, including planning, organization, equipment purchase,training, exercises, and management and administration. Funding Category Continuing Date of Origin for Program 11/25/2002 Type of Funding Instrument SHSP and UASI are mandatory grants; OPSG is a discretionary grant Application Process The Department of Homeland Security makes all funding opportunities available through the common electronic "storefront"Grants.gov,accessible on the Internet at http://www.grants.gov. For details on how to apply through grants.gov,please read Section IX, "How to Apply." Eligible Applicants State governments 3 FY 2014 HSGP FOA FULL FUNDING OPPORTUNITY ANNOUNCEMENT I. Funding Opportunity Description A. Program Summary The FY 2014 HSGP is comprised of three interconnected grant programs: • State Homeland Security Program(SHSP): SHSP supports the implementation of risk driven, capabilities-based State Homeland Security Strategies to address capability targets set in Urban Area, State, and regional Threat and Hazard Identification and Risk Assessments (THIRAs). The capability,targets are established during the THIRA process, and assessed in the State Preparedness Report(SPR) and inform planning, organization, equipment,training,and exercise needs to prevent, protect against,mitigate, respond to, and recover from acts of terrorism and other catastrophic events. • Urban Areas Security Initiative(UASI): The UASI program addresses the unique risk driven and capabilities-based planning, organization,equipment,training, exercise needs, of high-threat, high-density Urban Areas based on the capability targets identified during the THIRA process and associated assessment efforts, and assists them in building an enhanced and sustainable capacity to prevent,protect against,mitigate,respond to, and recover from acts of terrorism. • Operation Stonegarden (OPSG): OPSG supports enhanced cooperation and coordination among local,Tribal, territorial, State, and Federal law enforcement agencies in a joint mission to secure the United States' borders along routes of ingress from international borders to include travel corridors in States bordering Mexico and Canada, as well as States and territories with international water borders. All three programs are founded on risk-driven, capabilities-based strategic plans. These strategic plans outline capability requirements and inform how available funding may be applied to manage risk. For these plans to be effective, government officials and elected leaders, working with the whole community,must consider how to sustain current capability levels and address potential gaps to prevent,protect,mitigate,respond to, and recover from acts of terrorism and other disasters. B. Program Priorities The National Preparedness System is the instrument the Nation employs to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal(the Goal) of a secure and resilient Nation. Complex and far-reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities,private and nonprofit sectors, faith-based organizations, and all levels of government. The guidance,programs,processes, and systems that support each component of the National Preparedness System allows for the integration of preparedness efforts that build, sustain, and deliver core capabilities and achieve the desired outcomes identified in the Goal. The purpose of the HSGP is to prevent terrorism and to prepare the Nation for the threats and hazards that pose the 4 FY 2014 HSGP FOA greatest risk to the security of the United States; therefore, HSGP funded investments must have a terrorism-nexus. To evaluate National progress in building, sustaining, and delivering the core capabilities outlined in the Goal, FEMA annually publishes the National Preparedness Report(NPR). Looking across all 31 core capabilities outlined in the Goal, the NPR provides a National perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources, and communicate with stakeholders about issues of shared concern. Grantees are expected to consider National areas for improvement identified in the 2013 National Preparedness Report, which include cybersecurity, recovery-focused core capabilities, the integration of individuals with access and functional needs, enhancing the resilience of infrastructure systems,and maturing the role of public-private partnerships. Addressing these areas for improvement will enhance preparedness Nation- wide. In addition, the Department of Homeland Security expects grantees to prioritize grant funding to address gaps identified through the annual SPR in achieving capability targets set through the annual THIRA. These assessments identify the jurisdictions' capability targets and current ability to meet those targets. Grantees should prioritize grant funds to increase capability for high-priority core capabilities with low capability levels. Minimum funding amounts are not prescribed by the Department for these priorities; however, grantees are expected to support state, local,regional, and National efforts in achieving the desired outcomes of these priorities. Appendix B also includes other areas where funding can be applied to strengthen preparedness efforts. II. Funding Information A. Available funding for the FOA $1,043,346,000 ProgramsHSGP State Homeland Security Program $401,346,000 a Urban Areas Security Initiative $557,000,000 Operation Stonegarden $55,000,000 Total0- 0ii For details on program-specific funding amounts,refer to Appendix A—FY 2014 Program Allocations. B. Period of Performance Twenty-four(24)months 5 FY 2014 HSGP FOA C. Extensions to the Period of Performance Extensions to the period of performance will be considered only through formal requests to FEMA with specific and compelling justifications as to why an extension is required. Agencies should request extensions sparingly and expect extensions to be granted only under exceptional circumstances. For additional information on period of performance extensions,refer to Information Bulletin(IB) 379 located at httP-1Avww.fema.gov1grantslgrant programs-directorate-information-bulletins D. Risk Methodology Based upon the requirements of the Homeland Security Act of 2002, as amended, DHS continues to inform final grant allocation decisions based upon risk. DHS defines risk as: "potential for an unwanted outcome resulting from an incident, event,or occurrence, as determined by its likelihood and the associated consequences"(see htW:I/www.dhs.gov/xlibrary/assetsldhs-risk-lexicon-2010.vdfl. DHS utilizes a comprehensive risk methodology focused on three principal elements: • Threat—likelihood of an attack being attempted by an adversary; • Vulnerability—likelihood that an attack is successful, given that it is attempted; and • Consequence—effect of an event, incident or occurrence The risk methodology determines the relative risk of terrorism faced by a given area. It takes into account the potential risk of terrorism to people, critical infrastructure, and economic security. The threat analysis continues to account for threats from domestic violent extremists as well as international terrorist groups and those individuals inspired by terrorists abroad. SHSP Allocations FY 2014 SHSP funds will be allocated based on three factors: minimum amounts as legislatively mandated, DHS' risk methodology, and anticipated effectiveness of proposed projects.The anticipated effectiveness is assessed based on the applicant's description of how the proposed projects,as outlined in the Investment Justification(IJ), align with the State THIRA and SPR results. Each State and territory will receive a minimum allocation under SHSP using the thresholds established in the Homeland Security Act of 2002, as amended. All 50 States,the District of Columbia, and Puerto Rico will receive 0.35 percent of the total funds allocated for grants under Section 2003 and Section 2004 of the Homeland Security Act of 2002, as amended. Four territories (American Samoa,Guam, the Northern Mariana Islands, and the U.S. Virgin Islands)will receive a minimum allocation of 0.08 percent of the total funds allocated for grants under Section 2003 and 2004 of the Homeland Security Act of 2002,as amended. For details on program-specific funding amounts,refer to Appendix A—FY 2014 Program Allocations. UASI Allocations FY 2014 UASI funds will be allocated based on DHS' risk methodology and then on anticipated effectiveness of proposed projects. The anticipated effectiveness is assessed based on the applicant's description of how the proposed projects, as outlined in the IJ, align with the Urban Area THIRA. Eligible candidates for the FY 2014 UASI program 6 FY 2014 HSGP FOA have been determined through an analysis of relative risk of terrorism faced by the 100 most populous metropolitan statistical areas (MSAs) in the United States, in accordance with the Homeland Security Act of 2002, as amended. Detailed information on MSAs is publicly available from the United States Census Bureau at http://www.census..eov/population/www/metroareas/metrodefhtml. For details on program-specific funding amounts, refer to Appendix A—FY 2014 Program Allocations. OPSG Allocations FY 2014 OPSG funds will be allocated based on risk-based prioritization using a U.S. Customs and Border Protection(CBP) Sector-specific border risk methodology. Factors considered include,but are not limited to: threat,vulnerability, miles of border, and other border-specific "law enforcement intelligence,"as well as feasibility of FY 2014 Operation Orders to designated localities within the United States Border States and territories. For details on program-specific funding amounts,refer to Appendix A—FY 2014 Program Allocations. III. Eligibility Information A. Eligibility Criteria All 56 States, territories and Commonwealths are eligible to apply for SHSP funds. For those States, territories and Commonwealths that are eligible for UASI and/or OPSG funds,the State Administrative Agency(SAA)is the only entity eligible to submit applications to FEMA on behalf of UASI and OPSG applicants. Eligible sub-recipients under the FY 2014 OPSG are local units of government at the county level and Federally-recognized Tribal governments in the States bordering Canada, States bordering Mexico, and States and territories with international water borders. All applicants must have active ongoing CBP operations coordinated through a sector office. Eligible States and territories with a county or similar level of government structure are authorized to accept applications on behalf of the alternative unit of local government. SAAs in this situation must advise FEMA in writing as to their intent to apply. i. Cost Share/Match A cost share/match is not required under this Program. ii. Maintenance of Effort Maintenance of effort is not required under this Program. iii. Pass Through Funding The SAA must obligate at least 80 percent(80%)of the funds awarded under SHSP and UASI to local units of government within 45 days of receipt of the funds. If receiving OPSG funds, the recipient must pass through 100 percent(100%) of OPSG allocations to eligible jurisdictions. For States withholding Management and Administration M&A costs,please refer to Section IV,A, ii on M&A for how to calculate percentage pass through funds. 7 FY 2014 HSGP FOA iv. Other Eligibility Requirements Emergency Management Assistance Compact(EMAC)Membership In support of the Goal, grantees must belong to,be located in, or act as a temporary member of EMAC, except for American Samoa and the Commonwealth of the Northern Mariana Islands,which are not required to belong to EMAC at this time. All assets supported in part or entirely with FY 2014 HSGP funding by States, territories, and Tribes must be readily deployable to support emergency or disaster operations per existing EMAC agreements. In addition, funding may be used for the sustainment of core capabilities that, while they may not be physically deployable, support national response capabilities such as Geographic/Geospatial Information Systems (GIS), interoperable communications systems, capabilities as defined under the mitigation mission area of the Goal, and fusion centers. National Incident Management System (NIMS)Implementation Prior to allocation of any Federal preparedness awards in FY 2014, grantees must ensure and maintain adoption and implementation of NIMS. Emergency management and incident response activities require carefully managed resources(personnel, teams, facilities, equipment and/or supplies)to meet incident needs.Utilization of the standardized resource management concepts such as typing, inventorying, and cataloging promote a strong national mutual aid capability needed to support delivery of core capabilities. Additional information on resource management and national Tier I NIMS Resource Types can be found at http://wwwfema.zov/resource-mana eg ment. FEMA developed the NIMS Guideline for Credentialing of Personnel to describe national credentialing standards and to provide written guidance regarding the use of those standards. This guideline describes credentialing and typing processes, and identifies tools which Federal Emergency Response Officials(FEROs) and emergency managers at all levels of government may use both routinely and to facilitate multijurisdictional coordinated responses. Although State,local,Tribal, and private sector partners—including nongovernmental organizations—are not required to credential their personnel in accordance with these guidelines, FEMA strongly encourages them to do so in order to leverage the Federal investment in the Federal Information Processing Standards (FIPS)201 infrastructure and to facilitate interoperability for personnel deployed outside their home jurisdiction. Additional information can be found at hgp:l/www.fema.govlpdflemergencyInimslnims_alert cred guideline.�df Emergency Operation Plan (EOP) Grantees must update their EOP at least once every two years to comply with Comprehensive Preparedness Guide (CPG) 101 version 2.0,Developing and Maintaining Emergency Operations Plans. Grantees will use the State Preparedness Report(SPR) to report their compliance with this reporting requirement. 8 FY 2014 HSGP FOA Threat and Hazard Identification and Risk Assessment(THIRA) Grantees must update their THIRA by December 31,2014. Further details on the THIRA as it relates to HSGP Program requirements can be found in Appendix B-FY 2014 HSGP Program Priorities. For additional guidance on THIRA,please refer to CPG 201, Second Edition, available at http://www;fema.gov/plan. State Preparedness Report(SPR) The SPR is an annual capability assessment. The Post-Katrina Emergency Management Reform Act of 2006(PKEMRA) requires an SPR from any state/territory receiving federal preparedness assistance administered by DHS. Each state submits an annual SPR to FEMA. Refer to Appendix B—FY 2014 HSGP Program Priorities for additional guidance on SPR requirements. IV. Funding Restrictions A. Restrictions on Use of Award Funds Federal funds made available through this award may only be used for the purpose set forth in this award and must be consistent with the statutory authority for the award. Award funds may not be used for matching funds for any other Federal grants/cooperative agreements, lobbying,or intervention in Federal regulatory or adjudicatory proceedings. In addition, Federal funds may not be used to sue the federal government or any other government entity. For additional details on restrictions of the use of funds,refer to Appendix C—FY2014 HSGP Funding Guidelines. i. Pre-award Costs Pre-award costs are allowable only with the written consent of DHS and if they are included in the award agreement. ii. Direct Costs Management and Administration (M&A) Management and administration(M&A) activities are those directly relating to the management and administration of HSGP funds, such as financial management and monitoring. A maximum of up to five percent(5%)of HSGP funds awarded may be retained by the State, and any funds retained are to be used solely for M&A purposes associated with the HSGP award. Sub-grantees may also retain a maximum of up to five percent(5%)of funding passed through by the State solely for M&A purposes associated with the HSGP award. A State's HSGP funds for M&A calculation purposes includes the sum total of its SHSP, UASI, and, where applicable, OPSG awards. While the SAA may retain up to five percent(5%) of this total for M&A, grantees must still ensure that all sub-grantee award amounts meet the mandatory minimum pass through requirements which are applicable to each HSGP program. To meet this requirement the percentage of 9 FY 2014 HSGP FOA SHSP,UASI and OPSG funds passed through to local jurisdictions must be based on the State's total HSGP award prior to withholding any M&A. For additional information on SHSP and UASI M&A,refer to IB 365. For additional clarification on OPSG M&A,refer to FEMA Policy FP-207-087-1. These documents can be found at Izttp:Iitir��tiy fenac�.gov:gs"crnl.slgYaftt pYoF'urns-dIr"ectcYate-itorr�rulion- bulletins and htW.-Ilwww.fema.gov/libraalviewRecord.do?id=7837,respectively. Planning Planning related costs are allowed under this program. Organization Grantee organization costs for carrying out the grant's programmatic activities are allowed under this program. Equipment Equipment costs are allowed under this program. Training Training related costs are allowed under this program. Exercises Exercise related costs are allowed under this program. Travel Domestic Domestic travel costs are allowed under this program. International International travel is not an allowable cost under this program unless approved in advance by FEMA. Construction and Renovation Construction and renovation costs are allowed under this program. Operational Overtime Operational Overtime costs are allowed under this program. Maintenance and Sustainment Maintenance and sustainment costs are allowed under this program. Critical Emergency Supplies Critical emergency supply related costs are allowed under this program. iii. Indirect Costs Indirect costs are allowable under this program,but only if the applicant has an approved indirect cost rate agreement with the cognizant Federal agency. A copy of 10 FY 2014 HSGP FOA the approved rate(a fully executed, agreement negotiated with the applicant's cognizant federal agency)is required at the time of application. iv. Other Cost Requirements Consolidation of Law Enforcement Terrorism Prevention Activities (LETPA) Per section 2006 of the Homeland Security Act of 2002 (Public Law 107-296), as amended, (6 U.S.C. § 607), States are required to ensure that at least 25 percent (25%)of the combined HSGP funds allocated under SHSP and UASI are dedicated towards law enforcement terrorism prevention activities. The LETPA allocation can be from SHSP,UASI or both. This requirement does not include award funds from OPSG. Please refer to Appendix A—FY 2014 Program Allocations for LETPA minimum allocations for SHSP and UASI by jurisdiction. The National Prevention Framework describes those activities that should be executed upon the discovery of intelligence or information regarding an imminent threat to the homeland, in order to thwart an initial or follow on terrorist attack, and provides guidance to ensure the Nation is prepared to prevent, avoid, or stop a threatened or actual act of terrorism. Activities outlined in the National Prevention Framework are eligible for use of LETPA focused funds. In addition,where capabilities are shared with the protection mission area, the National Protection Framework activities are also eligible. Other terrorism prevention activities proposed for funding under LETPA must be approved by the FEMA Administrator. SHSP and UASI Pass-Through Requirements Awards made to the SAA for HSGP carry additional pass through requirements. Pass through is defined as an obligation on the part of the States to make funds available to local units of government,combinations of local units,or other specific groups or organizations. The State's pass through requirement must be met within 45 days of the award date. Four requirements must be met to pass through grant funds: • There must be some action to establish a firm commitment on the part of the awarding entity; • The action must be unconditional on the part of the awarding entity(i.e.,no contingencies for availability of SAA funds); • There must be documentary evidence of the commitment; and • The award terms must be communicated to the official grantee The SAA must obligate at least 80 percent(80%)of the funds awarded under SHSP and UASI to local units of government within 45 days of receipt of the funds. The signatory authority of the SAA must certify in writing that these obligations have been met. A letter of intent(or equivalent)to distribute funds is not considered sufficient. Award sub-recipients must receive their funds within 45 days from the date the funds are first made available to the grantee so that they can initiate implementation of approved investments. For the Commonwealth of Puerto Rico, the SAA must also obligate at least 80 percent(80%)of the funds to local units of 11 FY 2014 HSGP FOA government within 45 days of receipt of the funds. For SHSP awards,no pass through requirements will be applied to the District of Columbia, Guam,American Samoa,the U.S. Virgin Islands,and the Commonwealth of the Northern Mariana Islands. Any UASI funds retained by the SAA must be used to directly support the designated Urban Areas in the State. Under SHSP, the State may retain more than 20 percent(20%) of SHSP funding for expenditure made by the State on behalf of the local unit(s)of government. This may occur only with the written consent of the local unit of government, with the written consent specifying the amount of funds to be retained and the intended use of funds. If a written consent agreement is already in place from previous fiscal years, FEMA will continue to recognize it for FY 2014. If any modifications to the existing agreement are necessary to reflect new initiatives, States should contact their assigned FEMA Program Analyst. If UASI funds are used by the SAA in support of the Urban Area, the SAA must propose an Investment describing how UASI funds will be used by the SAA to directly support the Urban Area. OPSG Pass-Through Requirement The recipient must pass through 100 percent(100%) of OPSG allocations to eligible jurisdictions. The recipient is prohibited from obligating or expending funds provided through this award until each unique and specific county level or equivalent Operational Order/Fragmentary Operations Order with an embedded estimated operational budget has been reviewed and approved through an official electronic mail notice issued by FEMA removing this special programmatic condition. Funds Transfer Restriction The recipient is prohibited from transferring funds between programs (includes SHSP,UASI, and OPSG). Grantees are allowed to submit an Investment/project where funds come from multiple funding sources (i.e., SHSP/UASI); however, grantees are not allowed to divert funding from one program to another due to the risk-based funding allocations,which were made at the discretion of DHS. For additional details on restrictions on the use of funds, refer to Appendix C— Funding Guidelines. Environmental Planning and Historic Preservation (EHP) Compliance As a Federal agency, FEMA is required to consider the effects of its actions on the environment and/or historic properties to ensure that all activities and programs funded by the agency, including grants-funded projects, comply with Federal EHP regulations, laws and Executive Orders as applicable. Grantees and sub-grantees proposing projects that have the potential to impact the environment, including but not limited to construction of communication towers,modification or renovation of existing buildings, structures and facilities, or new construction including replacement of facilities,must participate in the FEMA EHP review process. The EHP review process involves the submission of a detailed project description that 12 FY 2014 HSGP FOA explains the goals and objectives of the proposed project along with supporting documentation so that FEMA may determine whether the proposed project has the potential to impact environmental resources and/or historic properties. In some cases, FEMA is also required to consult with other regulatory agencies and the public in order to complete the review process. The EHP review process must be completed before funds are released to carry out the proposed project. EHP Policy Guidance can be found in FP 108-023-1,Environmental Planning and Historic Preservation Policy Guidance, at hgp://www./ema.gov/media- library/assets/documents/853 76. SAFECOM Grantees (including sub-recipients) who receive awards under HSGP that wholly or partially provide funding for emergency communication projects and related activities should comply with the most recent version of the SAFECOM Guidance on Emergency Communications Grants, http://www.safecomprog_ram.gov/grantIDefault.aspx. This guidance provides recommendations to grantees regarding interoperable emergency communications projects, including allowable costs, eligible activities, grants management best practices for emergency communications grants,and information on technical standards that ensure greater interoperability. The guidance is intended to ensure that Federally-funded investments are compatible, interoperable, and support the national goals and objectives for improving emergency communications nationwide. Grantees (including sub-recipients)investing in broadband-related investments should review IB 386. Clan cation on Use o DHSIFEMA Public Sa e Grant Funds or Broadband-Related Expenditures and Investments, and consult their FEMA Headquarters Program Analyst on such Investments before developing applications. V. Application Review Information and Selection Process A. Application Review Information FY 2014 HSGP applications will be evaluated through a review process for completeness, adherence to programmatic guidelines, and anticipated effectiveness of the proposed Investments. The results from the review process may require applicants to revise submissions before the release of HSGP funding. i. SHSP and UASI FEMA will verify compliance with all administrative and eligibility criteria identified in the application kit, to include the required submission of risk driven, capabilities- based IJs by the established due dates and verification of alignment to Urban Area, State, and regional THIRAs; SPRs; and national priorities. State and Urban Area Homeland Security Strategies will also be examined for further context regarding current capability levels and how IJs address potential gaps to prevent,protect, mitigate,respond to, and recover from acts of terrorism and other disasters. FY 2014 SHSP and UASI are non-competitive programs. For additional information on FY 2014 SHSP and UASI allocations,refer to Appendix A—FY 2014 Program Allocations. 13 FY 2014 HSGP FOA ii. OPSG Applications will be reviewed by the SAA and U.S. Customs and Border Protection (CBP)Border Patrol(BP) Sector Headquarters for completeness and adherence to programmatic guidelines and evaluated for anticipated feasibility,need, and impact of the Operations Orders. FEMA will verify compliance with all administrative and eligibility criteria identified in the FOA and required submission of Operations Orders and Inventory of Operations Orders by the established due dates. FEMA and CBPBP will use the results of both the risk analysis and the Federal review to make recommendations for funding to the Secretary of Homeland Security. FY 2014 OPSG funds will be allocated competitively based on risk-based prioritization using a CBP Sector-specific border risk methodology. Factors considered include,but are not limited to: threat,vulnerability,miles of border, and other border-specific"law enforcement intelligence,"as well as feasibility of FY 2014 Operation Orders to designated localities within the United States border States and territories. For details on program-specific funding amounts,please refer to Appendix A—FY 2014 Program Allocations. VI. Federal Award Administration Information A. Notice of Award Notification of award approval is made through the ND Grants system through an automatic electronic mail to the awardee authorized official listed in the initial application. The date of approval of award is the"award date." The awardee should follow the directions in the notification to accept the award. Grantees must accept their awards no later than 90 days from the award date. The grantee shall notify the awarding agency of its intent to accept and proceed with work under the award, or provide a written notice of intent to decline. Funds will remain on hold until the grantee accepts the award through the ND Grants system and all other conditions of award have been satisfied, or the award is otherwise rescinded. Failure to accept the grant award within the 90 day timeframe may result in a loss of funds. B. Administrative and Federal Financial Requirements Before accepting the award, the authorized official should carefully read the award package for instructions on administering the grant award and terms and conditions associated with responsibilities under Federal awards. Grantees must accept all conditions in this FOA as well as any Special Terms and Conditions in the Award package to receive an award under this program. i. Standard Terms and Conditions 14 FY 2014 HSGP FOA All successful applicants for all DHS grant and cooperative agreements are required to comply with DHS Standard Administrative Terms and Conditions available at: https://www.dhs. /piiblication/fy14-dhs-standard-terms-and-conditions. ii. Payment FEMA utilizes the FEMA Payment and Reporting System(PARS) for financial reporting, invoicing and tracking payments. Additional information can be obtained at https:llisource,fema.govlsf2691executelLogln?sawContentMessage=true. DHS/FEMA uses the Direct Deposit/Electronic Funds Transfer(DD/EFT)method of payment to recipients. To enroll in the DD/EFT,the recipient must complete a Standard Form 1199A, Direct Deposit Form. C. Reporting Requirements Awardees are required to submit various financial and programmatic reports as a condition of their award acceptance. Future awards and funds drawdown may be withheld if these reports are delinquent. i. Financial and Compliance Audit Report For audits of fiscal years beginning on or after December 26,2014, recipients that expend$750,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with the requirements of GAO's Government Auditing Standards, located at http://www.gao.gov/govaud/ybkOl.htm, and the requirements of Subpart F of 2 C.F.R. Part 200, located at http:11www.ecfr.gov/cgi- bin/text- idx?SID=55e12eead565605b4d529d82d276105c&node=2:1.1.2.1.1.6&rgn=div6. For audits of fiscal years beginning prior to December 26, 2014,recipients that expend$500,000 or more from all federal funding sources during their fiscal year are required to submit an organization-wide financial and compliance audit report. The audit must be performed in accordance with GAO's Government Auditing Standards, located at http://www.gao. og�v/ o�vaud/ybkOl.htm, and OMB Circular A-133,Audits of States, Local Governments, and Non-Profit Organizations, located at http:llww►v.whitehouse.govlomblcircularsla133_compliance supplement 2012. Audit reports are currently due to the Federal Audit Clearinghouse no later than nine months after the end of the recipient's fiscal year. ii. Financial Reporting Periods and Due Dates The following reporting periods and due dates apply: Reporting Period Report Due Date October 1 —December 31 January 30 January 1 —March 31 Aril 30 April 1 —June 30 July 30 July 1 —September 30 October 30 15 FY 2014 HSGP FOA iii. Federal Financial Report(FFR) Obligations and expenditures must be reported on a quarterly basis through the FFR (SF-425) and must be filed electronically using PARS. The form is available at http://www.whitehouse.govlsitesldefaudtl Heslomblasset_slgrants 16rms1SF-42.5.pdf An FFR report must be submitted quarterly throughout the period of performance, including partial calendar quarters, as well as for periods where no grant award activity occurs. The final FFR is due 90 days after the end date of the performance period. FFRs must be filed electronically through PARS. Future awards and fund drawdowns may be withheld if these reports are delinquent,demonstrate lack of progress, or are insufficient in detail. iv. Program Performance Reporting Requirements The following reporting periods and due dates apply: Reporting Period Report Due Date January I —June 30 July 30 July I —December 31 January 30 Performance Progress Report(SF-PPR) Awardees are responsible for providing updated performance reports using the SF- PPR(OMB Control Number: 0970-0334) on a biannual basis. Grantees must complete the cover page of the SF-PPR and submit it as an attachment to the ND Grants system. The SF-PPR can be accessed online at http://www.na fs.fed.us/fap/SF-PPR Cover%20heet.pdf. Grantees will be required to report on progress towards implementing plans described in their application, as well as,progress made towards implementing performance measures as described in Appendix B -Program Specific Priorities. As part of the SF-PPR, grantees will be required to report on progress towards implementing the following performance measures: • For fusion centers, the achievement of capabilities and compliance with measurement requirements within the Maturation and Enhancement of State and Major Urban Area Fusion Centers priority through the annual Fusion Center Assessment Program managed by the DHS Office of Intelligence and Analysis (I&A)and reported to FEMA; and Pass-Through Certification Requirement For FY 2014,the Initial Strategy Implementation Plan(ISIP)will no longer be required. In place of the ISIP, the signatory authority of the SAA must certify in writing to the respective FEMA GPD Program Analyst that the 80 percent(80%) pass-through obligation was met within 45 days of the award date. Biannual Strategy Implementation Reports (BSIR) In addition to the quarterly financial and biannual performance progress reports, grantees are responsible for completing and submitting BSIRs. The BSIR is due 16 FY 2014 HSGP FOA within 30 days after the end of the reporting period(July 30 for the reporting period of January 1 through June 30 (the summer BSIR report); and January 30 for the reporting period of July 1 through December 31 (winter BSIR report). In the first BSIR, grantees must provide the information on all awarded funds,by identifying all projects that were not included in the application. In the BSIR grantees will be responsible for linking projects to sub grantees and reporting on project progress. The BSIR reports will be used as an additional validation that the pass-through requirement is met throughout the period of performance of the award. All required attributes of each project must be included. Updated obligations, expenditures, and significant developments must be provided within the BSIR to show progress of implementation for every project, as well as how expenditures support Planning, Organization, Equipment,Training and Exercises(POETE). The first BSIR will be due January 30, 2015, (30 days after the end of the first reporting period for the award. Subsequent BSIR reports will require grantees to report on a project-by- project basis. D. Monitoring Grant recipients will be monitored on an annual and as needed basis by FEMA staff,both programmatically and financially, to ensure that the project goals, objectives, performance requirements, timelines,milestone completion,budgets, and other related program criteria are being met. Monitoring may be accomplished through either a desk-based review or on-site monitoring visits, or both. Monitoring will involve the review and analysis of the financial,programmatic,performance, compliance and administrative processes,policies, activities, and other attributes of each Federal assistance award and will identify areas where technical assistance,corrective actions and other support may be needed. E. Closeout Pursuant to 44 C.F.R. § 13.50(b) Reports,within 90 days after the expiration or termination of the grant, the grantee must submit all financial,performance,and other reports required as a condition of the grant. Within 90 days after the end of the period of performance, grantees must submit the following: 1) Final request for payment,if applicable; 2) SF-425—Final Federal Financial Report; 3) SF-PPR—Final Performance Progress Report; 4) A qualitative narrative summary on the impact of those accomplishments throughout the entire period of performance submitted to the respective Grant Programs Directorate(GPD)Program Analyst in a Word document; 5) SF-428—Tangible Personal Property Report—Inventory of all tangible personal property acquired using funds from this award. The form is available at http://www.whitehouse.govlsiLeslde au leslombl rantsla roved ormsls-428. d 17 FY 2014 HSGP FOA 6) When applicable, SF-429—Real Property Status Report—Inventory of all construction projects using funds from this award. The form is available at httn llwww.whitehouse.govlsitesldefaudtl ileslornbl�r�antslapproved_formsls-429.pA 7) Other documents required by program guidance or terms and conditions of the award. In order to close an award, grantees must be current on, and have submitted, all required reports per the terms and conditions of the grant award. Once the grant has officially been closed, the grantee will receive a Grant Adjustment Notice(GAN)which will provide information regarding the amount of any deobligated funds, equipment disposition, and record retention requirements for closed awards. If FEMA has made reasonable attempts through multiple contacts to close out awards within the required 180 days, FEMA may waive the requirement for a particular report and administratively close the award. If this action is taken, consideration for subsequent awards to the grantee may be impacted or restricted. The grantee is responsible for returning any funds that have been drawn down,but remain as unliquidated on grantee financial records. F. Extensions Extensions to the initial period of performance identified in the award will only be considered through formal,written requests to the grantee's respective Headquarters Program Analyst and must contain specific and compelling justifications as to why an extension is required. States are advised to coordinate with the Program Analyst as needed,when preparing an extension request. All extension requests must address the following: 1) Grant Program, Fiscal Year, and award number; 2) Reason for delay—this must include details of the legal,policy, or operational challenges being experienced that prevent the final outlay of awarded funds by the applicable deadline; 3) Current status of the activity/activities; 4) Approved period of performance termination date and new project completion date; 5) Amount of funds drawn down to date; 6) Remaining available funds,both Federal and non-Federal; 7) Budget outlining how remaining Federal and non-Federal funds will be expended; 8) Plan for completion, including milestones and timeframes for achieving each milestone and the position/person responsible for implementing the plan for completion; and 9) Certification that the activity/activities will be completed within the extended period of performance without any modification to the original Statement of Work approved by FEMA. Awardees must submit all proposed extension requests to DHS/FEMA for review and approval no later than 120 days prior to the end of the period of performance. In 18 FY 2014 HSGP FOA accordance with GPD policy,extensions are typically granted for no more than a six month time period. Extension requests will be granted only due to compelling legal, policy,or operational challenges. For more information on extensions,refer to IB#379, Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHSIFEMA Grant Funding at htt :Ilwww. emu. ovI antsl rant-pro ams-directorate-in ormation-bulletins#Z0131B. 19 FY 2014 HSGP FOA VII. DHS FEMA Contact Information A. For Financial,Programmatic,or Administrative Questions Pre-Award and Post Award i. Centralized Scheduling and Information Desk(CSID) CSID is a non-emergency comprehensive management and information resource developed by DHS for grants stakeholders. CSID provides general information on all FEMA grant programs and maintains a comprehensive database containing key personnel contact information at the Federal, State, and local levels. When necessary, grantees will be directed to a Federal point of contact who can answer specific programmatic questions or concerns. CSID can be reached by phone at(800)368- 6498 or by e-mail at askcsid@dhs.gov, Monday through Friday, 8:00 a.m. -5:30 p.m. EST. ii. Grant Programs Directorate(GPD) Grant Operations Division GPD's Grant Operations Division Business Office provides financial support and technical assistance. The Grant Operations Division manages, administers, and conducts application budget review,creates the award package, approves, amends and closes out awards. Additional guidance and information can be obtained by contacting the FEMA Call Center at(866) 927-5646 or via e-mail to ASK- GMD(&dhs. og_v. iii. FEMA Regions FEMA Regions may also provide fiscal support, including pre-and post-award administration and technical assistance such as conducting cash analysis, financial monitoring, and audit resolution to the grant programs included in this solicitation. GPD will provide programmatic support and technical assistance. For a list of contacts,please go to httn://www fema.covlabouticontactlre-aions.shhn. iv. Systems Information Grants.gov. For technical assistance with Grants.gov,please call the Grants.gov customer support hotline at(800)518-4726. Non-Disaster(ND) Grants. For technical assistance with the ND Grants system,please contact ndgrantsg ema.-ov or(800)865-4076. v. GPD Environmental Planning and Historic Preservation (GPD-EHP) The FEMA GPD-EHP Team provides guidance and information about the EHP review process to grantees and sub grantees. All inquiries and communications about GPD projects or the EHP review process, including the submittal of EHP review materials, should be sent to gpdehpinfo@,fema.gov. EHP Technical Assistance, including the EHP Screening Form, can be found at http://www;fema.gov/media- 20 FY 2014 HSGP FOA li braa-data/20130726-1806-25045- 28391gpd ehp screening form omb 1660 0115, june 2011.pdf. vi. Telephone Device for the Deaf(TDD) The Telephone Device for the Deaf(TDD) and/or Federal Information Relay Service (FIRS)number available for this announcement is: (800)462-7585. vii.Hard copies of the FOA Hard copies of the FOA are not available. VIII. Other Critical Information National Preparedness DHS coordinates with local, State, territory,Tribal, and Federal governments as well as the private and nonprofit sectors to facilitate an all-of-nation/whole community,risk driven,and capabilities-based approach to preparedness. This approach is grounded in the identification and assessment of risk through the THIRA. Urban Areas and States must maintain and update their THIRAs, and States their SPRs, annually to ensure that the community's shared understanding of risk evolves to account for changes in the risk landscape, including successful mitigation efforts, emerging threats,hazards, and associated consequences. Information on the National Preparedness System can be found in the National Preparedness System Description(released November 2011),which is posted on the FEMA website at http:11www.fema.gov/national preparednessInational- preparedness-system. Additional details regarding how the National Preparedness System is supported by the HSGP can be found in Appendix B—Program Specific Priorities. FY2014 Unified Reporting Tool(UR7) The URT is FEMA's collection mechanism for THIRA/SPR and other related preparedness information. The FY 2014 SPR includes questions related to NIMS adoption and implementation, and Comprehensive Preparedness Guide 101 v 2.0 compliance. IX. How to Apply A. Application Overview Applying for an award under this program is a multi-step process and requires time to complete. To ensure that an application is submitted on time applicants are advised to start the required steps well in advance of their submission. Applicants should allow at least 15 business days(three weeks)to complete the five steps of applying listed below. Failure of an applicant to comply with any of the required steps before the deadline for submitting their application will automatically disqualify their application from funding. The steps involved in applying for an award under this program are: 1) Applying for,updating or verifying their Data Universal Numbering System (DUNS)Number; 21 FY 2014 HSGP FOA 2) Applying for,updating or verifying their Employer Identification Number(EIN); 3) Updating or verifying their System for Award Management(SAM)registration; 4) Submitting an initial application in grants.gov; 5) Completing Investment Justifications in the Grant Reporting Tool(GRT) and; 6) Submitting the complete application in ND Grants. To ensure adequate time to complete the full application process,applicants are encouraged to submit their initial application in Grants.gov(Step 4)at least ten (10) days before the May 23,2014 application deadline 1. Obtain a Data Universal Numbering System Number(DUNS) The applicant must provide a DUNS number with their application. This number is a required field for all subsequent steps in the application submission. Applicants should verify they have a DUNS number, or take the steps necessary to obtain one. Applicants can receive a DUNS number at no cost by calling DUNS number request line at(866) 705-5711. FEMA cannot assist applicants with questions related to obtaining a current DUNS number. 2. Obtain an Employer Identification Number (EIN) FEMA requires both the EIN and a DUNS number prior to the issuance of a financial assistance award and, for grant award payment. Both are also required to register with SAM(see below). The EIN base for an organization is the IRS Tax ID number, for individuals it is their social security number,both of which are nine-digit numbers. Organizations and individuals submitting their applications must correctly identify the EIN from the DUNS since both are 9-digit numbers. If these numbers are not correctly identified in the application, this may result in a delay in the issuance of an award and/or incorrect payment to a grantee organization. Organization applicants applying for an EIN should plan on a minimum of two full weeks to obtain an EIN. If you need assistance registering an EIN, go to http:llwww.irs.govIBusinesseslSmall-Biisiraesses-&-Self-EmployedlAppI-far-an- Employer-Identif cation-Number-(EIN)-Online. FEMA cannot assist applicants with questions related to obtaining a current EIN. 3. Register with the System for Award Management(SAM) Payments are contingent on the information provided in SAM and must be completed by the applicant at http://www.sam.gov. It is imperative that the information provided by the applicant is correct and current. Please ensure that your organization's name, address, DUNS number and EIN are current in SAM and that the DUNS number used in SAM is the same one used to apply for all other FEMA awards. SAM registration is a multi-step process including validating your EIN with the Internal Revenue Service (IRS)to obtain a Commercial and Government Entity (CAGE) code. The CAGE code is only valid for one year after issuance and must be current at the time of application. 22 FY 2014 HSGP FOA If you need assistance registering with SAM,please go to https://www.fsd.gov/or call 866-606-8220. FEMA cannot assist applicants with questions related to obtaining a current CAGE code. 4. Initial Application Submission in Grants.gov All applicants submit their initial application through Grants.gov.Applicants may need to first create a Grants.gov user profile by visiting the Get Registered section of the grants.gov website. Successful completion of this step is necessary for FEMA to determine eligibility of the applicant.Applicants should complete this step at http://www.grants.gov. The initial on-line application in grants.gov requires completing • Standard Form 424 (SF 424), Application for Federal Assistance, and • Grants.gov Form Certification Regarding Lobbying Form. Both forms are available in the Forms tab under SF-424 Family. The initial application cannot be started or submitted in Grants.gov unless the applicant's registration in SAM is confirmed. Application forms and instructions are available at Grants.gov. To access these materials, go to http://www.grants.gov, select Apply for Grants, enter the CFDA number or the FOA number noted in this FOA, select Download Application Package, and follow the prompts to download the application package. The information submitted in grants.gov will be retrieved by ND Grants, which will allow FEMA to determine if an applicant is eligible. Applicants are encouraged to submit their initial application at least ten (10) days before the May 23,2014 application deadline. If you need assistance applying through grants.gov,please go to http://www.grants.gov/web/grants/applicants/grant-application-process.html, contact support@grants.gov, or call 800-518-4726. FEMA cannot assist applicants with questions related to registering with grants.gov. 5. Completing Investment Justifications in the Grant Reporting Tool For more information on how to complete IJs,refer to the Investment Justification Planning Guide found at www.Tema.Gov/tents. 6. Final Application Submission in FEMA's Non Disaster Grants System (ND Grants) Eligible applicants will be notified by FEMA and asked to proceed with submitting their complete application package in ND Grants. Applicants can register early with ND Grants and are encouraged to begin their ND Grants registration at the time of this announcement. Early registration will allow applicants to have adequate time to start and complete their application. The application must be completed and final submission made through the ND Grants system located at https://portal.fema.gov. In ND Grants, applicants will be prompted to submit all of the information contained in the following forms: 23 FY 2014 HSGP FOA Standard Form 424A, Budget Information(Non-construction) Standard Form 424B, Standard Assurances(Non-construction) Standard Form 424D, Standard Assurances(Construction) Standard Form LLL, Disclosure of Lobbying Activities(if the grantee has engaged or intends to engage in lobbying activities) Grants.gov(GG) Lobbying Form,Certification Regarding Lobbying. Applicants will also be prompted to assure compliance with all Standard and Special Terms and Conditions before being eligible to receive an award under this program. In addition applicants must submit copies of the following in ND Grants: • Standard Form 424C, Budget Information(Construction) if applying for grants to support construction; • Investment Justification • Program and Budget Narrative • Program Work Plan • Project Objectives • Detailed budget • Indirect Cost Agreement. If you need assistance registering on the ND Grants system,please contact ndgrants@fema.gov or(800) 865-4076. HSGP Program Specific Application Instructions Investment Justification (SHSP and UASI) As part of the FY 2014 HSGP application process for SHSP and UASI funds, applicants must develop a formal IJ that addresses each investment being proposed for funding. The IJ must demonstrate how proposed projects support sustainment of existing core capabilities or address capability gaps and deficiencies in one or more core capabilities outlined in the Goal and as identified in their most recent State Preparedness Report. The IJ must also demonstrate alignment to the Urban Area, State, and/or regional THIRAs, national priorities,and applicable guidance provided by FEMA. The IJ must also describe engagement with and/or impacts on the general and vulnerable populations,to include children,the elderly,pregnant women, and individuals with disabilities such as those with access and functional needs. Furthermore, the IJ must clearly identify and explain the nexus to terrorism preparedness. IJs are submitted in the GRT. The IJ Guide contains instructions for collecting the required information for Investments and projects. Additionally, applicants should utilize the Project Worksheet to assemble the information required for each project,which will facilitate the input of that information into the GRT. 24 FY 2014 HSGP FOA Instructions for SHSP • Applicants must propose at least one and include up to 10 projects within each Investment in their IJ to describe the activities they would like to implement with SHSP funds • Any projects not included in the application must be included in the first BSIR • Of the proposed Investments, applicants are required to propose at least one Investment to provide funding support to the State's primary fusion center, as designated by the Governor. Grantees must coordinate with the fusion center when developing a fusion center Investment prior to submission • Grantees investing in emergency communications must describe how activities align to their Statewide Communication Interoperable Plan(SCIP). Grantees must coordinate with their Statewide Interoperability Coordinator(SWIC) and/or Statewide Interoperability Governance Body(SIGB)when developing an emergency communications investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems Instructions for UASI • Urban Areas must propose at least one and up to 10 projects within each Investment in their IJ to describe the activities they are planning to implement with UASI funds • Any projects not included in the application must be included in the first BSIR • If applicable, of the proposed 10 Investments, Urban Areas are required to propose at least one Investment in support of a designated fusion center within the Urban Area. Grantees must coordinate with the fusion center when developing a fusion center Investment prior to submission • If UASI funds are used by the SAA in support of the Urban Area,the SAA must, as part of the up to 10 Investments,propose an Investment describing how UASI funds will be used by the SAA to directly support the Urban Area. • Grantees investing in emergency communications must describe how activities align to the SCIP. Grantees must coordinate with the Statewide Interoperability Coordinator(SWIC) and/or Statewide Interoperability Governance Body(SIGB) when developing an emergency communications Investment prior to submission to ensure the project supports the statewide strategy to improve emergency communications and is compatible and interoperable with surrounding systems Instructions for OPSG As part of the FY 2014 OPSG application process, each eligible local unit of government at the county level or Federally-recognized Tribal government must develop their Operations Order in coordination with State and Federal law enforcement agencies, to include,but not limited to Customs and Border Patrol (CBP)Border Protection(BP). Operations Orders that are developed at the county level should be inclusive of city, county,Tribal, and other local law enforcement agencies that are eligible to participate in OPSG operational activities, and the Operations Order should address this in the Executive Summary. The details should include the names of the agencies,the points of contact, and the individual funding requests. All applications must be coordinated through the CBP sector office and that BP will forward application to the SAA for 25 FY 2014 HSGP FOA review. For more information, refer to Appendix E—FY 2014 OPSG Operations Order Template and Instructions and Appendix F—OPSG Operational Guidance for more information. 26 FY 2014 HSGP FOA Appendix A — FY 2014 Program Allocations FY 2014 SHSP Allocations State/Territory FY 2014 State/Territory FY 2014 Allocation Allocation Alabama $3,733,000 Montana $3,733,000 Alaska $3,733,000 Nebraska $3,733,000 American Samoa $854,000 Nevada $3,733,000 Arizona $4,568,000 New Hampshire $3,733,000 Arkansas $3,733,000 New Jersey $8,354,000 California $60,035,000 New Mexico $3,733,000 Colorado $3,979,000 New York $76,742,000 Connecticut $3,978,000 North Carolina $5,489,000 Delaware $3,733,000 North Dakota $3,733,000 District of Columbia $4,119,000 Northern Mariana $854,000 Florida $11,010,000 Ohio $7,698,000 Georgia $6,807,000 Oklahoma $3,733,000 Guam $854,000 Oregon $3,837 000 Hawaii $3,733,000 Pennsylvania $10,026,000 Idaho $3,733,000 Puerto Rico $3,733,000 Illinois $16,357,000 Rhode Island $3,733,000 Indiana $3,978,000 South Carolina $3,733,000 Iowa $3,733,000 South Dakota $3,733,000 Kansas $3,733,000 Tennessee $3,978,000 Kentucky $3,978,000 Texas $21,448,000 Louisiana $3,978,000 U.S. Virgin Islands $854,000 Maine $3,733,000 Utah $3,733,000 Maryland $6,125,000 Vermont $3,733,000 Massachusetts $5,622,000 Virginia $7,414,000 Michigan $6,658,000 Washington $6,493,000 Minnesota $3,978,000 West Virginia $3,733,000 Mississippi $3,733,000 Wisconsin $3,978,000 Missouri $3,978,000 Wzorninq $3,733,000 Total -0 000 27 Appendix A—FY2014 HSGP Allocations FY 2014 UASI Allocations StatelTerritory .-. Allocation Arizona Phoenix Area $5,500,000 Anaheim/Santa Ana Area $5,500,000 Bay Area $27,400,000 California Los Angeles/Long Beach Area $67,500,000 Riverside Area $1,000,000 Sacramento Area $1,000,000 San Diego Area $16,874,000 Colorado Denver Area $3,000,000 District of Columbia National Capital Region $53,000,000 Miami/Fort Lauderdale Area $5,500,000 Florida Orlando Area $1,000,000 Tampa Area $3,000,000 Georgia Atlanta Area $5,500,000 Hawaii Honolulu Area $1,000,000 Illinois Chicago Area $69,500,000 Indiana Indianapolis Area $1,000,000 Louisiana New Orleans Area $3,000,000 Maryland Baltimore Area $5,500,000 Massachusetts Boston Area $18,000,000 Michigan Detroit Area $5,500,000 Minnesota Twin Cities Area $5,500,000 Kansas City Area $1,000,000 Missouri St. Louis Area $3,000,000 Nevada Las Vegas Area $1,000,000 New Jersey Jersey City/Newark Area $21,800,000 New York New York City Area $178,926,000 North Carolina Charlotte Area $3,000,000 Cincinnati Area $1,000,000 Ohio Cleveland Area $1,000,000 Columbus Area $1,000,000 Oregon Portland Area $1,000,000 Philadelphia Area $18,500,000 Pennsylvania Pittsburgh Area $3,000,000 Dallas/Fort Worth/Arlington Area $15,500,000 Texas Houston Area $24,000,000 San Antonio Area $1,000,000 Utah Salt Lake City Area $1,000,000 Virginia Hampton Roads Area $1,000,000 Washington Seattle Area $5,500,000 Total111 111 28 Appendix A—FY2014 HSGP Allocations FY 2014 SHSP and UASI LETPA Minimums State/Territory Funded Urban Area(s) Allocation Allocation Allocation Allocation by LETPA State Alabama $3,733,000 $3,733,000 $933,250 Alaska $3,733,000 $3,733,000 $933,250 American Samoa $854,000 $854,000 $213,500 Arizona Phoenix Area $5,500,000 $5,500,000 $4,568,000 $10,068,000 $2,517,000 Arkansas $3,733,000 $3,733,000 $933,250 .Anaheim/Santa Ana Area $5,500,000 (Bay Area $27,400,000 California (Los Angeles/Long Beach Area $67,500,000 $119 274,000 $60,035,000 $179,309,000 $44,827,250 Riverside Area $1,000,000 :Sacramento Area $1.000,000 :San Diego Area $16.874,000 Colorado Denwr Area $3.000,000 $3,000,000 $3,979,000 $6,979,000 $1,744,750 Connecticut $3,978,000 $3,978,000 $994,500 Delaware $3,733,000 $3,733,000 $933,250 District of Columbia National Capital Region $53,000,000 $53,000,000 $4,119,000 $57,119,000 $14,279,750 Miami/Fort Lauderdale Area $5,500,000 Florida Orlando Area $1,000,000 $9.500,000 $11,010,000 $20,510,000 $5.127.500 'ram pa Area $3,000,000 Georgia ,Atlanta Area $5,500,000 $5,500,000 $6,807,000 $12,307,000 $3,076,750 Guam $854,000 $854,000 $213,500 Hawaii Honolulu Area $1,000,000 $1,000,000 $3,733,000 $4,733,000 $1,183,250 Idaho $3,733,000 $3,733,000 $933,250 Illinois Chicago Area $69,500,000 $69,500,000 $16,357,000 $85,857,000 $21,464,250 Indiana (Indiana olis Area $1.000.000 $1.000.000 $3,978,000 $4,978,000 $1,244,500 Iowa $3,733,0001 $3,733,000 $933,250 IKansas $3,733,000 $3,733,000 $933,250 IKentucky $3,978,000 $3,978,000 $994,500 Louisiana New Orleans Area $3,000,000 $3,000,000 $3,978,000 $6,978,000 $1,744,500 Maine $3.733,000 $3,733,000 $933,250 Maryland (Baltimore Area $5,500,000 $5,500,000 $6,125,000 $11,625,000 $2,906,250 Massachusetts (Boston Area $18,000,000 $18,000,000 $5,622,000 $23,622,000 $5,905,500 Michigan Detroit Area $5,500,000 $5.500,000 $6,658,000 $12,158,000 $3,039,500 Minnesota Twin Cities Area $5.500,000 $5,500,000 $3,978,000 $9,478,000 $2,369,500 Mississippi $3,733,000 $3.733,000 $933,250 (Missouri Kansas City Area $1,000,000 $4,000,000 $3,978,000 $7,978,000 $1,994,500 St.Louis Area $3,000,000 (Montana $3,733,000 $3,733,000 $933,250 Nebraska $3,733,000 $3,733,000 $933,250 Nevada Las Vegas Area $1,000,000 $1,000,000 $3,733,000 $4.733,000 $1,183,25 New Hampshire $3,733,000 $3,733,000 $933,250 New Jersey Jersey City/Newark Area $21,800,000 $21,800,000 $8,354,000 $30.154,000 $7,538,500 New Mexico $3,733,000 $3,733,000 $933,250 New York New York City Area $178,926,000 $178,926,000 $76,742,000 $255,668.000 $63,917,000 (North Carolina Charlotte Area $3,000,000 $3,000,000 $5.489,000 $8,489,000 $2,122,250 (North Dakota $3,733,000 $3,733.000 $933,250 (Northern Mariana Islands $854,000 $854,000 $213,500 Cincinnati Area $1,000,000 Ohio Cleveland Area $1,000,000 $3,000,000 $7,698,000 $10,698,000 $2,674,500 Columbus Area $1.000,000 Oklahoma $3,733,000 $3,733,0001 $933,25 Oregon Portland Area $1,000,000 $1,000,000 $3,837,000 $4,837,000 $1,209,250 29 Appendix A—FY2014 HSGP Allocations FY 2014 SHSP and UASI LETPA Minimum (continued) StatelTerritory Funded Urban Area(s) Allocation Allocation Allocation Allocation by LIETPA State Philadelphia Area $18,500,000 Pennsylvania $21,500,000 $10,026,000 $31,526,000 $7,881,500 Pittsburgh Area $3,000,000 Puerto Rico $3,733,000 $3,733,000 $933,250 Rhode Island $3,733,000 $3,733,000 $933,250 South Carolina ' $3,733,000 $3,733,000 $933,250 South Dakota $3,733,000 $3,733,000 $933,250 Tennessee $3,978,000 $3,978,000 $994,500 Dallas/Fort Worth/Arlington Area $15,500,000 Texas Houston Area $24,000.000 $40,500,000 $21,448,000 $61,948.000 $15,487,000 San Antonio Area $1,000,000 U.S.Virgin Islands $854.000 $854,000 $213,500 Utah Salt Lake City Area $1,000.000 $1.000,000 $3,733.000 $4,733,000 $1,183,250 Vermont $3,733,000 $3,733,000 $933,250 Virginia Hampton Roads Area $1,000,000 $1,000,000 $7,414,000 $8,414,000 $2,103,500 Washington Seattle Area $5.500,000 $5,500,000 $6,493,000 $11.993,000 $2,998,250 West Virginia $3,733,000 $3,733,000 $933,250 Wisconsin $3,978,000 $3,978,000 $994,500 Wyoming $3,733,000 $3,733,000 $933,250 Total 00 0i0 $69,500,000 $84,055,000 $153555,000 $38,388,750 30 Appendix A—FY2014 HSGP Allocations FY 2014 OPSG Eligible States and Territories States and Te rritories Alabama Massachusetts Pennsylvania Alaska Michigan Rhode Island Arizona Minnesota South Carolina California Mississippi Texas Connecticut Montana Vermont Delaware New Hampshire Virginia Florida New Jersey Washington Georgia New Mexico Wisconsin Hawaii New York Puerto Rico Idaho North Carolina U.S.Virgin Islands Louisiana North Dakota American Samoa Maine Ohio Guam Maryland Oregon Northern Mariana Islands Note: Not all applicants are guaranteed to receive funding under the FY 2014 OPSG. 31 Appendix A—FY2014 HSGP Allocations Appendix B — Program Priorities Alignment of HSGP to the National Preparedness System The Nation utilizes the National Preparedness System to build, sustain, and deliver core capabilities in order to achieve the National Preparedness Goal(the Goal). The Goal is"a secure and resilient Nation with the capabilities required across the whole community to prevent, protect against,mitigate, respond to, and recover from the threats and hazards that pose the greatest risk." The objective of the National Preparedness System is to facilitate an integrated, all-of-Nation, risk informed,capabilities-based approach to preparedness. Complex and far-reaching threats and hazards require a collaborative and whole community approach to national preparedness that engages individuals, families, communities,private and nonprofit sectors, faith-based organizations,and all levels of government. The guidance,programs,processes, and systems that support each component of the National Preparedness System enable a collaborative, whole community approach to national preparedness that engages individuals, families, communities, private and nonprofit sectors, faith-based organizations, and all levels of government (http://www.fema.zovlwhole-community). The FY 2014 HSGP Program contributes to the implementation of the National Preparedness System by supporting the building, sustainment, and delivery of core capabilities. Core capabilities are essential for the execution of critical tasks in the National Planning Frameworks for each of the five mission areas outlined in the Goal. Delivering core capabilities requires the combined effort of the whole community,rather than the exclusive effort of any single organization or level of government. The HSGP Program's allowable costs support efforts to build and sustain core capabilities across the Prevention, Protection,Mitigation, Response, and Recovery mission areas. To evaluate national progress in building, sustaining, and delivering the core capabilities outlined in the Goal,FEMA annually publishes the National Preparedness Report(NPR). Looking across all 31 core capabilities outlined in the Goal,the NPR provides a national perspective on critical preparedness trends for whole community partners to use to inform program priorities, allocate resources and communicate with stakeholders about issues of shared concern. A key focus and requirement of the HSGP is to prevent terrorism and to prepare the Nation for the threats and hazards that pose the greatest risk to the security and resilience of the United State, and the greatest risks along the Nation's borders; therefore, HSGP funded investments must have a terrorism-nexus. When applicable, funding should support deployable assets that can be utilized anywhere in the Nation through automatic assistance and mutual aid agreements, including but not limited to the EMAC. In addition, the Department of Homeland Security expects grantees to prioritize grant funding to address gaps identified through the annual SPR in achieving capability targets set through the annual THIRA. These assessments identify the jurisdictions' capability targets and current ability to meet those targets. Grantees should prioritize grant funds to increase capability for high-priority core capabilities with low capability levels. Minimum funding amounts are not 32 Appendix B—FY2014 HSGP Priorities prescribed by the Department for these priorities; however grantees are expected to support state, local,regional, and national efforts in achieving the desired outcomes of these priorities. Grantees are expected to consider national areas for improvement identified in the 2013 National Preparedness Report,which include cybersecurity,recovery-focused core capabilities, the integration of individuals with access and functional needs, enhancing the resilience of infrastructure systems and maturing the role of public-private partnerships. Addressing these areas for improvement will enhance preparedness nation-wide. Using the core capabilities, the FY 2014 HSGP Program supports the achievement of the Goal by: • Preventing a threatened or an actual act of terrorism; • Protecting our citizens,residents,visitors, and assets against the greatest threats and hazards; • Mitigating the loss of life and property by lessening the impact of future disasters; • Responding quickly to save lives,protect property and the environment,and meet basic human needs in the aftermath of a catastrophic incident; and/or • Recovering through a focus on the timely restoration, strengthening, and revitalization of infrastructure,housing, and a sustainable economy, as well as the health, social, cultural, historic,and environmental fabric of communities affected by a catastrophic incident. The core capabilities contained in the Goal are highly interdependent and require the use of existing preparedness networks and activities, improve training and exercise programs,promote innovation, and ensure that the appropriate administrative, finance, and logistics systems are in place. To support building, sustaining, and delivering these core capabilities, grantees will use the components of the National Preparedness System. The components of the National Preparedness System are: Identifying and Assessing Risk; Estimating Capability Requirements; Building and Sustaining Capabilities; Planning to Deliver Capabilities;Validating Capabilities; and Reviewing and Updating. For more information on each component,read the National Preparedness System description available at htt ://tivww. enia. ovinational- re arednesslnational- re aredness- system. Grantees are expected to use this process when using grant funds to address their capability gaps. Reporting on the Implementation of the National Preparedness System Identifying and Assessing Risk and Estimating Capability Requirements In order to qualify for HSGP Program funding, all grantees shall develop and maintain a Threat and Hazard Identification and Risk Assessment(THIRA)which informs and supports the State Preparedness Report(SPR). Only one THIRA submission from each State will be accepted. A THIRA provides a comprehensive approach for identifying and assessing risks and associated impacts. It expands on existing local,Tribal, territorial,and State Hazard Identification and Risk Assessments (HIRAs) and other risk methodologies by broadening the factors considered in the process, incorporating the whole community throughout the entire process, and by accounting for important community-specific characteristics. Comprehensive Preparedness Guide 201, Second 33 Appendix BFY2014 HSGP Priorities Edition: THIRA(CPG 201, Second Edition) is available at http://www.fema.,gov/national- preparedness/plan. In Step Four of the THIRA process, a jurisdiction should estimate the resources required to deliver the capability targets set in their THIR.As. Communities express resource requirements as a list of resources needed to successfully manage their threats and hazards. Through the capability estimation process,jurisdictions should identify the resources from across the whole community needed to meet capability targets. Each jurisdiction should decide which combination of resources is most appropriate to achieve its capability targets. Reporting • UASIs are required to submit an annual update to their THIRA. UASIs will submit their THIRA to the designated State Administrative Agency. THIRA submissions shall be in alignment with CPG 201, Second Edition. The Urban Area should coordinate internally to ensure its submission represents all jurisdictions within the UASI program. UASI submissions of the THIRA are due no later than December 31, 2014. • States are required to submit an annual update to their THIRA. States will submit their THIRA update along with their annual SPR through the Unified Reporting Tool (URT) and email a copy of the URT to their respective FEMA Regional Federal Preparedness Coordinator and copy ema-sprja Tema.dhs.gov. THIRA submissions shall be in alignment with CPG 201, Second Edition. State submissions of the THIRA and SPR are due no later than December 31,2014. The State should coordinate with each eligible Urban Area to ensure that the UASI THIRA submissions occur in advance of this deadline, as the State must include the Urban Area's input when conducting the statewide SPR assessment. Building and Sustaining Capabilities HSGP program grantees should ensure that grant funding is utilized to sustain critical core capabilities within the National Preparedness System that were funded by past HSGP funding cycles to include training of personnel and lifecycle replacement of equipment. New capabilities should not be built at the expense of maintaining current and critically needed core capabilities. If new core capabilities are being sought utilizing HSGP funding, grantees must ensure that the capabilities are deployable outside of their community to support regional and national efforts or otherwise shareable with regional partners and aligned with a capability gap identified in the THHWSPR. All capabilities being built or sustained must have a clear linkage to one or more core capabilities in the Goal. NIMS Compliance Grantees receiving HSGP funding are required to implement the National Incident Management System(NIMS). The NIMS uses a systematic approach to integrate the best existing processes and methods into a unified national framework for incident management. Incident management refers to how incidents are managed across all homeland security activities, including prevention,protection, and response, mitigation,and recovery. FY 2014 grantees must utilize standardized resource management concepts such as typing, inventorying, organizing, and tracking resources that facilitates the identification, dispatch, deployment, and recovery of their resources. 34 Appendix BFY2014 HSGP Priorities Fusion Centers DHS has identified State and major Urban Area fusion centers as a critical component of our Nation's distributed homeland security and counterterrorism architecture. They provide grassroots intelligence and analytic capabilities within the state and local jurisdiction (http://www.dhs.govlstate-and-maiar-urban-area-fusion-centers . To that end,DHS preparedness grants will continue to support designated State and major Urban Area fusion centers(htt :Ilwww.dhs. ov1 ian-center-locations-and-contact-in ormation) and the maturation of the Information Sharing Environment(ISE). A National Network also provides a mechanism for the Federal government to receive information from State, Local,territory and Tribal partners, which helps create a more complete threat picture at the National level. Participating in the Nationwide SAR Initiative enables fusion centers to receive and analyze suspicious activity reporting from frontline public safety personnel, the private sector, and the public, and ensure the sharing of SAR with the Federal Bureau of Investigation's Joint Terrorism Task Forces for further investigation. The 2010 National Security Strategy identifies fusion centers as critical in enlisting all of our intelligence, law enforcement, fire service, emergency management, and homeland security capabilities to prevent acts of terrorism on American soil. In support of this strategic vision,the Department of Homeland Security's Office of Intelligence&Analysis (DHS I&A) is requiring designated State and major Urban Area fusion centers to participate in an annual assessment of their achievement of Critical Operational Capabilities (COCs) and Enabling Capabilities(ECs), as detailed in the Global Justice Information Sharing Initiatives (Global)Baseline Capabilities for State and Major Urban Area Fusion Centers. As maturation of the National Network continues to be a high priority in FY 2014, DHS is requiring that all fusion center related funding requests be consolidated into a single (1) Investment for States or Urban Areas in which designated fusion centers reside, and this Investment must address funding support for the designated fusion center. The single Investment provides state and urban areas a means to centrally manage and report on fusion center related activities. Grantees must coordinate with the fusion center when developing a fusion center Investment prior to submission, and the Investment must directly align to and reference any capability gaps identified during the center's individual 2013 Fusion Center Assessment Report. In particular,each proposed project included in the fusion center Investment must reference the corresponding COC or EC,as well as associated attribute(s),the funding investment is intended to address. Additionally, any jurisdiction or agency that leverages HSGP funds to support intelligence-or fusion process- related activities (i.e., intelligence unit,real time crime information and analysis centers, etc.) must ensure these efforts are integrated and/or coordinated with the respective designated State or major Urban Area fusion center(s). In order to effectively measure implementation of this priority, designated State and major Urban Area fusion centers leveraging SHSP and/or UASI grant funds will be evaluated based upon compliance with the guidance and requirements for the National Network of Fusion Centers as set forth by the DHS Office of Intelligence and Analysis through the annual Fusion Center Assessment Program. 35 Appendix BFY2014 HSGP Priorities • All FY2014 Fusion Center Grant requirements are listed at http://www.dhs.povl -2013- homeland-security-zrant program-hs-ap. • All FEMA approved analyst courses that meet the grant requirement are listed at http:llwww.dhs.jovlfema-approved-intelligence-analyst-training courses. Reporting As part of programmatic monitoring, grantees will be required to describe how expenditures support maintenance and sustainment of current Goal core capabilities within the BSIR. HSGP grantees will, on a project-by-project basis, check one of the following: • Sustaining or maintaining a capability acquired with Federal homeland security funding; • Sustaining or maintaining a capability acquired without Federal homeland security funding; • Developing or acquiring a new core capability; • Through the SF-PPR, fusion centers will report on the achievement of capabilities and compliance with measurement requirements within the Maturation and Enhancement of State and Major Urban Area Fusion Centers priority through the annual Fusion Center Assessment Program managed by DHS I&A and reported to FEMA. • Grantees will use the SPR to report NIMS implementation. Planning to Deliver Capabilities State grantees shall develop,maintain, or revise as necessary,jurisdiction-wide, all threats and hazards EOPs consistent with CPG 101 v.2, which serves as the foundation for State, local, Tribal, and territory emergency planning. Grantees must update their EOP at least once every two years. In building future EOPs,planners should anticipate the increasing complexity and decreasing predictability of the future operating environment. These efforts should actively use strategic foresight, including the multiple driving forces of change and the associated evolving strategic needs shown in FEMA's Crisis Response and Disaster Resilience 2030 Report. The Report can be found at htt :Ilwww. ema. ov/strate c- lannin -anal sis-s a-division/strate ic- aresi ht- initiative. Reporting • Grantees will use the SPR to report EOP compliance with CPG 101 Q. Validating Capabilities Grantees should develop long-term training and exercise priorities that examine,validate and/or address the capability gaps identified through their annual THIRA and SPR by developing a multi-year Training and Exercise Plan(TEP). Grantees should also review and consider areas for improvement identified from real-world events and exercises, and national areas for improvement identified in the 2013 National Preparedness Report. The TEP should consider the risks and capability requirements described in the THIRA along with the guidance provided by elected and appointed officials to identify and set training and 36 Appendix B—FY2014 HSGP Priorities exercise program priorities and develop a multi-year schedule of exercise events and supporting training activities to meet those priorities A TEP that is developed from a Training and Exercise Planning Workshop (TEPW)provides a roadmap to accomplish the multi-year priorities identified by elected and appointed officials and whole community stakeholders. These priorities help curriculum and exercise planners design and develop a progressive program of training and exercises that build, sustain, and deliver core capabilities. Information related to TEPs and TEPWs can be found on the HSEEP website at hyps://www.11is.dhs.gov/hseep. All grantees will develop and maintain a progressive exercise program consistent with Homeland Security Exercise and Evaluation Program(HSEEP) (https://www.11is.dhs.gov/hseep). A progressive,multi-year exercise program enables organizations to participate in a series of increasingly complex exercises,with each successive exercise building upon the previous one until mastery is achieved while also taking into account prior lessons learned. Regardless of the exercise type, each exercise within the progressive series is linked to a set of common program priorities and designed to test associated capabilities. Reporting • Following the TEPW, all grantees and sub-grantees are required to develop a multi- year training and exercise plan that identifies combination of exercises, along with associated training requirements, that address the priorities identified in the TEPW. The training and exercise plan shall be submitted to hseep@dhs.gov no later than 90 days after the TEPW. States are encouraged to post their schedules to the National Exercise Scheduling System(NEXS) at htt s:11hsee .dhs. ov1DHS SS01?ReturnUr1=91o2 ee ernL ToolkitHome.as x • Consistent with the national exercise program, grantees shall develop and maintain a progressive exercise program. Grantees must either submit one After Action Report/Improvement Plan(AAR/IP) that captures the lessons learned and corrective actions from the progressive exercise program conducted within the HSGP Period of Performance; or submit individual AAR/lPs for each HSGP-funded exercise. AAR/IPs should be submitted to hseepAfema.dhs.gov and include a list of corrective actions and lessons learned,no later than 90 days after completion of the exercise. In accordance with HSEEP guidance grantees are reminded of the importance of implementing corrective actions iteratively throughout the progressive exercise cycle. Grantees are encouraged to use the HSEEP AAR/IP template located at hggs:11www.11is.dhs/hseep and utilize the Corrective Action Program(CAP) System at https:11hseep.dhs.gov1caps/, as a means to track the implementation of corrective actions listed in the AAR/IP. Reviewing and Updating On a recurring basis, capabilities,resources, and plans should be reviewed to determine if they remain relevant or need to be updated as it relates to the HSGP. This review should be based on a current risk assessment and utilize information gathered during the validation process. These reviews will provide a means to examine preparedness analyses; determine priorities; direct preparedness actions; and calibrate goals and objectives. FY 2014 HSGP requires State and Urban Area Homeland Security Strategies be updated every other year, and shall be informed by THIRA process results. The assessment and results support communities' strategic planning 37 Appendix B—FY2014 HSGP Priorities initiative and informs efforts needed to adapt to and manage the changing risk landscape, sustain strengths, and obtain or borrow resources from whole community partners. Supplemental SHSP Guidance Collaboration with Other Federal Preparedness Programs DHS strongly encourages States, Urban Areas, and regions to understand other Federal preparedness programs in their jurisdictions and to work with them in a collaborative manner to leverage all available resources and avoid duplicative activities. For example,U. S. Department of Health and Human Services(HHS)has two robust preparedness programs—Center for Disease Control(CDC)Public Health Emergency Preparedness(PREP)cooperative agreement program and Assistant Secretary for Preparedness and Response's(ASPR's) Hospital Preparedness Program(HPP) cooperative agreement program—that focus on preparedness capabilities. CDC's 15 public health preparedness capabilities and ASPR's eight healthcare preparedness capabilities serve as operational components for many of the Goal core capabilities, and collaboration with the PHEP directors and HPP coordinators can build capacity around shared interests and investments that fall in the scope of these HHS cooperative agreements and the 2014 HSGP. Each SHSP and UASI funded Investment that addresses biological risk,patient care or health systems preparedness should be implemented in a coordinated manner with other Federal emergency preparedness programs such as those administered by the HHS Office of the Assistant Secretary for Preparedness and Response,the CDC, and the U.S. Department of Transportation's (DOT)National Highway Traffic Safety Administration. Governance Keeping with the guiding principles of governance for all DHS preparedness programs, grantees must coordinate with their stakeholders to examine how they integrate preparedness activities across disciplines, agencies, and levels of government, including State, territorial, local, and Tribal units of government. A cohesive planning framework should be incorporated that builds and implements homeland security initiatives which leverage DHS resources, as well as other Federal, State, territory, local,private sector, faith-based community, and Tribal resources. Specific attention should be paid to how all available preparedness funding sources(multiple Federal sources as well as State and local sources) can be effectively utilized in a collaborative manner to support the whole community approach to emergency preparedness and management and to the enhancement of overall capabilities. To accomplish this,the SAA must establish or reestablish a unified Senior Advisory Committee(SAC). Senior Advisory Committee The SAC builds upon governance structures that may already be established under different FEMA preparedness grant programs,but the nature and governance of this Committee was new for FY 2013 and continues in FY 2014 for HSGP. The SAC should build upon previously established advisory bodies under HSGP(including the SHSP and UASI programs),Nonprofit Security Grant Program(NSGP),Transit Security Grant Program (TSGP), and Port Security Grant Program(PSGP), which currently exist in support of States and Urban Areas, Tribal nations,non-profit organizations, transit agencies and Amtrak, and port areas. Examples of advisory bodies that should be included on the SAC include: Urban Area Working Groups 38 Appendix B—FY2014 HSGP Priorities (UAWGs), Statewide Interoperability Governing Board(SIGB), Area Maritime Security Committees (AMSCs),Regional Transportation Security Working Groups(RTSWGs), Citizen Corps Councils, and Children's Working Groups. To ensure a whole community effort, SAC membership should include representatives of these various stakeholder groups/committees, and should also include direct or indirect representation for all relevant jurisdictions and response disciplines(including law enforcement, fire service, and emergency management),UASI-funded Urban Areas, as well as Citizen Corps Councils,Tribal representatives,non-profit, faith based, and voluntary organizations such as the American Red Cross. SACs are encouraged to develop subcommittee structures, as necessary, to address issue-or region-specific considerations in support of overarching implementation. The responsibilities of a SAC include: • Integrating preparedness activities across disciplines, the private sector,non-profit organizations, faith-based, community, and all levels of government, including local, State, Tribal, and territorial,with the goal of maximizing coordination and reducing duplication of effort; • Creating a cohesive planning network and framework that builds and implements preparedness initiatives which leverage DHS resources,as well as other Federal, State, territorial, local, private sector, faith-based community, and Tribal resources; • Management of all available preparedness funding sources(multiple Federal sources as well as State and local sources)to enhance effective utilization of and elimination of duplication of effort across all stakeholders and disciplines; and • Ensuring that the application for SHSP and UASI funds align with the THIRA and work to fill capability gaps identified in the SPR. Senior Advisory Committee Composition and Scope 1. Membership The SAC must include whole community intrastate and interstate partners as applicable and have balanced representation among entities with operational responsibilities for terrorism/disaster prevention,protection,mitigation,response, and recovery activities within the State. The membership of the SAC must reflect the threats and hazards identified in the State's THIRA as well as each of the core capabilities, in particular those core capabilities identified as having large capability gaps identified in the State's most recent State Preparedness Report(SPR). SAAs will use the URT to verify compliance of SAC charter requirements. Further,the SAC must include representatives that were involved in the production of the State's THIRA and represent the interests of the five mission areas as outlined in the Goal. The above membership requirement does not prohibit States, Urban Areas,regional transit and port entities, or other recipients of DHS preparedness funding from retaining their existing structure under separate programs; however, at a minimum,those bodies must support and feed into the larger SAC. The composition, structure and charter of the 39 Appendix B—FY2014 HSGP Priorities SAC should reflect this focus on building core capabilities, instead of simply joining previously existing advisory bodies under other grant programs. The SAA must ensure that appropriate representation from defined UASI-funded Urban Areas is included on the SAC. FEMA strongly encourages that,wherever possible, previously established local working groups be leveraged for this purpose to ensure that UASI resources are managed in the most efficient and effective manner possible. The UAWG should also support State efforts to develop the THIRA and SPR,particularly as it relates to UASI activities. For designated Urban Areas,the SAA POCs are responsible for identifying and coordinating with the POC for the UAWG,who should be a member of the SAC. The POC's contact information must be provided to FEMA with the grant application. SAAs must work with existing Urban Areas to ensure that information for current POCs is on file with FEMA. Finally, FEMA recommends that organizations advocating on behalf of vulnerable populations including youth, the elderly and individuals with functional needs, socio- economic factors and cultural diversity,be invited to participate in the SAC. 2. Collaboration with State agencies and other stakeholder organizations Program representatives from the following entities must be members of the SAC (as applicable): State Homeland Security Advisor(HSA) (if this role is not also the SAA), State Emergency Management Agency(EMA)Director, State Public Health Officer, State Public Safety Officer(and SAA for Justice Assistance Grants, if different), State Court Official, State Emergency Medical Services (EMS) Director, State Trauma System Manager, Statewide Interoperability Coordinator, State Citizen Corps Council,the State Emergency Medical Services for Children(EMSC) Coordinator, State Education Department, State Human Services Department, State Child Welfare Services, State Juvenile Justice Services, Urban Area POC, Senior Members of AMSCs, Senior Members of the RTSWG, Senior Security Officials from Major Transportation Systems, and the Adjutant General. 3. Whole Community Engagement SHSP and UASI grantees must engage with the whole community to advance community and individual preparedness and to work as a nation to build and sustain resilience(see http://www.fema.gov/whole-community). Grantees must also integrate the needs of children and individuals with disabilities or access and functional needs into activities implemented with SHSP and UASI funds. 4. Collaboration with Nonprofit Organizations SHSP and UASI grantees must also work with the nonprofit community, including through the dedication of LETPA funds and resources, to address terrorism prevention concerns, seek input on the needs of the nonprofit sector, and support the goals of their investments. 40 Appendix B—FY2014 HSGP Priorities 5. Collaboration with Tribes FEMA strongly encourages States, Urban Areas, and regions to work with Tribal nations in overall initiatives such as whole community preparedness and emergency management planning. 6. Coordination with other Federal agencies and programs States and Urban Areas must coordinate among the entire scope of Federal partners, national initiatives and grant programs to identify opportunities to leverage resources when implementing their preparedness programs. This may include but is not limited to: Medical Reserve Corps, CDC, and ASPR. Emergency Medical Services for Children (EMSC) grants, ASPR Hospital Preparedness Program(HPP), CDC Public Health Emergency Preparedness (PHEP), CDC Cities Readiness Initiative(CRI), Strategic National Stockpile Programs, and EMS. However, coordination is not limited to grant funding. It also includes leveraging assessments such as TSA's Baseline Assessment and Security Enhancement(BASE); reporting from the Intelligence Community,risk information such as U.S. Coast Guard's Maritime Security Risk Analysis Model (MSRAM), and CBP Sector Analysis. Senior Advisory Committee Charter The governance of the SHSP and UASI programs through the SAC must be directed by a charter. All members of the SAC should sign and date the charter showing their agreement with its content and their representation on the Committee. Revisions to the governing charter must be sent to the grantee's assigned FEMA Program Analyst. The SAC charter must at a minimum address the following: • A detailed description of the SAC's composition and an explanation of key governance processes, including how SAC is informed by the State's THIRA and SPR data reflecting capability gaps and the approach to address gaps in core capabilities; • A description of the frequency at which the SAC will meet; • How existing governance bodies will be leveraged by the Committee; • A detailed description of how decisions on programmatic priorities funded by SHSP and UASI are made and how those decisions will be documented and shared with its members and other stakeholders,as appropriate; and • A description of defined roles and responsibilities for financial decision making and meeting administrative requirements. To ensure ongoing coordination efforts, SAAs are encouraged to share community preparedness information submitted in the State's BSIR with members of the SAC. The charter should be made available upon request to promote transparency in decision-making related to HSGP activities. To manage this effort and to further reinforce collaboration and coordination across the stakeholder community, a portion of the 20 percent(20%) holdback of a State or territory award may be utilized by the SAA for the purpose of supporting the SAC and to ensure representation and active participation of SAC members. Funding may be used for hiring and training planners, establishing and maintaining a program management structure, identifying and managing 41 Appendix B—FY2014 HSGP Priorities projects, conducting research necessary to inform the planning process, and developing plans that bridge mechanisms, documents,protocols, and procedures. SAAs will use the URT to verify compliance of SAC charter requirements. Supplemental UASI Guidance The UASI program is intended to provide financial assistance to address the unique multi- discipline planning, organization, equipment, training, and exercise needs of high-threat,high- density Urban Areas, and to assist these areas in building and sustaining capabilities to prevent, protect against, mitigate, respond to, and recover from threats or acts of terrorism using the Whole Community approach. Many capabilities which support terrorism preparedness simultaneously support preparedness for other hazards. Grantees must demonstrate the dual-use quality for any activities implemented that are not explicitly focused on terrorism preparedness. Urban Areas must use UASI funds to employ regional approaches to overall preparedness and are encouraged to adopt regional response structures whenever appropriate. UASI program implementation and governance must include regional partners and should have balanced representation among entities with operational responsibilities for prevention,protection, mitigation,response, and recovery activities within the region. In some instances,Urban Area boundaries cross State borders. States must ensure that the identified Urban Areas take an inclusive regional approach to the development and implementation of the UASI program and involve the contiguous jurisdictions,mutual aid partners,port authorities,rail and transit authorities, State agencies, State Wide Interoperability Coordinators, Citizen Corps Council(s), and campus law enforcement in their program activities. Grantees must also demonstrate the integration of children and individuals with disabilities or access and functional needs into activities implemented under this program. Composition Pursuant to provisions of the 9/11 Act, eligible UASI sites were determined based on an analysis of relative risk of the 100 most populous Metropolitan Statistical Areas(MSAs), as defined by OMB. MSAs are used by DHS to determine eligibility for participation in the program. Geographical areas queried do not equate to minimum mandated membership representation of an Urban Area,nor does this guarantee funding for geographical areas queried. UAWGs must continue to take a regional approach to membership but are not required to expand or contract existing Urban Area participation to conform to MSA composition. Detailed information on MSAs is publicly available from the United States Census Bureau at h qp://www.censais.Gov/population/www/metroareas/metrodef.html. UASI Program Requirements The SAA will be responsible for ensuring compliance with the fiduciary and programmatic administration requirements of the UASI program. • Identify POCs. The SAA must confirm a specific POC with the designated Urban Area. The SAA POCs are responsible for identifying and coordinating with the POC for the UAWG. This information must be provided to FEMA with the grant application. SAAs 42 Appendix B—FY2014 HSGP Priorities must work with existing Urban Areas to ensure that information for current POCs is on file with FEMA. • Define the Urban Area. The SAA POC,in coordination with the candidate Urban Areas,must define the Urban Area, as it will apply to the UASI program. The identified city or combined entity represents the candidate Urban Area eligible to apply for funding under the UASI program. For those Urban Areas with a combined entity, that area represents the minimum area that must be part of the defined Urban Area. The definition of the Urban Area is limited to jurisdictions contiguous to the geographic area used to determine eligibility, or those jurisdictions in that area which have established formal mutual aid agreements. States may request a waiver for this limitation for regions previously established by Executive Order, law, or compact. For the purposes of the UASI program,the Washington, D.C. Urban Area will consist of the National Capital Region(NCR) as set forth in 10 U.S.C. §2674(f)(2). In coordination with the UAWG, the SAA POC may redefine the geographic boundaries of an existing Urban Area, as it will apply to the UASI program. The SAA POC must notify FEMA of this change. • Establish the UAWG. Membership in the UAWG must provide either direct or indirect representation for all relevant jurisdictions and response disciplines (including law enforcement, fire service, EMS, and emergency management)that comprise the defined Urban Area. It must also be inclusive of local Citizen Corps Council or their equivalent and Tribal representatives. The UAWG should also ensure the integration of local emergency management,public health, and health care systems into a coordinated, sustained local capability to respond effectively to a mass casualty incident. In addition, the UAWG should include officials responsible for the administration of CDC and ASPR cooperative agreements. Finally, it is recommended that members advocating on behalf of vulnerable populations including youth,the elderly and individuals with functional needs, socio-economic factors and cultural diversity,be invited to provide representation. The SAA POC must ensure that appropriate representation for the defined Urban Area is included per this guidance. FEMA strongly encourages that,wherever possible, previously established local working groups should be leveraged for this purpose to ensure that UASI funded resources are managed in the most efficient and effective manner possible. The UAWG may also support State efforts to develop the SPR, particularly as it relates to UASI funded activities. ■ Governance. The jurisdictions identified in Appendix A—FY 2014 Program Allocations represent the candidate Urban Areas eligible to apply for funding. The UAWG will be responsible for coordinating the development and implementation of all program initiatives. States and Urban Areas must consider including counties within which the cities reside, contiguous jurisdictions,MSAs, operational areas, and mutual aid partners, as appropriate, in the governance process. In keeping with sound project management practices, the UAWG must ensure that its approach to critical issues such as membership, governance structure,voting rights, grant management and administration responsibilities, and funding allocation methodologies 43 Appendix B—FY2014 HSGP Priorities are formalized in a working group charter or other form of standard operating procedure related to the UASI program governance. The charter must also outline how decisions made in UAWG meetings will be documented and shared with UAWG members. The UAWG charter must be on file with FEMA prior to drawing down UASI funding and must be available to all UAWG members to promote transparency in decision-making related to the UASI program. UASIs will use the URT to verify UAWG structure and membership. Urban Areas must notify the SAA and FEMA Program Analyst of any updates to the UAWG structure or membership. • Develop Urban Area THIRA.As a result of the improved governance process and the rationale for maintaining and sustaining existing capabilities and the development of new capabilities,members of the UAWG should be involved in the development of an Urban Area THIRA coordinated with the State THIRA, and subsequent updates. ■ Urban Area Homeland Security Strategy.Urban Area Homeland Security Strategies should be updated every two years at a minimum, to ensure that their strategies continue to address prevention,protection,mitigation, response, and recovery, and reflect how their goals and objectives align to the Goal and the Whole Community approach. • Allocation of Funds.The use and allocation of all grant funds available through the UASI program must focus on the Investments identified in the Urban Area's IJ and the implementation of the FEMA-approved Urban Area Homeland Security Strategy. The use of funds must also be consistent with overall UASI program guidelines, the State Homeland Security Strategy, the National Preparedness System, and must develop or sustain one or more core capabilities in the Goal. Funds used to support whole community and individual preparedness related efforts, such as engaging non- governmental organizations and vulnerable populations demonstrating the integration of children and individuals with disabilities or access and functional needs in all phases of emergency management, participation of disaster volunteers, such as Community Emergency Response Teams(CERTs) in training, exercises and response and recovery operations,and educating the public should be coordinated with local CERT programs and/or Citizen Corps Councils. The UAWG, in coordination with the SAA POC,must develop a methodology for allocating funding available through the UASI program. The UAWG must reach consensus on all UASI funding allocations. If consensus cannot be reached within the 45- day time period allotted for the State to obligate funds to sub-grantees, the SAA must make the allocation determination. The SAA must provide written documentation verifying the consensus of the UAWG,or the failure to achieve otherwise, on the allocation of funds and submit it to FEMA immediately after the 45-day time period allotted for the State to obligate funds to sub-grantees. Any UASI funds retained by the State must be used in direct support of the Urban Area. States must provide documentation to the UAWG and FEMA upon request 44 Appendix B—FY2014 HSGP Priorities demonstrating how any UASI funds retained by the State are directly supporting the Urban Area. If the SAA intends to retain any UASI funds, the SAA must prepare an Investment that demonstrates how the retained funds will be used to directly support the designated Urban Area in the State. This Investment should be included in the designated Urban Area's IJ. Supplemental OPSG Guidance OPSG provides funding to designated localities to enhance cooperation and coordination between Federal, State, local, Tribal,and territorial law enforcement agencies in a joint mission to secure the United States borders along routes of ingress from international borders to include travel corridors in States bordering Mexico and Canada, as well as States and territories with International water borders. OPSG is intended to support United States border States and territories in accomplishing the following objectives: • Increase capability to prevent,protect against, and respond to border security issues; • Encourage local operational objectives and capabilities to enhance National and State Homeland Security Strategies(such as the Federal Secure Borders Initiative and United States CBP/BP strategies); • Increase coordination and collaboration among Federal, State, local,Tribal,and territorial law enforcement agencies; • Continue the distinct capability enhancements required for border security and border protection; • Provide intelligence-based operations through CBP/BP Sector Level experts to ensure safety and operational oversight of Federal, State, local,Tribal, and territorial law enforcement agencies participating in OPSG operational activities; • Support a request to the Governor to activate,deploy, or redeploy specialized National Guard Units/Packages and/or elements of State law enforcement to increase or augment specialized/technical law enforcement elements operational activities; and • Continue to increase operational,material and technological readiness of State, local, Tribal, and territorial law enforcement agencies. OPSG funds must be used to increase operational capabilities of Federal, State, local, Tribal, and territorial law enforcement,promoting a layered, coordinated approach to law enforcement within United States border States and territories. • Federal, State,Local,Tribal,and Territorial OPSG Integrated Planning Team (IPT). It is recommended that Federal, State, local, Tribal, and territorial partners establish and maintain an OPSG IPT with representation from all participating law enforcement agencies, co-chaired by representatives from CBP/BP,the SAA, and participating law enforcement agencies' OPSG program representatives. Coordination Requirements All operational plans should be crafted in cooperation and coordination among Federal, State, local, Tribal, and territorial partners. Consideration will be given to applications that are 45 Appendix B—FY2014 HSGP Priorities coordinated across multiple jurisdictions. All applicants must coordinate with the CBPBP Sector Headquarters with geographic responsibility for the applicant's location in developing and submitting an Operations Order with an embedded budget to the SAA. After awards are announced,prospective grant recipients will re-scope the draft Operations Order and resubmit as a final Operations Order with an embedded budget,based on actual dollar amounts to be awarded. Final Operations Orders will be approved by the appropriate Sector Headquarters and forwarded to Headquarters, Office of Border Patrol,Washington,D.C.,before funding is released. Grantees may not begin operations, obligate, or expend any funds until the final Operations Order and embedded budget has been approved by FEMA GPD and CBPBP Headquarters and any existing special conditions and/or restrictions are removed. OPSG activities are expected to maximize HSGP strategic planning efforts and integration with State, Tribal,territory, Urban Area, and local Homeland Security Strategies. Management and Administration (M&A) For information on how to determine M&A for OPSG awards,please review GPD policy, Clarification for Allowable Management and Administration (M&A) Costs under the Operation Stonegarden Grant Program, dated June 25,2013. The policy is located at hgp://www.fema.Qov/media-library/assets/documents/33577. 46 Appendix B—FY2014 HSGP Priorities Additional Funding Considerations Below are additional areas to consider where funding can be applied to strengthen preparedness efforts. Enhancing Cybersecurity Capabilities Applicants are encouraged to propose projects to aid in implementation of all or part of the National Institute of Standards and Technology(MIST)Cyber Security Framework when requesting funds for cybersecurity. The CSF is available at http Ilwww.nisigovlcyberframework/uploa&gbersecurft--framework 021214 final.pdf. The Framework gathers existing global standards and practices to help organizations understand, communicate, and manage their cyber risks. For organizations that don't know where to start, the Framework provides a road map. For organizations with more advanced cybersecurity,the Framework offers a way to better communicate with their leadership and with suppliers about management of cyber risks. The Department of Homeland Security's Critical Infrastructure Cyber Community C3 Voluntary Program also provides resources to critical infrastructure owners and operators to assist in adoption of the Framework and managing cyber risks. For more information visit htW:11www.us- cert.Qov/ccubedvp. Mass Casualty Incident Preparedness and Citizen Preparedness Although the Citizen Corps Program(CCP) and Metropolitan Medical Response System (MMRS) are no longer funded as discrete grant programs within HSGP, States may include IJs funding and supporting CCP and MMRS activities/programs. Activities funded under these projects must meet the allowability requirements of the SHSP and UASI programs. The following coordination requirements will remain in place for proposed activities that support mass casualty incident preparedness, as well as citizen preparedness. Mass casualty preparedness must be conducted in collaboration with State/city/local health departments that administer Federal funds from HHS to enhance the integration of local emergency management,public health, and health care systems into a coordinated, sustained local capability to respond effectively to a mass casualty incident or a response to catastrophic events and acts of terrorism. Grantees must also demonstrate how their Investments will increase the effectiveness of emergency preparedness planning and response for the whole community by integrating and coordinating activities for vulnerable populations including children, the elderly,pregnant women, and individuals with disabilities and others with access and functional needs. Further, grantees are strongly encouraged to collaborate with local, regional, and State public health and health care partners,including Medical Reserve Corps Units and Citizen Corps Councils or their equivalent, as well as leverage other Federal programs, such as the HHS ASPR Hospital Preparedness Program and Emergency Systems for Advance Registration of Volunteer Health Professionals(ESAR-VHP), CDC Cities Readiness Initiative (CRI), PHEP, and Strategic National Stockpile Programs. To demonstrate whole community engagement,Citizen Corps Councils and Community Emergency Response Teams(CERTs)programs must register new programs or update information on the website in order to be considered by a state or local jurisdiction for inclusion in their IJs when applying for HSGP funds. Program updates can be made at 47 Appendix B—FY2014 HSGP Priorities http://www.readv.gov/citizen-corps and at http://www.fema.gov/communi - emergency-response-teams. The Citizen Corps and CERT Core Capabilities Tool(CCT)has been developed to help grantees develop IJs that reference how Citizen Corps and CERT activities contribute to and support core capabilities. The CCT is available at http://www.read Citizen preparedness must be coordinated by an integrated body of government and nongovernmental representatives. State and local government recipients of HSGP funds must have a coordinating body to serve as their Citizen Corps Council, with membership that includes, but is not limited to: representatives from emergency management,homeland security, law enforcement, fire service, EMS,public health or their designee, elected officials, the private sector(especially privately owned critical infrastructure),private nonprofits,nongovernmental organizations(including faith-based, community-based,and voluntary organizations), and advocacy groups for children, seniors,people with disabilities and others with access and functional needs. 48 Appendix B—FY2014 HSGP Priorities Appendix C — Funding Guidelines Grantees must comply with all the requirements in 44 CFR Part§13 and 2 CFR Part §215. In general, grantees should consult with their FEMA Headquarters Program Analyst prior to making any Investment that does not clearly meet the allowable expense criteria established by the FOA. Funding guidelines established within this section support the five mission areas— Prevention, Protection, Mitigation,Response,and Recovery—and associated core capabilities within the Goal. Allowable Investments made in support of the HSGP priorities as well as other capability- enhancing projects must fall into the categories of planning,organization, exercises, training,or equipment. Planning(SHSP and UASI) SHSP and UASI funds may be used for a range of emergency preparedness and management planning activities and such as those associated with the development of the THIRA, SPR, and other planning activities that support the Goal and placing an emphasis on updating and maintaining a current EOP that conforms to the guidelines outlined in CPG 101 v 2.0 For additional information,please see http://www: ema.gov/pdf/about/divisions/npd/CPG 101_V2.pdf. Organization (SHSP and UASI Only) Organizational activities include: • Program management; • Development of whole community partnerships, through groups such as Citizen Corp Councils; • Structures and mechanisms for information sharing between the public and private sector; • Implementing models,programs, and workforce enhancement initiatives to address ideologically-inspired radicalization to violence in the homeland; • Tools,resources and activities that facilitate shared situational awareness between the public and private sectors; • Operational Support; • Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident; • Responding to an increase in the threat level under the National Terrorism Advisory System(NTAS), or needs in resulting from a National Special Security Event; and • Paying salaries and benefits for personnel to serve as qualified intelligence analysts. States and Urban Areas must justify proposed expenditures of SHSP or UASI funds to support organization activities within their IJ submission by using historical data or other analysis. All States are allowed to utilize up to 50 percent(50%)of their SHSP funding and all Urban Areas are allowed up to 50 percent(50%)of their UASI funding for personnel costs. At the request of 49 Appendix C—FY2014 HSGP Funding Guidelines a recipient of a grant, the Administrator may grant a waiver of the 50 percent(50%) limitation noted above. Organizational activities under SHSP and UASI include: • Intelligence analysts. Per the Personnel Reimbursement for Intelligence Cooperation and Enhancement(PRICE) of Homeland Security Act(Public Law 110-412), SHSP and UASI funds may be used to hire new staff and/or contractor positions to serve as intelligence analysts to enable information/intelligence sharing capabilities, as well as support existing intelligence analysts previously covered by SHSP or UASI funding. In order to be hired as an intelligence analyst, staff and/or contractor personnel must meet at least one of the following criteria: - Successfully complete training to ensure baseline proficiency in intelligence analysis and production within six months of being hired; and/or, - Previously served as an intelligence analyst for a minimum of two years either in a Federal intelligence agency,the military, or State and/or local law enforcement intelligence unit As identified in the Maturation and Enhancement of State and Major Urban Area Fusion Centers priority, all fusion center analytic personnel must demonstrate qualifications that meet or exceed competencies identified in the Common Competencies for State, Local, and Tribal Intelligence Analysts,which outlines the minimum categories of training needed for intelligence analysts. A certificate of completion of such training must be on file with the SAA and must be made available to the grantee's respective FEMA Program Analyst upon request. In addition to these training requirements, fusion centers should also continue to mature their analytic capabilities by addressing gaps in analytic capability identified during the fusion center's annual assessment. ■ Overtime costs. Overtime costs are allowable for personnel to participate in information, investigative, and intelligence sharing activities specifically related to homeland security and specifically requested by a Federal agency. Allowable costs are limited to overtime associated with federally requested participation in eligible fusion activities, including anti-terrorism task forces,Joint Terrorism Task Forces (JTTFs),Area Maritime Security Committees (as required by the Maritime Transportation Security Act of 2002), DHS Border Enforcement Security Task Forces, and Integrated Border Enforcement Teams. Grant funding can only be used in proportion to the Federal man- hour estimate, and only after funding for these activities from other Federal sources (i.e., FBI JTTF payments to State and local agencies)has been exhausted. Under no circumstances should DHS grant funding be used to pay for costs already supported by funding from another Federal source. • Operational overtime costs. In support of efforts to enhance capabilities for detecting, deterring,disrupting, and preventing acts of terrorism, operational overtime costs are allowable for increased security measures at critical infrastructure sites. SHSP or UASI funds for organizational costs may be used to support select operational expenses associated with increased security measures at critical infrastructure sites in the following authorized categories: - Backfill and overtime expenses for staffmg State or Major Urban Area fusion centers; 50 Appendix C—FY2014 HSGP Funding Guidelines - Hiring of contracted security for critical infrastructure sites; - Participation in Regional Resiliency Assessment Program(RRAP) activities; - Public safety overtime; - Title 32 or State Active Duty National Guard deployments to protect critical infrastructure sites, including all resources that are part of the standard National Guard deployment package (Note: Consumable costs, such as fuel expenses, are not allowed except as part of the standard National Guard deployment package); and - Increased border security activities in coordination with CBP, as outlined in IB 135 (http:llwww fema.govlgr aratslgrant fro rams-directorate-information- bulletins . SHSP or UASI funds may only be spent for operational overtime costs upon prior approval provided in writing by the FEMA Administrator. Note: States with UASI jurisdictions can use funds retained at the State level to reimburse eligible operational overtime expenses incurred by the State(per the above guidance limitations and up to a maximum of 50 percent(50%) of the State share of the UASI grant). Any UASI funds retained by the State must be used in direct support of the Urban Area. States must provide documentation to the UAWG and FEMA upon request demonstrating how any UASI funds retained by the State would directly support the Urban Area. Equipment(SHSP and UASI) The 21 allowable prevention,protection,mitigation,response, and recovery equipment categories and equipment standards for HSGP are listed on the web-based version of the Authorized Equipment List(AEL) on the Lessons Learned Information System at http://llis.zov/. Unless otherwise stated, equipment must meet all mandatory regulatory and/or DHS-adopted standards to be eligible for purchase using these funds. In addition, agencies will be responsible for obtaining and maintaining all necessary certifications and licenses for the requested equipment. Grant funds may be used for the procurement of medical countermeasures. Procurement of medical countermeasures must be conducted in collaboration with State/city/local health departments who administer Federal funds from HHS for this purpose. Procurement must have a sound threat based justification with an aim to reduce the consequences of mass casualty incidents during the first crucial hours of a response. Prior to procuring pharmaceuticals, grantees must have in place an inventory management plan to avoid large periodic variations in supplies due to coinciding purchase and expiration dates. Grantees are encouraged to enter into rotational procurement agreements with vendors and distributors. Purchases of pharmaceuticals must include a budget for the disposal of expired drugs within each fiscal year's the period of performance for HSGP. The cost of disposal cannot be carried over to another FEMA grant or grant period. Training(SHSP and UASI) Allowable training-related costs under HSGP include the establishment, support, conduct, and attendance of training specifically identified under the SHSP and UASI programs and/or in 51 Appendix C—FY2014 HSGP Funding Guidelines conjunction with emergency preparedness training by other Federal agencies (e.g.,HHS and DOT). Training conducted using HSGP funds should address a performance gap identified through an After Action Report/Improvement Plan(AAR/IP) or other assessments(e.g.,National Emergency Communications Plan[NECP] Goal Assessments) and contribute to building a capability that will be evaluated through a formal exercise. Any training or training gaps, including those for vulnerable populations including children, the elderly, pregnant women,and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the State or Urban Area training cycle. Grantees are encouraged to use existing training rather than developing new courses. When developing new courses, grantees are encouraged to apply the Analysis, Design, Development, Implementation and Evaluation model of instructional design(Course Development Tool) located at https://www f rstrespondertraining.jov. Exercises (SHSP and UASI) Exercises conducted with FEMA support should be managed and executed in accordance with HSEEP. HSEEP guidance for exercise design,development, conduct, evaluation, and improvement planning is located at https://www.His.dhs.Qov/hseep. Maintenance and Sustainment(SHSP, UASI,and OPSG) The use of FEMA preparedness grant funds for maintenance contracts,warranties, repair or replacement costs,upgrades, and user fees are allowable, as described in FEMA Policy FP 205- 402-125-1 (http://Www.fema.jzovlmedia-library/assets/documentsl32474)under all active and future grant awards,unless otherwise noted. With the exception of maintenance plans purchased incidental to the original purchase of the equipment, the period covered by a maintenance or warranty plan must not exceed the period of performance of the specific grant funds used to purchase the plan or warranty. Grant funds are intended to support the Goal by funding projects that build and sustain the core capabilities necessary to prevent,protect against,mitigate the effects of,respond to,and recover from those threats that pose the greatest risk to the security of the Nation. In order to provide grantees the ability to meet this objective, the policy set forth in GPD's IB 379(Guidance to State Administrative Agencies to Expedite the Expenditure of Certain DHS/FEMA Grant Funding) allows for the expansion of eligible maintenance and sustainment costs which must be in 1) direct support of existing capabilities; (2)must be an otherwise allowable expenditure under the applicable grant program; (3)be tied to one of the core capabilities in the five mission areas contained within the Goal,and(4) shareable through the Emergency Management Assistance Compact. Additionally, eligible costs must also be in support of equipment, training, and critical resources that have previously been purchased with either Federal grant or any other source of funding other than DHS/FEMA preparedness grant program dollars. Law Enforcement Terrorism Prevention Allowable Costs (SHSP and UASI) Activities eligible for use of LETPA focused funds are outlined in the National Prevention Framework(and where capabilities are shared with the protection mission area, the National Protection Framework) located at http://www.fema.govinational-121anning-frameworks and include: 52 Appendix C—FY2014 HSGP Funding Guidelines • Maturation and enhancement of designated State and major Urban Area fusion centers, including information sharing and analysis, threat recognition, terrorist interdiction, and training/hiring of intelligence analysts; • Implementation and maintenance of the Nationwide SAR Initiative, including training for front line personnel on identifying and reporting suspicious activities; • Implementation of the"If You See Something, Say SomethingTM"campaign to raise public awareness of indicators of terrorism and terrorism-related crime and associated efforts to increase the sharing of information with public and private sector partners, including nonprofit organizations. Note: DHS requires that the Office of Public Affairs be given the opportunity to review and approve any public awareness materials (e.g., videos,posters, tri-folds, etc.)developed using HSGP grant funds for the"If You See Something, Say SomethingTM"campaign to ensure these materials are consistent with the Department's messaging and strategy for the campaign and the initiative's trademark; • Training for countering violent extremism; development, implementation, and/or expansion of programs to engage communities that may be targeted by violent extremist radicalization; and the development and implementation of projects to partner with local communities to prevent radicalization to violence, in accordance with the Strategic Implementation Plan(SIP)to the National Strategy on Empowering Local Partners to Prevent Violent Extremism in the United States; and • Increase physical security, through law enforcement personnel and other protective measures by implementing preventive and protective measures at critical infrastructure site or other at-risk nonprofit organizations. Critical Emergency Supplies(SHSP and UASI) In order to further DHS' mission, critical emergency supplies, such as shelf stable products, water, and basic medical supplies are an allowable expense under SHSP and UASI. Prior to the allocation of grant funds for stockpiling purposes, each state must have FEMA's approval of a five-year viable inventory management plan which should include a distribution strategy and related sustainment costs if planned grant expenditure is over$100,000. If grant expenditures exceed the minimum threshold, the five-year inventory management plan will be developed by the grantee and monitored FEMA GPD with the assistance of the FEMA Logistics Management Directorate (LMD). FEMA GPD will coordinate with LMD and the respective FEMA Region to provide program oversight and technical assistance as it relates to the purchase of critical emergency supplies under UASI. FEMA GPD and LMD will establish guidelines and requirement for the purchase of these supplies under UASI and monitor development and status of the State's inventory management plan. States(through their Emergency Management Office) are strongly encouraged to consult with their respective FEMA Regional Logistics Chief regarding disaster logistics-related issues. States are further encouraged to share their FEMA approved plan with local jurisdictions and Tribes. Construction and Renovation (SHSP and UASI) Project construction using SHSP and UASI funds may not exceed the greater of$1,000,000 or 15 percent(15%) of the grant award. For the purposes of the limitations on funding levels, communications towers are not considered construction. 53 Appendix C—FY2014 HSGP Funding Guidelines Written approval must be provided by FEMA prior to the use of any HSGP funds for construction or renovation. When applying for construction funds, including communications towers,at the time of application, grantees must submit evidence of approved zoning ordinances, architectural plans,any other locally required planning permits, and a notice of Federal interest. Additionally, grantees are required to submit a SF-424C Budget and Budget detail citing the project costs. When applying for funds to construct communication towers, grantees and sub-grantees must submit evidence that the FCC's Section 106 review process has been completed and submit all documentation resulting from that review to GPD using the guidelines in EHP Supplement prior to submitting materials for EHP review. Completed EHP review materials for construction and communication tower projects must be submitted no later than 12 months before the end of the period of performance. EHP review materials should be sent to gpdehpinfo& ema.Jov. HSGP Program grantees using funds for construction projects must comply with the Davis- Bacon Act(40 U.S.C. 3141 et seq.). Grant recipients must ensure that their contractors or subcontractors for construction projects pay workers employed directly at the work-site no less than the prevailing wages and fringe benefits paid on projects of a similar character. Additional information,including Department of Labor(DOL)wage determinations, is available from the following website http://www.dol.Qov/compliance/laws/comp-dbra.htm. OPSG funds may not be used for any type of construction. Personnel (SHSP and UASI) Personnel hiring, overtime, and backfill expenses are permitted under this grant in order to perform allowable HSGP planning, training, exercise, and equipment activities. Personnel may include but is not limited to: training and exercise coordinators,program managers for activities directly associated with SHSP and UASI funded activities, intelligence analysts, and statewide interoperability coordinators(SWIC). For further details, SAAs should refer to IB#358 or contact their FEMA Headquarters Program Analyst. HSGP funds may not be used to support the hiring of any personnel for the purposes of fulfilling traditional public health and safety duties or to supplant traditional public health and safety positions and responsibilities. The following are definitions as it relates to personnel costs: • Hiring. State and local entities may use grant funding to cover the salary of newly hired personnel who are exclusively undertaking allowable FEMA program activities as specified in this guidance. This may not include new personnel who are hired to fulfill any non-FEMA program activities under any circumstances. Hiring will always result in a net increase of Full Time Equivalent(FTE) employees. • Overtime. These expenses are limited to the additional costs which result from personnel working over and above 40 hours of weekly work time as a direct result of their 54 Appendix C—FY2014 HSGP Funding Guidelines performance of FEMA-approved activities specified in this guidance. Overtime associated with any other activity is not eligible. • Baclfll-related Overtime. Also called"Overtime as Backfill,"these expenses are limited to overtime costs which result from personnel who are working overtime(as identified above) to perform the duties of other personnel who are temporarily assigned to FEMA- approved activities outside their core responsibilities. Neither overtime nor backfill expenses are the result of an increase of FTE employees. • Supplanting. Grant funds will be used to supplement existing funds, and will not replace (supplant) funds that have been appropriated for the same purpose. Applicants or grantees may be required to supply documentation certifying that a reduction in non- Federal resources occurred for reasons other than the receipt or expected receipt of Federal funds. Operational Packages (OPacks) (SHSP and UASI) Applicants may elect to pursue operational package(OPack) funding, such as Canine Teams, Mobile Explosive Screening Teams, and Anti-Terrorism Teams, for new capabilities as well as sustain existing OPacks. Applicants must commit to minimum training standards to be set by the Department for all Federally funded security positions. Applicants must also ensure that the capabilities are able to be deployable,through EMAC, outside of their community to support regional and national efforts. When requesting OPacks-related projects, applicants must demonstrate the need for developing a new capability at the expense of sustaining existing core capability. Western Hemispheric Travel Initiative(SHSP) In addition to the expenditures outlined above, SHSP funds may be used to support the implementation activities associated with the Western Hemisphere Travel Initiative(WHTI), including the issuance of WHTI-compliant Tribal identification cards. More information on the WHTI may be found at http://www.dhs.gov/ les/prorams/gc 1200693579776.shtm or http://www.getyouhome.gov/html/eng map.html. Other Secure Identification Initiatives (SHSP) SHSP funds may also be used to support the Department's additional efforts to enhance secure identification, including driver's license and identification security enhancements. Activities that facilitate secure identification, including IT enhancements for identification management and verification systems are a priority. DHS is currently developing and implementing a number of screening programs in which secure identification credentials figure prominently. These include the Transportation Worker Identification Credential(TWIC)program which promotes tamper- resistant biometric credentials for workers who require unescorted access to secure areas of ports, vessels, outer continental shelf facilities, and all credentialed merchant mariners; and the credentialing of first responders which entails enhancing real-time electronic authentication of identity and attribute(s) (qualification,certification, authorization, and/or privilege) of emergency response/critical government personnel responding to terrorist attacks or other catastrophic events. 55 Appendix C—FY2014 HSGP Funding Guidelines States may continue implementing activities previously funded through the Driver's License Security Grant Program(DLSGP)that focus on securing driver's license and identification card issuance processes. Initiatives related to securing identification should: • Have the greatest impact upon reducing the issuance and use of fraudulent driver's license and identification cards; • Reduce the cost of program implementation for individuals, States, and the Federal government; • Driver's license identification material requirements; • Expedite State progress toward meeting minimum security standards; and • Plan and expedite State-specific activities to support Federal data and document verification requirements and standards. Operations (OPSG) The intent of OPSG is to focus on operational aspects of enhancing coordination between Federal, State, local,Tribal,and territorial law enforcement agencies to increase the security of the United States borders. • Operational Overtime. OPSG funds may be used for operational overtime costs associated with law enforcement activities, in support of border law enforcement agencies for increased border security enhancement. At the request of a grant recipient, the FEMA Administrator may waive the 50 percent(50%)personnel cap. Waiver decisions are at the discretion of the FEMA Administrator and will be considered on a case-by-case basis. A formal OPSG personnel waiver request should: - Be requested on official letterhead, include a written justification, and be signed by the local jurisdiction; - Include a budget and method of calculation of personnel costs both in percentage of the grant award and in total dollar amount. To avoid supplanting issues, the request must also include a three-year staffing history for the requesting entity; - Include an approved Operations Order from the CBP/BP Sector office which supports the local jurisdiction's written justification; - Be coordinated with the CBP Sector, SAA,and OBP; and - Be forwarded electronically by CBP to FEMA. ■ Part Time Personnel. OPSG funds may be used to pay additional current part time law enforcement personnel salaries in order to bring them to temporary full time status. • Travel, Per Diem, and Lodging. Travel and per diem include costs associated with the deployment/redeployment of personnel to border areas and for travel associated with law enforcement entities assisting other local jurisdictions in law enforcement activities. In addition, costs to support up to six month deployment of law enforcement personnel to critical Southwest Border locations to support operational activities(travel costs must be in accordance with applicable travel regulations). • Vehicle and Equipment Rentals. • Vehicle/Equipment Maintenance. • Fuel Cost and/or Mileage Reimbursement. There is no cap for reimbursement of operational activities. 56 Appendix C—FY2014 HSGP Funding Guidelines • Activate Reserve State, local, Tribal, and territorial law enforcement personnel. Supporting a request to the Governor to activate, deploy, or redeploy specialized National Guard Units/Package and/or elements of State law enforcement to increase or augment specialized/technical law enforcement elements operational activities. • Backfill. Costs associated with backfill for personnel supporting operational activities. • Law Enforcement Readiness. Use of OPSG funds may be used to increase operational, material, and technological readiness of State, local,Tribal, and territorial law enforcement agencies. Unallowable Costs (OPSG) OPSG unallowable costs include costs associated with staffing and general IT computing equipment and hardware, such as personal computers, faxes,copy machines,modems, etc. OPSG is not intended as a hiring program. Therefore, applying funds toward hiring full-time or permanent sworn public safety officers is unallowable. OPSG funding shall not be used to supplant inherent routine patrols and law enforcement operations or activities not directly related to providing enhanced coordination between local and Federal law enforcement agencies. Finally, construction and/or renovation costs are prohibited under OPSG. Applicants should refer to IB 358 or contact their FEMA Headquarters Program Analyst at(800) 368-6498 for guidance and clarification. Unallowable Costs (SHSP and UASI) Per FEMA policy,the purchase of weapons and weapons accessories is not allowed with HSGP funds. Per the Anti-Deficiency Act, federal government personnel, or representatives thereof, are prohibited from participation in projects awarded to sub grantees. This includes the solicitation, selection and monitoring of sub grantees. Examples of Allowable Activities for SHSP and UASI Planning Activities Examples of planning activities include: • Developing hazard/threat-specific annexes that incorporate the range of prevention, protection,mitigation, response, and recovery activities as identified in the national planning frameworks • Developing and implementing homeland security support programs and adopting DHS national initiatives including but not limited to the following: - Conducting a THIRA process - Implementing the Goal,National Preparedness System, and the Whole Community Approach to Security and Emergency Management including efforts to support strengthening of capacity among whole community partners - Pre-event recovery planning - Implementing the 2014 National Infrastructure Protection Plan(NIPP) and associated Sector Specific Plans 57 Appendix C—FY2014 HSGP Funding Guidelines - Enhancing and implementing SCIPs and Tactical Interoperable Communications Plans (TICPs)that align with the goals,objectives, and initiatives of the National Emergency Communications Plan (NECP) - Costs associated with the adoption, implementation, and sustainment of the NIMS, including implementing the NIMS Guideline for Credentialing of Personnel - Modifying existing incident management and EOPs to ensure proper alignment with the coordinating structures,processes, and protocols described in the National Frameworks - Establishing or enhancing mutual aid agreements - Developing communications and interoperability protocols and solutions consistent with NIMS/ICS that include communications support for faith-based and voluntary organizations - Developing emergency communications SOPS and plain language protocols - Integrating emergency communications SOPs across jurisdiction,disciplines, and levels of government - Conducting local, regional, and Tribal program implementation workshops - Developing or updating resource inventory assets in accordance to NIMS-typed resource definitions which are managed by FEMA's National Integration Center (NIC) and can be found at: http://www;fema.,aov/resource-management - Designing State and local geospatial data systems - Developing and conducting public education and outreach campaigns, including promoting individual, family, and organizational emergency preparedness and support for the National Preparedness Campaign including America's PrepareAthon! and Ready campaigns, as required by the National Preparedness System; alerts and warnings education; promoting training, exercise, and volunteer opportunities; informing the public about emergency plans, evacuation routes, shelter locations; and evacuation plans as well as CBRNE prevention awareness - Designing programs to address targeting at-risk populations and engaging them in emergency management planning efforts - Developing and conducting public education and outreach campaigns, including promoting individual, family, and organizational emergency preparedness and support for the national Campaign to Build and Sustain Preparedness, including America's PrepareAthon!, as required by the National Preparedness System; the Ready Campaign; alerts and warnings education; promoting training, exercise, and volunteer opportunities; informing the public about emergency plans, evacuation routes, shelter locations; and evacuation plans as well as CBRNE prevention awareness activities,materials, services,tools and equipment to achieve planning,protection, mitigation,response and recovery that is inclusive of people with disabilities (physical,programmatic and communications access for people with physical, sensory,mental health, intellectual and cognitive disabilities) - Preparing materials for SPRs WHTI implementation activities including the issuance of WHTI-compliant Tribal identification cards 58 Appendix C—FY2014 HSGP Funding Guidelines • Conducting statewide emergency communications and preparedness planning, including the following activities: - Conducting/attending planning and governance workshops - Engaging and expanding the participation of the whole community in emergency communications planning,response,and risk identification - Participating in THIRA development process - Collecting and using data(e.g.,NECP Goal Assessments, findings from national- level exercises)to assess user needs, capabilities, and gaps, and to facilitate coordination and asset-sharing - Assessing emergency communications needs and assets and integrating needs into State plans(e.g., SCIP, SPR, and broadband plans) - Coordinating with SWIC, SAA, and State-level planners to ensure proposed investments align to statewide plans (e.g., SCIP, State broadband plan) and comply with technical requirements • Developing related terrorism prevention activities: - Coordinating fusion center efforts with other analytical and investigative efforts including,but not limited to JTTFs, Field Intelligence Groups(FIGs), High Intensity Drug Trafficking Areas (HIDTAs), Regional Information Sharing Systems(RISS) Centers, criminal intelligence units, and real-time crime analysis centers. - Developing THIR.As that reflect a representative makeup and composition of the jurisdiction - Developing initiatives that directly support local efforts to understand, recognize, prepare for,prevent, mitigate, and respond to pre-operational activity and other crimes that are precursors or indicators of terrorist activity, in accordance with civil rights/civil liberties protections - Developing law enforcement prevention activities,to include establishing and/or enhancing a fusion center - Hiring an IT specialist to plan, develop, and implement the IT applications necessary for a fusion center - Developing and planning for information/intelligence sharing groups - Integrating and coordinating the fire service, emergency management,public health care,public safety, and health security data-gathering(threats to human and animal health)within designated fusion centers to achieve early warning, monitoring, and mitigation of threats - Hiring and training privacy, security,and/or fusion liaison officers(FLO) coordinators to support fusion center operations - Integrating and coordinating private sector participation with fusion center activities - Developing and implementing preventive radiological/nuclear detection activities - Acquiring systems allowing connectivity to State, local, Tribal, territorial, and Federal data networks, such as the National Crime Information Center(NCIC) and Integrated Automated Fingerprint Identification System(IAFIS), as appropriate - Planning to enhance security during heightened alerts, terrorist incidents,and/or during mitigation and recovery 59 Appendix C—FY2014 HSGP Funding Guidelines - Accessible public information/education: printed and electronic materials,public service announcements, seminars/town hall meetings, and web postings coordinated through local Citizen Corps Councils - Volunteer programs and other activities to strengthen citizen participation - Conducting public education campaigns including promoting suspicious activity reporting and preparedness; individual, family, and organizational emergency preparedness; Promoting the national Campaign to Build and Sustain Preparedness and the Ready campaign - Evaluating Critical Infrastructure Protection(CIP) security equipment and/or personnel requirements to protect and secure sites - CIP cost assessments, including resources (e.g., financial,personnel)required for security enhancements/deployments - Underwater Terrorist Protection Plans • Developing and implementing a comprehensive model for preventing violent extremism in local communities: • Including existing law enforcement agencies' initiatives and including mechanisms for engaging the resources and expertise available from a range of social service providers, such as education administrators, mental health professionals, and religious leaders; • Enhancing engagement with communities to discuss violent extremism in an effort to (1) share sound, meaningful, and timely information about the threat of radicalization to violence with a wide range of groups and organizations, particularly those involved in public safety; (2)respond to concerns about government policies and actions; and(3) increase understand for how community- based solutions can be supported. • Building expertise, including a robust training program to improve cultural competency and to ensure that communities, government,and law enforcement receive accurate, intelligence-based information about the dynamics of radicalization to violence. • Developing and enhancing risk centric capabilities-based plans and protocols,including but not limited to: - Community-based planning to advance "whole community"security and emergency management - Incorporating government/non-governmental collaboration, citizen preparedness, and volunteer participation into State and local government homeland security strategies,policies, guidance,plans, and evaluations - Developing, enhancing, maintaining a current EOP that conforms to the guidelines outlined in the CPG 101 v 2.0 - Planning for the relocation of existing systems operating in the T-Band - Developing or enhancing local, regional, or Statewide strategic or tactical interoperable emergency communications plans including such actions to support communications with faith-based and voluntary entities who act as immediate responders in disaster - Developing or enhancing critical infrastructure planning, to include planning for incidents at chemical facilities 60 Appendix C—FY2014 HSGP Funding Guidelines - Developing protocols or SOPs for specialized teams to incorporate the use of equipment acquired through this grant program - Developing terrorism prevention/protection plans - Developing plans, procedures, and requirements for the management of infrastructure and resources related to HSGP and implementation of State or Urban Area Homeland Security Strategies - Developing plans for mass evacuation and pre-positioning equipment - Developing or enhancing plans for responding to mass casualty incidents caused by any hazards - Developing or enhancing applicable procedures and operational guides to implement the response actions within the local plan including patient tracking that addresses identifying and tracking children, access and functional needs population,and the elderly and keeping families intact where possible - Developing or enhancing border security plans - Developing or enhancing cybersecurity and risk mitigation plans - Developing or enhancing secondary health screening protocols at major points of entry(e.g., air, rail,port) - Developing or enhancing agriculture/food security risk mitigation,response, and recovery plans - Developing public/private sector partnership emergency response, assessment, and resource sharing plans - Developing or enhancing plans to engage and interface with, and to increase the capacity of,private sector/non-governmental entities working to meet the human service response and recovery needs of survivors - Developing or updating local or regional communications plans - Developing plans to support and assist jurisdictions, such as port authorities and rail and mass transit agencies - Developing or enhancing continuity of operations and continuity of government plans - Developing or enhancing existing catastrophic incident response and recovery plans to include and integrate Federal assets provided under the NRF and the National Disaster Recovery Framework(NDRF) - Developing plans and response procedures for adjudicating, validating and responding to an alarm from a chemical or biological detector(response procedures should include emergency response procedures integrating local first responders) - Developing or enhancing evacuation plans - Developing mechanisms for utilizing the National Emergency Family Registry and Locator System(NEFRLS) - Developing or enhancing plans to prepare for surge capacity of volunteers - Developing or enhancing the State EMS systems - Developing or enhancing plans for donations and volunteer management and the engagement/integration of private sector/non-governmental entities, and faith- based organizations in preparedness, mitigation,response, and recovery activities - Developing school preparedness plans 61 Appendix CFY2014 HSGP Funding Guidelines - Developing preparedness plans for child congregate care facilities, including group residential facilities,juvenile detention facilities, and public/private child care facilities - Developing plans to educate youth on disaster preparedness - Ensuring jurisdiction EOPs adequately address warnings, emergency public information, evacuation, sheltering, mass care,resource management from non- governmental sources,unaffiliated volunteer and donations management, and volunteer resource integration to support each Emergency Support Function,to include appropriate considerations for integrating activities,materials, services, tools and equipment to achieve planning inclusive of people with disabilities (physical,programmatic and communications access for people with physical, sensory,mental health, intellectual and cognitive disabilities). Developing and implementing civil rights,civil liberties, and privacy policies,procedures, and protocols - Designing and developing State, local, Tribal, and territorial geospatial data systems - Developing and implementing statewide electronic patient care reporting systems compliant with the National Emergency Medical Services Information System (NEMSIS) - Costs associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children and adults with disabilities • Preparing and submitting SCIPs for SHSP, Preparing and submitting reports to the Office of Emergency Communications (OEC)on progress of implementing that State's SCIP and achieving interoperability at the interstate, State, county,regional,and city levels • Updating and implementing SCIP and TICP to: - Address findings and gaps identified in AARs from real world incidents and planned exercises,NECP Goal assessments, other State-level preparedness reports and assessments - Incorporate the National Preparedness System and DHS Whole Community initiatives - Address plans for implementation of the Federal Communications Commission (FCC)narrowband requirements - Describe strategic broadband planning activities and initiatives in preparation for the future deployment of the Nationwide Public Safety Broadband Network (NPSBN) ■ Developing or conducting assessments, including but not limited to: - Developing pre-event recovery plans - Conducting point vulnerability assessments at critical infrastructure sites/key assets and develop remediation/security plans - Participating Regional Resiliency Assessment Program(RRAP) activities - Conducting or updating interoperable emergency communications capabilities assessments at the local, regional, or Statewide level(e.g., Communications Assets and Mapping[CASM]) - Developing border security operations plans in coordination with CBP 62 Appendix C—FY2014 HSGP Funding Guidelines - Developing, implementing, and reviewing Area Maritime Security Plans for ports, waterways, and coastal areas - Updating and refining threat matrices - Conducting cyber risk and vulnerability assessments - Conducting assessments and exercising existing catastrophic incident response and recovery plans and capabilities to identify critical capability gaps that cannot be met by existing local, regional, and State resources - Activities that directly support the identification of specific catastrophic incident priority response and recovery projected needs across disciplines(e.g., law enforcement, fire service, EMS,public health,behavioral health,public works, agriculture, information technology, and citizen preparedness) - Activities that directly support the identification of pre-designated temporary housing sites - Activities that support the identification and development of alternate care sites - Conducting community assessments, surveys, and research of vulnerabilities and resource needs to determine how to meet needs and build effective and tailored strategies for educating individuals conducting assessments of the extent to which compliance with the integration mandate of disability laws is being achieved - Conducting Preparedness research - Conducting or updating interoperable emergency communications capabilities and broadband needs assessments at the local,regional, or Statewide level - Soft target security planning(e.g.,public gatherings) • Developing, hosting, or participating in bombing prevention/counter-improvised explosives device(IED)-specific planning initiatives to include: - Incorporating appropriate IED-specific intelligence and threat analysis when developing and maintaining a THIRA; - Conducting inventories and assessments of capabilities or typed resource using the counter-IED-specific DHS National Counter-IED Capabilities Analysis Database(NCCAD)program for use in applicable THIRAs,preparedness reporting, or strategies; - Conducting DHS Multi-Jurisdiction IED Security Planning(MJIEDSP) workshops to develop THIRA-based plans and strategies that maximize the use of limited resources; - Developing IED hazard-specific EOP annexes. - Implementing a Corrective Action Plan(CAP)to close IED-related capability gaps identified through MJIEDSP or other planning processes • Continuity of Operations/Continuity of Government(COOP/COG)Planning activities, which include but are not limited to: • Determining essential functions and activities, interdependencies, and resources needed to perform them • Establishing orders of succession and delegations of authority to key agency positions and establish and maintain current roster(s) of fully equipped and trained COOP personnel with the authority to perform essential functions • Providing for the identification and preparation of alternate operating facilities for relocated operations 63 Appendix C—FY2014 HSGP Funding Guidelines • Providing for the regular training,testing, and exercising of COOP personnel, systems, and facilities • Providing for reconstitution of agency capabilities and transition from continuity operations to normal operations • Identifying resources for medical supplies necessary to support children during an emergency, including pharmaceuticals and pediatric-sized equipment on which first responders and medical providers are trained • Ensuring subject matter experts, durable medical equipment, consumable medical supplies and other resources required to assist children and adults with disabilities to maintain health, safety and usual levels of independence in general population environments • Developing and implementing a community preparedness strategy for the State/local jurisdiction • Building and expanding governance structures to: - Include representatives from multiple agencies,jurisdictions, disciplines, levels of government,Tribes,rural areas, subject matter experts, and private industry - Integrate statewide leadership and governance structures into broader statewide planning efforts(e.g., statewide broadband planning activities,grants coordination activities,needs assessments)to ensure emergency communications needs are represented - Conduct outreach and education on emergency communications needs and initiatives to stakeholder groups • Establishing, expanding, and maintaining volunteer programs and volunteer recruitment efforts that support disaster preparedness and/or response - Allowable volunteer programs and efforts include,but are not limited to: Citizen Corps Councils,partners, and affiliates; CERTs; Fire Corps; Medical Reserve Corps(MRC);Neighborhood Watch/USAonWatch; Volunteers in Police Service (VIPS); and jurisdiction-specific volunteer programs and efforts. • Establishing and sustaining Citizen Corps Councils • Working with youth-serving organizations and houses of worship to develop and sustain youth and faith-based preparedness programs Additional Planning Information The National Preparedness Directorate(NPD)offers technical assistance(TA)that is designed to provide grantees and sub-grantees with specialized expertise to improve their emergency plans and planning. TA deliveries are designed specifically to improve and enhance the continuing development of state and local emergency management across the five mission areas of the National Preparedness Goal and across all core capabilities. TA provides the opportunity to engage emergency managers, emergency planners, and appropriate decision-makers in open discussion of options to improve plans and planning in light of their jurisdiction's needs. There is no cost to approved jurisdictions for FEMA TA. TA deliveries combine current emergency management best practices with practical consideration of emerging trends, through discussion facilitated by FEMA contract specialists and with the support of FEMA Region operational specialists. While the invitation of participants is up to the requesting jurisdiction, FEMA encourages requesting jurisdictions to 64 Appendix C—FY2014 HSGP Funding Guidelines include the broadest practical range of its emergency managers and planners in all TA deliveries. TA deliveries should be made open to neighboring jurisdictions. As necessary, FEMA may also invite other Federal experts and practitioners to participate. Additionally,peer-to-peer representation may also be included from other jurisdictions that have recently used TA for the same planning issue. The TA catalog, showing the full range of TA available across all five mission areas and by all providers, and the TA request form can be accessed at http://www.fema.gov/national-incident- management-system/fema-technical-assistance-division. Organization Activities The following organization activities in support of public-private partnerships are allowable expenses: • Program management: - Salary for a dedicated liaison who acts as the primary point of contact, coordinates the public-private partnership and ensures proper implementation of the strategic plan - Facilities, including meeting space and work space for private sector liaisons. Grantees are encouraged to use free space/locations/facilities,whenever possible, prior to the rental of space/locations/facilities - Supplies needed to support regular communications - Implementation of infrastructure resilience enhancement options described in a RRAP report • Utilization of standardized resource management concepts such as typing, inventorying, organizing, and tracking to facilitate the dispatch, deployment, and recovery of resources before, during, and after an incident • Sustain partnership efforts to include: - Support for in-person meetings, events, and workshops that bring the public and private sectors together. Grantees are encouraged to use free space/locations/facilities,whenever possible,prior to the rental of space/locations/facilities - Web-based and social media tactics(webinars, emails,newsletters, alerts, databases,online collaboration tools,website development and maintenance, etc.) - Innovative approaches for reaching the Whole Community to include translated material for individuals that are blind and or have low vision capability,those with limited English proficiency, children within diverse and ethnic populations, and coalitions among citizens. - Leverage already existing structures and mechanisms, such as Citizen Corps, for sharing information and engaging members of the Whole Community to include: for-profit and not-for-profit entities, faith based and community organizations, youth-serving and youth advocates,those that support socio-economic and diverse cultures • Structures and mechanisms for information sharing between the public and private sector: - Tools, software,programs, and other mechanisms that support two-way information sharing during normal and emergency operations 65 Appendix C—FY2014 HSGP Funding Guidelines - Means to receive input or feedback from the private sector, and encourage participation from civic leaders from all sectors - Regular and timely communications on subjects relating to all phases of emergency management, such as newsletters, emails, and alerts • Tools,resources and activities that facilitate shared situational awareness between the public and private sectors - Web-based and new media platforms that allow real-time information exchange - Asset mapping, such as participation in FEMA's Total Asset Visibility and LogViz initiatives - A seat(s) in the emergency operation center, or virtual EOC • Operational Support: - Tools for identifying and tracking available paid and unpaid disaster response resources - Dedicated space and equipment for private sector representation within a State, county, or city emergency operation center - A dedicated business emergency operations center that works with the State, county or city EOC (not construction) - Tools for real time information sharing between the public and private sector - Licensing, screening, or other requirements for access to real EOC or virtual EOC • Federal Emergency Response Official (F/ERO)Credentialing and Validation: - Working group meetings and conferences relating to emergency responder credentialing and validation - Compiling data to enter into an emergency responder repository - Coordinating with other State,local,territorial, and Tribal partners to ensure interoperability among existing and planned credentialing and validation systems and equipment - Planning to incorporate emergency responder identity and credential validation into training and exercises. Training Activities FY 2014 SHSP and UASI funds may be used to support attendance to allowable training deliveries and programs, as described below. FEMA funds must be used to supplement, not supplant, existing funds that have been appropriated for the same purpose. Allowable training- related costs include,but are not limited to, the following: • Developing, Delivering, and Evaluating Training. Includes costs related to administering the training,planning, scheduling, facilities,materials and supplies,reproduction of materials, disability accommodations, and equipment. • Training that promotes individual, family,or community safety and preparedness is encouraged, including: all-hazards safety training such as emergency preparedness,basic first aid, lifesaving skills,crime prevention and terrorism awareness, school preparedness, public health issues, chemical facility incidents,mitigation/property damage prevention, safety in the home, light search and rescue skills,principles of NIMS/ICS,volunteer management and volunteer activities, serving and integrating people with disabilities,pet care preparedness,CPR/AED training, identity theft workshops,terrorism awareness seminars, and disability-inclusive community preparedness conferences. The delivery of 66 Appendix CFY2014 HSGP Funding Guidelines the CERT Basic Training Course and supplemental training for CERT members who have completed the basic training, the CERT Train-the-Trainer Course, and the CERT Program Manager course are strongly encouraged. Conducting,hosting,or participating in training related to IED prevention,protection, mitigation, or response to include: — Awareness and education for the public,private sector and first responders; — Suspicious activity identification and reporting, including the Surveillance Detection and Bomb-Making Materials Awareness Program(BMAP); — Management of bomb threats; — Physical protective measures; — Diversion control measures for dual-use explosive precursor chemicals, including the Surveillance Detection and Bomb-Making Materials Awareness Program (BMAP); — Training for specialized IED prevention and protection teams or OPacks such as Public Safety Bomb Squads, Explosives Detection Canine Teams, and Mobile Explosive Device Screening Teams in accordance with applicable guidelines, certification, or accreditation requirements. • Overtime and Bac>f ll. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of attendance at FEMA and/or approved training courses and programs, are allowable. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the State or unit(s)of local government and has the approval of the State or the awarding agency, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or agency of government and from an award for a single period of time(e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. • Travel. Costs(e.g., airfare,mileage,per diem,hotel)are allowable as expenses by employees who are on travel status for official business related to approved training. • Hiring of Full or Part-Time Staff or Contractors/Consultants. Payment of salaries and fringe benefits to full or part-time staff or contractors/consultants must be in accordance with the policies of the State or unit(s)of local government and have the approval of the State or awarding agency, whichever is applicable. Such costs must be included within the funding allowed for program management personnel expenses. In no case is dual compensation allowable. • Certification/Recertification oflnstructors. States are encouraged to follow the NTE Instructor Quality Assurance Program to ensure a minimum level of competency and corresponding levels of evaluation of student learning. This is particularly important for those courses that involve training of trainers. This information is contained in IB 193, issued October 20,2005. Additional information can be obtained at http://www.fema.gov/goodguidance/download/10146. • Training and exercises for the public or civilian volunteer programs supporting first responders, including CERTs,before, during and after disasters should address the needs of the Whole Community. Allowable training includes: all-hazards safety such as emergency preparedness,basic first aid, lifesaving skills, crime prevention and terrorism awareness, school preparedness, youth preparedness,public health issues, chemical facility incidents,mitigation/property damage prevention, safety in the home, light search 67 Appendix CFY2014 HSGP Funding Guidelines and rescue skills,principles of NIMS and ICS,volunteer management, serving and integrating people with disabilities,pet care preparedness,training necessary to participate in volunteer activities, fulfill surge capacity roles, integration and coordination of faith community roles, communication in disaster or promotes individual, family,or whole community safety and preparedness. Exercises that include members of the public or that are conducted for the public should be coordinated with local CERTs and/or Citizen Corps Councils as well as organizations outside of emergency management and focus on the importance of personal preparedness and protective actions. Per FEMA Grant Programs Directorate Policy FP 207-008-064-1, Review and Approval Requirements for Training Courses Funded Through Preparedness Grants, issued on September 9, 2013, States,territories, Tribal entities and urban areas are no longer required to request approval from FEMA for personnel to attend non-FEMA training as long as the training is coordinated with and approved by the State,territory,Tribal or Urban Area Training Point of Contact (TPOC)and falls within the FEMA mission scope and the jurisdiction's Emergency Operations Plan(EOP). The only exception to this policy is for Countering Violent Extremism courses. The Policy can be accessed at http://www. ema.gov/media-library/assets/documents/34856. FEMA will conduct periodic reviews of all State, territory, and Urban Area training funded by FEMA. These reviews may include requests for all course materials and physical observation of, or participation in, the funded training. If these reviews determine that courses are outside the scope of this guidance, grantees will be asked to repay grant funds expended in support of those efforts. For further information on developing courses using the instructional design methodology and tools that can facilitate the process, SAAs and TPOCs are encouraged to review the NTED Responder Training Development Center(RTDC) available at http://www. rstrespondertrainin,e.gov/rtdc/state/. Additional Training Information FEMA Provided Training. These trainings include programs or courses developed for and delivered by institutions and organizations funded by FEMA. This includes the Center for Domestic Preparedness (CDP), the Emergency Management Institute(EMI), and the National Training and Education Division's(NTED)training partner programs including, the Continuing Training Grants,the National Domestic Preparedness Consortium(NDPC) and the Rural Domestic Preparedness Consortium(RDPC). Approved State and Federal Sponsored Course Catalogue. This catalogue lists State and Federal sponsored courses that fall within the FEMA mission scope, and have been approved through the FEMA course review and approval process. An updated version of this catalog can be accessed at http://www.frstrespondertraining:zov. Training Not Provided by FEMA. These trainings includes courses that are either State sponsored or Federal sponsored(non-FEMA), coordinated and approved by the SAA or their designated TPOC,and fall within the FEMA mission scope to prepare State, local,Tribal, and 68 Appendix C—FY2014 HSGP Funding Guidelines territorial personnel to prevent,protect against,mitigate, respond to, and recover from acts of terrorism or catastrophic events. • State Sponsored Courses. These courses are developed for and/or delivered by institutions or organizations other than Federal entities or FEMA and are sponsored by the SAA or their designated TPOC. • Joint Training and Exercises with the Public and Private Sectors. These courses are sponsored and coordinated by private sector entities to enhance public-private partnerships for training personnel to prevent,protect against, mitigate, respond to, and recover from acts of terrorism or catastrophic events. Overtime pay for first responders and emergency managers who participate in public-private training and exercises is allowable. In addition, States, territories,Tribes, and Urban Areas are encouraged to incorporate the private sector in government-sponsored training and exercises. Additional information on both FEMA provided training and other federal and state training can be found at http://www. irstrespondertrainin,e.—ov. Training Information Reporting System ("Web-Forms'). Web-Forms is an electronic form/data management system built to assist the SAA and its designated State, territory and Tribal Training Point of Contact(TPOC). Reporting training activities through Web-Forms is not required under FY 2014 HSGP,however, the system remains available and can be accessed through the FEMA Toolkit located at http://www. irstrespondertraining gov/admin in order to support grantees in their own tracking of training. Exercise Activities Allowable exercise-related costs include: • Funds Used to Design, Develop, Conduct, and Evaluate an Exercise. Includes costs related to planning, meeting space and other meeting costs, facilitation costs,materials and supplies, travel, and documentation. Grantees are encouraged to use government or free public space/locations/facilities, whenever available,prior to the rental of space/locations/facilities. Exercises should provide the opportunity to demonstrate and validate skills learned, as well as to identify any gaps in these skills. Any exercise or exercise gaps, including those for children and individuals with disabilities or access and functional needs, should be identified in the AAR/IP and addressed in the exercise cycle. • Full or part-time staff may be hired to support exercise-related activities. Such costs must be included within the funding allowed for program management personnel expenses. • State grantees must follow their state's formal written procurement policies. • Overtime and Backfill. The entire amount of overtime costs, including payments related to backfilling personnel, which are the direct result of time spent on the design, development, and conduct of exercises are allowable expenses. These costs are allowed only to the extent the payment for such services is in accordance with the policies of the State or unit(s) of local government and has the approval of the State or the awarding agency, whichever is applicable. In no case is dual compensation allowable. That is, an employee of a unit of government may not receive compensation from their unit or 69 Appendix C—FY2014 HSGP Funding Guidelines agency of government AND from an award for a single period of time(e.g., 1:00 p.m. to 5:00 p.m.), even though such work may benefit both activities. • Travel. Travel costs are allowable as expenses by employees who are on travel status for official business related to the planning and conduct of exercise project(s) or HSEEP programmatic requirements as described in the HSEEP (e.g., Training and Exercise Plan). • Supplies. Supplies are items that are expended or consumed during the course of the planning and conduct of the exercise project(s) (e.g., gloves, non-sterile masks,and disposable protective equipment). • Disability Accommodations. Materials, services, tools and equipment for exercising inclusive of people with disabilities (physical,programmatic and communications access for people with physical, sensory, mental health, intellectual and cognitive disabilities). • Other Items. These costs include the rental of equipment and other expenses used specifically for exercises, costs associated with inclusive practices and the provision of reasonable accommodations and modifications to provide full access for children, adults with disabilities, and those with access or functional needs Additional Exercise Information If a State decides to use HSGP funds to conduct an exercise(s), it is encouraged they complete a progressive exercise series. Exercises conducted by States and Urban Areas may be used to fulfill similar exercise requirements required by other grant programs. Grantees are encouraged to invite representatives/planners involved with other federally-mandated or private exercise activities. States and Urban Areas are encouraged to share, at a minimum,the multi-year training and exercise schedule with those departments, agencies, and organizations included in the plan. • Exercise Scenarios. The scenarios used in HSGP-funded exercises must be based on the State/Urban Area's THIRA. The scenarios used in HSGP-funded exercises must focus on testing capabilities, must be large enough in scope and size to exercise multiple activities and warrant involvement from multiple jurisdictions and disciplines and non- governmental organizations, and take into account the needs and requirements for individuals with disabilities. Exercise scenarios should align with priorities and capabilities identified in the Multi-year Training and Exercise Plan. • Special Event Planning. If a State or Urban Area will be hosting a special event(e.g., Super Bowl, G-8 Summit), the special event planning should be considered as a training or exercise activity for the purpose of the Multi-Year Training and Exercise Plan. The State or Urban Area should plan to use SHSP or UASI funding to finance training and exercise activities in preparation for those events. States and Urban Areas should also consider exercises at major venues (e.g., arenas, convention centers)that focus on evacuations, communications,and command and control. • Regional Exercises. States should also anticipate participating in at least one Regional Exercise annually. States must include all confirmed or planned special events in the Multi-year Training and Exercise Plan. • Exercise Evaluation and Improvement. Exercises should evaluate performance of capabilities against the level of capabilities required. Guidance related to exercise 70 Appendix C—FY2014 HSGP Funding Guidelines evaluation and improvement planning is defined in the HSEEP located at https://www.llis.dhs.Qov/hseep. • HSEEP Fundamental Principles. States are expected to develop an exercise program based the following principles: o Guided by Elected and Appointed Officials; o Capability-based, Objective-driven; o Progressive Planning Approach; o Whole Community Integration; o Informed by Risk; and o Common Methodology. Detailed information regarding the principles can be found in HSEEP located at https://www.llis.dhs.gov/hseep. • The Role ofNon-Governmental Entities in Exercises. Non-governmental participation in all levels of exercises is strongly encouraged. Leaders from non-governmental entities should be included in the planning, conclusion, and evaluation of an exercise. State, local,Tribal, and territorial jurisdictions are encouraged to develop exercises that test the integration and use of non-governmental resources provided by non-governmental entities, defined as the private sector and private non-profit, faith-based, community, disability, volunteer, and other non-governmental organizations. Non-governmental participation in exercises should be coordinated with the local Citizen Corps Council(s) or their equivalent and other partner agencies. The scenarios used in HSGP-funded exercises must focus on validating existing capabilities,must comply with and be large enough in scope and size to exercise multiple activities and warrant involvement from multiple jurisdictions and disciplines and non-governmental organizations, and take into account the needs and requirements for individuals with disabilities. Unauthorized Exercise Costs Unauthorized exercise-related costs include: • Reimbursement for the maintenance and/or wear and tear costs of general use vehicles (e.g., construction vehicles),medical supplies,and emergency response apparatus(e.g., fire trucks, ambulances). ■ Equipment that is purchased for permanent installation and/or use,beyond the scope of the conclusion of the exercise(e.g., electronic messaging signs). 71 Appendix C—FY2014 HSGP Funding Guidelines Appendix D — FY 2014 OPSG Operations Order Template and Instructions Operations Order Template Instructions The OPSG Operations Order Template can be found at http://www.grants.gov. Executive Summary Overview Operations Order Executive Summary must: • Identify the organization name,point of contact, committees, and other structures accountable for implementing OPSG in the jurisdiction(typically this will be a program lead or manager overseeing operations and individuals assigned to that agency). • Describe how Federal, State, local, and Tribal law enforcement agencies will work together to establish and enhance coordination and collaboration on border security issues. Budget Requirements Overview Operations Order Detailed Annual Budget must: • Explain how costs and expenses were estimated. • Provide a narrative justification for costs and expenses. Supporting tables describing cost and expense elements (e.g., equipment, fuel, vehicle maintenance costs)may be included. Submission Requirements Operations Orders must meet the following submission requirements: • Must be created and submitted in Microsoft Word(*.doc) • Must not exceed six pages in length • Must be submitted using the following file naming convention: "FY 20XX OPSG<State Abbreviation>-<Local Unit of Government Name>" Due to the competitive nature of this program, separate attachments will not be accepted or reviewed. 72 Appendix D—FY 2014 HSGP,OPSG Operations Order Template FY 2014 OPERATION STONEGARDEN (OPSG) OPERATIONS ORDER AND BUDGET TEMPLATE Op Order Name: Operation Op Order Number: <Com leted by CBP> Op Dates: From: To: Report Date: Executive Summary I. Situation A. General Situation: B. Terrain/Weather: C. C. Criminal Element: D. D. Friendly Forces: II.MISSION III. EXECUTION A. Management/Supervisor Intent: B. General Concept: C. Specific Responsibilities: 1. 2. 3. D. Coordinating Instructions: IV. BUDGET Within the Operations Order,include budgets and operative spending plans in one-year increments(Year 1 and Year 2). The annual operations should be practical and able to be completed within the 24-month period of performance. Grantees may not begin operations, obligate,or expend any funds until the final Operations Order and embedded budget has been approved by FEMA GPD and CBP/BP Headquarters and any existing special conditions and/or restrictions are removed. The sample table provided below may be used as a guide to the applicant in the preparation of the budget and Operations Order to be submitted. Using the table below, compute the total estimated cost under the Narrative Justification column and indicates the amount of Federal funds requested under the Federal Request column that will support the project. 73 Appendix D—FY 2014 HSGP, OPSG Operations Order Template A.1 Example-Cost Estimates/Funding Re guests ear 1 : Administration/Logistics/Budget Request Law Enforcement Operational $50 per hour OT rate x 11 personnel Overtime x 10 hours x 3 day detail x 4 quarters per_year x 2 years $132,000.00 Fringe Benefits for Law $27.55/hr x 1.5 OT = ($41.33/hr)x Enforcement (.062) = ($2.56/hr FICA)x 5840 hrs/ r x 2 rs $29,925.92 Travel, Lodging, and Per Diem for Federal or below: approx miles of deployed LE and/or Federally 3,500, 15 days single Occupancy @ sponsored (DHS/FEMA) border $150 for 5 people security task forces, conferences and/or mandatory training _ $1,750.00 General Equipment Lines, personal flotation devices, GPS software updates, marine batteries, thermal ima in system Special Equipment Sea Hawk Boat, Explorer 4x4 Police (Requiring separate waiver i.e., with Package Planes, boats, vehicles, SUVs, etc.) $75,000.00 Part-Time to Full-Time Law Enforcement Personnel Activated Reserve Law Enforcement Personnel Vehicle 46,800 miles per year x .18 cents per Maintenance mile = $8,424.00 x 2 yrs Vehicles: Tires, en ine repair, other $16,848.00 Fuel Cost 3,342 x $4.50 per gallon = $15,043/yr x 2 yrs $30,086.00 Total $285,609.92 A.2 Cost Estimates/Funding Requests (Year 2): <INSERT COST ESTIMATES AND FUNDING REQUESTS TABLE> V. COMMAND/CONTROL/COMMUNICATION A. Chain of Command: B. Unit Command: C. Communications Detail: D. Map Coordinates: 74 Appendix D—FY 2014 HSGP, OPSG Operations Order Template Dotes: Longitude: Latitude: Degrees: Minutes: Seconds: Decimal: Location Zone: ANNEX A.Administration Annex: B. Execution Annex: C. Command Annex: Media Action Plan: Legal Review: Risks: Photos: 75 Appendix D—FY 2014 HSGP, OPSG Operations Order Template Appendix E — OPSG Operational Guidance Appendix F is intended to provide operational guidance to applicants on the development of the concept of operations and campaign planning,the tactical operation period and the reporting procedures This also delineates specific roles and responsibilities, expectations for operations, and performance measures. Successful execution of these objectives will promote situational awareness among participating agencies and ensure a rapid, fluid response to emerging border- security conditions. OPSG uses an integrated approach to address transnational criminal activity. It is recommended that Federal, State, local,Tribal,and territorial partners establish and maintain an OPSG Integrated Planning Team(IPT)with representation from all participating law enforcement agencies, co-chaired by representatives from CBPBP, the SAA, and participating law enforcement agencies' OPSG program representatives. U.S. Border Patrol will provide routine monitoring and technical expertise to each participating agency. Each operation will be reviewed for border-security value and approved by the corresponding sector's Chief Patrol Agent or his/her designee. All operational plans should be crafted in cooperation and coordination among Federal, State, local,Tribal,and territorial partners. Consideration will be given to applications that are coordinated across multiple jurisdictions. All applicants must coordinate with the CBPBP Sector Headquarters with geographic responsibility for the applicant's location in developing and submitting an Operations Order with an embedded budget to the SAA. As OPSG continues to evolve, several proven practices have been recognized, centered on short- term,periodic operations in support of overarching near and long-term goals. A multi-step process will be established through the area IPT, including a campaign plan and a cycle of operations to ensure that OPSG partners maintain synergism and have a coordinated and measurable impact on reducing border-security risk. I. Concept of Operations and Campaign Planning (Post Allocation Announcement/Pre- Award) The overarching operational cycle involves three stages; application, concept of operations to formulate a Campaign Plan and one or more tactical operational periods,which are all developed by the IPT. First Stage: Please refer to section IX of the full FOA. Second Stage(Post Award): After awards are announced participants will create and submit an operations order that forms a campaign plan and captures the initial, generalized-budgetary intent to their IPT. The campaign plan should articulate the participant agency's long-term border security objectives and goals designed to mitigate border-security risk. 76 Appendix E—FY 2014 HSGP,OPSG Operational Guidance Funds should be obligated as needed to target specific threats or vulnerabilities and ensure that OPSG usage is commensurate to the unique risk of each border region.This may require several short-term operations that combine to form an ongoing operational cycle, ensuring that BP commanders and State, local, and Tribal agency partners reserve the flexibility to respond to the ever-changing elements of border security. The operations plan also will articulate the budgetary intent of how funds will be used throughout the performance period. The operations plan will project planned expenditures in the following categories: overtime, equipment, instruction,travel,maintenance, fuel, and administrative funds. It can initiate the procurement of equipment, as well as state how much the county intends to use for M&A while keeping funds for overtime or residual equipment funds available for use as needed. If the recipient intends to spend more than 50%of their award on overtime over the course of the performance period,requests for an overtime waiver would be submitted at this time. The operations plan will meet both the SAA expectations to obligate the funds within 45 days of the award announcement and the demands of the grant's operational intent. Once the operations plan is approved,the area IPT will meet to initiate the last stage in the planning process. Third Stage: Once the grantee is ready to conduct operations,the area IPT will begin planning tactical operations. II. Tactical Operational Period Operational discipline is necessary for the success of OPSG. Deliberate, adaptive, integrated, and intelligence-driven planning is critical to conducting targeted enforcement operations consistent with the objectives of the OPSG. By participating in the OPSG, the State, local, and Tribal agencies agree to conduct operations designed to reduce border-security risk. Tactical operations will be conducted on a periodic basis meeting the criteria outlined below. Tactical operational periods are composed of six critical elements: 1) a pre-planning meeting with the IPT; 2) specified beginning and ending dates; 3) are intelligence driven,with a nexus to border security; 4)use targeted enforcement techniques; 5)have clearly stated objectives; and 6) conclude with an after-action meeting. A campaign should involve several tactical operational periods. These periods require deliberate on-going planning to ensure command, staff, and unit activities synchronize to current and future operations. The cyclical nature of the process will ensure OPSG activities align with the fluctuating border-security threats and vulnerabilities. Key planners should recognize that shorter, frequent tactical operational periods increase the flexibility and leverage gained through OPSG funding. The IPT should leverage information provided by the fusion center, Border Intelligence Centers or other local intelligence center, when possible, and establish a common operational vision. The BP sector's Chief Patrol Agent, or his/her designee, will ensure that the information or intelligence has a clear nexus to border security. Intelligence will be shared and vetted for border security value, driving the focus of operations. The tactical operational period should focus on specific targets of interest or specific areas of interest identified by the IPT. Once intelligence-driven targets are identified, the IPT will decide on operational objectives that 77 Appendix E—FY 2014 HSGP, OPSG Operational Guidance reflect the intended impact of operations. The objectives should outline how the operation will deter, deny, degrade, or dismantle the operational capacity of the targeted transnational criminal organizations. The frequency and duration of each tactical operational period should be predicated by local risk factors. The tactical operational period may combine to develop an operational cycle that is synchronous or asynchronous, connected, or unconnected, depending on security conditions and the IPT's intent. Each tactical operational period will begin on a predetermined date and end on a predetermined date, but the dates may be subject to change commensurate with emerging security conditions. The starting date of the operational period should be established to allow sufficient time for the order to be submitted and approved through BP Headquarters and FEMA. Once approved, the operation can be conducted. The following diagrams illustrate two different approaches for conducting operations:t CAMPAIGN PLAN'S OPERATIONAL CYCLE DURATION: 1 FISCAL YEAR FY start FY end 1 O� November December JenuwY FeOrusY MerM AR" MeY Jura Ady Au" Smm M P.Ad 01 crud' This cycle illustrates contiguous operations. This is an example of a twelve month campaign plan with four tactical operational periods. Figure 1: Example of an Ongoing Synchronized Operational Cycle These illustrations reflect a twelve month campaign plan. A campaign plan should be written to encompass the performance period. Performance periods vary from State to State,please contact the State Administrative Agency in your area for clarification. 78 Appendix E—FY 2014 HSGP,OPSG Operational Guidance CAMPAIGN PLAN'S OPERATIONAL CYCLE DURATION: 1 FISCAL YEAR FY start c Y erxi f•'qua.: 96 Yryid 7 This cycle 11knArates operations on an as-needed basis,in response to emerging border security threats_This is an example of a twehov month campaign plan with five tactical operational periods. This sample shows overlapping operations as well as times when there are no operations being conducted_ Figure 2: Example of a Dynamic, Unsynchronized Operational Cycle III. Reporting Procedures Participation in OPSG requires accurate, consistent, and timely reporting of how funds are used, and how the State, local and Tribal agencies' operations have impacted border security through the mitigation of threat or vulnerability and the overall reduction of risk. Reporting will focus on: monitoring program performance; determining the level of integration and information sharing; and developing best practices for future operations. To ensure consistent reporting each State, local and Tribal agency will identify a single point of contact to represent their agency as a member of the IPT and to coordinate the submission of reports or execute other aspects of the grant. Attachment A, the Daily Activity Report is to be used to submit the ongoing results and outputs from OPSG operations conducted. The Daily Activity Report will be submitted to the BP sector, if required, or to the participating agency's OPSG coordinator. The agency coordinator will compile the results from each Daily Activity Report at the end of the month and submit a monthly report to the BP sector. The monthly report is due to sector by the Ioth day of the following month. The BP sector will compile the results from the participating agencies and submit the results to BP Headquarters by the 15rh of each following month. In addition to the ongoing reporting of outputs,participants will be required to submit After Action Reports to participating agencies and the BP within 10 days of any completed operation, after convening a debrief meeting. The After Action Report should carefully articulate outcomes and outputs, as well as how the results of the operation compare with the objectives identified 79 Appendix E—FY 2014 HSGP,OPSG Operational Guidance during the pre-planning meeting. Failure to submit the After Action report in a timely manner may prevent the approval of future operations requests. IV. Operational roles and responsibilities In order to achieve unity of effort, it is essential that each participant know the roles and responsibilities within the IPT. The BP sector's Chief Patrol Agent, or his/her designee,will: • Coordinate and chair the area Integrated Planning Team's meetings • Coordinate with all interested and eligible State, local, and Tribal agencies in the sector's area of operation during the open period of the OPSG application process by: - Assisting applicants in completing the operations planning portion of the application,which is similar to the Operations Order used by the Border Patrol2 - Forwarding the approved operation portion of the application to CBP/BP Headquarters, as well as to the SAA to complete the application process set by FEMA/GPD • Following the announcement of grant awards, coordinate and chair a meeting with State, local, and Tribal agencies that received OPSG awards to develop an individualized campaign plan. This includes: - Working with State, local,and Tribal agencies, along with other Federal law enforcement agencies to determine the dates, focus, and needs of each tactical operational period, ensuring that each operation has a nexus to border security; - Receiving the first periodic operations order from the State, local, and Tribal agencies and ensuring that the operation is conducted as outlined in Section I; - Monitoring and supporting the Operational Cycle throughout the performance period; - Ensuring Daily Activity and After Action Reports are submitted by State,local and Tribal agencies in the proper format and within the established timeframes; - Providing instruction,when possible, to State, local and Tribal agencies regarding techniques,methods and trends used by transnational criminal organizations in the area; and - Providing a single point of contact to participants as a subject matter expert in OPSG that can coordinate,collect, and report operational activities within the established reporting procedures. The State, local or Tribal agency lead,or their designee,will: • Coordinate with the SAA on all grant management matters, including but not limited to the development and review of operations orders, expenditure of funds, allowable costs, reporting requirements; 2 This will not be entered into the Border Patrol Enforcement Tracking System(BPETS). 80 Appendix E-FY 2014 HSGP, OPSG Operational Guidance • Participate as a member of the Integrated Planning Team to facilitate the application process during the open period and ensure the application is submitted in compliance with the grant instructions; • Upon receiving a grant award, coordinate and meet as a member of the Integrated Planning team to develop an individualized campaign plan that covers the length of the grant performance period; • Work within the Integrated Planning team to develop an initial Operational Cycle and determine the duration of the first operational period based on the tactical needs specific to the area; • Submit all operations orders to the SAA for review, and submit the first periodic operations order to the Border Patrol and ensure the operation meets the six criteria established in Section II; • Conduct operations, on an as-needed basis throughout the length of the grant performance period; • Ensure reports are submitted to the to the Border Patrol, and the SAA when applicable, in the proper format and within established timeframes; • Ensure applicable Operation Stonegarden derived data is shared with the designated fusion center in the State and/or urban area. • Request instruction and information from the SAA, when applicable, and/or Border Patrol and other Federal law enforcement agencies regarding techniques,methods, and trends used by transnational criminal organizations in the area; and • Provide the SAA and Border Patrol a single point of contact that maintains subject matter expertise in OPSG who can coordinate, collect, and report operational activities within the established reporting procedures. The SAA will: • Actively engage in the IPT meetings; • Work in direct coordination and communication with the local or Tribal agency lead on all grant management matters; • Review all operations orders created by the local or Tribal agency; • Acts as the fiduciary agent for the program and provide expertise in State policy and regulations; • Enter into a sub-grant agreement with the award recipients to disburse the allocated funding awarded through FEMA/GPD; • Generate quarterly reports to FEMA and the U.S. Treasury capturing the award recipients' obligation and expenditure of funds; • Determine if the grant's performance period requires additional refinement over the federally established 24 month period; and • Conduct audits of the program to ensure that the award recipients are in compliance with program guidance. 81 Appendix E—FY 2014 HSGP, OPSG Operational Guidance Attachment A: Operation Stonegarden Daily Activity Report Date Information Date of Activity F_Y Funds Used Select... j Agency Identifiers Sector Agency Type Re ig nn/Count Agency Name Operational Expenses Overtime Hours Labor Cost Miles Driven/Patrolled Mileage Cost Fuel Used (in Gallons) Fuel Cost Equipment on Order Equipment Cost Total Cost Operational Activity Narcotics Seizures Misdemeanor Arrests Subjects TOT BP Cash Seizures Felony Arrests Cases TOT BP Weapons Seizures Outstanding Warrants Criminal Aliens TOT BP Vehicle Seizures Citations Issued Vehicle Stops Specialty Equipment Intel Reports ***Click the orange arrows below to add details about seizures and arrests. Specialty Equipment Usage Surveillance Tower Marine Patrol Assetr Armored Vehicler Mobile Command Center Aviation Assetr Other Spec. Equipment 82 Appendix E—FY 2014 HSGP, OPSG Operational Guidance Narcotic Seizure Details Type Weight Report Number Location Comments Select... Currency Seizure Details Amount Report Number Location Comments Vehicle Seizure Details Make/Model Estimated Value Location Comments Weapon/Ammunition Seizure Details Weapon Type Amount Seized Report Number Location Comments Specialty Equipment Usage Details Specialty Equipment Report Number Location Comments Significant Arrest Details Name Date of Birth Report Number Location Comments Intelligence Summary Category Report Number Location Summary Authorizing Officer Date of Report V. Definitions Integrated Planning Team: The IPT will consist of the awarding State Administrative Agency, local, and Tribal OPSG stakeholders within their Border Patrol sector area and U.S. Border Patrol representatives,but may include other area Federal law enforcement agencies if deemed 83 Appendix E—FY 2014 HSGP, OPSG Operational Guidance necessary by the Chief Patrol Agent. The Integrated Planning Team will be used for all aspects of OPSG application,planning, and de-briefings. Area of Interest: A specific area, areas, or facilities known to be used by transnational criminal organizations in furtherance of their criminal activity. Campai nPI: A series of related law enforcement operations aimed at accomplishing a strategic or operational objective within a given time and space. Concept of Operations: A written statement that clearly and concisely expresses what the State, local or Tribal commander intends to accomplish and how it will be done using available resources(and funding). Operational Cam: A deliberate on-going cycle of command, staff, and unit activities intended to synchronize current and future operations(driven by current intelligence and short-term goals that support the campaign). Operational Discipline: The organized manner in which an organization plans, coordinates, and executes the OPSG mission with common objectives toward a particular outcome. Performance Measure: A numerical expression that quantitatively conveys how well the organization is doing against an associated performance goal, objective,or standard. Tactical Operational Period: An operational segment that meets the following six criteria: 1) specified beginning and ending dates; 2)begins with pre-planning; 3) is intelligence driven; 4) uses targeted enforcement techniques; 5)has clearly stated objectives; and 6)concludes with an after-action meeting. Targeted Enforcement: The leveraging of all available assets against a specific action,area, individual,or organization and using those deemed most appropriate to mitigate risk. Target of Interest: A specific person, group of persons, or conveyance known to be part of, or used by transnational criminal organizations to advance their criminal activity. Threat: Information expressing intent to conduct illegal activity often derived from intelligence sources, the overall context, a specific event or series of events, or observation of suspicious activity. Vulnerability: The protective measures in place are less than the protective measures needed to mitigate risk. Unity of Effort: Coordination and cooperation among all organizational elements, even though they may not be part of the same"command" structure,to achieve a success. 84 Appendix E—FY 2014 HSGP, OPSG Operational Guidance EXHIBIT G P �W N �� Y� U�lg{J� 4 �� t ���,1y 1 1 1 fr �� y ik �� ��4 �� �� a � j '� 'qgq a v +��,i i T . i a v� _ o � Z i'112 21 g a g V s r, z4 Q V , �� . !I I � , | , !> |! . � � ' . . � {. . . � ,} , �i \ k§ . I �I $ 21 � . �� : .{i| . i � | | ) . ; � |: ` -- : § ; |} � � i�£, I � � I 2 � ! , . ! � :§ � i2 i i � i� � i � �� ;! i , ,! . ! � �; \ � )I � � 2, . ! � !i_ # |!! � § �\� ; 7 |;. ! � }{. J ' !)| § � }§� $ �� \ : !,| ! ' |k �� \ f , p. . . . 3 q� t n� h £�I C H �¢ O N 6 n �S a m F ti Z 3 0 � � �? � � �� � � � wi �� i �5 ; � b : _ � o � � � � � ti � ; W }N U W CC W f W p Z V � I �' Q X $rR s r a ax b � 3 I � ��8 � ! �}� �� ��� a ffi� o �� & � EXHIBIT H LA/LB UASI Modification Request Form Please fill out the Modification Request Form and submit it:to your Grant Specialist. Inclu4e the project deta ils;for each fine#affected by the mod ificatibn {n request. For new line#'s being created,leave the Project Letter,Item#,and Sub-Line#columns in the'Modified To'section blank-your Grant Specialist d� will assign them You MUST include the reason for the modification request. Your Grant Specialist will advise if your modification request requires additional information. Additionally,you MUST attach a completed ledgers)with the proposed changes. Formulas are embedded in the Form to automatically calculate the$Change and the Form is balanced when the Totals(highlighted yellow}in the'Modified From'and the'Modified To'sections ` are equal. Modification requests are submitted to CalOES on a monthly basis.To be considered for that month's modification request,please submit by the 15th of each month. REQUIREMENTSs SUBMISSION: Jurisdiction Department I Name of Re resentative I Email Address Phone Number J Toda 's Date Grant Year Grans Spedafisl to complete Summary and reason for modification request: Are the modified ledgers attached elect ronicall ? Will the project require approvals? ConuactArrwunl $ E ui merif Ledger.._ EHP Rav;sed Amount $ - Trainin Led er Sole Source Amendment YIN? Or anizafion Led ar EOC 25%Increase $ Plarrnin Led er Watercraft Councill74.8 YIN? lExercise Ledgar AircraR Modified Project Item Sub Letter # Line# Project Name Investment Justification IJ Disc Solution Sub-SoWtion $Before 3 After $Change Action APPR# from $ $ $ From $ $ $ Iy From $ $ $ ` From $ $ $ !' From $ $ $ $ 1 Modified Projeet Item Sub Letter # Line# to"eet Name investment Justfflcatlon iJ Disc Solution Sub-Solution S Before $After Change Action APPR# To 5 - $ $ To $ $ $ $ $ $ To _ To $ $ $ 5 - Grant Specialist Date Received Date Approved by HSPS Modification# INotes FMU Verification--Name Date Reviewed Modification# Notes LA-LB UASI Modification Form 2015.x1s 1 of 1 EXHIBIT I CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES Homeland Security Grant Program FY: Grant Number: CalOES ID# Subgrantee name: Project: REQUEST FOR SOLE SOURCE PROCUREMENT AUTHORIZATION 1. Project name: Project Budget: $ 2. Describe the project and/or activity that will be provided by the proposed sole source vendor/contractor. 3. Describe your organization's standard procedures when sole source contracting is considered, including the conditions under which a sole source contract is allowed, and any other applicable criteria(i.e. approval requirements,monetary thresholds, etc.). 4. Indicate which of the following circumstances resulted in your organization's need to enter into a sole source contract. a. Item/service is only available from one source(Describe the process used to make that determination. Please provide details.) b. A public urgency or emergency will not permit a delay resulting from competitive solicitation. According to the US Department of Homeland Security/FEMA, "Time constraints will not be considered a factor if the subgrantee has not sought competitive bids in a timely manner."(Describe the urgency or emergency. Please provide details) C. After solicitation of a number of sources, competition was determined inadequate. (Describe the solicitation process that determined competition was inadequate. Please provide details, and attach any relevant supporting material,Request for Proposal, etc.) 5. Did your organization confirm that the contractor/vendor is not debarred or suspended? 6. Will your organization be able to complete all activities associated with the sole source contract by the end of the grant performance period? 7. Has your organization determined the costs are reasonable? 8. Please attach a copy of the cost benefit analysis prepared for this procurement. Submitted by Date: (Name) (Signature) Cal OES SSRF rev 811113 EXHIBIT J The Reimbursement Request Form is not part of the exhibit block. The form is currently being updated by the City of Los Angeles Mayor's Office and will be released as soon as it is finalized. EXHIBIT K CALIFORNIA GOVERNOR'S OFFICE OF EMERGENCY SERVICES AVIATION EQUIPMENT REQUEST FORM Homeland Security Grant Program FY: Grant Number: Cal OES ID#: Urban Area Security Initiative(UASI)FY: Grant Number: Cal OES ID#: Project Amount: UASI: $ SHSGP: $ City/County/Agency Name: 1. Indicate the type of equipment for this request Aviation Equipment Aviation Related Equipment 2. Provide a description of the area that will be served by the requested equipment. 3. Please justify the need for the aviation equipment and how the requested platform best meets that need as compared to other options. Include the cost, discipline, and funding source. 4. Please certify on signed letterhead that an existing aviation unit is operating and will continue to operate independent of the requested funding. Describe the active, operating aviation unit and certify that no expenses will be charged against the grant award for the general operational costs of such aviation unit. 5. Identify the applicable goals and objectives in the State/Urban Area Homeland Security Strategy that the requested aviation equipment addresses. 6. Explain how the requested aviation equipment fits into the State/Urban Area's integrated operational plans. 7. Explain how this aviation equipment will support activities specifically related to terrorism incident prevention and response efforts. Cal OES Form AVI Rev 08-01-13 Cal OES Aviation Request Form Page Two 8. Please describe how this aviation equipment will be used operationally and which response assets will be deployed using the requested aircraft. 9. Please describe how this aviation equipment will be utilized on a regular,non-emergency basis. 10. Please certify licensing,registration fees, insurance, and all ongoing operational expenses are (a) the responsibility of the grantee or the local units of government and(b)are not allowable under this grant. Cal OES Form A VI Rev 08-01-13 California Governor's Office of Emer2ency Services ESTABLISH/ENHANCE EMERGENCY OPERATIONS CENTER(EQQ REQUEST Subgrantee Name: Homeland Security Grant Program FY Grant Number Cal OES ID# Urban Area Security Initiative(UASI)FY Grant Number Cal OES ID# Other Program FY Grant Number Cal OES ID# 1. What type of EOC does your organization plan to establish/enhance? (Choose one of the following) Primary EOC Alternate/Back-up/Duplicate EOC 2. Physical address of facility: 3. Describe how the establishment/enhancement of an EOC improves your organization's ability to prevent,plan for,respond to, and recover from a terrorism event(on a separate attachment). 4. Identify all other sources and uses of additional funds assisting the project in any way. 5. Identify anticipated homeland security grant costs to establish/enhance your organization's EOC in the table below. 6. Supplies/Equipment AEL# Cost Computers Network Servers Printers Computer accessories i.e. sure protectors,battery backups, etc. Computer maintenance contracts Computer connections and cables fincluding fiber optic cabling) Fax machines Lighting Systems LCD projectors Projection/plasma/flat screens/monitors/televisions GIS plotter and software Telephone s stems Software development Commercial off-the-shelf COTS software Installation of EOC items Miscellaneous connections for EOC items Standardized mapping software Cal OEs EOCRF Revised 08/1/13 Standardized emergency management software Installation of EOC items Miscellaneous connections for EOC items Leasing Costs2(Indicate starting and ending dates of lease and explain the circumstances under which the moving or leasing costs will be incurred.) Other must provide list/description of"other" items and costs TOTAL-EOC Supplies and Equipment l 7. Explanation of"other"items: 8. Has your organization determined the costs are reasonable? Submitted by: Date: (Name) (Signature) Grant Programs Directorate T Homeland s Security OMB Control#: 1660-0115 Expiration Date: 10/31/2013 FEMA Form:024-0-1 DEPARTMENT OF HOMELAND SECURITY FEDERAL EMERGENCY MANAGEMENT AGENCY(FEMA) ENVIRONMENTAL AND HISTORIC PRESERVATION SCREENING FORM Directions for completing this form: This form is designed to initiate and facilitate the environmental and historic preservation(EHP)compliance review for your FEMA preparedness grant-funded project(s). FEMA conducts its EHP compliance reviews in accordance with National Environmental Policy Act (NEPA)and other EHP-related laws and executive orders. In order to initiate EHP review of your project,you must complete all relevant sections of this form and submit it to the Grant Programs Directorate(GPD)along with all other pertinent project information. Failure to provide requisite information could result in delays in the release of grant funds. Be advised that completion of this form does not complete the EHP review process. You will be notified by FEMA when your review is complete and/or if FEMA needs additional information. There is no need to complete and submit this form if the grant scope is limited to planning, management and administration, classroom-based training, tabletop exercises and functional exercises, or purchase of mobile and portable equipment where no installation is needed. Information Bulletin 345,Grant Programs Directorate Programmatic Environmental Assessment, September 1,2010,provides details on these activities. This form should be completed electronically. The document is available in both Word and Adobe Acrobat(pdf)formats at this website: (http://www.fe_ma.goy/library/viewRecord.do?from5earch=fromsearch&id=4$02. The following website has additional guidance and instructions on the EHP review process and the information required for the EHP review: hiip://www.fema.goy/plan/ehp/ghpreview/index.shtm Submit completed form through your grant administrator who will forward it to GPDEHPInfo6Whs.gov. Please use the subject line:EHP Submission:Project Title, location, Grant Award Number(Example, EHP Submission: Courthouse Camera Installation,Any Town,State,12345,2011-SS-0xxxr). Paperwork Burden Disclosure Notice Public reporting burden for thisform is estimated to average 8 hours per response. The burden estimate includes the time for reviewing instructions, searching existing data sources,gathering and maintaining the data needed,and completing and submitting the form. You are not required to respond to this collection of information unless it displays a valid OMB control number. Send comments regarding the accuracy of the burden estimate and any suggestions for reducing the burden to:Information Collections Management, Department of Homeland Security, Federal Emergency Management Agency,500 C Street, Washington,DC,20472,Paperwork Reduction Project(1660-0115). Environmental and Historic Preservation Screening Form—June 2012 SECTION A. PROJECT INFORMATION DHS Grant Award Number:...... Grant Program:.......................... Grantee...................................__ Grantee POC:...................... Mailing address:.................. E-mail:.................................. Sub grantee:................................ Subgrantee POC:................. Mailing address:.................. E-mail:.................................. Estimated cost of project: .......... Project title: Project location(physical address or latitude-longitude): Project Description. Provide a complete project description. The project description should contain a summary of what specific action is proposed,where it is proposed,how it will be implemented. Include a brief description of the objectives the project is designed to accomplish(the purpose),and the reason the project is needed. Use additional pages if necessary. If multiple sites are involved,provide the summary for each site: SECTION B. PROJECT TYPE Based on the proposed project activities,determine which project type applies below and complete the corresponding sections that follow. For multi-component projects or those that may fit into multiple project types, complete the sections that best apply and fully describe all major components in the project description. If the project involves multiple sites,information for each site(such as age of structure,location,ground disturbance,etc.) must be provided. Attach additional pages to this submission,if needed. 1. ❑ Purchase of equipment. Projects in this category involve the purchase of equipment that will require installation on or in a building or structure. Complete other portions of Section B as needed. Complete Section C.1. 2. ❑ Training and exercises. Projects in this category involve training exercises with any field-based components,such as drills or full-scale exercises. Complete Section C.2. 3. ❑ Renovations/upgrades/modifications or physical security enhancements to existing structures. Projects in this category involve renovations,upgrades,retrofits,and installation of equipment or systems in or on a building or structure. Examples include,but are not limited to:interior building renovations; electrical system upgrades;sprinkler systems;vehicle exhaust systems;closed circuit television(CCTV) cameras;security fencing;access control for an area,building,or room;bollards;motion detection systems; OMB Control#: 1660-0115 FEMA Form:024-0-1 Environmental and Historic Preservation Screening Form—June 2012 alarm systems;security door installation or upgrades;lighting;and audio-visual equipment(projectors, smart boards,whiteboards,monitors,displays,and projector screens). Complete Section C.3. 4. ❑ Generator installation. Projects in this category involve installation of new or replacement generators,to include the concrete pads,underground fuel and electric lines,and if necessary,a fuel storage tank. Complete Section CA. 5. ❑ New construction/addition. Projects in this category involve new construction,addition to,or expansion of a facility. These projects involve construction of a new building,or expansion of the footprint or profile of a current structure. Complete Section C.5. 6. ❑ Communication towers,antennas,and related equipment. Projects in this category involve construction of new or replacement communications towers,or installation of communications-related equipment on a tower or building or in a communications shelter or building. Complete Section C.6. 7. ❑ Other. Projects that do not fit in any of the categories listed above. Complete Section C.7. SECTION C. PROJECT TYPE DETAILS Check the box that applies to the proposed project and complete the corresponding details. 1. ❑ Purchase of equipment.If the entire project is limited to purchase of mobile/portable equipment and there is no installation needed, this form does not need to be completed and submitted. a. Specify the equipment,and the quantity of each:........................................ b. Provide the Authorized Equipment List(AEL)number(s)(if known):...... c. Complete Section D. 2. ❑ Training and exercises. If the training is classroom and discussion-based only, and is not field-based, this form does not need to be completed and submitted. a. Describe the scope of the proposed training or exercise(purpose, materials,and type of a activities required):............................................... b. Provide the location of the training(physical address or latitude- longitude):................................................................................................... c. Would the training or exercise take place at an existing facility which has established procedures for that particular proposed training or exercise, and that conforms with existing land use designations? For further information refer to Information Bulletin#345, http://www.fema.tzoy/pdf/government/grant[bulletins/info345.pdf:.......................................❑Yes ❑No • If Yes,provide the name of the facility and the facility point of contact(name,telephone number,and email address):......................... • If No,provide a narrative description of the area where the training or exercise would occur (e.g.,exercise area within four points defined by latitude/longitude coordinates):............................................ OMB Control#: 1660-0115 FEMA Form:024-0-1 3 Environmental and Historic Preservation Screening Form—June 2012 • Does the field-based training/exercise differ from previously permitted training or exercises in any way,including,but not limited to frequency,amount of facilities/land used,materials or equipment used,number of participants,or type of activities?............................................................❑Yes ❑No • If Yes,explain any differences between the proposed activity and Those that were approved in the past,and the reason(s)for the change inscope:................................................................................................... • If No,provide reference to previous exercise(e.g.,FEMA grant name,number,and date):......................................................................... d. Would any equipment or structures need to be installed to facilitate training?...................................................................................................................................❑Yes ❑No • If Yes,complete Section D 3. ❑ Renovations/upgrades/modifications,or physical security enhancements to existing structures. a. Complete Section D. 4. ❑ Generator installation. a. Provide capacity of the generator(kW):....................................................... b. Identify the fuel to be used for the generator(diesel/propane/natural gas):.. c. Identify where the fuel for the generator would be stored(e.g.stand-alone tank,above or below ground,or incorporated in generator):........................ d. Complete Section D. 5. ❑ New construction/addition. a. Provide detailed project description(site acreage,new facility square footage/number of stories,utilities,parking,stormwater features,etc):....... b. Provide technical drawings or site plans of the proposed project:...........................................❑Attached c. Complete Section D. 6. ❑ Communication towers,antennas,and related equipment. a. Provide the current net height(in feet above ground level)of the existing tower or building(with current attached equipment):.................................. b. Provide the height(in feet above ground level)of the existing tower or building after adding/replacing equipment:.................................................. Complete items 6.c through 6.q below ONLY if this project involves construction of a new or replacement communications tower. Otherwise continue to Section D. Information Bulletin 351,National Historic Preservation Act Section 106 Review Requirements for Communications Facilities,January 4,2011 has additional guidance and information on EHP requirements fo. communications towers. Available at:lirtp:i j\7,-tivw.fcnra.gov/pdE/goveriunent/grant/buUctinslinfo351.pdf OMB Control#: 1660-0115 FEMA Form:024-0-1 4 Environmental and Historic Preservation Screening Form—June 2012 c. Provide the ground-level elevation(feet above mean sea level)of the site of the proposed communications tower:....................................................... d. Provide the total height(in feet above ground level)of the proposed communications tower or structure,including any antennas to be mounted: • If greater than 199 feet above ground level,state why this is needed to meet the requirements of the project: .................................................. c. Would the tower be free-standing or require guy wires? .............................❑ Free standing❑ Guy wires • If guy wires are required,state number of bands and the number of wiresper band:......................................................................................... • Explain why a guyed tower is needed to meet the requirements of thisproject:.............................................................................................. f. What kind of lighting would be installed,if any(e.g.,white strobe,red strobe,or steady burning)?............................................................................ & Provide a general description of terrain(e.g.,mountainous,rolling hills, flatto undulating):......................................................................................... h. Describe the frequency and seasonality of fog/low cloud cover:.................. i. Provide a list of habitat types and land use at and adjacent to the tower site(within%z mile),by acreage and percentage of total(e.g.,woodland conifer forest,grassland,agriculture)water body,marsh:............................ j. Is there evidence of bird roosts or rookeries present within%mile of the proposedsite?...........................................................................................................................❑Yes ❑No • Describe how presence/absence of bird roosts or rookeries was determined:.............................................................................................. k. Identify the distance to nearest wetland area(e.g.,forested swamp, marsh,riparian,marine)and coastline if applicable: .................................... 1. Distance to nearest existing telecommunication tower:................................ m. Have measures been incorporated for minimizing impacts to migratory birds?........................................................................................................................................❑Yes ❑No • If Yes,describe:....................................................................................... n. Has a Federal Communications Commission(FCC)registration been obtained for this tower?............................................................................................................❑Yes ❑No • If Yes,provide Registration#: ................................................................ • If No,why? ............................................................................... o. Has the FCC E106 process been completed?...........................................................................❑Yes ❑No p. Has the FCC Tower Construction Notification System(TCNS)process beencompleted?.......................................................................................................................❑Yes ❑No • If Yes,attach the environmental documentation submitted as part of the registration process including use of the Tower Construction OMB Control#: 1660-0115 FEMA Form:024-0-1 5 Environmental and Historic Preservation Screening Form—June 2012 Notification System(TCNS),if applicable. FRN#................................. q. Would any related equipment or structures need to be installed(e.g.,backup generator and fuel source,communications shelter,fencing,or security measures)?...................................... ❑Yes ❑No .......................................................................................... • If Yes,explain where and how each installation would be done. Provide details about generator capacity(M),fuel source,fuel location and tank volume,amount of fencing,and size of communication shelter:..... r. Complete Section D. 7. ❑ Other. Complete this section if the proposed project does not fit any of the categories above. a. Provide a complete project description:........................................................ b. Complete Section D. SECTION D. PROJECT DETAILS Complete all of the information requested below. 1. ❑ Project installation a. Explain how and where renovations/upgrades/modifications would take place,or where equipment/systems will be installed:................................... b. Would ground disturbance be required to complete the project or training?...........................❑Yes ❑No • If Yes,provide total extent(depth,length,and width)of each ground- disturbing activity.Include both digging and trenching. For example, light poles and fencing have unique ground-disturbing activities(e.g., six light poles,24"dia.x 4'deep;trenching 12"x 500'x 18"deep; 22 fence posts, 12"diameter x 3'deep,and 2 gate posts, 18"diameter x3'deep):................................................................................................ • If Yes,describe the current disturbed condition of the area(e.g., parking lot,road right-of-way,commercial development):..................... c. Would the equipment use the existing infrastructure for electrical distributionsystems? ...............................................................................................................❑Yes ❑No • If No,describe power source and detail its installation at the site:.......... 2. ❑ Age of structuretbuilding at project site a. Provide the year existing building(s)or structure(s)on/in/nearest to the location involved in the proposed project was built:..................................... • If the building or structure involved is over 45 years old and OMB Control#: 1660-0115 FEMA Form:024-0-1 6 Environmental and Historic Preservation Screening Form—June 2012 significant renovation,rehabilitation,or modification has occurred, provide the year(s)modified and briefly describe the nature of the modification(s):.................................................................................. b. Are there any structures or buildings that are 50 years old or older in or adjacent to the project area?.....................................................................................................❑Yes ❑No • If yes,provide the location of the structure(s),ground-level color photographs of the sructure(s),and identify their location(s)on an aerialmap:............................................................................................... c. Is the project site listed in the National Register of Historic Places (National Register),or in/near a designated local or National Register Historic District? The internet address for the National Register is:http://nrhp.focus.nps.go ................................................................................................❑Yes ❑No • If Yes,identify the name of the historic property,site and/or district and the National Register document number:........................................ 3. ❑ Site photographs,maps and drawings a. Attach site photographs. Site photographs are required for all projects. Use the following as a checklist for photographs of your project. Attach photographs to this document or as accompanying documents in your submission. • Labeled,color,ground-level photographs of the project site:.............................................❑Required • Labeled,color photograph of each location where equipment would be attached to a building or structure:......................................................................................❑Required • Labeled,color aerial photograph of the project site:...........................................................❑Required • Labeled,color aerial photographs that show the extent of ground disturbance(if applicable):.................................................................................................❑Attached • Labeled,color ground-level color photographs of the structure from each exterior side of the building/structure(applicable only if building/structure is more than 45 years old): ....................................................................❑Attached b. Are there technical drawings or site plans available? .............................................................❑Yes❑No • If yes,attach:......................................................................................................................❑Attached Appendix A has guidance on preparing photographs for EHP review 4. ❑ Environmental documentation a. Is there any previously completed environmental documentation for this project at this proposed project site(e.g.,Environmental Assessment,or wetland delineation,or cultural/archaeological study)?...........................................................❑Yes❑No • If Yes,attach documentation with this form: .....................................................................❑Attached b. Is there any previously completed agency coordination for this project (e.g.,correspondence with the U.S.Fish and Wildlife Service,State Historic Preservation Office,Tribal Historic Preservation Office)?........................................❑Yes❑No • If Yes,attach documentation with this form:......................................................................❑Attached OMB Control#: 1660-0115 FEMA Form:024-0-1 7 Environmental and Historic Preservation Screening Form—June 2012 c. Was a NEPA document was prepared for this project?...........................................................❑Yes❑No • If Yes,what was the decision? (Check one,and please attach): ❑ Finding of No Significant Impact(FONSI)from an Environmental Assessment(EA)or ❑ Record of Decision(ROD)from an Environmental Impact Statement(EIS). Name of preparing agency:... Date approved:.................. OMB Control#: 1660-0115 FEMA Form:024-0-1 8 Appendix A. Guidance for Supporting Photographs for EHP Grant Submissions Photographs are a vital component of the EHP review process and add an additional level of understanding about the nature and scope of the project.They also provide pre-project documentation of site conditions. Please follow the guidance provided below when preparing photographs for your EHP submission. The following pages provide examples of best practices used in earlier EHP submissions. Minimum requirements for photographs. 1. Photographs should be in color. 2. Label all photographs with the name of facility, location(city/county,state)and physical location (physical address or latitude-longitude). 3. Label the photographs to clearly illustrate relevant features of the project,such as location of installed features(e.g.,cameras, fences,sirens,antennas,generators)and ground disturbance. See examples below. 4. Identify ground disturbance. Adding graphics to a digital photograph is a means to illustrate the size, scope and location of ground disturbing activities. Best Practices 1. Provide photographs in a separate file. 2. Place no more than 2 pictures per page. 3. Compressing pictures files(such as with Microsoft Picture Manager)' or saving the file in pdf format will reduce the size of the file and facilitate e-mail submissions. 4. Identify the photograph file with the project name so that it can be matched to the corresponding FEMA EHP screening form. 5. Maximum file size for enclosures should not exceed 12 MB. If the total size of files for an EHP submission exceeds 12 MB,send the submission in multiple e-mails. 6. If necessary,send additional photographs or data in supplemental e-mails. Please use the same e-mail subject line with the additional label: 1 of x,2 of x, . . .x of x. Options for Creating Photographs 1. Obtain an aerial photo. There are multiple online sources for aerial photographs. 2. For the aerial photo,use the screen capture feature(Ctrl+Print Screen keys)and copy the image to photo editing software,such as Paint,or PhotoShop.' Use that software to crop the image so the photo has the content necessary. 3. Open PowerPoint, or other graphics-oriented software,and paste the aerial or ground-level photograph on the canvas. 4. Use drawing tools,such as line drawing and shapes,to indicate the location of project features(for example: fencing,lighting,sirens,antennas,cameras,generators). 5. Insert text to label the features and to label the photograph. 6. Use drawing tools to identify ground-disturbing activities(if applicable). 7. Save the file with the project name or grant number so that it can be appropriately matched to the corresponding FEMA EHP screening form. Include this file with the EHP screening when submitting the project. OMB Control#: 1660-0115 FEMA Form:024-0-1 A-1 Appendix A.Supporting Photographs for EHP Grant Submissions Example Photographs Aerial Photographs. The example in Figure 1 provides MVt wn Town ftt 123 Main$bve'k'AnVbvwr.5t e the name of the site,physical 6mw, - - address and proposed location for installing new • - �` equipment. This example of ! a labeled aerial photograph provides good context of the '++ r .►+ surrounding area. .y 7 Figure 1. Example of labeled,color aerial photograph. Ground-level photographs. 4nytown Trnvn HaA.I2?#WinS[reN,W�tcwrt,Slatr The ground-level photograph in Figure 2 supplements the aerial photograph in Figure 1, above. Combined,they provide a clear understanding of the scope of the project. This photograph has the name and address of the project site, and uses graphics to illustrate where equipment will be installed. Figure 2. Example of ground-level photograph showing proposed attachment of new equipment OMB Control#: 1660-0115 FEMA Form:024-0-1 A-2 Appendix A.Supporting Photographs for EHP Grant Submissions Ground-level photograph /bc Tomw Sao,Some may,She: W 34'56.7"N, with equipment close-up. w 6T 691Y w Figure 3 includes a pasted image of a CCTV camera that would be placed at the project site. Using desktop computer software,such as PowerPoint,' this can be accomplished by inserting a graphic symbol (square,triangle, circle,star, r etc.)where the equipment Camera would be installed. This example includes the name and location of the site. The site } : coordinates are in the degree- minute-second format. - Figure 3. Ground-level photograph with graphic showing proposed equipment installation. Ground-level photograph with excavation area close- up.The example in Figure 4 shows the proposed location '' for the concrete pad for a r *,,,, generator and the ground WW+W1 disturbance to connect the generator to the building's Is"'• T n electrical service. This information can be illustrated C.WON Pad. with either an aerial or a e +a a Y s ground-level photograph,or both. This example has the name and physical address of the project site. Figure 4. Ground-level photograph showing proposed ground disturbance area. OMB Control#: 1660-0115 FEMA Form:024-0-1 A-3 Appendix A. Supporting Photographs for EHP Grant Submissions Communications equipment photographs.The example in Figure 5 supports a project involving installation of equipment on a tower. Key elements are identifying where 61t MW 3R equipment would be installed on the tower,name of the site and its Dishes at soft location. This example provides site coordinates in decimal format. Ht Nllcrvwwo Dish at 20(t Any Comely Tower,Stesw 12.34WO N,34,56re W Figure 5.Ground-level photograph showing proposed locations of new communications equipment on an existing tower. Interior equipment photographs.The example in A comma vM be added Figure 6 shows the use of graphic in d"UPW rw* symbols to represent security aa,Kr and a aadmiw planned for a buildin dO added "idi"'r features p g- e. dad to.actes� The same symbols are used in the carwol other pictures where the same - equipment would be installed at other locations in/on the building. This example includes the name ' of the facility and its physical address. Figure 6. Interior photograph showing proposed location of new equipment. Ground-level photographs of nearby historic structures and buildings. Consultation with the State Historic Preservation Office(SHPO)may be required for projects involving structures that are more than 50 years old,or are on the National Register of Historic Places. In that event,it will be necessary to provide a color,ground-level photograph of each side of the building/structure. I Use of brand name does not constitute product endorsement,but is intended only to provide an example of the type of product capable of providing an element of the EHP documentation. OMB Control#: 1660-0115 FEMA Form:024-0-1 A-4 California Governor's Office of Emergency Services WATERCRAFT REQUEST Subgrantee Name: Homeland Security Grant Program FY Grant Number Cal OES ID# Urban Area Security Initiative(UASI) FY Grant Number Cal OES ID# Other Program FY Grant Number Cal OES ID# Project Amount: UASI $ SHSP $ 1. Indicate the type of equipment for this request(choose only one of the following). Watercraft Watercraft-Related Equipment 2. Please provide a description of the area that will be served by the requested equipment. Equipment&Description 7 Cost AEL number 3. Please justify the need for the watercraft and how the requested platform best meets that need as compared to other options. Include the cost,discipline, and funding source. 4. Please describe the active, operating waterway patrol unit and certify on signed letterhead that no expenses will be charged against the grant award for the operation of such unit. 5. Please identify the applicable goals and objectives in your State/Urban Area Homeland Security Strategy that the requested watercraft addresses, and the waterway identified as critical asset requiring state and/or local prevention and response capabilities. 6. Please explain how the requested watercraft fits into the State/Urban Area's integrated operational plans and vulnerability assessment. Cal OES WRF Revised 07/11/13 California Governor's Office of Emereencv Services WATERCRAFT REOUEST 7. Please describe how this watercraft will be used operationally and which response assets will be deployed using the requested watercraft. 8. Please describe how this watercraft will be utilized on a regular,non-emergency basis. 9. Please describe what types of terrorism incident response and prevention equipment with which the requested watercraft will be outfitted. Include any specialized navigational, communications, safety, and operational equipment necessary to enable such watercraft to support the homeland security mission. Please certify on signed letterhead that licensing,registration fees, insurance, and all ongoing operational expenses are the responsibility of the grantee or the local units of government and are not allowable under this grant. 10. Attach letters of endorsement, if applicable. Submitted by: Date: (Name) (Signature) Cal OES WRF Revised 07/11/13 EXHIBIT L Technology Project Standards 1. Virtual Port (Data System Proiects) 1) Web-based software: system on browser technology instead of proprietary system 2) API or STK software integration tools-application is typically provided by the manufacturer 3) Exchange protocols: 128 bid encryption 4) Dual authentication 2. Downlink Project 1. Ability to go non-encryptic for both receivers and transmitters 2. 6.5 GHz Range 3. High-gain antennas 4. Moving Pictures Expert Group (M-PEG) current standards for decoding: M-PEG 4 3. SMART Classroom 1. 2 Mbps minimum bandwidth 2. Code-X Specs- minimum of C40 (2 video outputs) 3. Camera Specs- 1080 dpi 4. Firewall settings: 5. IT personnel required for set-uphnstallation 4. LARCOPP Asset Manager—Tracks personnel and equipment to shift or operational period based on availability either on duty or on overtime. Tracks all working hours and prints out overtime slips in compliance with FMAG reimbursement procedures. Logs-Ability to create multiple logs for different ICS sections,divisions, or agencies for multiple operational periods. Mapping—Ability to plot personnel,equipment, missions for a variety of incidents,draw perimeters,fire lines,fire progression, plume modeling etc. Video Streamer-Ability to stream multiple videos streams from ANTARES cameras in to several locations, (EOC's mobile command post trailers). Message Center—Ability to have private encrypted chat rooms for operators to discuss operations, FAX service to send and receive FAXs', Email groups ability to send and receive emails with attachments or send attachments on email. ICS Forms-Ability to create ICS forms and complete EAP's/IAP's Downlink Receiver—Ability to receive both 4.9 and 6.5 GHz downlink video Triage App—Ability to track patients at an MCI incident both by name and location. _1NNWW_=EWW_r Tri-Korder phones-Ability to have most of the above applications on a smart phone and also the ability to use the Tri Korder phone as a GPS tracker to track personnel live on the mapping app Re-Stat ability-to have situational awareness of all you deployed and waiting resources as well as missions Missions—creates and tracks missions both for a pre-planned and emerging events. Ability to insert detailed instructions for personnel Reports-Ability to print up multiple reports about personnel, missions,overtime costs. All of these abilities are shared with all agencies participating in the LARCOPP program. There are several servers throughout the region that give us the ability to share and view everyone's incidents and information live. It also allows us to works together on a single incident allowing multiple agencies in a unified command to have the same picture of the incident. All of this information is encrypted. 5. License Plate Recognition (LPR) Overview: Fixed and Mobile License Plate Recognition system should contain the following components: (a) Fixed License Plate Recognition Cameras including all necessary mounting hardware, (b)Capability to accept a network connection capable of backhauling data to city network, (c)Hardware capable of creating VPN between network connection identified in (b)and City/Agency network. System Requirements: • System shall have the ability to capture license plates and compare them to a database detailed by the purchasing agency; • System shall be able to perform this analysis in varied lighting and weather conditions at an accuracy level deemed suitable by the purchasing agency; • System shall have the ability to link or share data with other LPR systems; • The LPR system shall have the ability to be deployed in both a mobile and fixed installation based on standards set by the agency purchasing; • The systems timekeeping shall automatically update when time changes occur(e.g., Daylight savings time)and be consistent with correct calendar dates; • Any system selected shall allow for the purchasing agency to be the sole owner of the data; • Data shall be compatible with standard SQL format; • System selected shall at a minimum have the ability for a unique user sign and audit/reporting capability; • Still imagery must be in a non-proprietary format; • Each read shall retain the associated metadata the minimally includes: o GPS location; o Date; o Time; o Source (vehicle ID/fixed identifier); o Alert reason; • System must have the ability to retain all data captured for a period set by the purchasing agencies requirements; • The system must be industrial/commercial grade. No prototype models will be considered; Hardware: • Loss of power to any hardware shall not result in the unit requiring reprogramming; • Sudden loss of power shall not cause the loss of data; • All wiring shall meet industry standards applicable to the wire applications and all systems must be properly grounded using the same industry standards; • The systems shall operate under extreme hot and cold weather conditions(20to 160 degrees Fahrenheit); • Camera system shall capture an image of the plate and overview of the vehicle; • Mobile systems shall support a minimum of four cameras capable of capturing license plates; • System shall comply with the purchasing agencies'lighting standards for fixed installations; • Cameras must operate on a filtered, regulated and short-circuit-protected power source. • The system will be protected from damage due to input of voltage, reverse polarity,and electrical transients that may be encountered. • Camera will need to possess sufficient internal memory such that during times of impaired network connectivity data will not be lost. • Ruggedized exterior for camera and networking equipment • Vibration resistant • Rugged mounts that provide stability to all equipment Network Conditions: • System Network connection should be capable of sustained 250kb/s speeds. • Human intervention shall not be required to establish/maintain the connection • Connection should be capable of automatic reconnection in the event of power-loss or temporary issue with service provider. • If a device is required at each network connection point,it shall be capable of encrypting data being sent back to any Agency network. Warranty and Maintenance: • System selected shall include a comprehensive warranty and maintenance for the maximum amount of time allowed by the grant guidelines; Regional Sharing: • Any agency using UASI/SHSG Grant Funding shall agree to enter into a standard Memorandum of Agreement to share data between LA-LB UASI law enforcement members(to be developed and provided prior to final grant award); `.�oF RECEIVED RECEIVED ] FEB 2 5 2015 �n14'�� •�a7 e FEB 2 4 2015 ''r•L•&"9 CITY ADMINISTRATION CITY CLERK'S OFFICE STAFF REPORT VERNON GAS & ELECTRIC DEPARTMENT DATE: March 3, 2015 TO: Honorable Mayor and City Council FROM: Carlos Fandino Jr., Director of Vernon Gas & Electric RE: Element Markets Renewable Energy, LLC Amendment, Security Agreements, and Waiver of the Replacement Energy Supplier's signature to the Security Agreement Recommendations It is recommended that the City Council: 1. Find that the approval requested in this staff report is exempt under the California Environmental Quality Act (CEQA) in accordance with CEQA Guidelines Section 15301(b), the general rule that CEQA only applies to projects that may have an effect on the environment; and 2. Authorize the Director of Gas and Electric to execute the following in substantially the same form as attached to the staff report: a. the March 3, 2015 Letter Agreement submitted by Element Markets Renewable Energy, LLC, ("Element"), b. the attached Amendment No. 1 to the Amended and Restated Biomethane Transaction Confirmations, and c. the Security Agreements Background In February 2012, City Council granted authorization to the Director of Gas & Electric to negotiate the terms and conditions of biogas contracts with vendors. On March 2, 2012, Vernon and Element entered into two biomethane transaction contracts (Confirmations No. 1 and No. 2) pursuant to which Element Markets Renewable Energy, LLC would provide biomethane to Vernon for ten years. On April 17, 2012, pursuant to Resolution No. 2012-48, City Council approved and ratified the execution of a base contract by and between the City and Element Markets Renewable Energy, LLC for the purchase of biomethane fuel to be used at the Malburg Generating Station ("MGS"). As of May 7, 2014, the contracts were amended and restated to provide for delivery of a Replacement Product in satisfaction of a portion of the contract quantity to provide Vernon with the same benefits of the contract and cost the City less money. The parent company of Element Markets Renewable Energy, LLC, Element Markets has entered into a Membership Interest Purchase Agreement with Landfill Energy Systems, LLC ("LES"), providing for Element Markets Renewable Energy, LLC to assign their existing Agreements (the "Assignment") with the City of Vernon to Element Markets Renewable Natural Gas, LLC ("EMRNG"), a subsidiary of Element Markets. LES is to acquire all the outstanding limited liability and company membership interest of EMRNG (together with the Assignment, the "Transaction"). As a result of the transaction, a new management team led by LES will be in place and will assume responsibility for the obligations under the Agreements. Additionally, Element Markets has requested the execution of the attached Letter Agreement, and the following attachments: Amendment No. 1 to the Amended and Restated Transaction Confirmations No. 1 and No, 2, and Security Agreement No. 1. The key elements of the documents are as follows: • In the letter agreement, the City of Vernon is being asked to (1) acknowledge and consent to the assignment of existing contracts by and between the City of Vernon and Element Markets Renewable Energy, LLC, to Element Markets Renewable Natural Gas, LLC, a subsidiary of Element Markets, the acquisition of said subsidiary by Landfill Energy Systems, LLC, and their subsequent management of all outstanding limited liability company membership interests of EMRNG and (2) certify that all agreements between Vernon and Element Markets Renewable Energy, LLC are in full force, the City is not in default under the Agreements, and neither the assignment of the contracts nor the acquisition by landfill Energy Systems, LLC, would cause any default. • As security for Element Markets Renewable Energy, LLC performance with respect to the Replacement Energy, Element Markets Renewable Energy, LLC agreed to grant Vernon a security interest with respect to the Supply Agreement for Replacement Energy. The Security Agreement is attached to the letter agreement and requires execution by the City of Vernon. • Under the Amended and Restated Transaction Confirmations No. 1 and No. 2, Element obligated itself to have the supplier of replacement energy sign the security agreement between Element and Vernon. The current supplier of bundled replacement energy to be used as the replacement product is Shell North America (US), L.P. a Delaware Limited Partnership ("Shell"). Shell refused to sign the Security Agreement and Shell specifically referred to regulatory concerns. As consideration for Vernon's waiver of its right to have Shell execute the Security Agreement, the city negotiated with Element Markets Renewable Energy, LLC a reduction in the price payable for pipeline Biomethane delivered to Vernon under Amended and Restated Confirmations No. 1 and No. 2, by $0.10 per MMBtu. VG&E staff recommend that authority be granted to the Director of Gas & Electric to execute the three documents referenced within this staff report to allow for the City's continued pursuit of compliance with renewable energy mandates. Fiscal Impact The Amendment will provide Vernon cost reduction of up to $37,000 per year which is a potential saving of$259,000 for the remaining term of the agreements. Attachments ELEMENT MARKETS March 3, 2015 City of Vernon,Light and Power Department 4305 S. Santa Fe Avenue Vernon, CA 90058 Attn: Mr. Abraham Alemu Re: Element Markets Renewable Enerey Dear Abraham: Reference is made to the Base Contracts for the Sale and Purchase of Natural Gas, (Contract Nos. LT-1 and LT-2), each dated March 2, 2012(as each such agreement is amended,modified or supplemented by the documents described on Schedule A attached hereto,collectively,the "Agreements"),entered into by the City of Vernon, Light and Power Department(the "City")and Element Markets Renewable Energy, LLC,a Delaware limited liability company("EMRE"). The parent company of EMRE, Element Markets, LLC ("EM"), has entered into a Membership Interest Purchase Agreement with Landfill Energy Svstems, LLC, a Delaware limited liability company("LES"),providing for EMRE to assign the Agreements(the "Assignment")to Element Markets Renewable Natural Gas, LLC ("EMRNG"), a subsidiary of EM and for LES to acquire all the outstanding limited liability company membership interests of EMRNG (together with the Assignment,the "Transaction"). As required under the Agreements, EMRE has named the City as the beneficiary of two letters of credit issued by JPMorgan Chase Bank,N.A.,originally issued in the amounts of $1,000,000(Contract LT-1)and $1,500,000(Contract LT-2)and subsequently reduced by amendment to $600,000 and $900,000, respectively(together, the "EMRE Letters of Credit"). As part of the Transaction, LES will cause EMRNG to replace the EMRE Letters of Credit with letters of credit issued by JPMorgan Chase Bank,N.A. or a similar bank, for the benefit of the City in the same amounts as,and similar in form and substance to,the EMRE Letters of Credit(the "Replacement Letters of Credit"). The EMRE Letters of Credit will remain in place until the Replacement Letters of Credit are issued. To facilitate the Transaction, we ask that you certify the following: 1. The Agreements are in full force and effect and have not been amended, modified, supplemented or superseded (except as shown on Schedule A hereto); 2. The City is not in default under the Agreements and, to the best of the City's knowledge, no other party to the Agreements is in default thereunder, nor is the City aware of any event that could cause any such default; Page ! of 3 3. Neither the Assignment nor the Transaction will cause a breach or event of default under the Agreements or give rise to any right or remedy of the City under the Agreements, and any consent of the City required to be obtained with respect to the Assigrunent or the Transaction is hereby granted; and 4. The City understands that,as a result of the Transaction, a new management team will be in place, which will be led by LES and which will be responsible for all of EMRE's obligations under the Agreements. Please have a duly authorized representative of the City countersign a copy of this letter to indicate the City's acknowledgement and certification of the above matters. We are providing a copy of this letter to EMRNG and LES,which will be relying on the matters herein. We appreciate your attention to this matter. Sincere' Element Mark is Renewable Energy, LLC ACCEPTED AND AGREED: The City of Vernon, Light and Power Department By: Name: Title: Date: Page 2 ol'3 SCHEDULE A • Base Contract for Sale and Purchase of Natural Gas between Element Markets Renewable Energy, LLC and City of Vernon,Light and Power Department,dated March 2,2012(Contract Number 1) • Special Provisions to the Base Contract for Sale and Purchase of Natural Gas No. 1 between Element Markets Renewable Energy, LLC and City of Vernon,Light and Power Department,dated March 2,2012 • Biogas Transaction Confirmation between Element Markets Renewable Energy,LLC and City of Vernon, Light and Power Department, dated March 2, 2012 (Transaction Confirmation Number 1) • Amended and Restated Biomethane Transaction Confirmation between Element Markets Renewable Energy, LLC and City of Vernon,Light and Power Department,amended and restated as of May 7, 2014 (Transaction Confirmation Number 1) • Amendment No. 1 to Amended and Restated Biomethane Transaction Confirmation No. 1,dated as of March 3,2015,by and between Element Markets Renewable Energy, LLC and the City of Vernon, Light and Power Department • Security Agreement No. 1,dated as of March 3,2015,by and between the City of Vernon,Gas& Electric Department and Element Markets Renewable Energy,LLC • Base Contract for Sale and Purchase of Natural Gas between Element Markets Renewable Energy, LLC and City of Vernon, Light and Power Department,dated March 2,2012 (Contract Number 2) • Special Provisions to the Base Contract for Sale and Purchase of Natural Gas No. 2 between Element Markets Renewable Energy,LLC and City of Vernon, Light and Power Department,dated March 2, 2012 • Biogas Transaction Confirmation between Element Markets Renewable Energy, LLC and City of Vernon, Light and Power Department,dated March 2, 2012 (Transaction Confirmation Number 2) • Amended and Restated Biomethane Transaction Confirmation between Element Markets Renewable Energy, LLC and City of Vernon, Light and Power Department, amended and restated as of May 7, 2014 (Transaction Confirmation Number 2) • Amendment No. 1 to Amended and Restated Biomethane Transaction Confirmation No. 2,dated as of March 3, 2015,by and between Element Markets Renewable Energy,LLC and the City of Vernon,Light and Power Department • Security Agreement No. 2,dated as of March 3, 2015,by and between the City of Vernon, Gas& Electric Department and Element Markets Renewable Energy,LLC • Notice of Buyer's Designee pursuant to Transaction Confirmation No. 2 (Vernon)by and between Element Markets Renewable Energy, LLC and Shell Energy North America(US),LP,dated August 15, 2014 • Irrevocable Standby Letter of Credit No. CTCS-809087 (Beneficiary: City of Vernon, Light and Power Department),dated January 6,2014 • Amendment No. 1 to Irrevocable Standby Letter of Credit No. CTCS-809087(Beneficiary:City of Vernon, Light and Power Department),dated September 8, 2014 • Irrevocable Standby Letter of Credit No. CTCS-809089 (Beneficiary: City of Vernon, Light and Power Department), dated January 8, 2014 • Amendment No. 1 to Irrevocable Standby Letter of Credit No.CTCS-809089(Beneficiary: City of Vernon, Light and Power Department),dated September 8,2014 Page 3 of 3 AMENDMENT NO.1 TO AMENDED AND RESTATED TRANSACTION CONFIRMATION NO.I This Amendment No. 1 (this "Amendment") to the Amended and Restated Biomethane Transaction Confirmation No. 1, dated as of March 2, 2012 and amended and restated as of May 7, 2014 ("A&R Confirm No. 1") executed under the Base Contract for Sale and Purchase of Natural Gas No. 1, dated as of March 2, 2012, by and between the City of Vernon, Gas & Electric Department ("Buyer") and Element Markets Renewable Energy, LLC ("Seller") (as modified by the Special Provisions thereto, the "Base Contract" and, collectively with A&R Confirm No. 1, "Agreement No. I ), is made by and between Buyer and Seller as of March 3, 2015 (the"Effective Date")subject to satisfaction of the Condition Precedent(defined below). Each of Buyer and Seller may also be referred to herein as a"EAgy"or together as the "Parties." Capitalized terms not defined herein shall have the meaning ascribed thereto in Agreement No. 1. RECITALS WHEREAS, as consideration for Buyer's waiver of its right to have Shell, the current Supplier, execute written consent to the Security Agreement Seller has agreed to reduce the price payable for pipeline Biomethane delivered to Buyer under A&R Confirm No. 1 by $0.10 per MMBtu; and WHEREAS, in connection with the Parties' discussions regarding execution of the letter agreement, the Parties have also agreed to amend Sections 7.1(B) and 7.1(C)of Appendix IA to A&R Confirm No. 1; NOW, THEREFORE, for and in consideration of the mutual promises and covenants set forth herein, and other good and valuable consideration, receipt of which is hereby acknowledged, the Parties, intending to be legally bound, agree as follows: AGREEMENT 1. Condition Precedent to Amendment. The terms of this Amendment will not become effective unless all of the following agreements are executed by authorized representatives of both Buyer and Seller(the "Condition Precedent"): (i) this Amendment; (ii) the letter agreement, dated as of March 3, 2015, regarding the confirmation of certain facts regarding assignment of Agreement No. 1 to an affiliate assignee and the subsequent acquisition of such affiliate by Landfill Energy Systems, LLC; and (iii) the security agreement, dated as of March 3, 2015, required to be executed by Buyer and Seller pursuant to Section 7.1(C)of Appendix IA to A&R Confirm No. 1, If the Condition Precedent is satisfied, the terms of this Amendment will become effective as of the Effective Date set forth above. 2. Amendments to Agreement No. 1. (a) Amendment of Section 6.3 The first sentence of Section 6.3 of A&R Confirm No. 1 is hereby deleted in its entirety and replaced with the following: "Buyer will pay Seller (i) the Contract Price less the Administrative Fee for each MMBtu of pipeline Biomethane (up to the Contract Quantity plus any Make-Good Biomethane) and (i) the Contract Price less the Restructuring Fee for each MMBtu equivalent of Replacement Product." i (b) Addition of Section 6.6(C). Section 6.6(C) is hereby added to A&R Confirm No. 1 (immediately following Section 6.6(B)) to read as follows: "(C) Administrative Fee. Buyer shall be entitled to a credit equal to $0.10 per MMBtu of pipeline Biomethane delivered to Buyer at the Biomethane Delivery Point during the applicable Month (the "Administrative Fee"). For the avoidance of doubt, if no pipeline Biomethane is delivered at the Biomethane Delivery Point in the applicable Month, the Administrative Fee is equal to zero." (c) Amendment of Section 7.413)of Appendix IA. The text",and shall cause Supplier to agree,"is hereby deleted such that the first sentence of Section 7.1(B)of Appendix I now reads as follows: "(B) Each of Buyer and Seller agree to provide any further assurances or execute such documents that may be reasonably necessary in connection with the creation or enforcement of the rights and obligations set forth in this Section 7.1, including the filing and/or recordation of UCC-1 financing statements naming Seller as "Debtor' and Buyer as "Secured Party" in the appropriate filing offices to ensure a first lien priority interest in the Replacement Product Supply Agreement." (d) Amendment of Section 7.1(C)of Appendix IA. The second and final sentence of Section 7.1(C) of Appendix I is hereby deleted in its entirety such that Section 7.1(C)of Appendix I now reads as follows: "(C) Buyer and Seller hereby acknowledge and agree that Buyer shall be granted a security interest in and to the Replacement Energy Supply Agreement pursuant to a security agreement between Buyer and Seller for the sole purpose of granting the rights with respect to the Replacement Energy Supply Agreement set forth in this Section 7.1. Seller will cause Supplier to execute written consent to the rights of Buyer set forth in this Section 7.1 in writing, a copy of which shall be provided to Buyer. Buyer and Seller agree that the requirement for such written consent was satisfied with respect to Shell Energy North America (US), L.P. by Seller's inclusion of the "Special Default Provisions" in the August 15, 2014 Replacement Energy Supply Agreement executed by Seller and Shell Energy North America (US), L.P.." 3. Ratification and Confirmation of the Agreement. Except as so modified pursuant to this Amendment,Agreement No. 1 is hereby ratified and confirmed in all respects. 4. Governinp, Law, This Amendment shall be governed by, and construed and interpreted in accordance with,the laws of the State of California without regard to its conflicts of law principles. 5. Counterparts. This Amendment may be executed in one or more counterparts, each of which shall be deemed an original and all of which shall be deemed one and the same Amendment. [Signature page follows] IN WITNESS WHEREOF.each of the Parties has executed this Amendment on the date indicated below its respective signature to become effective as of the Effective Date. SELLER BUYER EI..ENIE S RE IEWASLE ENERGY,LLC CITY OF VERNON,GAS&ELECTRIC DEPARTMENT By: By: Name: Jeff kiker 3 Name: Title: Senior Vice President Title: Date: February 24,2015 Date: AMST: APPROVED AS TO FORM: (5ignanre page to Amoidmenr No. 1 to Amended and Resrated Transaction Confirmation No. 1,dared as of March 2, 2012 and amended and restaled as of Mar 7, 2014, br and behreen Seller and Biwer] AMENDMENT NO.1 TO AMENDED AND RESTATED TRANSACTION CONFIRMATION NO.2 This Amendment No. 1 (this "Amendment") to the Amended and Restated Biomethane Transaction Confirmation No. 2, dated as of March 2, 2012 and amended and restated as of May 7, 2014 ("A&R Confirm No. 2") executed under the Base Contract for Sale and Purchase of Natural Gas No. 2, dated as of March 2, 2012, by and between the City of Vernon, Gas & Electric Department (`Buyer") and Element Markets Renewable Energy, LLC ("Leller") (as modified by the Special Provisions thereto, the "Base Contract" and, collectively with A&R Confirm No. 2, "Agreement No. 2"), is made by and between Buyer and Seller as of March 3, 2015 (the"Effective Date")subject to satisfaction of the Condition Precedent(defined below). Each of Buyer and Seller may also be referred to herein as a"Part 'or together as the "Parties." Capitalized terms not defined herein shall have the meaning ascribed thereto in Agreement No. 2. RECITALS WHEREAS, as consideration for Buyer's waiver of its right to have Shell, the current Supplier, execute written consent to the Security Agreement Seller has agreed to reduce the price payable for pipeline Biomethane delivered to Buyer under A&R Confirm No. 2 by$0.10 per MMBtu; and WHEREAS, in connection with the Parties' discussions regarding execution of the letter agreement, the Parties have also agreed to amend Sections 7.1(B)and 7.1(C)of Appendix lA to A&R Confirm No. 2; NOW, THEREFORE, for and in consideration of the mutual promises and covenants set forth herein, and other good and valuable consideration,receipt of which is hereby acknowledged, the Parties, intending to be legally bound, agree as follows: AGREEMENT 1. Condition Precedent to Amendment. The terms of this Amendment will not become effective unless all of the following agreements are executed by authorized representatives of both Buyer and Seller(the "Condition Precedent"): (i) this Amendment; (ii) the letter agreement, dated as of March 3, 2015, regarding the confirmation of certain facts regarding assignment of Agreement No. 2 to an affiliate assignee and the subsequent acquisition of such affiliate by Landfill Energy Systems, LLC; and (iii) the security agreement, dated as of March 3, 2015, required to be executed by Buyer and Seller pursuant to Section 7.1(C)of Appendix IA to A&R Confirm No. 2; If the Condition Precedent is satisfied, the terms of this Amendment will become effective as of the Effective Date set forth above. 2. Amendments to Agreement No. 2. (a) Amendment of Section 6.3 The first sentence of Section 6.3 of A&R Confirm No. 2 is hereby deleted in its entirety and replaced with the following: "Buyer will pay Seller (i) the Contract Price less the Administrative Fee for each MMBtu of pipeline Biomethane (up to the Contract Quantity plus any Make-Good Biomethane) and (i) the Contract Price less the Restructuring Fee for each MMBtu equivalent of Replacement Product." (b) Addition of Section 6.6(C). Section 6.6(C)is hereby added to A&R Confirm No. 2 (immediately following Section 6.6(B))to read as follows: "(C) Administrative Fee. Buyer shall be entitled to a credit equal to $0.10 per MMBtu of pipeline Biomethane delivered to Buyer at the Biomethane Delivery Point during the applicable Month (the "Administrative Fee"). For the avoidance of doubt, if no pipeline Biomethane is delivered at the Biomethane Delivery Point in the applicable Month, the Administrative Fee is equal to zero." (c) Amendment of Section 7.1(B)of Appendix IA. The test", and shall cause Supplier to agree,"is hereby deleted such that the first sentence of Section 7.1(B)of Appendix 1 A now reads as follows: "(B) Each of Buyer and Seller agree to provide any further assurances or execute such documents that may be reasonably necessary in connection with the creation or enforcement of the rights and obligations set forth in this Section 7.1, including the filing and/or recordation of UCC-1 financing statements naming Seller as "Debtor' and Buyer as "Secured Party" in the appropriate filing offices to ensure a first lien priority interest in the Replacement Product Supply Agreement." (d) Amendment of Section 7.1(C)of Appendix IA. The second and final sentence of Section 7.1(C) of Appendix I is hereby deleted in its entirety such that Section 7.1(C) of Appendix I now reads as follows: "(C) Buyer and Seller hereby acknowledge and agree that Buyer shall be granted a security interest in and to the Replacement Energy Supply Agreement pursuant to a security agreement between Buyer and Seller for the sole purpose of granting the rights with respect to the Replacement Energy Supply Agreement set forth in this Section 7.1. Seller will cause Supplier to execute written consent to the rights of Buyer set forth in this Section 7.1 in writing, a copy of which shall be provided to Buyer. Buyer and Seller agree that the requirement for such written consent was satisfied with respect to Shell Energy North America (US), L.P. by Seller's inclusion of the "Special Default Provisions" in the August 15, 2014 Replacement Energy Supply Agreement executed by Seller and Shell Energy North America (US), L.P.." 3. Ratification and Confirmation of the Agreement. Except as so modified pursuant to this Amendment,Agreement No. 2 is hereby ratified and confirmed in all respects. 4. Governing Law. This Amendment shall be governed by, and construed and interpreted in accordance with,the laws of the State of California Nr ithout regard to its conflicts of lave principles. 5. Counteruarts. This Amendment may be executed in one or more counterparts, each of which shall be deemed an original and all of which shall be deemed one and the same Amendment. [Signature page follows] IN WITNESS WHEREOF. each of the Parties has executed this Amendment on the date indicated below its respective signature to become effective as of the Effective Date. SELLER BUYER EI.FNTENT_ "r RENEWABLE ENERGY,LLC CITY OF VERNON.GAS Br ELECTRIC DEPARTMENT By, � 13y: Name: reffery er Name: Title: Senior Vice President Title: Date: February 24.2015 .ATTEST: APPROVED AS TO FORM: [Signature page,to Amendment No. 1 to,4rnended and Restated Transaction Con finnation No. 2, dared as of March 2, 01-"and atrreuded and restated as of Mav 7, 2014, br arrd benreen Seller arrd Brru er] SECURITY AGREEMENT NO. 1 THIS SECURITY AGREEMENT NO. 1 (the "Security Agreement") is made to be effective as of March 3, 2015 by and between Element Markets Renewable Energy, LLC, with offices at 3555 Timmons Lane, Suite 900, Houston, TX 77027 (referred to in this Security Agreement as the "Debtor"), and the City of Vernon, Gas & Electric Department, with offices located at 4305 S. Santa Fe Avenue, Vernon, CA 90058 (referred to in this Security Agreement as the "Secured Party"). Capitalized terms not otherwise defined herein have the meaning ascribed to such terms in the Amended and Restated Biomethane Transaction Confirmation No. 1, dated as of May 7, 2014, to the Base Contract for Purchase and Sale of Natural Gas, dated as of March 2, 2012, as modified by the Special Provisions thereto (the "A&R Transaction Confirmation"). WHEREAS, pursuant to the A&R Transaction Confirmation, Secured Party has agreed to purchase bundled energy eligible to generate renewable energy credits (`Bundled Energy") from Debtor to fulfill a portion of the Contract Quantity under the A&R Transaction Confirmation; WHEREAS, Debtor entered into an Edison Electric Institute Master Power Purchase and Sale Agreement with Shell Energy North America (US), L.P. ("Supplier'), dated as of August 15, 2014 (the "Base Contract") and Transaction Confirmation No. 2 thereunder, dated concurrently therewith (the"Transaction Confirmation" and together with the Base Contract, the "Supply Agreement"), pursuant to which Debtor will procure Bundled Energy for delivery to Secured Party by Supplier to satisfy Debtor's delivery obligations under the A&R Transaction Confirmation; WHEREAS, as security for Debtor's performance with respect to the Bundled Energy, Debtor agreed to grant Secured Party a security interest with respect to the Supply Agreement and the Third-Party Contract Rights; WITNESSETH: NOW, THEREFORE, in consideration of the foregoing premises and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Debtor and the Secured Party hereby agree as follows: 1. Defined Terms. 1.1 "Third-Party Contract Rights" means the rights granted to Secured Party in Section 7.1 of Appendix 1 A to the A&R Transaction Confirmation by Debtor and contracted for by and between Debtor and Supplier pursuant to the section titled "Special Default Provisions" in the Transaction Confirmation that provide for (x) substitution of Secured Parry for Debtor and performance of the duties of Debtor under the Supply Agreement and (y) the exercise of any rights or remedies of Seller under the Supply Agreement on behalf of Seller in the manner and under the circumstances explicitly set forth in in the A&R Transaction Confirmation Security Agreement—A&R Transaction Confirmation No. 1 page 1 1.2 "Obligations" means all of the obligations and liabilities of Debtor under the A&R Transaction Confirmation (as hereafter amended, restated or otherwise modified from time to time) that are not satisfied by Debtor's Biomethane deliveries thereunder;provided that any fees, costs and expenses incurred by Secured Party pursuant to its rights under Section 10.3 of this Security Agreement shall not constitute part of the Obligations. 1.3 "Liens" means any lien, mortgage, pledge, assignment, security interest, charge or encumbrance of any kind (including any agreement to give any of the foregoing, any conditional sale or other title retention agreement, and any lease or license in the nature thereof) and any option, trust or other preferential arrangement having the practical effect of any of the foregoing. 1.4 "Permitted Liens" means Liens, in an aggregate amount not to exceed twenty-five thousand dollars ($25,000) at any time, relating to or given by Debtor to secure obligations under the following: (a) Other Liens imposed by law or that arise by operation of law in the ordinary course of business from the date of creation thereof, in each case only for amounts not yet due or which are being contested in good faith by appropriate proceedings and with respect to which adequate reserves or other appropriate provisions are being maintained; (b) Liens incurred pursuant to services rendered by a depositary under any account control agreement or an escrow agent under an escrow agreement; (c) Liens incurred or deposits made in the ordinary course of business (including without limitation, surety bonds and appeal bonds) in connection with workers' compensation, unemployment insurance and other types of social security benefits; (d) Liens imposed by law for taxes (other than payroll taxes or levies/fines from the Internal Revenue Service or Franchise Tax Board or similar entity), assessments or charges of any governmental authority for claims not yet due or which are being contested in good faith by appropriate proceedings and with respect to which adequate reserves or other appropriate provisions are being maintained by such Person; and (e) a Lien granted to secure the obligations of Debtor to Secured Party under that certain Amended and Restated Transaction Confirmation No. 2, dated as of May 7, 2014, to the Base Contract for Purchase and Sale of Natural Gas, dated as of March 2, 2012, as modified by the Special Provisions thereto. 1.5 "Collateral" has the meaning assigned to such term in Section 2.1. The meanings given to terms defined herein shall be equally applicable to both the singular and plural forms of such terms. Security Agreement—A&R Transaction Confirmation No. I page 2 2. Grant of Security Interest. To secure the full and punctual performance of the Obligations when due, Debtor hereby grants and pledges to Secured Party, subject to the terms herein, any applicable laws and the terms of the Supply Agreement, a continuing Lien on and first priority security interest in, and, as a part of such grant, pledge, assignment, transfer and delivery, hereby assigns to Secured Party as collateral security (whether now owned or at any time hereafter acquired or now existing or hereafter existing or created), all of its right, title and interest in and to the following (collectively, the"Collateral"): (a) The Supply Agreement and all rights of Debtor to receive Product (as defined in the Supply Agreement) or any other rights under the Supply Agreement up to the maximum volume of Product(as defined in the Supply Agreement) Debtor is entitled to purchase for delivery to Secured Party under the A&R Transaction Confirmation, including any amendment, restatement, modification or replacement thereof, (b) all general rights, intangibles, books and records and accounts of Debtor in connection with or arising out of the Supply Agreement; and (c) the proceeds and products of the foregoing. 3. Security for Obligations. This Security Agreement secures the payment and performance of the Obligations. 4. Retained Ri hts of Debtor,• Disposition of Collateral; Exercise of Cure Rights. 4.1 Prior to full satisfaction of the Obligations by Debtor: (i) Debtor may only assign the Supply Agreement (a) together with this Security Agreement and the A&R Transaction Confirmation and (b) to an assignee that is deemed a permitted assignee under both the A&R Transaction Confirmation and the Supply Agreement in accordance with, and in the manner set forth in, the A&R Transaction Confirmation and Supply Agreement, respectively; (ii) Debtor may not amend the Supply Agreement in a manner that diminishes or limits the Third-Party Contract Rights without the prior written consent of Secured Party; (iii) Debtor shall retain all rights and obligations under the Supply Agreement prior to the occurrence of an Event of Default on the part of Debtor; (iv) Debtor shall remain liable under the Supply Agreement to which it is a party, to perform all of the obligations undertaken by it thereunder, all in accordance with and pursuant to the terms and provisions thereof, and Secured Party shall have no obligation or liability under the Supply Agreement by reason of or arising out of this Security Agreement or any other document related thereto; and (v) Secured Party shall not be required or obligated in any manner to perform or fulfill any obligations of Debtor under the Supply Agreement or to make any Security Agreement—A&R Transaction Confirmation No. 1 page 3 payment, or to make any inquiry as to the nature or sufficiency of any payment received by Secured Party, or present or file any claim, or take any action to collect or enforce the payment of any amounts which may have been assigned to Secured Party or to which Secured Party may be entitled at any time or times in connection with this Security Agreement or the Supply Agreement. 4.2 As set forth in the Third-Party Contract Rights, upon the occurrence and continuation of any "event of default" under the Supply Agreement, the Secured Party may remedy any such default by giving prior written notice of such intent to Debtor and to the applicable party to the Supply Agreement. Any curing by Secured Party of Debtor's default under the Supply Agreement shall not be automatically construed as an assumption by Secured Party of any obligations, covenants or agreements of Debtor under such Supply Agreement, and Secured Party shall not incur any liability to Debtor or any other person as a result of any actions undertaken by Secured Party in curing or attempting to cure any such default. This Security Agreement shall not be deemed to release or to affect in any way the obligations of Debtor under the Supply Agreement. 5. Further Assurances. Debtor will, at any time and from time to time, promptly execute and deliver all further instruments and documents and take all further action that may be reasonably necessary or that the Secured Party may reasonably request in order to (1) perfect and protect the security interest granted hereunder; (ii) enable the Secured Party to exercise and enforce its rights and remedies hereunder in respect of the Collateral; or (iii) otherwise effect the purposes of this Security Agreement, including, without limitation, executing and filing (to the extent, if any, that Debtor's signature is required thereon) or authenticating the filing of, such financing or continuation statements, or amendments thereto, as may be necessary or desirable or that the Secured Party may reasonably request in order to perfect and preserve the security interest purported to be created hereby. Further, Debtor hereby authorizes Secured Party to file financing statements, without notice to Debtor, with all appropriate jurisdictions to perfect or protect Secured Parry's interest or rights hereunder. 6. Power of Attorney. Debtor hereby constitutes and irrevocably appoints Secured Party, with full power of substitution and revocation by Secured Party, as Debtor's true and lawful attorney-in-fact, for the purpose from time to time of carrying out the provisions of this Security Agreement and taking any action and executing any instrument that Secured Party deems necessary or advisable to accomplish the purposes of this Security Agreement, including, without limitation, (a) to affix to certificates and documents representing any Collateral the endorsements or other instruments of transfer or assignment delivered with respect thereto and to transfer or cause the transfer of the Collateral, or any part thereof; (b) to exercise all of the rights, remedies and powers granted to the Secured Party in this Security Agreement in order to more fully vest in the Secured Party the rights and remedies provided for herein; and (c) pay, contest or settle any Lien, charge, encumbrance, security interest, and adverse claim in or to the Collateral, or any judgment based thereon, or otherwise take any action to terminate or discharge the same. Security Agreement—A&R Transaction Confirmation No. l page 4 The power of attorney granted pursuant to this Security Agreement and all authority hereby conferred are granted and conferred solely to protect the Secured Parry's interest in the Collateral and shall not impose any duty upon the Secured Party to exercise any power. This power of attorney shall be irrevocable as one coupled with an interest until all Obligations have been fully and finally satisfied by Debtor. Any power of attorney granted hereunder shall be in addition to the terms of any other power of attorney set forth in any agreement or document. 7. Representations, Warranties and Covenants of Debtor. Debtor represents, warrants and covenants to Secured Party as follows: 7.1 Except for Permitted Liens, Debtor has not and shall not permit or allow any Lien of any kind or nature whatsoever to attach to all or any part of the Collateral and will not permit all or any part of the Collateral to be attached, replevied, levied on, garnished or made the subject of litigation, nor shall Debtor assign any of its interest in said Collateral, nor shall Debtor perform any acts or execute any other instruments which might prevent Secured Party from fully exercising its rights under any of the terms, covenants and conditions of this Security Agreement, except for Permitted Liens. In the event of attachment of any Lien that is not a Permitted Lien, to all or any part of the Collateral, Debtor will cause such lien to be released within three (3)business days of learning of its existence. 7.2 Debtor is and will be the absolute owner or lessee of the Collateral, as applicable, free and clear of any adverse lien, security interest or encumbrance other than Permitted Liens. Debtor will protect and defend the Collateral against all claims and demands of all persons and entities at any time claiming any right, title or interest of any kind or nature in all or any part of the Collateral adverse to the right,title and interest of Debtor and/or Secured Party in the Collateral. 7.3 Debtor is a limited liability company duly organized and validly existing under the laws of the State of Delaware, with the power to conduct its business as presently conducted. The execution, delivery and performance by Debtor of this Security Agreement are within Debtor's powers, have been duly authorized and, giving effect to any applicable laws that would render ineffective any prohibition or restriction on the grant of a security interest in the Collateral, are not in contravention of (1) any applicable law, (ii) Debtor's operating agreement as amended through the date of this Security Agreement or (iii) any agreement or judicial order or decree to which Debtor is a party or by which Debtor or any of its property is bound. 7.4 Upon reasonable notice by Secured Parry to Debtor, Debtor will, during normal business hours, from time to time but no more than once per calendar year, allow Secured Party or its authorized agent to examine the books and records of Debtor to verify the preservation and continued existence of the Collateral. 7.5 Debtor represents and warrants that except for the financing statements filed for the benefit of Secured Party and/or filed in connection with any Permitted Liens, Security Agreement—A&R Transaction Confirmation No. 1 page 5 no financing statement covering the Collateral or any proceeds thereof, which has not been terminated, is on file in any public office. 7.6 Debtor shall pay or cause to be paid all taxes, levies, assessments and other charges of every kind or nature which may be levied or assessed against the Collateral; provided however, that Debtor shall not be required to pay any tax, charge, or assessment that is not yet past due or is being contested in good faith by appropriate proceedings diligently conducted by or on behalf of Debtor. 7.7 If Debtor shall fail to pay any tax, levy, assessment or other charge against the Collateral, the Secured Party may, at its option, pay such tax, levy, assessment or other charge. Debtor agrees to reimburse the Secured Party on demand for any such payment by the Secured Party and/or at the Secured Parry's request apply it as set-off against any sums owed by the Secured Party under the A&R Transaction Confirmation. The amount of any such payment shall be an additional Obligation secured by this Security Agreement and shall be part of the "Obligations." 7.8 To the knowledge of Debtor following reasonable inquiry, no Event of Default(as defined under the Supply Agreement) exists or is continuing with respect to the Supply Agreement. 7.9 Debtor shall use its reasonable efforts, to the extent within its control, to assure that the Supply Agreement remains in full force and effect and is fully performed in accordance with the terms thereof. Debtor shall not dispose of the Supply Agreement other than by way of an assignment permitted under Section 4 hereof or full performance by Debtor of all obligations thereunder. 7.10 The Supply Agreement and this Security Agreement are legal, valid and binding obligations of the Debtor, enforceable against Debtor in accordance with their respective terms, except as may be limited by applicable bankruptcy, insolvency, moratorium, reorganization or other similar laws affecting the enforcement of creditors' rights and subject to general equitable principles. 8. Secured Party's Duties. The powers conferred on Secured Party hereunder are solely to protect its interest in the Collateral and shall not impose any duty upon it to exercise any such powers. Except for the safe custody of any Collateral in its possession and the accounting for benefits actually received by it hereunder, Secured Party shall have no duty as to any Collateral or any rights, obligations or control with respect to the Supply Agreement. Secured Party shall be deemed to have exercised reasonable care in the custody and preservation of any Collateral in its possession if such Collateral is accorded treatment substantially equal to that which Secured Party accords its own property. 9. Events of Default. The occurrence of any one or more of the following shall constitute an "Event of Default" under this Security Agreement: 9.1 the occurrence and continuation of an Event of Default on the part of Debtor under the Supply Agreement, which has not been waived by Supplier or cured by Security Agreement—A&R Transaction Confirmation No. l page 6 Debtor within longer of(a) the time period (if any) specified in such agreement for waiver and/or cure and(b)thirty (30) days; 9.2 any representation, warranty or other statement of fact contained in this Security Agreement by Debtor proves to have been false, misleading or incomplete in any material respect at the time when such warranty, representation or statement was made or furnished to Secured Party and such representation, warranty or other statement of fact continues to be false, misleading or incomplete thirty (30) days following receipt of notice from Secured Party; 9.3 if prior to termination of this Security Agreement, this Security Agreement shall cease to be in full force and effect or any Lien created in favor of the Secured Party hereunder shall cease to constitute a valid perfected Lien on the Collateral (subject only to the Permitted Liens), to the extent the foregoing is caused by Debtor, or Debtor disposes of any or all of the Collateral in any manner that is not permitted pursuant to Section 4 hereof, or 9.4 upon the failure to obtain the release of any Lien that is not a Permitted Lien within the time specified in Section 7.1 hereof. 10. Remedies on Default. Secured Party shall have the following rights and remedies upon the occurrence and during the continuance of an Event of Default in accordance with and subject to the terms of this Section 10: 10.1 Upon the occurrence and during the continuance of an Event of Default, Secured Party shall have the right and power to enforce all rights and remedies available to Secured Party under applicable laws in respect of the Supply Agreement in accordance with the Third-Party Contract Rights; in each case to the extent any deliveries to Secured Party under the Supply Agreement remain to be made by Debtor. 10.2 In addition to the rights and powers granted in Section 10.1 hereof, upon the occurrence and during the continuance of an Event of Default: (a) Debtor hereby consents to and grants Secured Party the right to (1) substitute itself for Debtor and perform the duties of Debtor under the Supply Agreement and (ii) exercise any rights or remedies of Debtor with respect to the Supply Agreement on behalf of Debtor, subject to the terms of the A&R Transaction Confirmation and the Supply Agreement; provided that notwithstanding anything in this Security Agreement to the contrary, nothing within this Security Agreement or the execution of the transactions contemplated herein shall effect, cause or permit a novation of the Debtor that is not consented to in writing by the applicable counterparty; and (b) Debtor hereby additionally consents to and grants Secured Party the right to cure any defaults of Debtor and perform any and all obligations of Security Agreement—A&R Transaction Confirmation No. 1 page 7 Debtor under the Supply Agreement in accordance with and in the manner provided for by the Third-Party Contract Rights. 10.3 Upon the occurrence and during the continuance of an Event of Default, Secured Party shall have the right, without notice or demand, to do any or all of the following: (i) make any payments and do any acts it considers necessary or reasonable to protect the Collateral and/or its security interest in the Collateral. Secured Party may take and maintain possession of any part of the Collateral, and pay, purchase, contest, or compromise any Lien which appears to be prior or superior to its security interest and pay all expenses incurred; and (ii) exercise all rights and remedies available to Debtor at law or in equity. 10.4 IN NO WAY SHALL SECURED PARTY'S EXERCISE OF ANY OF THE REMEDIES PROVIDED HEREIN RESTRICT THE SECURED PARTY FROM EXERCISING THE TH1RD-PARTY CONTRACT RIGHTS UNDER THE A&R TRANSACTION CONFIRMATION AND THE SUPPLY AGREEMENT. 11. Notices. All notices, demands and communications between the parties concerning this Security Agreement shall be in writing and shall be delivered, or mailed by registered or certified mail with postage prepaid, or telegraphed, addressed in each case as follows and shall be deemed to have been given or made when: (i) by certified mail the return receipt is signed or refusal to accept the notice is noted thereon; or (ii) by overnight courier or hand delivery upon receipt or refusal to accept: If to Debtor: Element Markets Renewable Energy, LLC 3555 Timmons Lane, Suite 900 Houston, TX 77027 Attn: Contract Administration Fax: 281-207-7211 If to Secured Party: City of Vernon, Gas& Electric Department. Attention: Carlos Fandino,Jr. Director of Gas &Electric 4305 S. Santa Fe Avenue Vernon, CA 90058 Fax: 323-826-1408 Either party, at any time, by written notice given to the other in accordance with this Section, may designate a different address to which such communications shall thereafter be directed. 12. Gontinuine Security Interest; Assignments under the Secured OhliQatinn; Release. This Security Agreement shall remain in full force and effect and be binding in Security Agreement—A&R Transaction Confirmation No. l page 8 accordance with and to the extent of its terms upon Debtor and the successors and assigns thereof, and shall inure to the benefit of the Secured Party and their respective successors, endorsees, transferees and assigns until the Obligations shall have been satisfied in full, at which time this Security Agreement shall terminate. In connection with any termination or release pursuant to the foregoing, the Secured Party shall execute and deliver to Debtor or authorize the filing of, at Debtor's expense, all documents that Debtor shall reasonably request to evidence such termination or release. Any execution and delivery of documents pursuant to this Section shall be without recourse to or warranty by the Secured Party. 13. Miscellaneous. 13.1 Remedies Not Exclusive. Subject to the limitations herein, it is understood and agreed that the remedies granted to the Secured Party herein shall not be deemed exclusive of any other remedies possessed by the Secured Party under the Purchase Agreement or at law or in equity, but shall be deemed additional and cumulative thereto. 13.2 GOVERNING LAW. THIS SECURITY AGREEMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES HEREUNDER SHALL BE GOVERNED BY, AND CONSTRUED AND INTERPRETED IN ACCORDANCE WITH, THE LAW OF THE STATE OF CALIFORNIA WITH VENUE FOR ANY DISPUTE IN LOS ANGELES CALIFORNIA. 13.3 Assignment. Debtor may not assign, transfer or delegate any of its rights or obligations under this Security Agreement without the prior written consent of the Secured Party; provided that such consent will not be unreasonably withheld, delayed or conditioned by Secured Party. 13.4 Severability. Any provision of this Security Agreement that is prohibited or unenforceable shall be ineffective to the extent of such prohibition or unenforceability without invalidating the remaining provisions hereof The parties hereto shall endeavor in good-faith negotiations to replace the invalid, illegal or unenforceable provisions with valid provisions the economic effect of which comes as close as possible to that of the invalid, illegal or unenforceable provisions. 13.5 Integration. This Security Agreement represents the agreement of the parties with respect to the terms of the security interest of Secured Party in the Collateral and there are no promises, undertakings, representations or warranties by the any party hereto relative to the subject matter hereof not expressly set forth or referred to herein. Security Agreement—A&R Transaction Confirmation No. i page 9 13.6 Amendments in Writing; No Waiver; Cumulative Remedies. (a) None of the terms or provisions of this Security Agreement may be waived, amended, supplemented or otherwise modified except by a written instrument executed by the Debtor and the Secured Parry. (b) Secured Party shall not by any act (except by a written instrument pursuant to Section 13.6 hereof), or delay, indulgence, omission or otherwise, be deemed to have waived any right or remedy hereunder or to have acquiesced in any default or Event of Default or in any breach of any of the terms and conditions hereof. No failure to exercise, nor any delay in exercising, on the part of the Secured Party, any right, power or privilege hereunder shall operate as a waiver thereof except to the extent such failure to exercise or delay in exercising such right operates as a waiver of such right under the terms of the A&R Transaction Confirmation or Security Agreement, as applicable. No single or partial exercise of any right, power or privilege hereunder shall preclude any other or further exercise thereof or the exercise of any other right, power or privilege. A waiver by the Secured Parry of any right or remedy hereunder on any one occasion shall not be construed as a bar to any right or remedy that the Secured Party would otherwise have on any future occasion except to the extent explicitly provided in this Section 13.6(b). (c) The rights, remedies, powers and privileges herein provided are cumulative, may be exercised singly or concurrently and are not exclusive of any other rights or remedies provided by law. 13.7 Section Headings. The Section headings used in this Security Agreement are for convenience of reference only and are not to affect the construction hereof or be taken into consideration in the interpretation hereof. 13.8 Counterparts. This Security Agreement may be executed by one or more of the parties to this Security Agreement on any number of separate counterparts (including by facsimile or other electronic transmission), and all of said counterparts taken together shall be deemed to constitute one and the same instrument. 13.9 Successors and Assigns. The covenants and agreements herein contained by or on behalf of the Debtor shall bind Debtor, Debtor's legal representatives, successors and assigns and all persons who become bound as a debtor to this Security Agreement and shall inure to the benefit of the Secured Party, and its successors and assigns. [SIGNATURE PAGE FOLLOWS] Security Agreement—A&R Transaction Confirmation No. l page 10 IN WITNESS V4MREOF,each of the undersigned has caused this Security Agreement to be duly executed and delivered by its duly authorized officer as of the day and year first above written. DEBTOR:ELE RETS RENEWABLE ENERGY,LLC By: Name'leffej Mcr Title, 5enio Vice Frtsidettt SECURED PARTY: CITY OF VERNON,GAS& ELECTRIC DEPARTMENT Bv: _ Name:Carlos Fandino Title:Director of Gas&Electric Department ATTEST Ana Barcia.Deputy City Clerl. APPROVED AS TO FORM: Hems Patel.City Attomey SECURITY AGREEMENT NO. 2 THIS SECURITY AGREEMENT NO. 2 (the "SecurityAgreement") is made to be effective as of March 3, 2015 by and between Element Markets Renewable Energy, LLC, with offices at 3555 Timmons Lane, Suite 900, Houston, TX 77027 (referred to in this Security Agreement as the "Debtor"), and the City of Vernon, Gas & Electric Department, with offices located at 4305 S. Santa Fe Avenue, Vernon, CA 90058 (referred to in this Security Agreement as the "Secured Party"). Capitalized terms not otherwise defined herein have the meaning ascribed to such terms in the Amended and Restated Biomethane Transaction Confirmation No. 2, dated as of May 7, 2014, to the Base Contract for Purchase and Sale of Natural Gas, dated as of March 2, 2012, as modified by the Special Provisions thereto (the "A&R Transaction Confirmation"). WHEREAS, pursuant to the A&R Transaction Confirmation, Secured Party has agreed to purchase bundled energy eligible to generate renewable energy credits (`Bundled Energy") from Debtor to fulfill a portion of the Contract Quantity under the A&R Transaction Confirmation; WHEREAS, Debtor entered into an Edison Electric Institute Master Power Purchase and Sale Agreement with Shell Energy North America (US), L.P. ("Su lier'), dated as of August 15, 2014 (the "Base Contract") and Transaction Confirmation No. 2 thereunder, dated concurrently therewith (the "Transaction Confirmation" and together with the Base Contract, the "Supply Agreement"), pursuant to which Debtor will procure Bundled Energy for delivery to Secured Party by Supplier to satisfy Debtor's delivery obligations under the A&R Transaction Confirmation; WHEREAS, as security for Debtor's performance with respect to the Bundled Energy, Debtor agreed to grant Secured Parry a security interest with respect to the Supply Agreement and the Third-Party Contract Rights; W ITNESSETH: NOW, THEREFORE, in consideration of the foregoing premises and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Debtor and the Secured Party hereby agree as follows: 1. Defined Terms. 1.1 "Third-Party Contract Rights" means the rights granted to Secured Party in Section 7.1 of Appendix 1 A to the A&R Transaction Confirmation by Debtor and contracted for by and between Debtor and Supplier pursuant to the section titled "Special Default Provisions" in the Transaction Confirmation that provide for (x) substitution of Secured Party for Debtor and performance of the duties of Debtor under the Supply Agreement and (y) the exercise of any rights or remedies of Seller under the Supply Agreement on behalf of Seller in the manner and under the circumstances explicitly set forth in in the A&R Transaction Confirmation Security Agreement—A&R Transaction Confirmation No. 2 page 1 1.2 "Obligations" means all of the obligations and liabilities of Debtor under the A&R Transaction Confirmation (as hereafter amended, restated or otherwise modified from time to time) that are not satisfied by Debtor's Biomethane deliveries thereunder;provided that any fees, costs and expenses incurred by Secured Party pursuant to its rights under Section 10.3 of this Security Agreement shall not constitute part of the Obligations. 1.3 "Liens" means any lien, mortgage, pledge, assignment, security interest, charge or encumbrance of any kind (including any agreement to give any of the foregoing, any conditional sale or other title retention agreement, and any lease or license in the nature thereof) and any option, trust or other preferential arrangement having the practical effect of any of the foregoing. 1.4 "Permitted Liens" means Liens, in an aggregate amount not to exceed twenty-five thousand dollars ($25,000) at any time, relating to or given by Debtor to secure obligations under the following: (a) Other Liens imposed by law or that arise by operation of law in the ordinary course of business from the date of creation thereof, in each case only for amounts not yet due or which are being contested in good faith by appropriate proceedings and with respect to which adequate reserves or other appropriate provisions are being maintained; (b) Liens incurred pursuant to services rendered by a depositary under any account control agreement or an escrow agent under an escrow agreement; (c) Liens incurred or deposits made in the ordinary course of business (including without limitation, surety bonds and appeal bonds) in connection with workers' compensation, unemployment insurance and other types of social security benefits; (d) Liens imposed by law for taxes (other than payroll taxes or levies/fines from the Internal Revenue Service or Franchise Tax Board or similar entity), assessments or charges of any governmental authority for claims not yet due or which are being contested in good faith by appropriate proceedings and with respect to which adequate reserves or other appropriate provisions are being maintained by such Person; and (e) a Lien granted to secure the obligations of Debtor to Secured Party under that certain Amended and Restated Transaction Confirmation No. 2, dated as of May 7, 2014, to the Base Contract for Purchase and Sale of Natural Gas, dated as of March 2, 2012, as modified by the Special Provisions thereto. 1.5 "Collateral" has the meaning assigned to such term in Section 2.1. The meanings given to terms defined herein shall be equally applicable to both the singular and plural forms of such terms. Security Agreement—A&R Transaction Confirmation No. 2 page 2 2. Grant of Security Interest. To secure the full and punctual performance of the Obligations when due, Debtor hereby grants and pledges to Secured Party, subject to the terms herein, any applicable laws and the terms of the Supply Agreement, a continuing Lien on and first priority security interest in, and, as a part of such grant, pledge, assignment, transfer and delivery, hereby assigns to Secured Party as collateral security (whether now owned or at any time hereafter acquired or now existing or hereafter existing or created), all of its right, title and interest in and to the following (collectively, the"Collateral'): (a) The Supply Agreement and all rights of Debtor to receive Product (as defined in the Supply Agreement) or any other rights under the Supply Agreement up to the maximum volume of Product(as defined in the Supply Agreement)Debtor is entitled to purchase for delivery to Secured Party under the A&R Transaction Confirmation, including any amendment, restatement, modification or replacement thereof, (b) all general rights, intangibles, books and records and accounts of Debtor in connection with or arising out of the Supply Agreement; and (c) the proceeds and products of the foregoing. 3. Security for Obligations. This Security Agreement secures the payment and performance of the Obligations. 4. Retained Ri hts of Debtor; Disposition-of Collateral• Exercise of Cure Ri hts. 4.1 Prior to full satisfaction of the Obligations by Debtor: (i) Debtor may only assign the Supply Agreement (a) together with this Security Agreement and the A&R Transaction Confirmation and (b) to an assignee that is deemed a permitted assignee under both the A&R Transaction Confirmation and the Supply Agreement in accordance with, and in the manner set forth in, the A&R Transaction Confirmation and Supply Agreement, respectively; (ii) Debtor may not amend the Supply Agreement in a manner that diminishes or limits the Third-Parry Contract Rights without the prior written consent of Secured Party; (iii) Debtor shall retain all rights and obligations under the Supply Agreement prior to the occurrence of an Event of Default on the part of Debtor; (iv) Debtor shall remain liable under the Supply Agreement to which it is a party, to perform all of the obligations undertaken by it thereunder, all in accordance with and pursuant to the terms and provisions thereof, and Secured Party shall have no obligation or liability under the Supply Agreement by reason of or arising out of this Security Agreement or any other document related thereto; and (v) Secured Party shall not be required or obligated in any manner to perform or fulfill any obligations of Debtor under the Supply Agreement or to make any Security Agreement—A&R Transaction Confirmation No. 2 page 3 payment, or to make any inquiry as to the nature or sufficiency of any payment received by Secured Party, or present or file any claim, or take any action to collect or enforce the payment of any amounts which may have been assigned to Secured Party or to which Secured Party may be entitled at any time or times in connection with this Security Agreement or the Supply Agreement. 4.2 As set forth in the Third-Party Contract Rights, upon the occurrence and continuation of any "event of default" under the Supply Agreement, the Secured Party may remedy any such default by giving prior written notice of such intent to Debtor and to the applicable party to the Supply Agreement. Any curing by Secured Party of Debtor's default under the Supply Agreement shall not be automatically construed as an assumption by Secured Party of any obligations, covenants or agreements of Debtor under such Supply Agreement, and Secured Parry shall not incur any liability to Debtor or any other person as a result of any actions undertaken by Secured Party in curing or attempting to cure any such default. This Security Agreement shall not be deemed to release or to affect in any way the obligations of Debtor under the Supply Agreement. 5. Further Assurances. Debtor will, at any time and from time to time, promptly execute and deliver all further instruments and documents and take all further action that may be reasonably necessary or that the Secured Party may reasonably request in order to (1) perfect and protect the security interest granted hereunder; (ii) enable the Secured Party to exercise and enforce its rights and remedies hereunder in respect of the Collateral; or (iii) otherwise effect the purposes of this Security Agreement, including, without limitation, executing and filing (to the extent, if any, that Debtor's signature is required thereon) or authenticating the filing of, such financing or continuation statements, or amendments thereto, as may be necessary or desirable or that the Secured Party may reasonably request in order to perfect and preserve the security interest purported to be created hereby. Further, Debtor hereby authorizes Secured Party to file financing statements, without notice to Debtor, with all appropriate jurisdictions to perfect or protect Secured Party's interest or rights hereunder. 6. Power of Attorney. Debtor hereby constitutes and irrevocably appoints Secured Party, with full power of substitution and revocation by Secured Party, as Debtor's true and lawful attorney-in-fact, for the purpose from time to time of carrying out the provisions of this Security Agreement and taking any action and executing any instrument that Secured Party deems necessary or advisable to accomplish the purposes of this Security Agreement, including, without limitation, (a) to affix to certificates and documents representing any Collateral the endorsements or other instruments of transfer or assignment delivered with respect thereto and to transfer or cause the transfer of the Collateral, or any part thereof; (b) to exercise all of the rights, remedies and powers granted to the Secured Party in this Security Agreement in order to more fully vest in the Secured Party the rights and remedies provided for herein; and (c) pay, contest or settle any Lien, charge, encumbrance, security interest, and adverse claim in or to the Collateral, or any judgment based thereon, or otherwise take any action to terminate or discharge the same. Security Agreement—A&R Transaction Confirmation No. 2 page 4 l The power of attorney granted pursuant to this Security Agreement and all authority hereby conferred are granted and conferred solely to protect the Secured Parry's interest in the Collateral and shall not impose any duty upon the Secured Party to exercise any power. This power of attorney shall be irrevocable as one coupled with an interest until all Obligations have been fully and finally satisfied by Debtor. Any power of attorney granted hereunder shall be in addition to the terms of any other power of attorney set forth in any agreement or document. 7. Representations, Warranties and Covenants of Debtor. Debtor represents, warrants and covenants to Secured Party as follows: 7.1 Except for Permitted Liens, Debtor has not and shall not permit or allow any Lien of any kind or nature whatsoever to attach to all or any part of the Collateral and will not permit all or any part of the Collateral to be attached, replevied, levied on, garnished or made the subject of litigation, nor shall Debtor assign any of its interest in said Collateral, nor shall Debtor perform any acts or execute any other instruments which might prevent Secured Party from fully exercising its rights under any of the terms, covenants and conditions of this Security Agreement, except for Permitted Liens. In the event of attachment of any Lien that is not a Permitted Lien, to all or any part of the Collateral, Debtor will cause such lien to be released within three (3) business days of learning of its existence. 7.2 Debtor is and will be the absolute owner or lessee of the Collateral, as applicable, free and clear of any adverse lien, security interest or encumbrance other than Permitted Liens. Debtor will protect and defend the Collateral against all claims and demands of all persons and entities at any time claiming any right, title or interest of any kind or nature in all or any part of the Collateral adverse to the right, title and interest of Debtor and/or Secured Party in the Collateral. 7.3 Debtor is a limited liability company duly organized and validly existing under the laws of the State of Delaware, with the power to conduct its business as presently conducted. The execution, delivery and performance by Debtor of this Security Agreement are within Debtor's powers, have been duly authorized and, giving effect to any applicable laws that would render ineffective any prohibition or restriction on the grant of a security interest in the Collateral, are not in contravention of (i) any applicable law, (ii) Debtor's operating agreement as amended through the date of this Security Agreement or (iii) any agreement or judicial order or decree to which Debtor is a party or by which Debtor or any of its property is bound. 7.4 Upon reasonable notice by Secured Party to Debtor, Debtor will, during normal business hours, from time to time but no more than once per calendar year, allow Secured Party or its authorized agent to examine the books and records of Debtor to verify the preservation and continued existence of the Collateral. 7.5 Debtor represents and warrants that except for the financing statements filed for the benefit of Secured Party and/or filed in connection with any Permitted Liens, Security Agreement—A&R Transaction Confirmation No. 2 page 5 no financing statement covering the Collateral or any proceeds thereof, which has not been terminated, is on file in any public office. 7.6 Debtor shall pay or cause to be paid all taxes, levies, assessments and other charges of every kind or nature which may be levied or assessed against the Collateral; provided however, that Debtor shall not be required to pay any tax, charge, or assessment that is not yet past due or is being contested in good faith by appropriate proceedings diligently conducted by or on behalf of Debtor. 7.7 If Debtor shall fail to pay any tax, levy, assessment or other charge against the Collateral, the Secured Party may, at its option, pay such tax, levy, assessment or other charge. Debtor agrees to reimburse the Secured Party on demand for any such payment by the Secured Party and/or at the Secured Party's request apply it as set-off against any sums owed by the Secured Parry under the A&R Transaction Confirmation. The amount of any such payment shall be an additional Obligation secured by this Security Agreement and shall be part of the "Obligations." 7.8 To the knowledge of Debtor following reasonable inquiry, no Event of Default(as defined under the Supply Agreement) exists or is continuing with respect to the Supply Agreement. 7.9 Debtor shall use its reasonable efforts, to the extent within its control, to assure that the Supply Agreement remains in full force and effect and is fully performed in accordance with the terms thereof. Debtor shall not dispose of the Supply Agreement other than by way of an assignment permitted under Section 4 hereof or full performance by Debtor of all obligations thereunder. 7.10 The Supply Agreement and this Security Agreement are legal, valid and binding obligations of the Debtor, enforceable against Debtor in accordance with their respective terms, except as may be limited by applicable bankruptcy, insolvency, moratorium, reorganization or other similar laws affecting the enforcement of creditors' rights and subject to general equitable principles. 8. Secured Party's Duties. The powers conferred on Secured Party hereunder are solely to protect its interest in the Collateral and shall not impose any duty upon it to exercise any such powers. Except for the safe custody of any Collateral in its possession and the accounting for benefits actually received by it hereunder, Secured Party shall have no duty as to any Collateral or any rights, obligations or control with respect to the Supply Agreement. Secured Party shall be deemed to have exercised reasonable care in the custody and preservation of any Collateral in its possession if such Collateral is accorded treatment substantially equal to that which Secured Party accords its own property. 9. Events of Default. The occurrence of any one or more of the following shall constitute an "Event of Default" under this Security Agreement: 9.1 the occurrence and continuation of an Event of Default on the part of Debtor under the Supply Agreement, which has not been waived by Supplier or cured by Security Agreement—A&R Transaction Confirmation No. 2 page 6 Debtor within longer of (a) the time period (if any) specified in such agreement for waiver and/or cure and(b)thirty (30) days; 9.2 any representation, warranty or other statement of fact contained in this Security Agreement by Debtor proves to have been false, misleading or incomplete in any material respect at the time when such warranty, representation or statement was made or furnished to Secured Party and such representation, warranty or other statement of fact continues to be false, misleading or incomplete thirty (30) days following receipt of notice from Secured Party; 9.3 if prior to termination of this Security Agreement, this Security Agreement shall cease to be in full force and effect or any Lien created in favor of the Secured Party hereunder shall cease to constitute a valid perfected Lien on the Collateral (subject only to the Permitted Liens), to the extent the foregoing is caused by Debtor, or Debtor disposes of any or all of the Collateral in any manner that is not permitted pursuant to Section 4 hereof, or 9.4 upon the failure to obtain the release of any Lien that is not a Permitted Lien within the time specified in Section 7.1 hereof. 10. Remedies on Default. Secured Party shall have the following rights and remedies upon the occurrence and during the continuance of an Event of Default in accordance with and subject to the terms of this Section 10: 10.1 Upon the occurrence and during the continuance of an Event of Default, Secured Party shall have the right and power to enforce all rights and remedies available to Secured Party under applicable laws in respect of the Supply Agreement in accordance with the Third-Party Contract Rights; in each case to the extent any deliveries to Secured Party under the Supply Agreement remain to be made by Debtor. 10.2 In addition to the rights and powers granted in Section 10.1 hereof, upon the occurrence and during the continuance of an Event of Default: (a) Debtor hereby consents to and grants Secured Party the right to (i) substitute itself for Debtor and perform the duties of Debtor under the Supply Agreement and (ii) exercise any rights or remedies of Debtor with respect to the Supply Agreement on behalf of Debtor, subject to the terms of the A&R Transaction Confirmation and the Supply Agreement; provided that notwithstanding anything in this Security Agreement to the contrary, nothing within this Security Agreement or the execution of the transactions contemplated herein shall effect, cause or permit a novation of the Debtor that is not consented to in writing by the applicable counterparty; and (b) Debtor hereby additionally consents to and grants Secured Party the right to cure any defaults of Debtor and perform any and all obligations of Security Agreement—A&R Transaction Confirmation No. 2 page 7 Debtor under the Supply Agreement in accordance with and in the manner provided for by the Third-Party Contract Rights. 10.3 Upon the occurrence and during the continuance of an Event of Default, Secured Party shall have the right, without notice or demand, to do any or all of the following: (i) make any payments and do any acts it considers necessary or reasonable to protect the Collateral and/or its security interest in the Collateral. Secured Party may take and maintain possession of any part of the Collateral, and pay, purchase, contest, or compromise any Lien which appears to be prior or superior to its security interest and pay all expenses incurred; and (ii) exercise all rights and remedies available to Debtor at law or in equity. 10.4 IN NO WAY SHALL SECURED PARTY'S EXERCISE OF ANY OF THE REMEDIES PROVIDED HEREIN RESTRICT THE SECURED PARTY FROM EXERCISING THE THIRD-PARTY CONTRACT RIGHTS UNDER THE A&R TRANSACTION CONFIRMATION AND THE SUPPLY AGREEMENT. 11. Notices. All notices, demands and communications between the parties concerning this Security Agreement shall be in writing and shall be delivered, or mailed by registered or certified mail with postage prepaid, or telegraphed, addressed in each case as follows and shall be deemed to have been given or made when: (i) by certified mail the return receipt is signed or refusal to accept the notice is noted thereon; or (ii) by overnight courier or hand delivery upon receipt or refusal to accept: If to Debtor: Element Markets Renewable Energy, LLC 3555 Timmons Lane, Suite 900 Houston, TX 77027 Attn: Contract Administration Fax: 281-207-7211 If to Secured Party: City of Vernon, Gas& Electric Department. Attention: Carlos Fandino,Jr. Director of Gas & Electric 4305 S. Santa Fe Avenue Vernon, CA 90058 Fax: 323-826-1408 Either party, at any time, by written notice given to the other in accordance with this Section, may designate a different address to which such communications shall thereafter be directed. 12. Continuina Securi Interest• Assignments under the Secured Obli ation• Release. This Security Agreement shall remain in full force and effect and be binding in Security Agreement—A&R Transaction Confirmation No. 2 page 8 accordance with and to the extent of its terms upon Debtor and the successors and assigns thereof, and shall inure to the benefit of the Secured Party and their respective successors, endorsees, transferees and assigns until the Obligations shall have been satisfied in full, at which time this Security Agreement shall terminate. In connection with any termination or release pursuant to the foregoing, the Secured Party shall execute and deliver to Debtor or authorize the filing of, at Debtor's expense, all documents that Debtor shall reasonably request to evidence such termination or release. Any execution and delivery of documents pursuant to this Section shall be without recourse to or warranty by the Secured Parry. 13. Miscellaneous. 13.1 Remedies Not Exclusive. Subject to the limitations herein, it is understood and agreed that the remedies granted to the Secured Parry herein shall not be deemed exclusive of any other remedies possessed by the Secured Party under the Purchase Agreement or at law or in equity, but shall be deemed additional and cumulative thereto. 13.2 GOVERNING LAW. THIS SECURITY AGREEMENT AND THE RIGHTS AND OBLIGATIONS OF THE PARTIES HEREUNDER SHALL BE GOVERNED BY, AND CONSTRUED AND INTERPRETED IN ACCORDANCE WITH, THE LAW OF THE STATE OF CALIFORNIA WITH VENUE FOR ANY DISPUTE IN LOS ANGELES CALIFORNIA. 13.3 Assignment. Debtor may not assign, transfer or delegate any of its rights or obligations under this Security Agreement without the prior written consent of the Secured Party; provided that such consent will not be unreasonably withheld, delayed or conditioned by Secured Party. 13.4 Severability. Any provision of this Security Agreement that is prohibited or unenforceable shall be ineffective to the extent of such prohibition or unenforceability without invalidating the remaining provisions hereof. The parties hereto shall endeavor in good-faith negotiations to replace the invalid, illegal or unenforceable provisions with valid provisions the economic effect of which comes as close as possible to that of the invalid, illegal or unenforceable provisions. 13.5 Integration. This Security Agreement represents the agreement of the parties with respect to the terms of the security interest of Secured Party in the Collateral and there are no promises, undertakings, representations or warranties by the any party hereto relative to the subject matter hereof not expressly set forth or referred to herein. Security Agreement—A&R Transaction Confirmation No. 2 page 9 13.6 Amendments in Writing; No Waiver; Cumulative Remedies. (a) None of the terms or provisions of this Security Agreement may be waived, amended, supplemented or otherwise modified except by a written instrument executed by the Debtor and the Secured Party. (b) Secured Party shall not by any act (except by a written instrument pursuant to Section 13.6 hereof), or delay, indulgence, omission or otherwise, be deemed to have waived any right or remedy hereunder or to have acquiesced in any default or Event of Default or in any breach of any of the terms and conditions hereof. No failure to exercise, nor any delay in exercising, on the part of the Secured Party, any right, power or privilege hereunder shall operate as a waiver thereof except to the extent such failure to exercise or delay in exercising such right operates as a waiver of such right under the terms of the A&R Transaction Confirmation or Security Agreement, as applicable. No single or partial exercise of any right, power or privilege hereunder shall preclude any other or further exercise thereof or the exercise of any other right, power or privilege. A waiver by the Secured Party of any right or remedy hereunder on any one occasion shall not be construed as a bar to any right or remedy that the Secured Party would otherwise have on any future occasion except to the extent explicitly provided in this Section 13.6(b). (c) The rights, remedies, powers and privileges herein provided are cumulative, may be exercised singly or concurrently and are not exclusive of any other rights or remedies provided by law. 13.7 Section Headings. The Section headings used in this Security Agreement are for convenience of reference only and are not to affect the construction hereof or be taken into consideration in the interpretation hereof. B.8 Counterparts. This Security Agreement may be executed by one or more of the parries to this Security Agreement on any number of separate counterparts (including by facsimile or other electronic transmission), and all of said counterparts taken together shall be deemed to constitute one and the same instrument. 13.9 Successors and Assigns. The covenants and agreements herein contained by or on behalf of the Debtor shall bind Debtor, Debtor's legal representatives, successors and assigns and all persons who become bound as a debtor to this Security Agreement and shall inure to the benefit of the Secured Party, and its successors and assigns. [SIGNATURE PAGE FOLLOWS] Security Agreement—A&R Transaction Confirmation No. 2 page 10 IN WITNESS WHEREOF,each of the undersipmed has caused this Security Agreement to be duly executed and delivered by its duly authorized officer as of the day and year first above written. DEBTOR: £L L. EPS RENEWABLE ENERGY,LL.0 By: — .. Name: tc Paar tr Title: Senior Vice President SECURED PARTY: CITY OF VERNON,GAS& ELECTRIC DEPARTMENT By: Name:Carlos Fandino Title:Director of Gas&Electric Department ATrE ST: Ana Barcia.DmAy City Cleri APPROVED AS TO FORM: Hema Patel City Attontey RECEIVED REC _ . . A'V p ? FEB 2 5 2015 FEB 2 4 2015 E � '� CITY ADMINISTRATION CITY CLERK'S OFFICE STAFF REPORT VERNON GAS & ELECTRIC DEPARTMENT DATE: March 3, 2015 4 TO: Honorable Mayor and City Council ,Yi( 2,.2 FROM: Carlos Fandino, Director of Vernon Gas & Electric O' RE: Approving the Issuance of a Notice Inviting Bids for the Procurement and Installation of Allison Turbine Control System Upgrade Recommendation It is recommended that the City Council: 1. Find that approval of the proposed issuance of a Notice Inviting Bid is exempt under the California Environmental Quality Act (CEQA) in accordance with CEQA Guidelines Section 15061(b)(3), the general rule that CEQA only applies to projects that may have an effect on the environment, because the system upgrade referenced herewith merely augments the existing control system and improves efficiency and reliability of energy produced in Vernon; and 2. Approve the issuance of a Notice Inviting Bids entitled "Turnkey Design, Equipment, Fabrication, Testing, Operational and Ready-in-Service Control System Upgrade for Two Existing Aero-Derivative Gas Turbines Used for Power Generation" in substantially the same form as attached to this staff report. Staff estimates that the total purchase price will be between $400,000 and $500,000; but the exact price will not be determined until the bids have been received and reviewed. Background Vernon Gas & Electric (VG&E) owns and operates two (2) Rolls-Royce 571K Allison industrial aero-derivative gas turbines used for power generation. These two turbines provide a value to the City of Vernon in the form of Non-Spin Ancillary Service but, more importantly, fulfill a portion of the City's Resource Adequacy (RA) requirements. Each turbine has operated on average approximately 20 hours per year; however, when they are called to service, a less than ten (10) minute start to full load is required for acceptance by the California Independent System Operator (CAISO). The RA fulfillment is based on reaching full load (about 6 MW's per turbine) in less than ten (10) minutes after receipt of a Dispatch notice by CAISO. If the turbine does not reach its full load within the required time limit, it is considered a "Failed Start Event" which is unacceptable to the CAISO. As a result of a failed start, the City of Vernon may incur a penalty by the CAISO, and the RA payment to the City of Vernon is also at risk. An aging system with antiquated analog and manual controls compounds the potential for system failure. The City, therefore, is taking measures to replace the existing control system with a new design to minimize the likelihood of RA penalties and subjection to deductions of payments by maximizing the performance of the system. With a system upgrade, the City hopes to eliminate, or at least mitigate, any financial risk. The Allison Turbine System is a critical component within the Gas & Electric Department and its reliability is imperative to VG&E's successful operation. Staff is requesting Council approval to issue a notice inviting bids for "turnkey" design, engineering, procurement of any and all required equipment, and construction services to guarantee a safe, reliable, functional, fully automated push button control system permitting startup and synchronization for each of the two existing aero-derivative gas turbines used for power generation. To encourage the greatest number of possible bidders, consistent with his authority under Vernon Municipal Code § 2.17.20, the City Administrator has waived the requirement that bidders security be provided in this instance because the contract instead requires liquidated damages should the successful bidder fail to perform as required by the contract. As such, the form of bid for this procurement conforms to the requirements of the Vernon Competitive Bidding and Purchasing Ordinance and, thereby includes all processes and provisions required by the Good Governance Reform efforts. Fiscal Impact An amount of$500,000 for the Allison Turbine system upgrade has been incorporated in the Gas & Electric Department's proposed Capital Budget for fiscal year 2015-2016, with work tentatively slated to begin in October 2015. Issuance of the Notice Inviting Bids does not obligate the City to purchase a system upgrade, but may allow the City to do so. It is expected that, at the conclusion of the bid process, City staff will return to request the City Council's approval to award a contract to the lowest responsible bidder, and to authorize the related expenditure of at that time. Attachments BID FORM AND PROJECT SPECIFICATIONS FOR ALLISON TURBINE CONTROL SYSTEM UPGRADE IN THE CITY OF VERNON, CALIFORNIA le 16U�p Z LY 14'0 Contract No. LP-0999 Bid Opening Date: April 9, 2015 - 2:00 p.m. Tentative Construction Start Date: October 5, 2015 CITY OF VERNON DEPARTMENT OF GAS & ELECTRIC 4305 SANTA FE AVENUE VERNON, CA 90058 (323) 583-8811 TABLE OF CONTENTS PAGE NOTICE INVITING BIDS............................................................................................... NIB-1 BIDDER'S PROPOSAL.....................................................................................................BP-1 PART I............................................................................ INSTRUCTIONS TO BIDDERS I-1 GENERAL INSTRUCTIONS........................................................................................... I-1 I-1.01 General Bid Requirements........................................................................... I-1 I-1.02 Bidder's Guarantee..................................................................................... I-1 I-1.03 Bidder Must Make Thorough Investigation.................................................... I-1 I-1.04 Acceptance of Conditions............................................................................ I-1 I-1.05 Truth and Accuracy of Representation.......................................................... 1-1 I-1.06 City Changes to the Bid Documents............................................................. I-1 I-1.07 Notice Regarding Disclosure of Contents of Document................................... I-1 I-1.08 Award of Bid and Determination of Responsiveness ...................................... 1-2 1-1.09 Ineligibility to Contract................................................................................ 1-2 I-1.10 Errors and Omissions.................................................................................. I-2 I-1.11 Patent Fees; Patent, Copyright, Trade Secret and Trademark Fees................. 1-2 I-1.12 Taxes........................................................................................................ I-2 I-1.13 Local Bidders; Refund of Sales and Use Tax ................................................. I-2 I-1.14 Indemnity in the event of bid dispute................................................................ . I-3 1-2 SPECIAL CITY REQUIREMENTS ................................................................................... I-3 I-2.01 Equal Employment Opportunity in Contracting.............................................. I-3 I-2.01.1 Policy...................................................................................................... I-3 I-2.01.2 Compliance.............................................................................................. I-3 I-2.01.3 Required Forms........................................................................................ I-3 I-2.02 Affidavit of Non-Collusion by Bidder............................................................. I-3 I-2.03 Vernon Living Wage Ordinance.................................................................... I-3 I-3 GENERAL SPECIFICATIONS......................................................................................... I-3 I-3.01 Bid Proposal Quantities............................................................................... 1-3 13.02 Registration and Qualifications of Contractors............................................... 1-3 I-3.03 Standard Specifications................................................................................ 1-4 I3.04 Subcontracts.............................................................................................. 1-4 I-3.05 Non-Discrimination...................................................................................... 1-4 13.06 Protection of Existing Facilities...................................................................... 1-4 I-3.07 Contract Bonds ........................................................................................... I-4 I-3.08 Termination of Contract............................................................................... I-4 I-3.09 Liability Insurance....................................................................................... 1-5 1-3.10 Partial Payment........................................................................................... I-5 1-3.11 Security Deposits in Lieu of Retention ........................................................... I-5 1-3.12 Worker's Compensation Certification............................................................. I-5 1-3.13 Sample Contract ......................................................................................... I-5 1-3.14 Special Conditions - Prevailing Wages and Employment of Apprentices ............ I-5 1-3.15 Retention.............................................................................................................. . I-6 I-3.16 Trade names and "or approved equal" provision................................................ . I-6 I-3.17 Notice to Contractor.............................................................................................. 1-6 ATTACHMENT TO PART I PART II — SPECIAL PROVISIONS— SPECIFIC FOR THIS PROJECT II-1.01 Highlights of Relevant Facts Relating to Control System Upgrade.............. II-1 II-1.02 Issues or Problems to be Addressed ....................................................... II-1 II-1.03 Scope of Work...................................................................................... II-1 II-1.04 Specifications ....................................................................................... II-7 II-1.05 Length of Contract................................................................................ II-7 II-1.06 Delays and Extensions of Time............................................................... II-7 II-1.07 Quality of Work .................................................................................... II-7 II-1.08 Liquidated Damages.............................................................................. II-7 II-2.01 Scheduling of Work............................................................................... II-7 II-2.02 Requirements - General......................................................................... II-8 II-3.01 Character of Workers ............................................................................ II-8 II-4.01 Examination of the Site ......................................................................... II-8 PART III —TECHNICAL SPECIFICATIONS III-1.01 General............................................................................................... III-1 III-1.02 Electrical Equipment ............................................................................ III-2 III-1.03 Scope................................................................................................. III-2 III-1.04 Protection, Metering, and Controls ........................................................ III-2 III-1.05 Equipment.......................................................................................... III-3 III-1.06 Other Equipment................................................................................. III-3 III-1.07 Penalty and Liquidated Damages for a Failed Start Event........................ III-3 Standard Plans APPENDIX A — Forms to be Completed by Bidder APPENDIX B — Sample Contract Certificate of Insurance NOTICE INVITING BIDS For ALLISON TURBINE CONTROL SYSTEM UPGRADE in the City of Vernon, California Sealed bids must be received prior to 2:00 p.m., April 9, 2015, by the City Clerk of Vernon, 4305 Santa Fe Avenue, Vernon, CA 90058, for the Allison Turbine Control System Upgrade in the City of Vernon, California. Copies of the Specifications are available at no charge at the Department of Gas& Electric, City of Vernon, 4305 Santa Fe Avenue, Vernon, CA 90058, between the hours of 7:00 a.m. and 5:30 p.m. Monday through Thursday. A non-refundable fee of$20.00 will be charged if mailing is requested by calling (323) 583-8811. ext 825. A pre-bid meeting is scheduled for March 23, 2015, at 10:00 a.m. in the Department of Gas &Electric, 4305 Santa Fe Avenue, Vernon, CA 90058. This meeting is to answer any questions regarding the project specifications. AttandanW Or. not mandatori. Each subcontractor, under the prime bidder, must hold an active subcontractor's license corresponding to the type of work the subcontractor is preforming. Each subcontractor may only preform the type of work corresponding to the active license. All bids must be accompanied by bids security in the amount of five percent (5%) of the bid prices, in the form of cash, cashier's check, money order, or surety bond. Refer to the Specifications for complete details and bid requirements. Specifications and this notice shall be considered a part of any contract made pursuant thereto. Mark Whitworth City Administrator Dated: (Authorized by City Attorney) Published: NIB-1 BIDDER'S PROPOSAL FOR ALLISON TURBINE CONTROL SYSTEM UPGRADE in the City of Vernon, California Bid Opening: 2:00 p.m., April 9, 2015, City Clerk's Office, 4305 Santa Fe Avenue, Vernon To the Honorable City Council of the City of Vernon, California In response to the Notice Inviting Bids for ALLISON TURBINE CONTROL SYSTEM UPGRADE, the undersigned bidder proposes to the City of Vernon all labor, materials, methods and processes, tools implements and machinery which are necessary and required for the performance of the work mentioned in said Notice Inviting Bids in accordance with the Specifications therein referred to at the prices listed on pages BP-2 through BP-3 inclusive. Each bidder must bid on the items shown in the Bidder's Proposal. If any bidder makes any alteration, interlineation or deviation in any of the printed matter of the proposal or if the signature of the bidder is incomplete, the bid will be considered informal and may be rejected. The price bid shall include any and all charges required under the California Retail Sales Act of 1933 as amended and the California Use Tax Act of 1935. In case of a discrepancy between the unit prices and items totals, the unit prices shall prevail, and in the case of a discrepancy between item totals and the grand total, the item totals shall prevail. The grand total will be subject to adjustment by the City in the event of a discrepancy. The contract award shall be made on the basis of the grand total as described about from among responsive and responsible bidders. Based on the bids received and the City's budget at the time of contract award, the City reserves the right to delete items or to change quantities of bid items. BP-1 BIDDER'S PROPOSAL FOR ALLISON TURBINE CONTROL SYSTEM UPGRADE BID ITEM DESCRIPTION QUANTITY NEEDED # BY CITY Cost 1 Mobilization and Demobilization 1 $ Design&Engineering A. Review existing protection and control drawings. B. Design a new protection,control, metering and 2 automation control system. 1 $ C. New drawings of controls and interconnection to existing facilities. Protection&Relays SCADA Ready Includes all engineering and design(Refer to Part II Special Provisions—Specific to this Project) A. All protective devices to be replaced with SEL-70OGT auto sync relay. B. Incorporate existing SEL-30OG as part of the new 3 protection scheme. 1 $ C. Engage services of Schweitzer Engineering Services to provide all programing and testing for the SEL-70OGT relay including relay setting calculations and testing all relay elements used as part of the relay scheme. E. Communication interface to be SCADA ready Voltage Control Includes all engineering and design (Refer to Part II Special Provisions—Specific to this Project) A. Existing controls replaced with Basler Digital Excitation Control System which includes, but is not limited to the voltage regulator, power factor 4 controller and diode protection unit. 1 $ B. Replace the existing synchronizer and utilize the auto synchronizer on the SEL-70OGT Relay. C. Remove all analog gauges and meters on panel and replace with new gauges and meters on the new control cabinet. Fuel Control Includes all engineering and design (Refer to Part II Special Provisions—Specific to this Project) New engine analog gauges shall be installed including the following; N1 Gas Generator, N2 Power Turbine and Measured Gas Temperature(MGT). The fuel control shall be bid out for the options below: 5 A. Remove and send the existing Precision Engine 1 $ Controls Corporation(PECC) PECC-TCSD to the manufacturer for a health check and new cards purchased. B. Remove and send the existing PECC-TCSD to the manufacturer for a health check and card upgrades. C. Remove the existing PECC-TSD to the manufacturer for a health check,card upgrades and a full set of spares. D. Remove the existing PECC-TCSD and install anew PECC-TCSD or City approved equivalent. Unit Sequencing Control Includes all engineering and design (Refer to Part II Special Provisions—Specific to this Project) A. Retrieving all data, ladder logic codes and information from the existing GE PLC for the successful installation of the new PLC. B. Remove the existing PLC and replace with an Allen Bradley PLC for unit sequencing and monitoring of the skid, drive train and safety protection including but not limited to the following: 6 • Turbine auxiliaries 1 $ • Gearbox and associated auxiliaries • Generator and associated auxiliaries • Gas systems for leaks and monitoring C. Two new HMI's shall be installed to communicate with all devices. D. Replace existing temperature monitoring system of the MGT's. Control Cabinets Includes all engineering and design (Refer to Part II Special 7 Provisions—Specific to this Project) 1 $ A. Remove old cabinet and controls and replace with new cabinet and controls per this agreement. Remote Station Includes all engineering and design (Refer to Part II Special Provisions—Specific to this Project) 8 A. Install remote control station in the control room per 1 $ this agreement. Misc. Equipment and Spare Parts A. Contractor shall supply all other equipment required for a turnkey project. 9 B. Spare parts shall be listed and provided. 1 $ C. Special tools shall be listed and provide. Special Software and Applications Requirements A. Provide licensed and most updated applications. B. Hardware,software,driver,and applications licenses and manuals. C. Historical storage and retrieval/retrieval/trending of 10 process values,events and alarms,with online data 1 $ storage for up to three(3)years. D. Ensure ability to connect remotely for future integration and support. Installation and Commissioning Services 11 A. Following the receipt of Notice to Proceed, 1 $ coordinate a kick-off meeting with the City Project Management team to review conceptual design and project work plan. B. Provide for Factory Acceptance Testing and reports. C. Furnish,deliver and install the configured and factory test accepted designed. D. Field test,commission and deliver including SEL Support during commissioning. E. Prior to project close out, provide all final documentation including but not limited to as-built drawings, user manuals,and system configurations. I _ Field Service and Training A. The Contractor shall provide field service to complete wiring. Inspection,testing and energization as long as needed. The Contractor shall engage services of Schweitzer Engineering Laboratories(SEL) Engineering Services to provide commissioning support for the SEL- 12 700GT relay. 1 $ B. The Contractor shall provide two(2)weeks of hands- on training to City field and operation crews,as well as engineers,during the installation phase and at a later date shall provide at least one(1)week of classroom and other hands-on training to City field, operations and engineering personnel as a part of this contract. Maintenance and Technical Support Services A. Provide a three(3)year technical and 13 software/hardware support within 24 hours respond 1 $ and annual recertification services TOTAL $ Undersigned Bidder agrees to commence work within calendar days from the date of issuance of a Notice to Proceed and proposes and agrees to have all work completed calendar days from the time the contract begins. Undersigned Bidder acknowledges receipt of the following addenda issued for the above project. If no addenda have been received, write"none". FAILURE TO ACKNOWLEDGE RECEIPT OF ANY ADDENDA ISSUED WILL RENDER THE CONTACTOR'S BID NON-RESPONSIVE. List of addenda Received: PLEASE SEE PART I SECTION 2.01.3 REQUIRED FORMS. Bidder shall execute the following (Appendix"A"): Page 1. Identity Confirmation BP-(a) 2. Subcontractor Listing BP-(b) 3. Affidavit of Non-Collusion BP-(c) 4. Living Wage Compliance Certification BP-(d) 5. Certificate of Equal Opportunity Practices FORMS AA-1,2,3 Bidder declares that neither he nor any member of his firm or corl2oration is an officer or an employee of the City of Vernon. Bidder's Proposal Respectfully Submitted, (If a Bidder is a corporation, by it's seal must be impressed hereon) Authorized Signatory California State Contractor's License No. California Corporation No. _ BP-3 PART I INSTRUCTIONS TO BIDDERS I-1 GENERAL INSTRUCTIONS I-1.01 General Bid Requirements-To be considered, a Bidder must follow the format for bids in the Specifications. Bids must be binding and firm. Any bid may be withdrawn before bid opening, but not for 90 days after opening. I-1.02 Bidder's Guarantee - Bid security in the amount of five percent(5%) of the bid price, in the form of cash, cashier's check, money order or surety bond, meeting City requirements, must accompany all bids. If the Bidder to whom the contract is awarded shall for fifteen (15) calendar days after such award fail or neglect to enter into the contract and file the required bonds, the City may deposit in its treasury said bid security and, under no circumstances, shall it be returned to the defaulting Bidder. I-1.03 Bidder Must Make Thorough Investi_act tion - It is the Bidder's responsibility to examine the location of the proposed work, to fully acquaint itself with the Specifications and the nature of the work to be done. Bidders shall have no claim against the City based upon ignorance of the nature and requirements of the project, misapprehension of site conditions, or misunderstanding of the Specifications or contract provisions. I-1.04 Acceptance of Conditions - By submitting a bid, each Bidder expressly agrees to and accepts the following conditions: I-1.04.1 All parts of the Instructions to Bidders and Specifications will become part of the Contract between the selected Bidder and the City; I-1.04.2 The City may require whatever evidence is deemed necessary relative to the Bidder's financial stability and ability to complete this project; I-1.04.3 The City reserves the right to request further information from the Bidder, either in writing or orally, to establish any stated qualifications; I-1.04.4 The City reserves the right to solely judge the Bidder's representations, and to solely determine whether the Bidder is qualified to undertake the project pursuant to the criteria set forth herein. The Bidder by submitting a bid,expressly acknowledges and agrees that the judgment of the City as to whether or not the Bidder is qualified to perform the project, shall be final, binding and conclusive; I-1.04.5 The City reserves the right to reject all bids, waive any irregularity in any of the bids, or cancel or delay the project at any time; I-1.04.6 This bidding process does not commit the City to award any contract, and the City is not liable for any costs incurred by the Bidder in the preparation and submission of a bid. I-1.05 Truth and Accuracy of Representation - False, incomplete or unresponsive statements in connection with the bid may be sufficient cause for rejection of a Bidder. I-1.06 City Changes to the Bid Documents -The City reserves the right to change any part of these Instructions to Bidders and Specifications any time prior to the bid opening. Any changes shall be in the form of addenda, will become a part of the bid documents and of the contract. Addenda shall be made available to each Bidder. A Bidder's failure to address the requirements of the addenda may result in the bid not being considered. If the City determines that a time extension is required for the submission of the bid, the addenda will give the new bid opening date. I-1.07 Notice Regarding Disclosure of Contents of Document - All bids accepted by the City shall become the exclusive property of the City. Upon opening, all bids accepted by the City shall become a matter of public I-1 record and shall be regarded as public, with the exception of those elements of each bid which are identified by the Bidder as business or trade secrets and plainly marked as "trade secret," "confidential,"or"proprietary." Each element of a bid which a Bidder desires not to be considered a public record must be clearly marked as set forth above, and any blanket statement (i.e., regarding entire pages, documents, or other non-specific designations) shall not be sufficient and shall not bind the City in any way whatsoever. If disclosure is required under the California Public Records Act or otherwise by law (despite the Bidder's request for confidentiality), the City shall not in any way be liable or responsible for the disclosure of any such records or part thereof. I-1.08 Award of Bid and Determination of Responsiveness - The contract shall be awarded to the lowest responsive and responsible Bidder. In determining whether a Bidder is responsive and responsible, the following shall be considered. I-1.08.1 The quality of the material offered; I-1.08.2 The ability, capacity and skill of the Bidder to perform the contract or provide the material or services; I-1.08.3 Whether the Bidder can perform the contract or provide the service promptly,or within the time specified, without delay or interference; I-1.08.4 The sufficiency of the Bidder's financial resources and the effect thereof on their ability to perform the contract or provide the material or services; I-1.08.5 The character, integrity, reputation, judgment, experience and efficiency of the Bidder; I-1.08.6 The quality and timeliness of the Bidder's performance on previous purchase orders or contracts for the City; I-1.08.7 Litigation by the Bidder on previous purchase orders or contracts with the City; I-1.08.8 The ability of the Bidder to provide future maintenance and service where such maintenance and service is essential. I-1.09 Ineliciibility to Contract — Pursuant to Sections 1777.1 and 1777.7 of the California Labor Code, any Contractor that has been found by the State Labor Commissioner to be in violation of the Labor Code Section entitled "Public Works" shall be ineligible to bid on or be awarded a contract for this project. The period of debarment shall be not less than one year and up to three years as determined pursuant to Section 1777.7 of the Labor Code. In submitting its bid, the Bidder certifies that it is aware of these provisions and is eligible to bid on this contract. The successful Bidder shall also be prohibited from performing work on this project with a subcontractor who is ineligible to perform work on a public works project pursuant to Section 1777.1 or 1777.7 of the Labor Code. In submitting its bid, the Bidder certifies that it has investigated the eligibility of each and every subcontractor it intends to use on this project and has determined that none is ineligible to perform work pursuant to the above provisions of law. I-1.10 Errors and Omissions - Bidders shall not be allowed to take advantage of any errors or omissions in the Instructions to Bidders or Specifications. Full instructions will be given if such error or omission is discovered and timely called to the attention of the City. In submitting its bid, the Bidder certifies that it is aware of these provisions and is eligible to bid on this Contract. I-1.11 Patent Fees; Patent Copyright, Trade Secret and Trademark Fees - Each Bidder shall include in the price bid any patent fees, royalties and charges on any patented article or process to be furnished or used in the prosecution of the Work. I-1.12 Taxes - Price bid shall include all federal, state, local, and other taxes. I-1.13 Local Bidders: Refund of Sales and Use Tax - For the purpose of determining the lowest Bidder on a contract for materials and supplies only, 1% of that portion of the bid subject to sales or use tax shall be deducted from any bid where it is determined that if such Bidder were awarded the contract, the City would receive a refund of the 1%. I-2 I-1.14 Indemnity in the event of a bid dispute - Based upon the bidder's submission of this bid and the City's acceptance of same, the bidder will be required to indemnify, defend and hold harmless at its expense, including the provision of legal counsel,the City, its agents,employees and officers from liability,claims,demands,damages and costs if such dispute or action arises solely upon the award of the bid in compliance with State, Federal and local laws. I-2 SPECIAL CITY REQUIREMENTS NOTICE THERE IS AN APPENDIX "A" OF FORMS IN THESE SPECIFICATIONS WHICH A BIDDER MUST COMPLETE TO ESTABLISH COMPLIANCE WITH A NUMBER OF SPECIAL CITY OF VERNON REQUIREMENTS, INCLUDING, BUT NOT LIMITED TO, EQUAL EMPLOYMENT OPPORTUNITY AND AFFIDAVIT OF NON-COLLUSION. THESE FORMS AND THEIR INSTRUCTIONS SHOULD BE CONSIDERED AN INTEGRAL PART OF THE SPECIFICATIONS AND FAILURE TO COMPLETE THEM MAY BE GROUNDS, IN THE SOLE DISCRETION OF THE CITY, FOR REJECTION OF ANY BIDDER. I-2.01 Equal Employment Opportunity in Contracting I-2.01.1 Policy - The City of Vernon is committed to a policy of Equal Opportunity Contracting. Qualified firms including small businesses and businesses owned by women, minorities, and disabled persons are encouraged to submit bids or proposals. Contractors expressly agree to comply with the City's ordinances and regulations regarding Equal Opportunity Employment as well as regulations that may be mandated by the source of the funds supporting this contract. I-2.01.2 Compliance - To the extent permitted by law, the Contractor expressly agrees to establish compliance with the Equal Employment Opportunity Practices Provisions of federal and state law. I-2.01.3 Required Forms - No contract shall be awarded until the Bidder has submitted to the City or has on file with the City a nondiscrimination certification acceptable to the City. I202 AlAdavit of Non-Collusion by Bidder - The City requires that each Bidder execute and submit to the City with their Bid, the Affidavit of Non-Collusion included in Appendix 'A." I-2.03 Vernon Living Wage Ordinance - This contract is subject to the Bidder, or Subcontractor, if any, working on City service contracts of any amount, as to all employees spending time on City contracts shall observe the City's Living Wage Ordinance and all requirements thereof at all times on City contracts. The Current Living Wage Standards are set forth in Exhibit"A". Upon request, certified payroll shall be provided to the City. I-3 GENERAL SPECIFICATIONS I-3.01 Bid Proposal Quantities-The quantities contained in the bid documents are approximate only, and are for the sole purpose of comparing bids. The City may, in accordance with the Standard Specifications, order more or less work or material as necessary in the City's sole discretion. Payment will be made for the amount of work or material actually provided as determined by the City and accepted at the unit or lump sum prices noted in the bid, where applicable, and those prices shall govern. I-3.02 Registration and Qualifications of Contractors - Before submitting bids, Contractors shall be licensed in accordance with the Business and Professions Code Section 7000 et. seq. and each Contractor shall insert his license number on the Bidder's Proposal. In submitting this bid, the Bidder warrants that it has work experience comparable to that which is to be performed. Prior to award of a contract, the City may request of any Bidder, a statement setting forth their work experience of a nature comparable with that which is to be performed. Such statement shall describe the work performed over the period of three(3)years next preceding the date of said statement, and shall give the owner, location, and contract price, together with the dates of beginning and completion of such work. This statement of experience shall be submitted within seven (7) calendar days after the City's notification to so submit. Failure to submit an adequate statement can result in rejection of the bid as non-responsive. I-3 I-3.03 Standard Specifications-In connection with contracts related to the subject"Bidder's Proposal,"and except as otherwise provided below, all work shall be done in accordance with the provisions of the 2012 edition of "STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION" (commonly known as the "GREENBOOK"), including Supplements, prepared and promulgated by Public Works Standards, Inc., a mutual benefit corporation. I-3.04 Subcontracts - In addition to the information to be listed by the Bidder with the bid pursuant to Section 2-3, entitled "Subcontracts," of the Standard Specifications, the Bidder shall provide for each subcontractor listed a brief description of the work to be subcontracted (see Page BP-(b) of the Bidder's Proposal). After bids have been received, no substitution of subcontractors in place of those listed in the bid or addition of subcontractors for work in excess of one-half of one percent of the total bid price will be permitted without the written consent of the City Engineering Manager. The sole grounds for said consent shall be the exceptions listed in Chapter 4 of the Public Contract Code. Pursuant to California Labor Code §1021.5, the Contractor must not willingly and knowingly enter into any agreement with any person, as an independent contractor, to provide any services in connection with the Work where the services provided or to be provided requires that such person hold a valid contractor's license issued pursuant to California Business and Professions Code §§7000 et seq. and such person does not meet the burden of proof of his/her independent contractor status pursuant to California Labor Code §2750.5. In the event that the Contractor shall employ any person in violation of the foregoing, the Contractor shall be subject to the civil penalties under California Labor Code §1021.5 and any other penalty provided by law. In addition to the penalties provided under California Labor Code §1021.5, the Contractor's violation of this Paragraph or the provisions of California Labor Code§1021.5 shall be deemed an event of the Contractor's default. The Contractor must require any Subcontractor of any tier performing or providing any portion of the Work to adhere to and comply with the foregoing provisions. Pursuant to the provisions of Labor Code Section 1777.1, the Labor Commissioner publishes and distributes a list of contractors ineligible to perform work as a subcontractor on a public works project. This list of debarred contractors is available from the Department of Industrial Relations website at: http://www.dir.ca.gov/dise/debar.htmi. The Contractor must not employ, hire, use or subcontract with any of the listed debarred contractors. Pursuant to Labor Code 1725.5, Contractor and any Subcontractors who bid or work on this project with the City must register and pay an annual fee to the DIR. This project is subject to compliance monitoring and enforcement by the DIR. I-3.05 Non-Discrimination - In the performance of this Contract, the Contractor must not discriminate against any employee, subcontractor, or applicant for employment because of race, religious creed, color, national origin, ancestry, physical disability, mental disability, medical condition, marital status, sex, age, or sexual orientation of any person, to refuse to hire or employ the person or to refuse to select the person for a training program leading to employment, or to bar or to discharge the person from employment or from a training program leading to employment, or to discriminate against the person in compensation or in terms, conditions, or privileges of employment. Violations may also result in the imposition of penalties referred to in Labor Code § 1735. I-3.06 Protection of Existing Facilities - Except where otherwise provided for, the repair or replacement of existing improvements that are damaged, injured, or removed as a result of the work shall be reflected in associated unit or lump sum prices noted in the Bidder's Proposal. I-3.07 Contract Bonds - The Bidder to whom a contract is awarded shall file the bonds specified by Section 2-4, "Contract Bonds,"of the Standard Specifications before execution of the contract. The term "Contract Price" shall be deemed to mean the total contract "not to exceed" amount consisting of the base bid stated in the Bidder's Proposal plus such additional amounts provided for adjustments to the estimated quantities contained in the Bidder's Proposal and for extra work covered by approved change orders, if any. I-3.08 Termination of Contract - Section 6-5, entitled"Termination of Contract,"of the Standard Specifications is modified to read: "The City may terminate this contract in whole or in part at any time, for any cause or without cause, upon fifteen (15) calendar days written notice to the Contractor." I-4 If the contract is thus terminated by the City for reasons other than the Contractor's failure to perform its obligations, the City shall pay the Contractor a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be the Contractor's exclusive remedy for termination without cause. I-3.9 Liability Insurance - Evidence of insurance coverage shall be provided in the manner specified in Section 7.13 Insurance of the City's Sample Contract, Appendix B. I-3.10 Partial Payment - Payment shall be due the Contractor within thirty (30) calendar days after receipt of an itemized statement for work performed during the progress payment period. I-3.11 Security Deposits in Lieu of Retention - Pursuant to Section 22300 of the Public Contract Code, the Contractor may substitute securities for any monies withheld to ensure performance under the contract. At the request and expense of the Contractor, securities equivalent to the amount withheld shall be deposited with the City, or with a State or Federally chartered bank in California as the escrow agent, who shall then pay such monies to the Contractor. Upon satisfactory completion of the contract, the securities shall be returned to the Contractor. Alternatively, the Contractor may request and the City shall make payment of retentions earned directly to the escrow agent at the expense of the Contractor. At the expense of the Contractor, the Contractor may direct the investment of the payments into securities and the Contractor shall receive the interest earned on the investments upon the same terms provided for in this section for securities deposited by the Contractor. Upon satisfactory completion of the contract, the Contractor shall receive from the escrow agent all securities, interest, and payments received by the escrow agent from the City. The Contractor shall pay to each subcontractor, not later than 20 days after receipt of the payment, the respective amount of interest earned, net of costs attributed to retention withheld from each subcontractor, on the amount of retention withheld to ensure the performance of the Contractor. Securities eligible for investment under this section shall include those listed in Section 16430 of the Government Code, bank or savings and loan certificates of deposit, interest bearing demand deposit accounts, standby letters of credit, or any other security mutually agreed to by the Contractor and the City. The Contractor shall be the beneficial owner of any securities substituted for monies withheld and shall receive any interest thereon. The escrow agreement to be used shall be null, void, and unenforceable unless it is substantially similar to the form specified by Section 22300(e) of the Public Contract Code. I-3.12 Worker's Compensation Certification - California Labor Code §§ 1860 and 3700 provide that every Contractor will be required to secure the payment of compensation to its employees. In accordance with the provisions of California Labor Code § 1861, the Contractor, in submitting a bid, hereby certifies as follows: "I am aware of the provisions of California Labor Code § 3700 which requires every employer to be insured against liability for worker's 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." I-3.13 Sample Contract - A sample of the contract the successful Bidder will be required to enter into with the City is attached hereto as Appendix "B" and by this reference incorporated herein and made a part of these Specifications. I-3.14 Special Conditions - Prevailing Wages and Employment of ApprLn ices - The Contractor certifies by submission of a bid that they have not been found by the Labor Commissioner to be in violation of Prevailing Wage laws as outlined in the California Labor Code § 1777.1. The Contractor shall adhere to the provisions of Section 1770-1777 of the Labor Code and Section 7-2 entitled "Labor," of the Standard Specifications. The Contractor shall comply with and adhere to the"Special Conditions— Payment of Prevailing Wages and Employment of Apprentices"attached to Part I of these Project Specifications. I-5 Attention is directed to Section A of this attachment which states, in part, that if there is a difference between the Vernon Living Wage and Prevailing Wage rates for similar classifications of labor, the Contractor and his subcontractors shall pay not less than the highest wage rate. I-3.15 Retention - In addition to any other withholdings permitted by law, a sum equal to five percent(5%) of all sums otherwise due to Contractor as progress payments shall be withheld by City from each progress payment("Retention") and retained until such time as it is due at the completion of the work. A higher Retention amount may be approved by the City Council where project is deemed"substantially complex." I-3.16 Trade names and "or approved equal" provision - Whenever in the Specifications or Drawings the name or brand of a manufactured article is used it is intended to indicate a measure of quality and utility or a standard. Except in those instances where the product is designated to match others in use on a particular improvement either completed or in the course of completion, the Contractor may substitute any other brand or manufacture of equal appearance, quality, and utility on approval of the City, provided the use of such brand or manufacture involves no additional cost to the City. I-3.17 Notice to Contractor - City shall promptly inform Contractor of any third party claims related to this Contract. I-6 ATTACHMENT TO PART I SPECIAL CONDITIONS - PAYMENT OF PREVAILING WAGES AND EMPLOYMENT OF APPRENTICES A. Determination of Prevailing Wage Rates City has obtained from the Director of the Department of Industrial Relations (DIR) pursuant to the Labor Code determinations of the generally prevailing rates of per diem wages and the prevailing rate for holiday and overtime work in the locality in which the Work is to be performed. Copies of these determinations, entitled "PREVAILING WAGE SCALE", are maintained at the City's offices, are available during City's normal business hours and are also available on the Internet at www.dir.ca.gov/DIR/S&R/statistics research.html. If there is a difference in the Vernon Living Wage rates and the California prevailing wage for similar classifications of labor, the Contractor and Subcontractors shall pay not less than the highest wage rates. The wage rate for any classification not listed, but which may be required to execute the Work, shall be commensurate and in accord with specified rates for similar or comparable classifications for those performing similar or comparable duties. Holidays shall be as defined in the collective bargaining agreement applicable to each particular craft, classification or type of worker employed under the Contract. Per diem wages include employer payments for health and welfare, pensions,vacation, travel time and subsistence pay, apprenticeship or other training programs authorized by California Labor Code §3093, and similar purposes when the term"per diem wages"is used herein. Holiday and overtime work, when permitted by law, must be paid for at the rate of at least one and one-half(1112) times the above specified rate of per diem wages, unless otherwise specified. In accordance with Section 1773.2 of the California Labor Code,the Contractor must post a schedule showing all applicable prevailing wage rates at appropriate and conspicuous locations on the job site where they can easily be seen by workers. B. Payment of Prevailing Wage Rates 1. Statutory Requirements - The Project is subject to the provisions of Labor Code §§1720 et seq. and the requirements of Title 8 of the California Code of Regulations §§16000 et seq., which govern the payment of prevailing wage rates on public works projects. The Contractor and Subcontractors of any tier shall be governed by and required to comply with these statutes and regulations in connection with the Project. Pursuant to Labor Code §1771, the Contractor and all Subcontractors of any tier must pay not less than the prevailing wage rates to all workers employed in execution of the Contract. Contractor and Subcontractors must comply with applicable statutes and regulations, including but not limited to Labor Code §§ 1771, 1775, 1777.5, 1813 and 1815. 2. Weekly Payments to Employees - Contractor and all Subcontractors of any tier must pay each worker on the Project, unconditionally and not less often than once each week, the full amounts that are due and payable for the period covered by the particular payday in accordance with the prevailing wage scale determination, regardless of any contractual relationship which may be alleged to exist between the Contractor, Subcontractor and such laborers. Thus, an employer must establish a fixed workweek and an established payday. On each payday, each worker must receive all sums due at the end of the preceding workweek and must be provided with an itemized wage statement. 3. Classifications - City shall require that any class of laborers or mechanics, including apprentices and trainees, which are not listed in the General Wage Determinations and which are to be employed under this Contract, shall be classified conformably to such wage determinations. In the event the City does not concur in the Contractor's proposed classification or reclassification of a particular class of laborers and mechanics (including apprentices and trainees) to be used, the question, accompanied by the recommendation of the City's Project Representative, shall be referred to the State Director of Industrial Relations for determination. 4. Fringe Benefit Cash Equivalent - City shall require, whenever the minimum wage rate prescribed for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly wage and the Contractor is obligated to pay a cash equivalent of such a fringe benefit, an hourly cash equivalent thereof must be established. In the event the interested parties cannot agree upon cash equivalent of the fringe benefit, the questions, accompanied by the recommendation of the City's Project Representative, shall be referred to the State Director of Industrial Relations for determination. C. Penalty for Prevailing Wage Rate Underpayment Pursuant to Labor Code §1775, the Contractor must, as a penalty, forfeit Fifty Dollars ($50.00) to the City for each calendar day or portion thereof, for each worker paid less than the prevailing wage rates as determined by the Director of the Department of Industrial Relations for such work or craft in which such worker is employed for the Work by the Contractor or by any Subcontractor, of any tier, in connection with the Work. The difference between prevailing wage rates and the amount paid to each worker each calendar day, or portion thereof, for which each worker paid less than the prevailing wage rate, must be paid to each worker by the Contractor. D. Withholding The City shall upon its own action or upon written request of an authorized representative of the Department of Labor or DIR, withhold or cause to be withheld from the Contractor under this Contract so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any Subcontractor the full amount of wages required by the Contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the Work, all or part of the wages required by the Contract, the City may, after written notice to the Contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. E. Certified Payroll Records and Basic Payroll Records The Contractor and Subcontractors of any tier must maintain Certified Payroll Records and"Basic Payroll Records", defined as time cards, front and back copies of canceled checks, cash receipts, trust fund forms, daily logs, employee sign-in sheets, accounting ledgers, tax forms and/or any other record maintained for the purposes of reporting payroll, during the course of the Work and must preserve them for a period of three (3) years after completion of the Project for all trades workers executing the Work of the Contract. Certified Payroll Records must be submitted at the times designated in Paragraph F below or upon request as described in Paragraph G below. City reserves the right to require Contractor to routinely submit Basic Payroll Records may be requested by the City at any time and must be provided within ten (10) calendar days following the receipt of the request. F. Submittal of Certified Payroll Records Pursuant to Labor Code §1776, the Contractor and each Subcontractor of any tier must maintain an accurate, weekly payroll record showing the employee full name, address, social security number, work classification, amount paid per hour, straight time, overtime and holiday hours worked each day and weekly totals, the actual per diem wages paid to each person employed for the Work, and the gross/net wages paid for this Project/all projects, as well as the Contractor name and address, Project name and location, and dates of payroll. If payments are made to any third party trust, funds or plans for health and welfare, pension or vacation trusts, those payments must be stated on the Certified Payroll Record. The basic wage rate paid per hour plus the employer contributions for benefits, including training fund contributions, must at least equal the prevailing wage rate for that classification. The Contractor must maintain and submit its Certified Payroll Records and those of its Subcontractors. City reserves the right to require Contractor to submit to the City each week, no later than seven (7) calendar days after the payday for the week covered, the Certified Payroll Records of Contractor and its Subcontractors of every tier. If there is no Work on a given week or on a given day, the Certified Payroll Record must indicate"no work" for that week or day(s). The Certified Payroll Records must account for each day of the week including Saturdays, Sundays and holidays. Contractor and Subcontractors of every tier must write "final" on the last submitted Certified Payroll Record for the Project. The Certified Payroll Records must be verified by a written declaration made by a person with authority to represent the reporting entity, under penalty of perjury, that the information contained in the payroll record is true and correct and that the reporting entity has complied with the requirements of California Labor Code§§1771, 1811, and 1815 for any Work performed by his, her or its employees on the Project. Contractor agrees that submission of Certified Payroll Records as well as all related or subsequent requests for supporting document made by City shall be a condition precedent to Contractor's receipt of a progress, final, or retention payment. The City shall withhold any portion of the progress, final, or retention payment up to and including the entire payment until the Certified Payroll Records requirement is met by the Contractor or its Subcontractor. If the Contractor or any Subcontractor is determined to have failed to pay workers in compliance with the applicable prevailing wage sections of the Labor Code, the City shall continue to withhold progress, final, or retention payments until sufficient funds have been withheld for payment of wages to workers and all applicable penalties. G. Making Certified Payroll Records Available Upon Request Pursuant to Labor Code §1776, in addition to its obligation to deliver certified payroll records to the City on a weekly basis as set forth above, the Contractor must also make payroll records available for inspection at all reasonable hours at the principal office of the Contractor on the following basis: (i) a certified copy of an employee's payroll record must be made available for inspection or furnished to such employee or his/her authorized representative on request; (ii) a certified copy of all payroll records must be made available for inspection or furnished upon request to the City, the Division of Labor Standards Enforcement and the Division of Apprenticeship Standards of the Department of Industrial Relations; (iii) a certified copy of payroll records must be made available upon request to the public for inspection or copies thereof made; provided, however, that a request by the public must be made through either the City, the Division of Apprenticeship Standards, or the Division of Labor Standards Enforcement. If the requested payroll records have not been previously provided to the City, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement, the requesting party must, prior to being provided the records, reimburse the cost of preparation by the Contractor, Subcontractors and the entity through which the request was made; and the public may not be given access to such records at the principal office of the Contractor; (iv) the Contractor must file a certified copy of the payroll records with the entity that requested such records within ten(10)calendar days after receipt of a written request; (v) any copy of records made available for inspection as copies and furnished upon request to the public or any public agency by the City,the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement shall be marked or obliterated in such a manner as to prevent disclosure of an individual's name, address and social security number. The name and address of the Contractor or any Subcontractor, of any tier, performing a part of the Work must not be marked or obliterated. The Contractor must inform the City of the location of payroll records, including the street address, City and county and must, within five (5) Working Days, provide a notice of a change or location and address. H. Forfeiture for Failure to Comply with Written Record Request Laws The Contractor or Subcontractor shall have ten (10) calendar days in which to comply, subsequent to receipt of written request regarding Certified Payroll Records or Basic Payroll Records. In the event Contractor or a Subcontractor fails to strictly comply after such 10-day period, the Contractor or Subcontractor shall, as a penalty to the City, forfeit Twenty-Five Dollars ($25.00) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated. Upon the request of the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement, these penalties shall be withheld from any portion of the Contract Price then or thereafter due the Contractor. A Contractor is not subject to a penalty assessment pursuant to this paragraph due to the failure of a Subcontractor to comply with this section. I. Hours of Work 1. Limits on Hours of Work - Pursuant to Labor Code §1810, eight (8) hours of labor shall constitute a legal day's work. Pursuant to Labor Code §1811, the time of service of any worker employed at any time by the Contractor or by a Subcontractor, of any tier, upon the Work or upon any part of the Work, is limited and restricted to eight (8) hours during any one calendar day and forty (40) hours during any one calendar week, except as hereafter provided. Notwithstanding the foregoing provisions, Work performed by employees of Contractor or any Subcontractor, of any tier, in excess of eight (8) hours per day and forty(40) hours during any one week, shall be permitted upon compensation for all hours worked in excess of eight (8) hours per day at not less than one and one-half(1112) times the basic rate of pay. 2. Penalty for Excess Hours - Pursuant to Labor Code §§1813 and 1815, the Contractor shall pay to the City a penalty of Twenty-five Dollars ($25.00) for each worker employed in the execution of the Contract by the Contractor or any Subcontractor, of any tier, for each calendar day during which such worker is required or permitted to work more than eight (8) hours in any calendar day and forty (40) hours in any one calendar week, in violation of the provisions of the California Labor Code, unless compensation to the worker so employed by the Contractor is not less than one and one-half (11/2) times the basic rate of pay for all hours worked in excess of eight(8) hours per day. 3. Contractor Responsibility For Cost of Excess Hours - Any Work performed by workers necessary to be performed after regular working hours or on Sundays or other holidays must be performed without adjustment to the Contract Price or any other additional expense to the City. 3. Responsibility for Subcontractors' Payment of Prevailing Wages Pursuant to Labor Code§1774, the Contractor is responsible for ensuring that all Subcontractors of any tier comply with requirements for payment of prevailing wages. Contractor is responsible for Labor Code violations by Subcontractors of any tier. The agreement executed between the Contractor and each Subcontractor must contain a copy of the provisions of Labor Code §§ 1771, 1775, 1777.5, 1813 and 1815, at a minimum. Contractor must monitor each Subcontractor's payment of prevailing wage rates. Upon becoming aware of the failure of any Subcontractor of any tier to pay its workers the specified prevailing wage, the Contractor must diligently take action to halt and rectify the failure, including, without limitation, retaining sufficient funds due to the Subcontractor to cover the underpayment. Before making final payment to any Subcontractor, the Contractor must obtain an affidavit from the Subcontractor, signed under penalty of perjury, which states that the Subcontractor has paid the specified, determined prevailing wage rate to its employees for the Project, as well as any amounts due pursuant to Labor Code §1813. Contractor must provide copies of such affidavits to the City and provide Contractor's affidavit that it has paid the specified, determined prevailing wage rate to its employees for the Project, as well as any amounts due under Labor Code §1813. K. Statement of Employer Payments Within five (5) calendar days of signing the Contract or Subcontract, as applicable, the Statement of Employer Payments(DSLE Form PW 26)must be completed and submitted to the City by each Contractor and Subcontractor who pays benefits to a third party trust, plan or fund for health and welfare benefits, vacation funds or makes pension contributions. The form must contain, for each worker classification, the fund or trust name, address, administrator, and amount per hour contributed and frequency of contributions. Training fund contributions must also be reported on this form. In February and August of each year during the Project, the Contractor and Subcontractors of any tier must verify changes in wage rates for any trade classifications used on the Project. Thereafter, Contractor and its Subcontractors must submit a new Statement of Employer Payments to the City which reflects any changes in wages and benefits. L. Apprentices 1. Apprenticeship Committee Contract Award Information - Pursuant to Labor Code §1777.5 and Title 8 California Code of Regulations§230, Contractor and Subcontractors of any tier who are not already approved to train by an apprenticeship program sponsor must, within ten (10) calendar days of signing the Contract or Subcontract, as applicable, but in any event prior to the first day in which the Contractor or Subcontractor has workers employed on the Project, submit contract award information. This information may be a Public Works Contract Award Information form(DAS form 140). The contract award information must be provided to the appropriate local apprenticeship committees whose geographic area of operation include the area of the Project and can supply apprentices to the Project. Contractor and Subcontractors must also submit a copy of the form to the City which must include, in addition to other information, an estimate of journeymen hours to be performed under the Contract or Subcontract, the number of apprentices to be employed, and the approximate dates the apprentices will be employed. Failure to provide contract award information, which is known by the Contractor or Subcontractor, shall be deemed to be a continuing violation for the duration of the Contract. 2. Employment of Apprentices - Labor Code §1777.5 and Title 8 California Code of Regulations §§200 et seq. provide detailed requirements for employing apprentices on public works. The responsibility of complying with Section 1777.5 and the regulations lies exclusively with the Contractor. When the Contractor of Subcontractor employs workers in any Apprenticeable Craft or Trade, the Contractor and Subcontractor must employ apprentices in at least the ratio set forth in Labor Code Section 1777.5. Every apprentice employed to perform any of the Work must be paid the prevailing rate of per diem wages for apprentices in the trade to which such apprentice is registered, and such individual must be employed only for the work of the craft or trade to which such individual is registered. Only apprentices, as defined in California Labor Code §3077, who are in training under apprenticeship standards and written apprenticeship agreements under California Labor Code §§3070 et seq. are eligible to be employed for the Work. The employment and training of each apprentice shall be in accordance with either of the following: (1) The apprenticeship standards and apprentice agreements under which such apprentice is training; or (2) The rules and regulations of the California Apprenticeship Council, including regulation Section 230.1 (3), which requires that apprentices employed on public projects can only be assigned to perform work of the craft or trade to which the apprentice is registered and that the apprentices must at all times work with or under the direct supervision of journeyman/men. 3. Apprenticeship Certificate and Request for Dispatch of Apprentices a. When the Contractor or any Subcontractor of any tier in performing any of the Work employs workers in any Apprenticeable Craft or Trade, as defined in Paragraph L(4), the Contractor and such Subcontractor may apply to the Joint Apprenticeship Committee administering the apprenticeship standards of the craft or trade in the area of the site of the Work for a certificate approving the Contractor or such Subcontractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected, provided, however, that the approval as established by the Joint Apprenticeship Committee or Committees shall be subject to the approval of the Administrator of Apprenticeship. The Joint Apprenticeship Committee or Committees, subsequent to approving the Contractor or Subcontractor, shall arrange for the dispatch of apprentices to the Contractor or such Subcontractor in order to comply with California Labor Code §1777.5. There shall be an affirmative duty upon the Joint Apprenticeship Committee or Committees, administering the apprenticeship standards of the crafts or trades in the area of the site of the Work, to ensure equal employment and affirmative action and apprenticeship for women and minorities. Contractors or Subcontractors shall not be required to submit individual applications for approval to local Joint Apprenticeship Committees provided they are already covered by the local apprenticeship standards. b. Contractors who are not already approved to train apprentices must request dispatch of required apprentices from one of the applicable Apprentices Committees whose geographic area of operation includes the site of the Project by giving the committee actual notice of at least forty-eight(48) hours (excluding Saturdays, Sundays and holidays) before the date on which one or more apprentices are required. Contractors and Subcontractors may use DAS form 142 to make the request for apprentices. However, if a non-signatory Contractor declines to abide by and comply with the terms of a local committee's standards, the Apprenticeship Committee shall not be required to dispatch apprentices to such Contractor. Conversely, if in response to a written request, an Apprenticeship Committee does not dispatch any apprentice to a contractor who has agreed to employ and train apprentices in accordance with either the Apprenticeship Committee's Standards or the California Apprenticeship Counsel Regulations (Title 8, Section 230 et seq.) within 72 hours of such request (excluding Saturdays, Sundays and holidays) the contractor shall not be considered in violation of Section 230.1 as a result of failure to employ apprentices for the remainder of the Project, provided the contractor has made the request in enough time to meet the required ratio. If an Apprenticeship Committee dispatches fewer apprentices than the Contractor or Subcontractor requested, the Contractor or Subcontractor shall be considered in compliance if the Contractor employs those apprentices who are dispatched, provided that, where there is more than one Apprenticeship Committee able and willing to unconditionally dispatch apprentices, a Contractor or Subcontractor who is not a participant in an apprenticeship program has requested dispatch from at least two committees. 4. Ratio of Apprentices to Journeymen a. The ratio of Work performed by apprentices to journeymen, who shall be employed in the Work, may be the ratio stipulated in the apprenticeship standards under which the Joint Apprenticeship Committee operates, but in no case shall the ratio be less than one hour of apprentice work for every five hours of labor performed by a journeyman, except as otherwise provided in California Labor Code §1777.5. The ratio of apprentice work to journeyman work shall apply during any day or portion of a day when any journeyman is employed at the site of the Work and shall be computed on the basis of the hours worked during the day by journeymen so employed. Any Work performed by a journeyman in excess of eight hours per day or 40 hours per week shall not be used to calculate the ratio. The Contractor must employ apprentices for the number of hours computed as above before the end of the Contract or subcontract, as applicable. The Contractor must, however, endeavor, to the greatest extent possible, to employ apprentices during the same time period that the journeymen in the same craft or trade are employed at the site of the Work. Where an hourly apprenticeship ratio is not feasible for a particular craft or trade, the Division of Apprenticeship Standards, upon application of a Joint Apprenticeship Committee, may order a minimum ratio of not less than one apprentice for each five journeymen in a craft or trade classification. b. The Contractor or any Subcontractor covered by this Paragraph and California Labor Code §1777.5, that has agreed to be covered by an Apprenticeship Program's standards, upon the issuance of the approval certificate, or that has been previously approved in such craft or trade, must employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the apprenticeship standards, but in no event less than the 1-to-5 hourly ratio. Upon proper showing by the Contractor that it employs apprentices in such craft or trade in the State of California on all of its contracts on an annual average of not less than one apprentice to each five journeymen, the Division of Apprenticeship Standards may grant a certificate exempting the Contractor from the 1-to-5 hourly ratio as set forth in this Paragraph and California Labor Code §1777.5. S. Exemption -The requirement to employ apprentices shall not apply to contracts of general contractors, or to contracts of specialty contractors not bidding for work through a general or prime contractor, involving less than Thirty Thousand Dollars ($30,000.00) or twenty (20) Working Days. The term "Apprenticeable Craft or Trade," as used herein shall mean a craft or trade determined as an Apprenticeable occupation in accordance with rules and regulations prescribed by the Apprenticeship Council. 6. Contributions to Trust Funds - The Contractor or any Subcontractor of any tier who performs any of the Work by employment of journeymen or apprentices in any Apprenticeable Craft or Trade shall contribute to the California Apprenticeship Council in the same amount that the Director determines is the prevailing amount of apprenticeship training contributions in the area of the Project. Contractor or any Subcontractor, of any tier, may take as a credit for payments to the Council any amounts paid by the Contractor or Subcontractor to an approved apprenticeship program that can supply apprentices to the Project. Contractors who do not contribute to an apprenticeship program must submit their contributions to the California Apprenticeship Council. Training Fund contributions are due and payable on the 15th day of the month for work performed during the preceding month. Training contributions to the California Apprenticeship Council shall be paid by check and shall be accompanied by a Completed Training Fund Contribution form (CAC-2). Contractors who contribute to an apprenticeship program are entitled to a full credit in the amount of those contributions. The Division of Labor Standards Enforcement is authorized to enforce the payment of such contributions to such fund(s) as set forth in California Labor Code § 227. Such contributions shall not result in an increase in the Contract Price. 7. Contractor's Compliance - The responsibility of compliance with this Paragraph for all Apprenticeable Trades or Crafts is solely and exclusively that of the Contractor. All decisions of the Joint Apprenticeship Committee(s) under this Paragraph are subject to the provisions of California Labor Code §3081. In the event the Contractor willfully fails to comply with the provisions of this Paragraph and California Labor Code §1777.5, pursuant to California Labor Code §1777.7, the Contractor shall: (i) be denied the right to bid on any public works contract for a period of one (1) year from the date the determination of non- compliance is made by the Administrator of Apprenticeship; and (R)forfeit,as a civil penalty, One Hundred Dollars ($100.00) for each calendar day of noncompliance. Notwithstanding the provisions of California Labor Code §1727, upon receipt of such determination, the City shall withhold such amount from the Contract Price then due or to become due. Any such determination shall be issued after a full investigation, a fair and impartial hearing, and reasonable notice thereof in accordance with reasonable rules and procedures prescribed by the California Apprenticeship Council. Any funds withheld by the City pursuant to this Paragraph shall be deposited in the General Fund or other similar fund of the City. The interpretation and enforcement of California Labor Code§§1777.5 and 1777.7 shall be in accordance with the rules and procedures of the California Apprenticeship Council. EXHIBIT A LIVING WAGE PROVISIONS Minimum Living Wages: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or $11.55 per hour without health benefits. Paid and Unpaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. PART II SPECIAL PROVISIONS - SPECIFIC FOR THIS PROJECT II-1.01 Highlights of relevant Facts— Vernon Gas & Electric (VG&E) is requesting lump sum (fixed price) bids for a Contractor to provide TURNKEY design, engineering, procurement and construction services for all works and provide two each safe, reliable, functional, operational and ready-in-service control systems for the two existing aero-derivative gas turbines used for power generation (Gonzales Unit 1 and 2) including but not limited to voltage control, fuel control, unit sequencing control, remote operating station and other miscellaneous equipment, hardware and software necessary located at 4990 Seville, Vernon CA 90058. The upgrade must be designed to guarantee a fully automated push button control individual turbine startup and synchronization in less than 10 minutes for each turbine in individual or two back to back sequential starts if ordered by CalISO. The Contractor must be willing to guarantee the design so that the full load operation is reached in less than ten (10) minutes. Under no circumstances shall the Contractor be relieved of their operational ten minute start and full load guarantee due to their strict adherence to the suggestions stated in this document which is only a suggested guide. The Contractor is solely responsible for the execution of this contract. II-1.02 Issues or Problems to be Addressed—VG&E owns and operates two(2) Rolls-Royce S71K Allison industrial aero-derivative gas turbines used for power generation. These two turbines provide a value to the City of Vernon in the form of Non-Spin Ancillary Service but more importantly provide a part of the City's Resource Adequacy (RA) requirements. Each turbine has operated on average approximately 20 hours per year however when they are called on a less ten (10) minute start to full load is required for acceptance by the CalISO. The RA requirement is based on reaching full load (about 6 Ws per turbine) in less than ten (10) minutes after receipt of a Dispatch notice by CalISO. If the turbine starts does not reach full load in less that or exactly in ten (10) minutes the City of Vernon may incur a penalty by the CaIISO and the RA payment to the City of Vernon is at risk. The CalIS0 considers a start of greater than (10) minutes a start failure and it is not accepted. The term "Failed Start Event" will be used throughout this section - special provisions to describe such an event. The City therefore wants to replace the existing control system with a new design to minimize the potential for an RA penalty and subjection to a deduction of the yearly payment due to a start failure. The City wants to eliminate or at least minimize this financial income risk. The construction window for this project is from October 2015 to March 2016. The City has a preferred installation time of 100 working days for both units. Each unit will be upgraded independently of each other so one unit may stay in service at all times. It is expected that the Design, Construction and testing of the Control Cabinets be done well in advance of the construction window starting from the Notice to Proceed date. The existing operating and control systems for the turbines have become obsolete and spare parts are no longer manufactured. The existing control and protection systems for the turbine-generator train need to be removed once at a time and replaced with a new modern operating system capable of starting, sequencing and coming up to full load automatically and in less than ten (10) minutes with either a single turbine or two turbines in a sequential manner. This will assure the existing turbines remain in service, due to their ability to reach full load in less than ten (10) minutes, and the City will not be subject to a "Failed Start Event", penalty and the RA payment put at risk. II- 1.03 Scope of Work— VG&E is requesting bids for a Contractor to provide a turnkey design and guarantee a fully automated push button control system for startup and synchronization in less than ten (10) minutes for the two existing aero-derivative gas turbines power generation Gonzales Unit 1 and 2 including but not limited to: 1) Minimum System Requirements: A. The design, engineering, procurement and construction, Contractor shall furnish all work for replacing the existing obsolete control system and designing and providing a safe, reliable, functional, operational and ready-in-service new control system for each of the Gonzales units 1 and 2 turbines including but not limited to the PLC, NMI, Voltage Control, Fuel Control, Unit Sequencing Control, Remote Operating Station, Protection relays, Meters, Gauges, prints and other miscellaneous equipment, hardware and software necessary. B. The Contractor shall be responsible for the design, engineering, procurement, construction, management, new settings, startup, operator training, testing and commissioning of the Project, II-1 including necessary modifications to the existing Gonzales control system. The Contractor shall provide all materials, equipment, machinery, tools, labor, transportation, construction administration and other related services, including all licenses and permits necessary to complete the Project in accordance with this agreement. The Contractor must achieve mechanical completion of the project, and conduct a performance test proving that the project meets the minimum performance levels. C. The Control Cabinets shall be fully completed and tested prior to arriving to the job site. The City may elect to have the testing witnessed at the factory but shall not be responsible for acceptance of the test or cabinet design, engineering or construction which is the sole responsibility of the contractor. D. The City of Vernon's work schedule is from 6:30 am to 5:00 pm, Monday through Thursday. The Contractor will report to the site at 6:30 am. Any after hour overtime work required by the Contractor, shall be paid by the Contractor. The Contractor is responsible for the overtime of its own crews. E. The successful Contractor shall provide three hard copies of the complete design with all documentation, plus one copy in electronic format. F. Drawings, including specific one-line, elementary diagrams, wiring diagrams, and any other drawings required for the City specific installation, will be furnished with the appendix. Such drawings are hereby made a part of this Specification. G. The Contractor is required to review all related City plans and documents necessary for design of Gonzales Control System Upgrade and related facilities in detail and prior to bidding the project. Any conflict or obstructions shall be brought to City's attention and mutually agreed on prior to final award. H. The City may provide a Project Manager for coordination purposes but under no circumstances shall this City representative relieve the Contractor from any obligation contained in the contract. I. The Contractor may use the services of other vendors and subcontractors, however the Contractor assumes the risk for the entire work scope. 2) DESIGN: A. The Contractor shall thoroughly review and verify the existing protection and control drawings, manuals and other documentation and compare to the existing equipment controls facilities for accuracy. B. A new protection, control, metering and automation control system with new PLC will be designed based upon the drawings and City's existing documentation. The Contractor shall perform complete work regardless of possible omissions or errors in any City provided drawings, documentation, standards, material lists, and this Specification. Miscellaneous material items that are missing shall be furnished by the Contractor, at no additional cost to the City, to produce completely working protection, metering, control, and automation systems in conformity with the intent of the Work and this Specification. The City's Project Manager shall have the final authority in determining the Contractor's responsibility to complete all work in conformance with the drawings and this Specification. The City's Project Manager shall have the final authority to direct the Contractor to correct any and all work that has been improperly performed, at no additional cost to the City or relieve the Contractor of any obligation(s) regarding the less than ten (10) minutes full load start guarantee. 3) PROTECTION: A� Replace all protective devices with a Schweitzer microprocessor-type SEL-70OGT with auto sync relay. Provide and install new wiring for protection, controls and metering systems. Provide and install new multimode 2 pair of Fiber Optic cables from the SEL-70OGT to existing SEL-RTAC in the basement utilizing serial connection to the Fiber Optic converters to integrate the relay with existing SCADA system. This new relay shall be configured to serve as the access point for all other I/O's in the new control system to the existing SCADA. B. An existing Schweitzer SEL-30OG is located in the basement and used for monitoring and remain as part of the new protection scheme. Additional wiring will be required for the 70OGT and a count of the inputs and outputs is required to the relay as part of this design. C. The Contractor shall engage services of Schweitzer Engineering Laboratories(SEL) Engineering services to provide all programming and testing for the Schweitzer SEL-70OGT relay including relay setting calculations and testing all relay elements used as part of the relay scheme. II-2 4) VOLTAGE CONTROL A. Remove the existing voltage controls and replace with Basler or City approved equivalent Digital Excitation Control System which includes, but is not limited to the voltage regulator, power factor controller and diode protection unit. B. Replace the existing synchronizer and utilize the auto synchronizer on the SEL-70OGT Relay. C. Remove all analog gauges and meters on panel and replace with new gauges and meters on the new control cabinet. 5) FUEL CONTROL The fuel control shall be bld out for the options below: A. The first option shall be to remove and send the existing Precision Engine Controls Corporation (PECC) PECC-TCSD to the manufacturer for a health check and new cards purchased. B. The second option shall be to remove and send the existing PECC-TCSD to the manufacturer for a health check and card upgrades C. The third option shall be remove the existing PECC-TSD to the manufacturer for a health check, card upgrades and a full set of spares. D. The fourth option shall be remove the existing PECC-TCSD and install a new PECC-TCSD or City approved equivalent. E. New engine analog gauges shall be installed including the following; N1 Gas Generator, N2 Power Turbine, and Measured Gas Temperature (MGT). 6) UNIT SEQUENCING CONTROL A. The Contractor shall be responsible for communication, retrieving all data, ladder logic codes and information from the existing GE PLC for the successful installation of the new PLC. The Contractor is responsible for providing any tool and software required for communicating with the existing GE PLC. B. The existing PLC shall be removed and replaced with an Allen Bradley or City approved equivalent. The contractor shall be responsible for preparing the new PLC code based on the existing algorithm. The PLC for unit sequencing and monitoring of the skid, drive train and safety protection including but not limited to the following: • Turbine auxiliaries • Gearbox and associated auxiliaries • Generator and associated auxiliaries • Fire systems to detect fire • Gas Systems for leaks and monitoring C. Two new HMI's shall be installed to communicate with all devices. One will be installed on the control room and the second will replace the existing Nematron on the skid. D. Replace existing temperature monitoring system of the MGT'S. This is the scanner for the separate individual thermal couples (9 channels type k). 7) CONTROL CABINET A. A new control cabinet shall be engineered and designed to replace the existing control cabinet. The old cabinet and controls shall be disconnected and removed and replaced with a new cabinet with new controls. The new controls will consist of all controls for Manual and Auto functions. The Manual and Auto controls will include but may not be limited to: • Manual and Auto synchronization • Manual and Auto loading • PLC and all gauges, switches, Schweitzer SEL-70OGT relay, test switches and manual controls. II-3 • The controls shall be self-ramping up to temperature control. • The controls shall be capable of black start operation. • All engines controls SHALL BE SIMULATED and tested with the new control cabinet prior to installation at the site. 8) REMOTE STATION A. A remote control station shall be installed in the control room with a new HMI screen room for controls and monitoring purposes. B. Next to the screen new hard wired pushbutton controls shall be installed for start, stop and emergency stop controls plus three indicator lights: Ready to start indication • Alarm indication • Shut down indication 9) OTHER EQUIPMENT AND ITEMS OF WORK The work shall also include but not limited to, the following items required for a complete installation: A. All necessary Federal, State, County, and City permits/Licenses. B. All wiring, conduit, and cable trays between individual items of Contractor furnished equipment as specified in this specification. C. Equipment nameplates and mimic diagrams. D. Special Tools E. All required spare parts F. Factory testing and test reports. G. Complete project documentation. H. Design, construction and as-built drawings. I. On-site field service engineering. J. On-site training. K. All training manuals, construction manuals, maintenance manuals, and legally licensed programming and driver software for PLC, HMI and other programmable devices proposed. L. Project management. M. Field-testing and commissioning. N. All works and installation as deemed necessary to complete the package. 10) LIMITING DIMENSIONS The Contractor shall contain equipment within the specified area, providing the necessary space above and alongside of the equipment to allow for removal and maintenance. 11) COMMISSIONING TESTS, INSPECTIONS AND QUALITY ASSURANCE A. The contractor shall provide engineering installation, commissioning tests, inspection, and quality assurance reports for each piece of equipment. The Contractor shall document all tests, inspections, quality assurance processes and results for the City's review and approval. The Contractor shall make any corrections as necessary at no additional cost to the City. The Contractor will prepare a performance test plan for the commissioning and start up guarantee testing which will be subject to review and approval by the City of Vernon designated representative. B. The Contractor shall engage services of Schweitzer Engineering Laboratories(SEL)engineering services to provide all programming and testing for the Schweitzer SEL-70OGT relay including relay setting calculations(if required)and testing all relay elements used as part of the relay scheme(pushing current, applying voltage, and trip testing to verify element pickup). C. All actuators shall be stroked, properly checked and calibrated to ensure proper function and coordination with control system. II-4 D. All communication with the new PLC and engine fuel controller PECC-TCSD shall be engineered and tested for proper operation. 12) ROUTINE TESTS Prior to assembly, all individual components shall be tested as described in the following paragraphs. All tests shall be performed according to the current industry standards which shall be provided by the Contractor in their bib submittal for review by the City. These test standards shall be included in the contract documents. 13) CONTROL CABINETS A. The general assembly shall be inspected with a visual inspection for corrections, obvious defects, neat wiring, and proper component identification. B. All engine controls will be simulated prior to installation at the site. C. The Contractor shall verify all connections are tight,accessible and in compliance with this specification. D. The contractor shall perform an equipment list check with verification of all components against the engineering bill of material list and the detailed drawings. E. The Contractor shall perform a nametag check for proper component labels, terminal block marking strip labels, control panel nameplates, and relay rack nameplates. F. The Contractor shall check all devices with tests of the coil voltages and contact configuration on all relays, and tests of the switches and pressure switches to verify conformity with the NO and NC positions as shown on the elementary diagrams. G. The Contractor shall check the heater resistance. H. The Contractor shall perform a wiring check with point-to-point checks verifying that all connections are correct and tight. I. The electrical continuity of each conductor shall be tested per the elementary diagrams and ensure that all jumpers are installed. ]. The Contractor shall make a check of all wire markers. K. The Contractor shall perform a megger test of all control wires between each terminal point and cabinet ground to ensure integrity of wiring and device insulation (omit sensitive electronic devices). L. The Contractor shall perform functional tests on all control circuits for simulating and verifying the proper operation of the equipment (including energizing each protection relay and control device, monitoring the operation of contacts, lights etc.). The Contractor shall check all DC and AC power circuits prior to energizing any equipment. M. The Contractor shall check that all equipment grounds are properly grounded. N. The overall appearance shall be inspected for neatness and checked that it has been vacuumed,cleaned and touched up where necessary by the Contractor. 0. The Contractor shall prepare the equipment for shipment including an inspection for cleanliness; checking for proper packaging and protective covering. P. The Contractor shall verify and test all alarm and SCADA circuits. Q. The Contractor shall verify any cutout switches for power on and power off. R. The Contractor shall test all equipment as indicated under the description of the various manufactures` materials, instruction manuals, and as further outlined or implied in this Specification. S. The Contractor shall test all material for proper mechanical operation. 14) RELAYS AND PROTECTION METERS The Contractor shall provide install and commission the relays and related equipment shown on the Drawings. II-5 15) ENGINEERING REQUIREMENTS A, The Contractor shall assign a single Project Manager to manage and coordinate all commercial and technical aspects of the project. The Contractors Project Manager shall submit weekly progress reports, and maintain the master project schedule. Project schedule needs to be in Microsoft Project format. B. The Contractor shall provide drawings, documentation, and instruction manuals submitted in accordance with the requirements set forth in this specification. The Contractor shall include a transmittal letter with all submitted drawings, documents, and reports. All drawings shall be submitted to the City as both hard copy and in AutoCAD updated and as-built before final acceptance. C. The Contractor shall use City standard title block, fonts, line types and thickness, layout, etc. on all drawing, unless the City's Project Manager gives prior approval to the Contractor. D. The following drawings shall be submitted (hard copy) for review and comment by the City within six (6) weeks of the Contractor issuing a Purchase Order for equipment: • Panel Layout with parts list • HMI screen layout • Interconnection block diagram • Control flow chart • Single-line Diagram • Elementary Schematic Drawings • I/O list • Wiring Diagrams E. Elementary and wiring diagram drawings shall be drawn according to City standards in AutoCAD. Schematics shall show contract developments for all relays and control switches. Each device shall be identified by a unique function number, conforming to ANSI C37.2 and the City's standards. A complete circuit shall be shown on a drawing in it's entirely for each voltage device. F. The City shall review each drawing, and return the drawing to the Contractor marked: Noted with Comment, Comments WITH CHANGES NOTED, or MAKE CHANGES AS NOTED. G. The Contractor shall revise and resubmit the drawings until the City returns the drawings marked: • Approved for construction H. Permanent nameplates shall be provided to identify each component of the control panel. Nameplates shall be engraved in black and white lamacoid. Engraved lettering shall be in the English language, and a minimum of 1/4" high and 1/8"thick. Letters shall be white with a black background. Warning labels shall be provided on each compartment with an external circuit. Warning labels shall be red background with white letters. 16) FIELD SERVICE AND TRAINING A. The Contractor shall provide field service (labor and equipment)to complete wiring. Inspection, testing and energization as long as needed. The Contractor shall engage services of Schweitzer Engineering Laboratories (SEL) Engineering Services to provide commissioning support for the SEL-700GTrelay. B. The Contractor shall provide two (2) weeks of hands-on training to City field and operation crews, as well as engineers, during the installation phase and at a later date shall provide at least one (1) week of classroom and other hands-on training to City field, operations and engineering personnel as a part of this contract. If the City determines it requires additional training after the three weeks it may be provided on a separate "Time&Material"Rate basis by the Contractor. C. The Contractor should expect several field, operations, and engineering personnel to be present at the Gonzales Control System upgrade job site during the entire construction (installation) process witnessing the work scope. II-6 17) STATEMENT OF READINESS Following completion of the field inspections, adjustments and tests, the Contractor's Project Manager shall submit a signed statement to the City's Project Manager stating that the complete Control System has been properly installed, adjusted and tested, and is ready for operational testing to demonstrate guarantee conditions of repeated ten (10) minute starts in a fully automated mode has been achieved. 18) EXPERIENCE AND WARRANTY The Contractor and equipment manufacturers shall have at least five (5) years' experience in the manufacture of similar design, of control systems and other equipment. The Contractor shall also provide at least three (3) year warranties on all equipment executed from the date that a certificate of successful operation of the control system, in accordance with this Specification, is issued by the City. The Contractor shall replace, free of all expense to the City, any defective work and equipment during the warranty period within thirty (30) days, or within such reasonable time approved in writing by the City. A. The contractor shall guaranty and be subject to liquidated damages if any turbine fails to reach full load in less than ten (10) minutes following an initiation of auto start during the three year warranty period if the cause of such failure is deemed to have been caused SOLELY by any component in the control system provided under the contract. Any demonstrated and mutually agreed operator error shall relieve the contractor of the failed start penalty for that particular start. II-1.03 Specifications— Except as otherwise provided, installation and payment for all the work shall conform to the"GREENBOOK" STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION (2012 Edition). II-1.04 Length of Contract — All work in this project shall be completed within one hundred (100) working calendar days for both units starting from the Notice to Proceed. It is expected that the design, construction and testing of the control cabinets will be done well in advance of the construction window starting from the ; Notice to Proceed date. I1-1.05 Delays and Extensions of Time —The provisions of Section 6-6 entitled "Delays and Extensions of Time" of the Standard Specifications shall apply except as modified and supplemented below. The second paragraph of subsection 6-6.1 is hereby deleted and the following paragraph shall be inserted in its place: No extension of time will be granted for a delay caused by the inability of the Contractor to obtain materials, equipment and labor, except as authorized by the City Operation Manager. The length of contract time stipulated includes any time which may be required to obtain materials, equipment and labor, and the Contractor in submitting a bid shall be deemed to have ascertained the availability of materials, equipment and labor and considered same in his proposed construction schedule. II-1.06 Quality of Work—The provisions of Section 4-1.1 entitled "Materials and Workmanship" of the Standard Specifications (2012) shall apply. In addition, any work deemed unacceptable by the City Operation Manager, whether a cause is determined or not shall be repaired or replaced by the Contractor at its expense. II-1.07 Linuidated Damages — In accordance with Section 6-9 of the Standard Specifications (2012), for each consecutive calendar day required to complete the work in excess of the time specified herein for its completion, as adjusted in accordance with Section 6-6 of the Standard Specifications (2012), the Contractor shall pay to the City, or have withheld from monies due it, the sum of 1 500.00. II-7 II-2.01 Scheduling of Work—The Contractor shall submit its work schedule to the City Operation Manager at the pre-construction meeting. This schedule must be reviewed and accepted by the City Operation Manager before the Contractor will be permitted to begin work. The Contractor shall give 48 hours' notice to the City Operation Manager prior to the start of the work. II-2.02 Requirements— General: 1. All construction shall conform to Sections 6-1 and 6-2 of the Standard Specifications and shall proceed in a smooth, efficient, timely and continuous manner. As such, once construction is started in a work area, the Contractor will be required to work continuously in that work area until construction has been completed and the work area is open and accessible to both vehicular and pedestrian traffic in a manner approved by the City Operation Manager before the next stage of work will be allowed to begin. I1-3.01 Character of Workers — If any subcontractor or person employed by the Contractor shall appear to the City Operation Manager to be incompetent, intemperate, troublesome, or acts in a disorderly or otherwise objectionable manner, he shall be immediately discharge from the project on the requisition of the City Operation Manager, and such person shall not be reemployed on the work. If said individual has an ownership interest in the contracting entity, the City Operation Manager will serve written notice upon the Contractor and the Surety providing the faithful performance bond, in accordance with Section 6-4, "Default by Contractor," of the Standard Specifications, demanding complete and satisfactory compliance with the Contract. II-4.01 Examination of the Site — The bidders are required to examine the site and judge for themselves the location, physical conditions, substructures, and surroundings of the proposed work. II-8 PART III TECHNICAL SPECIFICATION III-1.01 General A. The intent of this specification is to define the technical requirements for the control system upgrade. This specification covers the design, manufacture, supply, testing, transportation, installation supervision, and commissioning of the associated equipment. I11-1.02 Electrical Equipment The Contractor shall furnish a separate local control cabinet for the local control of each Unit. They shall be placed in suitably designed and fabricated cabinets and connected by means of multi-conductor cables. Each cabinet shall be completely fabricated and wired to the terminal blocks specified herein for control and monitoring. A. All control cabinets shall be completely wired, tested, and ready for installation. The Contractor shall provide the necessary cutouts and space to allow sufficient cable access for remote control and protection functions. Wiring shall conform to all NEC requirements. Wire ampacity and insulation shall meet the requirements for control circuits. The wiring shall be neatly arranged and secured to the cabinet panels or supported by suitable brackets as required. Splicing of wires is not acceptable. All external wiring shall terminate on terminal blocks with numbering strips to identify each terminal. All required jumpers are to be located opposite the field terminations on the terminal block. Each terminal screw shall carry no more than two wires. Terminal blocks shall be suitably mounted, not less than 6-inches above the bottom panel. The terminal strips shall be mounted vertically, unless otherwise specified or shown on the drawings. Terminal blocks shall be arranged in a series of rows. Cabinet internal wiring and external wiring shall be segregated from one another by the row of terminal blocks. No devices, or other material, shall obstruct access to the terminal blocks for connections of terminals or for installation of control cables. The Contractor shall terminate all wiring with brazed barrel, insulated ring tongue terminals only. B. All protection and PLC/HMI equipment shall be mounted. C. The cabinet shall have two doors hinged on the left and right side, equipped with a three-point latching system, operated with a single handle. The operating handle shall have provisions for locking the door shut. Hinges for doors and swing panels shall not permit sagging due to the weight of the door or panel. Each cabinet door shall be dust-tight and gasket NEMA 12 construction. The left cabinet door shall have the Generator Controls, the right cabinet door shall have the engine and sequencing controls.The controls for the turbine shall contain but are not limited to: 1. Switches AC side,Volt meter Generator, Volt meter Bus,Amp Meter, sync switch, voltage raise lower, governor raise lower, 86 lockout, breaker control, manual auto switch. 2. One SEL-70OGT relay. 3. On the right side of the Turbine Panel; Gas meter, power turbine meter, MGT meter, HMI, start button, stop button, emergency stop button, auto manual switch. 4. One (1) red (CLOSED) and one (1) green (OPEN) LED indicating light for each circuit breaker. 5. GE, type EB-25 terminal blocks shall be used for all external control wire connections for circuit breakers and switches. A maximum of two (2) wires per terminal are permitted. 6. One (1) 15 A, 130VDC, two-pole breaker for the protection/isolation of control power. 7. Terminal blocks (GE, type EB-25) and terminations for all wires associated with electrical interlocking schemes. III-1 8. Terminal blocks (GE, type EB-25) for alarm circuits and miscellaneous remote control functions. III-1.03 Scope A. The scope of work(work)as defined herein, shall pertain to the design, and construction of the protection, metering, and controls, per this Specification. Programming of all relays, computers, and programmable logic controllers (PLC), etc. shall be done by the Contractor. B. The Contractor shall design the protection, control, metering and communication interface for SCADA. Automation systems in accordance with the City's existing standards, drawings, facilities, and documentation. The Contractor shall perform complete work regardless of possible omissions in any City provided drawings, documentation, standards, material lists, and this Specification. Miscellaneous material items that are missing shall be furnished by the Contractor, at no additional cost to the City, to produce completely working protection, metering, and control Automation systems in conformity with the intent of the Work and this Specification. The City's Project Manager shall have the final authority in determining the Contractor's responsibility to complete all work in conformance with the drawings and this Specification. The City's Project Manager shall have the final authority to direct the Contractor to correct any and all work that has been improperly performed, at no additional cost to the City. The following shall be considered in the design and wiring: 1. The wiring shall be no smaller the No. 14 AWG, stranded copper for control and No. 10 AWG for current leads except when directed otherwise by the City's Project Manager. All wires shall meet the requirements of the "Control and Secondary Wiring" subsection of the latest revision of ANSI Standard C37.20. In addition to the types of wires given in this standard publication, wire insulated with cross-linked thermosetting polyethylene insulation suitable for 600V operation (ICEA Pub. No. 5-66-524) is approved by the City. All wires used shall be clearly and properly tagged with wire destination included in the tagging. The material and procedure are subject to the approval of the City's Project Manager. 2. Miscellaneous accessory equipment not shown on the drawings, documentation, standards, or this Specification, but required for proper operation of the protection, and metering Automation systems, or by the intent of the Specification, such as small resistors, fuses, capacitors, terminal blocks, etc. shall be furnished by the Contractor (at no additional cost to the City) and mounted with the necessary brackets, wiring, mounting, etc. subject to the approval of the City's Project Manager. 3. Terminal blocks shall be provided for all connections leaving the racks. Terminal blocks shall have screw terminals, barriers between terminals, high flame-retarding properties, mechanical toughness and high electrical strength. Each conductor shall be identified at each end with "Brady Quick Labels"or approved equivalent. 1II-1.04 Protection. Metering, and Controls The Contractor shall purchase equipment and perform the design, installation and commissioning for the Schweitzer microprocessor-type SEL-700GT relay for each of the Turbines. The protection elements of the SEL- 700GT relay shall include but not limited to the existing solid state protection currently in place. (1) Over Frequency relay - 810 (1) Under Frequency relay - 81U (1) Reverse Power Relay - 32R (1) Reverse KVAR Relay - 32R (1) Overvoltage Relay - 59 (1) Under voltage Relay— 27 (1) Ground Overvoltage Relay— 59G (1) Under Voltage/Phase Sequence Relay— 27/47 I1I-2 (1) Differential Relay— 87G (1) Overcurrent Relay— 51/27R (1) Negative Sequence Relay—46Q The installation of sufficient test switches, terminal blocks, and other devices shall be considered in the design of the protective, metering,and control schemes according to the City's standards, drawings, and documentation, as well as the City's Project Manager. III-1.05 Equipment The Contractor shall provide the following equipment by part number. The Contractor is still responsible to purchase and install all other equipment and software for a complete turnkey system, as stated in this Specification. The Contractor shall obtain approval from the City before the purchase of any equipment since part numbers and/or models could change since the publishing of this Specification. PROTECTION RELAYS MODEL ORDER NUMBER FUNCTION SEL-70OGT 0700G02AA30X74850300 Generator Protection Relay III-1.06 Other Equipment The Contractor shall supply all other equipment required for a turnkey project. If any other equipment is identified as required throughout the course of work, the equipment shall be purchased, installed and commissioned by the Contractor and not cause any additional cost to the City. The identifying of this equipment by either the City or the Contractor does not eliminate the requirement that the Contractor is responsible for a turnkey working system. The omission of any equipment shall not cause any additional cost to the City. III-1.07 Penalty and Liquidated Damages for a Failed Start Event The Contractor shall guaranty and be subject to liquidated damages if any turbine fails to reach full load in less than ten (10) minutes following an initiation of auto start during the three (3) year warranty period if the cause of such failure is deemed to have been caused SOLELY by the new control system provided under the contract. Any demonstrated and mutually agreed operator error shall relieve the contractor of the failed start penalty for that particular start. Although it is not possible to calculate and determine the actual financial loss to the City of Vernon for a'failed start event'due to a control system failure to reach full load in less than ten (10) minutes and the intention is not to attempt to recover actual losses as assessed by the CaIISO against the City for such event a penalty of 5% of the total contract value shall be assessed per failed start event and considered as liquidated damages. The total damages shall be capped at 20% of the total contract price. III-3 APPENDIX A Forms to be submitted by Bidder BIDDER'S CHECKLIST TO THE BIDDER: The following list is provided for the convenience of both you and the City and to help eliminate errors and omissions which may render your bid unacceptable. Please check all appropriate boxes and submit with your bid. ❑ IDENTITY CONFIRMATION BP-(a) ❑ SUBCONTRACTOR LISTING BP-(b) ❑ AFFIDAVIT OF NON-COLLUSION(SIGNED BY BIDDER) BP-(c) ❑ LIVING WAGE COMPLIANCE CERTIFICATION BP-(d) ❑ CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES FORMS AA-1,2,3 Bids are to be signed and submitted in TRIPLICATE. Bidder must submit bids in an ORIGINAL AND TWO COPIES. All bids shall be enclosed in sealed envelopes, distinctly marked "Bid" with the title of the bid and the bidder's name and address appearing on the outside. Bids should be addressed to: City Clerk City of Vernon 4305 Santa Fe Avenue Vernon,CA 90058 Mail sufficiently early or deliver in person before the time and day listed in the Notice Inviting Bids. Bids must be received in the City Clerk's Office before that time. APPENDIX"A" IDENTITY CONFIRMATION Contractor's Name Office Address If an individual, so state If a partnership, corporation or firm, so state, giving the names and addresses of individuals constituting the organization. If a corporation, give the following information: Name of President Name of Secretary Organized under the laws of the State of Name and address of local representative Telephone: Fax: (Here attach a certificate in form to confirm 1) the identity of the bidder or officer who signs above, 2) the fact that he is the officer named, and 3) his authority to bind the bidder). BP-(a) APPENDIX--A" SUBCONTRACTOR LISTING SUBCONTRACTOR LISTING Contractor Name(s) Address License No. Description of Work I BP-(b) APPENDIX AFFIDAVIT OF NON-COLLUSION BY CONTRACTOR STATE OF CALIFORNIA ) Ss COUNTY OF LOS ANGELES ) being first duly sworn deposes and says that he/she is (Insert"Sole Owner","Partner","President,"Secretary",or other proper title) of (Insert name of bidder) who submits herewith to the City of Vernon a proposal; That all statements of fact in such proposal are true; That such proposal was not made in the interest of or on behalf of any undisclosed person,partnership,company, association,organization or corporation; That such proposal is genuine and not collusive or sham; That said bidder has not,directly or indirectly by agreement,communication or conference with anyone attempted to induce action prejudicial to the interest of the City of Vernon,or of any other bidder or anyone else interested in the proposed contract;and further That prior to the public opening and reading of proposals,said bidder: a. Did not directly or indirectly,induce or solicit anyone else to submit a false or sham proposal; b. Did not directly or indirectly, collude, conspire, connive or agree with anyone else that said bidder or anyone else would submit a false or sham proposal, or that anyone should refrain from bidding or withdraw his proposal; C. Did not, in any manner, directly or indirectly seek by agreement, communication or conference with anyone to raise or fix the proposal price of said bidder or of anyone else,or to raise or fix any overhead, profit or cost element of his proposal price,or of that of anyone else; d. Did not, directly or indirectly, submit his proposal price or any breakdown thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation, partnership, company, association, organization, bid depository, or to any member or agent thereof, or to any individual or group of individuals, except the City of Vernon,or to any person or persons who have a partnership or other financial interest with said bidder in his business. I certify under penalty of perjury that the above information is correct. By: Title: Date: Br-(c) APPENDIX..A._ LIVING WAGE COMPLIANCE CERTIFICATION This contract is subject to the City of Vernon's Living Wage Ordinance,Vernon Municipal Code Chapter2 Article XVIII. The Ordinance requires that contractors providing labor or services to the City under contracts in excess of$25,000: ♦ Pay no less than ten dollars and thirty cents($10.30)per hour with medical benefits,or eleven dollars and fifty-five cents($11.55)per hour without medical benefits to all employees who spend any of their time providing labor or delivering services to the City of Vernon. Additionally,in July 1st of each year thereafter the Living Wage rate shall be adjusted by the change in the Federal Bureau of Labor Statistics Consumer Price Index,for the Los Angeles area,for the most recently available 12 month period. Accordingly,current City contractors will be required to adjust wage rates no later than July 1 st,to remain in compliance. ♦ Notify employees who spend any of their time providing labor or delivering services to the City of Vernon who make less than twelve dollars($12)per hour of their possible right to the federal Earned Income Tax Credit(EITC)under§ 32 of the Internal Revenue Code of 1954,26 U.S.C. § 32,and making available to such employees forms required to secure advance EITC payments. The selected contractor will be required to evidence compliance with the Living Wage Ordinance by submitting payroll records as requested by the City. Each record shall include the full name of each employee performing labor or providing services under the contract;job classification;rate of pay and benefit rate. Provisions of the Living Wage Ordinance may be waived in a bona fide collective bargaining agreement,but only if the waiver is explicitly set forth in clear and unambiguous terms. If this provision applies,you must provide a copy of the collective bargaining agreement to the City. I do hereby certify and declare under penalty of perjury that if awarded the contract for which this bid/proposal is made will comply with the (Name of Company) requirements of the Vernon Living Wage Ordinance,Vernon Municipal Code Chapter 2 Article XVIII and the rules and regulations promulgated thereunder. I understand that failure to comply with the provisions of the Vernon Living Wage Ordinance may result in termination of the contract as well as other penalties as stated in Vernon Municipal Code Chapter 2 Article XVIII. (Name) (Title) (Signature) (Date) Please return this form with your bid/proposal. Questions concerning the Living Wage Ordinance should be directed to the Department of Finance—Purchasing Division 323.583.8811. BP-(d) APPENDIX--A" .Of V���a CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES Purchasing&Payables Division ,. 4305 Santa Fe AvenueVernon, CA 90058 (323) 583-8811 Fax(323) 826-1433 Internet: www.cityofvemon.org/departments/finance Article I. Affidavit of Equal Opportunity Employment& Non-segregation(Form AA-1) Article II. Vendor List Questionnaire(Forms AA-2 &3) In order to be placed to the City's vendor list and be eligible to receive City business, you must provide the following information except where indicated as "optional". By submitting this form you are declaring under penalty of perjury under the laws of the State of California and the laws of the United States that the information is true and correct. Furthermore, you are certifying that your firm will adhere to equal opportunity employment practices to assure that applicants and employees are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex or age. And, your firm does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it Name of Company Business Telephone Address Fax number (optional) City State Zip Contact Person E-mail Address (optional) Tax ID Number(or Social Security Number) Remit Address (if different) Please state clearly and concisely the type(s) of goods and services your company provides: The following section is OPTIONAL and is for statistical reporting purposes only. Ownership (please check all that apply): African-American Asian Armenian Hispanic__ Native American Disabled Female AA-1 FORM APPENDIX--A'" Project Workforce Utilization (Form AA-2) This form is to be included in all bid documents for projects involving labor or services valued at$25,000 or more. Instructions: Please indicate the job titles/classifications to be used in the performance of this contract should it be awarded to your firm. Please indicate the number of employees in each job classification as well as the number of new hires,if any,as a result of this contract. Name of Company: Project: Job Titles/Classification Estimated number of existing staff to be employed in this Estimated number of new hires to be employed in this classification if awarded the contract classification if awarded the contract Are any current employees or potential new hires Vernon residents?If so,how many? AA-2 FORM APPENDIX"A" Current Permanent Workforce Utilization (Form AA-3) OPTIONAL Name of Company: Project: Completion of this form is OPTIONAL. Any information supplied by vendors is for reporting purposes only and will not be factored into the award of any contract. Instructions: Please indicate the number of employees in each Job Classification belonging to the following groups. White African-American Hispanic Asian/Pacific Native Armenian Male Female (not of Hispanic (not of Hispanic Islander American origin) origin) CLASSIFICATION Officials/ Managers Professionals Technicians Office/Clerical Skilled Craft Workers Operators semi-skilled Laborers Service Workers TOTAL AA-3 FORM APPENDIX B Sample contract LABOR AND MATERIALS CONTRACT BETWEEN THE CITY OF VERNON AND [CONTRACTOR'S NAME] COVER PAGE Contractor: [insert name of contractor] Responsible Principal of Contractor: [insert name, title] Notice Information - Contractor: [insert name of contractor] [insert street address] [insert city, state, zip code] Attention: [insert name, title] Phone: [insert phone number] Facsimile: [insert fax number] Notice Information - City: City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 Attention: [insert department head] [insert department head title] Telephone: (323) 583-8811 ext. [insert] Facsimile: [insert fax number] Commencement Date: [insert commencement date] Termination Date: [insert termination date], unless extended pursuant to Section 1 Consideration: Total not to exceed $[insert amount] (includes all applicable sales tax); and more particularly described in Exhibit B Records Retention Period Three (3) years, pursuant to Section 8.3 LABOR AND MATERIALS CONTRACT BETWEEN THE CITY OF VERNON AND [CONTRACTOR'S NAME] THIS Contract is made between the CITY OF VERNON ("City"), a California charter City and California municipal corporation, and [Contractor's Name], a [State incorporated in] corporation ("Contractor") The City and Contractor agree as follows: 1.0 Contractor shall furnish all necessary and incidental labor, material, equipment, transportation and services as described in, and strictly in accordance with, and subject to all terms and conditions set forth in Specifications for , as more fully set forth in the Scope of Services, attached hereto and incorporated herein as Exhibit "A". 2.0 All work shall be done in a manner satisfactory to the City's Director of Community Service and Water ("Director"), or the Director's designee, in writing, and shall be of highest quality with respect to In the event Contractor fails to perform satisfactorily the City shall advise Contractor in writing, and Contractor shall have thirty(30) days to cure such failure to satisfactorily perform. If Contractor fails to so cure its performance within said 30 days, the City may, at its option, terminate this Contract for default without further liability, other than payment to Contractor for work performed satisfactorily prior to the date of termination. 3.0 Contractor shall commence work upon the signing of this contract and shall perform work requested in writing by Director. 4.0 In consideration of satisfactory and timely Performance of requested work, the City shall pay Contractor as follows: In the first three years of this Contract, a grand total amount not to exceed _ Dollars ($000,000). 5.0 Concurrently with the execution of this Contract, Contractor shall furnish bonds of a surety satisfactory to the City, as provided in the specifications and Notice Inviting Bids. The cost of the bonds shall be paid by Contractor. 6.0 GENERAL TERMS AND CONDITIONS. 6.1 INDEPENDENT CONTRACTOR. 6.1.1 It is understood that in the performance of the services herein provided for, Contractor shall be, and is, an independent contractor, and is not an agent or employee of City and shall furnish such services in its own manner and method except as required by this Contract. Further, Contractor has and shall retain the right to exercise full control over the employment, direction, compensation and discharge of all persons employed by Contractor in the performance of the services hereunder. Contractor shall be solely responsible for, and shall indemnify, defend and save City harmless from all matters relating to the payment of its employees, including compliance with social security, withholding and all other wages, salaries, benefits, taxes, exactions, and regulations of any nature whatsoever. 6.1.2 Contractor acknowledges that Contractor and any subcontractors, agents or employees employed by Contractor shall not, under any circumstances, be considered employees of the City, and that they shall not be entitled to any of the benefits or rights afforded employees of City, including, but not limited to, sick leave, vacation leave, holiday pay, Public Employees Retirement System benefits, or health, life, dental, long-term disability or workers' compensation insurance benefits. 6.2 CONTRACTOR NOT AGENT. Except as the City may authorize in writing, Contractor and its subcontractors shall have no authority, express or implied, to act on behalf of or bind the City in any capacity whatsoever as agents or otherwise. 6.3 OWNERSHIP OF WORK. All reports, drawings, plans, specifications, computer tapes, floppy disks and printouts, studies, memoranda, computation sheets and other documents prepared by Contractor in furtherance of the work shall be the sole property of City and shall be delivered to City whenever requested. Contractor shall keep such documents and materials on file and available for audit by the City for at least three (3) years after completion or earlier termination of this Contract. Contractor may make duplicate copies of such materials and documents for its own files or for such other purposes as may be authorized in writing by the City. 6.4 CORRECTION OF WORK. Contractor shall promptly correct any defective, inaccurate or incomplete tasks, deliverables, goods, services and other work, without additional cost to the City. The performance or acceptance of services furnished by Contractor shall not relieve the Contractor from the obligation to correct subsequently discovered defects, inaccuracy or incompleteness. 6.5 WAIVER. The City's waiver of any term, condition, breach or default of this Contract shall not be considered to be a waiver of any other term, condition, default or breach, nor of a subsequent breach of the one waived. 6.6 SUCCESSORS. This Contract shall inure to the benefit of, and shall be binding upon, the parties hereto and their respective heirs, successors and/or assigns. 6.7 NO ASSIGNMENT. Contractor shall not assign or transfer this Contract or any rights hereunder without the prior written consent of the City and approval by the City Attorney, which may be withheld in the City's sole discretion. Any unauthorized assignment or transfer shall be null and void and shall constitute a material breach by the Contractor of its obligations under this Contract. No assignment shall release the original parties or otherwise constitute a novation. 6.8 COMPLIANCE WITH LAWS. Contractor shall comply with all Federal, State, County and City laws, ordinances, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof. 6.9 ATTORNEY'S FEES. if any action at law or in equity is brought to enforce or interpret the terms of this Contract, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which such party may be entitled. 7.0 INTERPRETATION. 7.1 APPLICABLE LAW. This Contract, and the rights and duties of the parties hereunder(both procedural and substantive), shall be governed by and construed according to the laws of the State of California. 7.2 ENTIRE AGREEMENT. This Contract, including any Exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation and agreements (written or oral). 7.3 WRITTEN AMENDMENT. This Contract may only be changed by written amendment signed by Contractor and the City Manager or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Contract shall be of no force or effect. 7.4 SEVERABILITY. If any provision in this Contract is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Contract, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Contract. 7.5 ORDER OF PRECEDENCE. In case of conflict between the terms of this Contract and the terms contained in any document attached as an Exhibit or otherwise incorporated by reference, the terms of this Contract shall strictly prevail. The terms of the City's Specifications shall control over the Contractor's bid. 7.6 CHOICE OF FORUM. The parties hereby agree that this Contract is to be enforced in accordance with the laws of the State of California, is entered into in the City of Vernon and that all claims or controversies arising out of or related to performance under this Contract shall be submitted to and resolved in a forum within the County of Los Angeles at a place to be determined by the rules of the forum. 7.7 DUPLICATE ORIGINALS. There shall be two (2)fully signed copies of this Contract, each of which shall be deemed an original. 7.8 TIME OF ESSENCE. Time is strictly of the essence of this Contract and each and every covenant, term and provision hereof. 7.9 AUTHORITY OF CONTRACTOR. The Contractor hereby represents and warrants to the City that the Contractor has the right, power, legal capacity and authority to enter into and perform its obligations under this Contract, and its execution of this Contract has been duly authorized. 7.10 ARBITRATION OF DISPUTES. Any dispute for under $25,000 arising out of or relating to the negotiation, construction, performance, non-performance, breach or any other aspect of this Contract, shall be settled by binding arbitration in accordance with the Commercial Rules of the American Arbitration Association at Los Angeles, California and judgment upon the award rendered by the Arbitrators may be entered in any court having jurisdiction thereof. The City does not waive its right to object to the timeliness or sufficiency of any claim filed or required to be filed against the City and reserves the right to conduct full discovery. 7.11 INDEMNITY. 7.11.1 Contractor agrees to indemnify, hold harmless and defend (even if the allegations are false, fraudulent or groundless), to the maximum extent permitted by law, the City, its City Council and each member thereof, and its officers, employees, commission members and representatives, from any and all liability, loss, suits, claims, damages, costs, judgments and expenses (including attorneys fees and costs of litigation)which in whole or in part result from, or arise out of, or are claimed to result from or to arise out of: A. any activity on or use of City's premises or facilities or any performance under this Contract; or B. any acts, errors or omissions (including, without limitation, professional negligence) of Contractor, its employees, representatives, subcontractors, or agents in connection with the performance of this Contract. 7.11.2 This agreement to indemnify includes, but is not limited to, personal injury (including death at any time) and property or other damage (including, but without limitation, contract or tort or patent, copyright, trade secret or trademark infringement) sustained by any person or persons (including, but not limited to, companies, or corporations, Contractor and its employees or agents, and members of the general public). The sole negligence or willful misconduct of City, its employees or agents other than Contractor or Contractor's subcontractors are excluded from this indemnity agreement. 7.12 RELEASE. Contractor agrees to release and covenants not to sue the City, its City Council and each member thereof, and its officers, employees, commission members and representatives for any damage or injury (including death) to itself, its officers, employees, agents and independent contractors damaged or claiming to be damaged from any performance under this Contract. 7.13 INSURANCE. Contractor shall, at its own expense, procure and maintain policies of insurance of the types and in the amounts set forth below, for the duration of the Contract, including any extensions thereto. The policies shall state that they afford primary coverage. 7.13.1 Automobile Liability with minimum limits of at least $100,000/300,000/50,000 if written on a personal automobile liability form, for using a personal vehicle; or an amount of $500,000 including owned, hired, and non-owned liability coverage if written on a Commercial automobile liability form. 7.13.2 General Liability with minimum limits of at least $1,000,000 combined single limits written on an Insurance Services Office (ISO) Comprehensive General Liability "occurrence" form or its equivalent for coverage on an occurrence basis. Premises/Operations and Personal Injury coverage is required. The City of Vernon, its directors, commissioners, officers, employees, agents and volunteers must be endorsed on the policy as additional insureds as respects liability arising out of the Contractor's performance of this Contract. A. If Contractor employs other contractors as part of the services rendered, Contractor's Protective Coverage is required. Contractor may include all subcontractors as insureds under its own policy or shall furnish separate insurance for each subcontractor, meeting the requirements set forth herein. B. Blanket Contractual Coverage. C. Products/Completed Operations coverage. 7.13.3 Contractor shall comply with the applicable sections of the California Labor Code concerning workers' compensation for injuries on the job. Compliance is accomplished in one of the following manners: A. Provide copy of permissive self-insurance certificate approved by the State of California; or B. Secure and maintain in force a policy of workers' compensation insurance with statutory limits and Employer's Liability Insurance with a minimal limit of$1,000,000 per accident. The policy shall be endorsed to waive all rights of subrogation against City, its directors, commissioners, officers, employees, and volunteers for losses arising from performance of this Contract; or C. Provide a "waiver" form certifying that no employees subject to the Labor Code's Workers' Compensation provision will be used in performance of this Contract. 7.13.4 Each insurance policy included in this clause shall be endorsed to state that coverage shall not be cancelled except after thirty(30) days' prior written notice to City. 7.13.5 Insurance shall be placed with insurers with a Best's rating of no less than B:VIII. 7.13.6 Prior to commencement of performance, Contractor shall furnish City with a certificate of insurance for each policy. Each certificate is to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificate(s) must be in a form approved by City. City may require complete, certified copies of any or all policies at any time. 7.13.7 Failure to maintain required insurance at all times shall constitute a default and material breach. In such event, Contractor shall immediately notify City and cease all performance under this Contract until further directed by the City. In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney's fees and costs against Contractor by way of set-off or recoupment from sums due Contractor, at City's option; (b) immediately terminate this Contract; or (c) self insure the risk, with all damages and costs incurred, by judgment, settlement or otherwise, including attorney's fees and costs, being collectible from Contractor, by way of set-off or recoupment from any sums due Contractor. 7.14 NOTICES. Any notice or demand to be given by one party to the other shall be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Vernon or any other City department is not adequate notice. If to the City: City of Vernon 4305 Santa Fe Ave. Vernon, CA 90058 With a Copy to: If to the Contractor: Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 7.15 TERMINATION FOR CONVENIENCE (Without Cause). City may terminate this Contract in whole or in part at any time, for any cause or without cause, upon fifteen (15) calendar days' written notice to Contractor. If the Contract is thus terminated by City for reasons other than Contractor's failure to perform its obligations, City shall pay Contractor a prorated amount based on the services satisfactorily completed and accepted prior to the effective date of termination. Such payment shall be Contractor's exclusive remedy for termination without cause. 7.16 DEFAULT. In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Contract by written notice to the defaulting party. The notice shall specify the basis for the default. The Contract shall terminate unless such default is cured before the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. Termination for cause shall relieve the terminating party of further liability or responsibility under this Contract, including the payment of money, except for payment for services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of(1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance. 7.17 ASSIGNMENT OF ANTITRUST CAUSES OF ACTION. Contractor hereby agrees to assign to the City all rights, title and interest in and to all causes of action it may have under Section 4 of the Clayton Act (15 U.S.C. Sec 15) or under the Cartwright Act Chapter 2 (Commencing with Section 16700) or part 2 of Division 7 of the Business and Professions Code, or any similar or successor provisions of Federal or State law, arising from purchases of goods, services or materials pursuant to this Contract or the subcontract. This assignment shall be made and become effective at the time the City tenders final payment to the Contractor, without further acknowledgment by the parties. 8.0 ADDITIONAL ASSURANCES 8.1 EQUAL EMPLOYMENT OPPORTUNITY PRACTICES. Contractor certifies and represents that, during the performance of this contract, the contractor and any other parties with whom it may subcontract shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex, age, medical condition, marital status. Contractor further certifies that it will not maintain any segregated facilities. Contractor further agrees to comply with The Equal Employment Opportunity Practices provisions as set forth in Exhibit "E". 8.2 VERNON BUSINESS LICENSE. Contractor shall obtain, and pay any and all costs associated therewith, any Vernon Business License which may be required by the Vernon Municipal Code. 8.3 MAINTENANCE AND INSPECTION OF RECORDS. The City, or its authorized auditors or representatives, shall have access to and the right to audit and reproduce any of the Contractor's records to the extent the City deems necessary to insure it is receiving all money to which it is entitled under the Contract and/or is paying only the amounts to which Contractor is properly entitled under the Contract or for other purposes relating to the Contract. The Contractor shall maintain and preserve all such records for a period of at least 3 years after termination of the Contract. The Contractor shall maintain all such records in the City of Vernon. If not, the Contractor shall, upon request, promptly deliver the records to the City of Vernon or reimburse the City for all reasonable and extra costs incurred in conducting the audit at a location other than the City of Vernon, including, but not limited to, such additional (out of the City) expenses for personnel, salaries, private auditors, travel, lodging, meals and overhead. 8.4 CONFLICT. Contractor hereby represents, warrants and certifies that no member, officer or employee of the Contractor is a director, officer or employee of the City of Vernon, or a member of any of its boards, commissions or committees, except to the extent permitted by law. 8.5 ENFORCEMENT OF WAGE AND HOUR LAWS. Eight hours labor constitutes a legal day's work. The Contractor, or subcontractor, if any, shall forfeit twenty-five dollars ($25)for each worker employed in the execution of this Agreement by the respective Contractor or subcontractor for each calendar day during which the worker is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of Sections 1810 through 1815 of the California Labor Code as a penalty paid to the City; provided, however, work performed by employees of contractors in excess of 8 hours per day, and 40 hours during any one week, shall be permitted upon compensation for all hours worked in excess of 8 hours per day at not less than 1'/2 times the basic rate of pay. 8.6 LIVING WAGES. Contractor, or Subcontractor, if any, working on City service contracts of any amount, as to all employees spending time on City contracts shall observe the City's Living Wage Ordinance and all requirements thereof at all times on City contracts. The Current Living Wage Standards are set forth in Exhibit "D". Upon request, certified payroll shall be provided to the City. [Signatures Begin on Next Page]. IN WITNESS WHEREOF, the Parties have signed this Agreement as of the date stated in the introductory clause. City of Vernon, a California charter City [CONTRACTOR'S NAME, a [State and California municipal corporation incorporated in] corporation By: By: W. Michael McCormick, Mayor Name: Title: ATTEST: By: _ Name: Ana Barcia, Deputy City Clerk Title: APPROVED AS TO FORM: Hema Patel, City Attorney EXHIBIT A SCOPE OF SERVICES EXHIBIT B PROPOSAL EXHIBIT C SCHEDULE OF WORK EXHIBIT D LIVING WAGE PROVISIONS Minimum Living Wages: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or$11.55 per hour without health benefits. Paid and Unpaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. EXHIBIT E EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A. Contractor certifies and represents that, during the performance of this Agreement, the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated facilities. B. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer" or that all qualified applicants will receive consideration for employment without regard to their race, religious creed, color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement, discriminated against applicants or employees because of their membership in a protected class. D. Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. Certificate of Insurance CONTRACT/PURCHASE ORDER/PERMIT/ INSURANCE REQUIREMENTS x' Insurance policies for persons having a contract, purchase order, or permit other than for equipment purchase without installation, with the City of Vernon shall comply with the following City requirements: 1. The ACCORD Certificate of Liability Insurance form is an acceptable format for submitting insurance information. If you do not have your insurance information in this format please, contact the department below. 2. The City of Vernon shall be given 30 days written notice of cancellation or material change. The certificate submitted will not be approved if it contains "best effort" modifiers or if it relieves the insurer from responsibility for failure to give notice. (See examples on the next page). 3. City of Vernon, its councilmembers, commissioners, officers, employees and agents, shall be named as an additional insured on general commercial policies. And the City of Vernon shall be the certificate holder. 4. Minimum general liability insurance limits shall be as follows: Combined single limit of $1,000,000 per occurrence. Note: The Specification or Request for Quote may provide for lesser or greater requirements depending on the potential risk involved. 5. Minimum automobile liability insurance limits shall be $100,000 combined single limits unless vehicles are not involved. 6. Workers' compensation insurance in statutory amounts. A separate Certificate of Insurance may be submitted. City need not be endorsed as an additional insured. 7. Insurance certificate(s) shall be provided verifying required insurance. Specific inquiries should be addressed to: City of Vernon Paul Kiehl, Risk Manager Risk Management Department 4305 Santa Fe Avenue Vernon, CA 90058 (323)583-8811FAX (323) 862-1438 CANCELLATION NOTICE DEFECTS Insurance certificates submitted to the City of Vernon should not contain any of the following defects in the cancellation notices: 1) "Best efforts" modifiers. "Best efforts" modifiers such as: a) Company will endeavor to mail. b) It is the intention of the company to mail. c) Company intends to notify. d) Company will make every effort to mail. The City requires a positive commitment to notify rather than a best efforts non-binding promise. 2) Exculpatory clauses. Exculpatory clauses which relieve the insurer from liability for failure to notify such as: a) but undertakes no responsibility by reason of any failure to do so. b) but failure to mail such notice shall impose no obligation or liability of any kind upon the company. c) company assumes no responsibility for any mistake, or for failure to give such notice. 3) Unmodified Accord form. The Accord form is not acceptable unless the cancellation notice is modified as follows: Should any of the above described policies be cancelled before the expiration date thereof, the issuing company will endeavor to mail days written notice to the certificate holder named to the left, but failure to mail such notice shall impose no obligation or liability of any kind upon the company, its agents or representatives. REQUEST FOR WAVIER OF WORKERS COMPENSATION INSURANCE If insured has no employees or employees who are subject to the labor code, please sign the following affidavit: I certify that in the performance of the work under the permit, license agreement, purchase order, or contract with the City of Vernon which is the subject matter of this certification, I shall not, in any manner, employ any person or contract with any person so that any worker on said work would become subject to the workers' compensation laws of the State of California. Name Date Vendor/Permittee City of Vernon INSURANCE Name of Co: Project Title: 1. PLEASE PROVIDE THE BELOW LISTED DOCUMENTS TO YOUR PROJECT MANAGER. 2. PLEASE SUBMIT THESE IN ONE 1 PACKAGE WHEN YOU HAVE ALL DOCUMENTS IN HAND, ALONG WITH THIS CHECK LIST, BECAUSE THEY WILL BE FORWARDED OVER AS A GROUP TO OUR RISK MANAGER FOR APPROVAL: Include on one or two Acord forms with the coverage limits, policy numbers, and dates for: A. ❑General Liability: Combined Single Limit of$1,000,000 per occurrence. ❑ Additional Insured Endorsement form(s) Naming as Additional Insured ("City of Vernon, its Council Members, Commissioners, officers, employees and agents.") Please provide either this: ❑ CG 20 10 11 85; or both of these forms ❑ CG 20 10 XX XX (for ongoing operations) AND ❑ CG 20 37 XX XX (for completed operations). ❑ Endorsement Waiver of the Right of Subrogation for General Liability against the City of Vernon. ❑ Coverage XCU is required if applicable B. ❑ Auto Liability: $100,000 combined single limits unless vehicles are not involved. C.❑ Worker's Comp in statutory amounts. A separate certificate may be submitted. The City need not be named as additional insured. ❑ Endorsement Waiver of the Right of Subrogation for Worker's Camp against the City of Vernon. Note: The Specification or Request for Insurance may be amended by the City, to require less or greater requirements depending on the potential risk involved. ,r,.,, rr Or V RECEIVED ry r R E D��E D �c``BE,���s�F ' 2 5 2095 FEB 2 4 2015 STAFF REPORT CITY ADMINISTRATION CITY CLERK'S OFFICE VERNON GAS & ELECTRIC DEPARTMENT DATE: March 3, 2015 4" TO: Honorable Mayor and City Council SW FROM: Carlos Fandino Jr., Director of Vernon Gas & Electric RE: Request for approval to enter into a services agreement with Power Engineers, Inc. (PEI) for the Grounding Study for Eight Distribution Stations, Switching Stations and Customer Substations Recommendation It is recommended that the City Council: 1. Find that the approval of the proposed services agreement is exempt under the California Environmental Quality Act (CEQA) in accordance with Section 15302 (C), because the proposed contract consists of the replacement or reconstruction of existing utility systems and/or facilities involving negligible or no expansion of capacity; and 2. Approve the proposed services Agreement, in substantially the same form as submitted herewith, with Power Engineers, Inc. (PEI) for the Substation Grounding Study for eight electric distribution substations for an amount not-to-exceed $142,251 and authorize the City Administrator to execute the services agreement on behalf of the City. Background Vernon Gas & Electric Department own, operates and maintains four distribution stations, two switching stations and two customer substations (collectively, the "substations"). These substations are traditionally contained in a fenced type property with various equipment electrically connected and residing on the top flat surface covered with gravel. Few inches underneath the graveled area there is meshed copper wire connections and ground rods penetrating deep into the ground. Recently, the old electromechanical relays at the substations were replaced with solid state relays which are much more accurate and sensitive to ground fault currents. The new relays provide additional reliability to the electric system. A proper grounding system at each substation is imperative for the safe and reliable operation of VG&E electrical relays. The grounding system must establish safe limits for potential differences within a station, under fault conditions, between possible points of contact. These grounding copper wires also protect equipment from being exposed to changes in voltage and fault currents during a short circuit. Therefore, proper grounding system at each substation is paramount in ensuring personnel safety exposed to step voltage and metal to metal touch voltage. In accordance with Title 40 of the Federal Regulations Part 112 (40 CFR 112), State of California, Los Angeles County, and Vernon code and permit requirements, the Department is required to thoroughly evaluate the grounding system adequacy at each substations. As permitted in the City's Purchasing Manual, the Department intends to piggyback on a current contract between the City of Riverside Public Utilities and Power Engineers, Inc. (PEI). Piggybacking is when a public agency uses an existing public agency's existing public contract as a template to form their own contract directly with the same vendor to purchase on the same or similar terms. The City of Riverside used a Request for Proposal (RFP) process to obtain labor and material cost for PEI. The scope of work consists of conducting soil resistivity measurement test, develop an integrated model of the grounding system, validate model/results with testing, assess system deterioration via measurements and inspections, and provide recommendations for mitigations or grounding system modification to meet IEEE Standard 80 compliance. The deliverables include the final grounding analysis and drawings. The substations consist of Vernon, Leonis, Ybarra, McCormick, BJ, Kinetics, Trigas and Owill. Fiscal Impact The proposed Grounding Study for the eight distribution substations and customer substations is estimated at a not to exceed cost of $142,251. The scope for this project is included in 2014- 2015 budget and the funds are available. Attachments SERVICES AGREEMENT BETWEEN THE CITY OF VERNON AND POWER ENGINEERS INC., THE GROUNDING STUDY FOR EIGHT DISTRIBUTION STATIONS, SWITCHING STATIONS AND CUSTOMER SUBSTATIONS COVER PAGE Contractor: Power Engineers, Inc. Responsible Principal of Contractor: Dev Birla, P.E./PMP Senior Project Manager Notice Information - Contractor: Power Engineers, Inc. 731 East Ball Road, Suite 100 Anaheim, CA 92805 Attention: Dev Birla, P.E./PMP Senior Project Manager Phone: (714) 507-2732 Email: dev.birla@powereng.com Notice Information - City: City of Vernon 4305 Santa Fe Avenue Vernon, CA 90058 Attention: Carlos Fandino, Director of Gas & Electric Telephone: (323) 583-8811 ext. 834 Facsimile: (323) 826-1408 Commencement Date: March 16, 2015 Termination Date: March 15, 2016 Consideration: Total not to exceed $142,251.00 (includes all applicable sales tax); and more particularly described in Exhibit C Records Retention Period Three (3) years, pursuant to Section 9.19 1 SERVICES AGREEMENT BETWEEN THE CITY OF VERNON AND POWER ENGINEERS INC., THE GROUNDING STUDY FOR EIGHT DISTRIBUTION STATIONS, SWITCHING STATIONS AND CUSTOMER SUBSTATIONS This Contract is made between the City of Vernon ("City"), a California charter City and California municipal corporation ("City"), and Power Engineers, Inc., a California corporation ("Contractor"). The City and Contractor agree as follows: 1.0 EMPLOYMENT OF CONTRACTOR. City agrees to engage Contractor to perform the services as hereinafter set forth. 2.0 SCOPE OF SERVICES. 2.1 Contractor shall perform all work necessary to complete the services set forth in the Request for Proposals issued by the City of Riverside in May 2014, Exhibit "A", and Contractor's proposal to the City ("Proposal") dated January 19, 2015, Exhibit "B", both of which are attached to and incorporated into this Contract, by reference. 2.2 All services shall be performed to the satisfaction of City. 2.3 All services shall be performed according to the accepted standards of skill, care, and diligence then prevailing in the engineering profession. 3.0 PERSONNEL. 3.1 Contractor represents that it employs, or will employ, at its own expense, all personnel required to perform the services under this Contract. 3.2 Contractor shall not subcontract any services to be performed by it under this Contract without prior written approval of City. 3.3 All of the services required hereunder will be performed by Contractor or by City-approved subcontractors. Contractor, and all personnel engaged in the work, shall be fully qualified and authorized or permitted under State and local law to perform such services and shall be subject to approval by the City. 4.0 TERM. The term of this Contract shall commence on March 16, 2015, and it shall continue until March 15, 2016, unless terminated at an earlier date pursuant to the 2 provisions thereof. 5.0 COMPENSATION AND FEES. 5.1 Contractor has established rates for the City of Vernon which are comparable to and do not exceed the best rates offered to other governmental entities in and around Los Angeles County for the same services. For satisfactory and timely performance of the services, the City will pay Contractor in accordance with the payment schedule set forth in Exhibit "C 5.2 Contractor's grand total compensation for the entire term of this Contract, including change orders, shall not exceed $142,251.00, without the prior authorization of the City Council and written amendment of this Contract. 5.3 Contractor shall, at its sole cost and expense, furnish all necessary and incidental labor, material, supplies, facilities, equipment and transportation which may be required for furnishing services pursuant to this Contract. Materials shall be of the highest quality. The above Contract fee shall include all staff time and all clerical, administrative, overhead, insurance, reproduction, telephone, air travel, auto rental, subsistence, and all related costs and expenses. 6.0 PAYMENT. 6.1 As scheduled services are completed, Contractor shall submit to the City an invoice for the services completed, authorized expenses, and authorized extra work actually performed or incurred according to said schedule. 6.2 Each such invoice shall state the basis for the amount invoiced, including a detailed description of the services completed, the number of hours spent, reimbursable expenses incurred and any extra work performed. 6.3 Contractor shall also submit a progress report with each invoice that describes in reasonable detail the services and the extra work, if any, performed in the immediately preceding calendar month. 6.4 Contractor understands and agrees that invoices which lack sufficient detail 3 to measure performance will be returned, when feasible, within seven (7) days of City's receipt of invoice, and line items subject to dispute will not be processed for payment. City agrees to pay when due that portion not in dispute. 6.5 City will pay Contractor the undisputed amount invoiced within thirty(30) days after the City receives the invoice. 6.6 Payment of such invoices shall be payment in full for all services, authorized costs and authorized extra work covered by that invoice. 7.0 CHANGE ORDERS. The Director of the Gas & Electric Department shall have the authority to issue change orders for administrative and non-material changes to the scope of services and to the time for performance as long as the change orders do not increase the compensation due to Contractor under this Contract and as long as the time is not extended beyond three years. The City Administrator, shall have the authority to issue administrative change orders to increase the compensation due Contractor under this Contract, but the combined total amount of such change orders shall not exceed $142,251.00. 8.0 CITY'S RESPONSIBILITY. City shall cooperate with Contractor as may be reasonably necessary for Contractor to perform its services; and will give any required decisions as promptly as practicable so as to avoid unreasonable delay in the progress of Contractor's services. 9.0 GENERAL TERMS AND CONDITIONS. 9.1 INDEPENDENT CONTRACTOR. 9.1.1 It is understood that in the performance of the services herein provided for, Contractor shall be, and is, an independent contractor, and is not an agent or employee of City and shall furnish such services in its own manner and method except as required by this Contract. Further, Contractor has and shall retain the right to exercise full control over the employment, direction, compensation and discharge of all persons employed by Contractor in the performance of the services hereunder. Contractor shall be solely responsible for, and shall indemnify, defend and save City harmless from all matters relating to the payment 4 of its employees, including compliance with social security, withholding and all other wages, salaries, benefits, taxes, exactions, and regulations of any nature whatsoever. 9.1.2 Contractor acknowledges that Contractor and any subcontractors, agents or employees employed by Contractor shall not, under any circumstances, be considered employees of the City, and that they shall not be entitled to any of the benefits or rights afforded employees of City, including, but not limited to, sick leave, vacation leave, holiday pay, Public Employees Retirement System benefits, or health, life, dental, long-term disability or workers' compensation insurance benefits. 9.2 CONTRACTOR NOT AGENT. Except as the City may authorize in writing, Contractor and its subcontractors shall have no authority, express or implied, to act on behalf of or bind the City in any capacity whatsoever as agents or otherwise. 9.3 OWNERSHIP OF WORK. All reports, drawings, plans, specifications, computer tapes, floppy disks and printouts, studies, memoranda, computation sheets and other documents prepared by Contractor in furtherance of the work shall be the sole property of City and shall be delivered at no charge to City if Contractor had already been paid to prepare said documents. Contractor shall keep such documents and materials on file and available for audit by the City for at least three (3) years after completion or earlier termination of this Contract. Contractor may make duplicate copies of such materials and documents for its own files or for such other purposes as may be authorized in writing by the City. City shall not gain ownership of any intellectual property of Contractor that was used to create the deliverables. Contractor shall grant to City a nonexclusive, perpetual, royalty-free, world-wide, limited license under copyright to use solely for its own benefit, for internal purposes only, and only with its own personnel and without rights to sublicense, such Contractor IP as is necessary for City to make the agreed use of the deliverables as contemplated by this Agreement. The City acknowledges that Contractor's drawings and specifications, including all documents on electronic media, were designed solely with respect to the project, and agrees to hold Contractor harmless from any claim, or liability to the extent caused by any improper reuse or improper modification of the 5 documents by the City or an agent of the City. 9.4 CORRECTION OF WORK. Contractor shall promptly correct any defective, inaccurate or incomplete tasks, deliverables, goods, services and other work caused by a failure to meet accepted standards of care, skill and diligence, without additional cost for a period of one (1) year from completion of the work. The performance or acceptance of services furnished by Contractor shall not relieve the Contractor from the obligation to correct subsequently discovered defects, inaccuracy or incompleteness. 9.5 WAIVER. The City's waiver of any term, condition, breach or default of this Contract shall not be considered to be a waiver of any other term, condition, default or breach, nor of a subsequent breach of the one waived. 9.6 SUCCESSORS. This Contract shall inure to the benefit of, and shall be binding upon, the parties hereto and their respective heirs, successors and/or assigns. 9.7 NO ASSIGNMENT. Contractor shall not assign or transfer this Contract or any rights hereunder without the prior written consent of the City and approval by the City Attorney, which may be withheld in the City's sole discretion. Any unauthorized assignment or transfer shall be null and void and shall constitute a material breach by the Contractor of its obligations under this Contract. No assignment shall release the original parties or otherwise constitute a novation. 9.8 COMPLIANCE WITH LAWS. Contractor shall comply with all Federal, State, County and City laws, ordinances, rules and regulations, which are, as amended from time to time, incorporated herein and applicable to the performance hereof, including but without limitation, the Vernon Living Wage Ordinance. Violation of any law material to performance of this Contract shall entitle the City to terminate the Contract and otherwise pursue its remedies. 9.9 ATTORNEY'S FEES. If any action at law or in equity is brought to enforce or interpret the terms of this Contract, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which such party may be entitled. 6 9.10 INTERPRETATION. 9.10.1 Applicable Law. This Contract, and the rights and duties of the parties hereunder(both procedural and substantive), shall be governed by and construed according to the laws of the State of California. 9.10.2 Entire Agreement. This Contract, including any exhibits attached hereto, constitutes the entire agreement and understanding between the parties regarding its subject matter and supersedes all prior or contemporaneous negotiations, representations, understandings, correspondence, documentation and agreements (written or oral). 9.10.3 Written Amendment. This Contract may only be changed by written amendment signed by Contractor and the City Administrator or other authorized representative of the City, subject to any requisite authorization by the City Council. Any oral representations or modifications concerning this Contract shall be of no force or effect. 9.10.4 Severability. If any provision in this Contract is held by any court of competent jurisdiction to be invalid, illegal, void, or unenforceable, such portion shall be deemed severed from this Contract, and the remaining provisions shall nevertheless continue in full force and effect as fully as though such invalid, illegal, or unenforceable portion had never been part of this Contract. 9.10.5 Order of Precedence. In case of conflict between the terms of this Contract and the terms contained in any document attached as an Exhibit or otherwise incorporated by reference, the terms of this Contract shall strictly prevail. The terms of the City's Request for Proposals shall control over the Contractor's Proposal. 9.10.6 Choice of Forum. The parties hereby agree that this Contract is to be enforced in accordance with the laws of the State of California, is entered into and/or is to be performed in the City of Vernon and that all claims or controversies arising out of or related to performance under this Contract shall be submitted to and resolved in a forum within the County of Los Angeles at a place to be determined by the rules of the forum. 7 9.10.7 Duplicate Originals. There shall be two (2)fully signed copies of this Contract, each of which shall be deemed an original. 9.11 TIME OF ESSENCE. Time is strictly of the essence of this contract and each and every covenant, term and provision hereof. Contractor shall strictly comply with the schedule for the work agreed upon between the Parties, except to the extent City expressly authorizes a delay in writing in advance. 9.11.1 FORCE MAJEURE. Contractor shall not be responsible for delays caused by factors beyond Contractor's reasonable control, including but not limited to delays because of external strikes, external lockouts, external work slowdowns or external stoppages, accidents, acts of God, failure of any governmental or other regulatory authority to act in a timely manner, failure of the City to furnish timely information or approve or disapprove of Contractor's Services or work product promptly, or delays caused by faulty performance by the City or by City's direct contractors. When such delays beyond Contractor's reasonable control occur, the City agrees that Contractor shall not be responsible for damages caused by the delay, nor shall Contractor be deemed to be in default of this Agreement to the extent caused by the delay. In the event of such delay, the Schedule shall be extended for a period of time equal to such delay. 9.12 AUTHORITY OF CONTRACTOR. The Contractor hereby represents and warrants to the City that the Contractor has the right, power, legal capacity and authority to enter into and perform its obligations under this Contract, and its execution of this Contract has been duly authorized. 9.13 RESOLUTION OF DISPUTES. The Parties shall attempt in good faith to resolve any dispute arising out of or relating to this Agreement, or any breach hereof or any work performed hereunder, promptly by negotiation between executives who have authority to settle the controversy. Any party may give the other party written notice of any dispute not resolved during the normal course of business. Such notice shall include a statement of that party's position and documentation supporting that parties claim and the name and title of the 8 executive who will be representing that party and any other person who will accompany the executive. The receiving party shall respond in kind within fifteen (15) days of the date of notice. Within thirty (30) days after delivery of the initial notice, the executives of both parties shall meet at a mutually acceptable time and place and use good faith efforts to resolve the dispute. If dispute is not then resolved, either party may give the other written notice that these executive negotiations are concluded. Negotiations pursuant to this Section shall be confidential and shall be treated as compromise and settlement negotiations for purposes of Law and rules of evidence. Time requirements herein may be modified upon mutual written consent of the parties. 9.13.2. MEDIATION. In the event that the parties are unable to settle the dispute through direct negotiations as set forth above, all remaining controversies or claims shall then be submitted to mediation within ten (10) days from written notice of concluded negotiation following the Commercial Mediation Rules published by the American Arbitration Association. Unless the parties agree otherwise, mediation shall be held in Los Angeles, CA. This Agreement to mediate and any other agreement or consent to mediate entered into in accordance with this Agreement shall be specifically enforceable under the prevailing law of any court having jurisdiction. Unless otherwise agreed, the Parties shall evenly split the costs of mediation. 9.13.3. RESERVATION OF RIGHTS. The City does not waive its right to object to the timeliness or sufficiency of any claim filed or required to be filed against the City and reserves the right to conduct full discovery. 9.14 INDEMNITY. Contractor agrees to indemnify, defend, and hold harmless (even if the allegations are false, fraudulent or groundless), to the maximum extent permitted by law, the City, its City Council and each member thereof, and its officers, employees, commission members and representatives, from any and all liability, loss, suits, claims, damages, costs, judgments and expenses (including attorney's fees and costs of litigation) to the extent such damages result from, or arise out of, or are claimed to result from or to arise out 9 of: 1) any activity, other than the performance of professional services, on or use of City's premises or facilities or any performance under this Contract; or 2) any negligent or improper acts, errors or omissions(including,without limitation, professional negligence)of Contractor, its employees, representatives, subcontractors, or agents in connection with the performance of professional services under this Contract. If it is finally adjudicated that liability was caused by the comparative active negligence or willful misconduct of an indemnified party, Consultant may submit a claim to the City for reimbursement of reasonable attorneys' fees and defense costs in proportion to the established comparative liability of the indemnified party. 1) This agreement to indemnify includes, but is not limited to, personal injury (including death at any time)and property or other damage(including, but without limitation, contract or tort or patent, copyright, trade secret or trademark infringement)sustained by any person or persons(including, but not limited to, companies, or corporations, Contractor and its employees or agents, and members of the general public). 9.14.1 RELEASE. Contractor agrees to release and covenants not to sue the City, its City Council and each members thereof, and its officers, employees, commission members and representatives for any damage or injury (including death)to itself, its officers, employees, agents and independent contractors damaged or claiming to be damaged from any performance under this Contract. 9.15 INSURANCE. Contractor shall, at its own expense, procure and maintain policies of insurance of the types and in the amount set forth below, for the duration of the Contract, including any extensions thereto. The policies shall state that they afford primary coverage. i. Automobile Liability with minimum limits of at least $100,000/300,000/50,000 if written on a personal automobile liability form, for using a personal vehicle; or an amount of$500,000 including owned, hired, and non-owned liability coverage if 10 written on a Commercial automobile liability form. ii. General Liability with minimum limits of at least$1,000,000 combined single limits written on an Insurance Services Office (ISO) Comprehensive General Liability"occurrence" form or its equivalent for coverage on an occurrence basis. Premises/Operations and Personal Injury coverage is required. The City of Vernon, its directors, commissioners, officers, and employees, must be endorsed on the policy as additional insured as respects liability arising out of the Contractor's performance of this Contract. If Contractor employs other contractors as part of the services rendered, Contractor's Protective Coverage is required. Contractor may include all subcontractors as insured under its own policy of shall furnish separate insurance for each subcontractor, meeting the requirements set forth herein. iii. Professional Errors and Omissions coverage in a sum of $1,000,000 per claim and $2,000,000 in the aggregate. iv. Contractor shall comply with the applicable sections of the California Labor Code concerning worker's compensation for injuries on the job. Compliance is accomplished in one of the following manners: (1) Provide copy of permissive self-insurance certificate approved by the State of California; or (2) Secure and maintain in force a policy of workers' compensation insurance with statutory limits and Employer's Liability Insurance with a minimal limit of $1,000,000 per accident. The policy shall be endorsed to waive all rights of subrogation against City, its directors, commissioners, officers, employees, and volunteers for losses arising from performance of this Contract; or (3) Provide a "waiver" form certifying that no employees subject to the Labor Code's Workers' Compensation provision will be used in performance of this Contract. V. Each insurance policy included in this clause shall be endorsed to state 11 that coverage shall not be cancelled except after thirty (30) days' prior written notice to City. vi. Insurance shall be placed with insurers with a Best's rating of no less than B.VIII. vii. Prior to commencement of performance, Contract shall furnish City with a certificate of insurance for each policy. Each certificate is to be signed by a person authorized by that insurer to bind coverage on its behalf. The certificate(s) must be in a form approved by City. City may require complete, certified copies of any or all policies at any time. Contractor shall not allow any subcontractors to do any work relating to this contract until each subcontractor has provided proof of insurance coverage to the City meeting the requirements set forth herein. viii. Failure to maintain required insurance at all times shall constitute a default and material breach. In such event, Contractor shall immediately notify City and cease all performance under this Contract until further directed by the City. In the absence of satisfactory insurance coverage, City may, at its option: (a) procure insurance with collection rights for premiums, attorney's fees and costs against Contractor by way of set-off or recoupment from sums due Contractor, at City's option; (b) immediately terminate this Contract; or (c) self- insure the risk, with all damages and costs incurred, by judgment, settlement or otherwise, including attorney's fees and costs, being collectible from Contractor, by way of set- off or recoupment from any sums due Contractor. 9.16 NOTICES. Any notice or demand to be given by one party to the other be given in writing and by personal delivery or prepaid first-class, registered or certified mail, addressed as follows. Notice simply to the City of Vernon or any other City department is not adequate notice. If to the City: City of Vernon Attention: Carlos Fandino, Director of Gas & Electric 4305 Santa Fe Avenue Vernon, CA 90058 12 If to the Contractor: Power Engineers, Inc. Attention: Dev Birla, P.E./PMP, Senior Project Manager 431 East Ball Road, Suite 100 Anaheim, CA 92805 Any such notice shall be deemed to have been given upon delivery, if personally delivered, or, if mailed, upon receipt or upon expiration of three (3) business days from the date of posting, whichever is earlier. Either party may change the address at which it desires to receive notice upon giving written notice of such request to the other party. 9.17 TERMINATION FOR CONVENIENCE (Without Cause). City may terminate this Contract in whole or in part at any time, for any cause or without cause, upon fifteen (15) calendar days' written notice to Contractor. If the Contract is thus terminated by City for reasons other than Contractor's failure to perform its obligations, City shall pay Contractor a prorated amount based on the services performed prior to the effective date of termination. Such payment shall be Contractor's exclusive remedy for termination without cause. 9.18 DEFAULT. In the event either party materially defaults in its obligations hereunder, the other party may declare a default and terminate this Contract by written notice to the defaulting party. The notice shall specify the basis for the default. The Contract shall terminate unless such default is cured before the effective date of termination stated in such notice, which date shall be no sooner than ten (10) days after the date of the notice. Termination for cause shall relieve the terminating party of further liability or responsibility under this Contract, including the payment of money, except for payment for services satisfactorily and timely performed prior to the service of the notice of termination, and except for reimbursement of(1) any payments made by the City for service not subsequently performed in a timely and satisfactory manner, and (2) costs incurred by the City in obtaining substitute performance. 9.19 MAINTENANCE AND INSPECTION OF RECORDS. The City, or its authorized auditors or representatives, shall have access 13 to and the right to audit and reproduce any of the Contractor's records to the extent the City deems necessary to insure it is receiving all money to which it is entitled under the Contract and/or is paying only the amounts to which Contractor is properly entitled under the Contract or for other purposes relating to the Contract. The Contractor shall maintain and preserve all such records for a period of at least 3 years after termination of the Contract. The Contractor shall, upon request, promptly deliver the records to the City. City agrees that Contractor may provide said records to the City electronically, via a file share site, or may provide the City with a flash drive of all relevant documents. If the City has a good faith basis to believe that Contractor may not have provided City all relevant records to the City, Contractor shall reimburse the City for all reasonable and extra costs incurred in conducting the audit at a location other than the City of Vernon, including, but not limited to, such additional (out of the City)expenses for personnel, salaries, private auditors, travel, lodging, meals and overhead. 9.20 CONFLICT. Contractor hereby represents, warrants and certifies that no member, officer or employee of the Contractor is a director, officer or employee of the City of Vernon, or a member of any of its boards, commissions or committees, except to the extent permitted by law. 9.21 ENFORCEMENT OF WAGE AND HOUR LAWS. Eight hours labor constitutes a legal day's work. The Contractor, or subcontractor, if any, shall forfeit twenty-five dollars ($25)for each worker employed in the execution of this Agreement by the respective Contractor or subcontractor for each calendar day during which the worker is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of Sections 1810 through 1815 of the California Labor Code as a penalty paid to the City; provided, however, work performed by employees of contractors in excess of 8 hours per day, and 40 hours during any one week, shall be permitted upon compensation for all hours worked in excess of 8 hours per day at not less than 1'/2 times the basic rate of pay. 14 9.22 LIVING WAGES. Contractor, and any Subcontractor(s), shall comply with the City's Living Wage Ordinance. The current Living Wage Standards are set forth in Exhibit "D Upon the City's request, certified payroll records shall promptly be provided to the City. 9.23 EQUAL EMPLOYMENT OPPORTUNITY PRACTICES. Contractor certifies and represents that, during the performance of this Contract, it and any other parties with whom it may subcontract shall adhere to equal employment opportunity practices to assure that applicants, employees and recipients of service are treated equally and are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex, age, medical condition, sexual orientation or marital status. Contractor further certifies that it will not maintain any segregated facilities. Contractor further agrees to comply with The Equal Employment Opportunity Practices provisions as set forth in Exhibit "E". 9.24 LIMITATION OF LIABILITY AND WAIVER OF DAMAGES. City covenants to not hold Contractor liable to the extent Contractor's liability to the City exceeds the greatest of the following: (a) insurance limits stated in Section 15, above; (b) general liability of $2,000,000. Further, City shall not hold Contractor liable for consequential damages. This waiver of consequential damages is made regardless that (i) either party has been advised of the possibility of such damages and (ii) that such damages may be foreseeable. [Signatures Begin on Next Page]. 15 IN WITNESS WHEREOF, the Parties have signed this Agreement as of the date stated in the introductory clause. City of Vernon, a California charter City Power Engineers, Inc., a California and California municipal corporation corporation By: By: Mark Whitworth, City Administrator Name: Title: ATTEST: By: Maria E. Ayala, City Clerk Name: Title: APPROVED AS TO FORM: Hema Patel, City Attorney 16 EXHIBIT A REQUEST FOR PROPOSALS 17 CITY OF RIVERSIDE, CALIFORNIA Public Utilities Department W A T E R ENERGY I LIFE r PUBLIC UTILITIES RFP No. 1456 REQUEST FOR PROPOSAL FOR SUBSTATION UNDERGROUND GETAWAY AMPACITY & GROUNDING STUDY May 2014 1. Proposal and Contract Requirements 1.1. Instructions to Proposers The Proposer shall prepare their price proposal for the scope of work and schedule described in this Request for Proposal (RFP) in accordance with the following terms and conditions. I.I.I. Submission of Proposal Requirements 1.1.1.1. Work Plan The Proposer shall provide an outline with their understanding of the project, indicate any problems, risks or unknowns that may pose difficulties and describe any key issues or attributes which may be unique to the Proposer's approach to this project. The Proposer shall provide a general narrative summarizing the approach and a detailed description of tasks necessary to provide services. As a minimum, the Proposer shall provide descriptions of engineering requirements and solutions, interaction with Riverside Public Utilities (RPU) representatives, and any proposed changes to the project scope. The proposal's outline shall include the following sections: • Project understanding. • Work plan approach& design schedule. • Project experience with similar projects. • Key project personnel including subcontractors (Organizational Chart). • Price break down per substation and staff-hours breakdown (submit Excel spreadsheet electronically). • Exceptions. 1.1.1.2. Schedule The Proposer shall submit a summary level schedule for the performance of the Work with their proposal. The Proposer shall specify the methodology they plan to use for scheduling and monitoring the progress of the Work. The schedule shall be agreed upon prior to execution of the agreement. 1.1.1.3. Experience with Similar Projects Proposer shall provide information on projects of similar size and scope that their firm has undertaken and completed within the last five to seven years. Please include examples of previous experiences in similar types of projects, involving electric utility work and sample studies. Firms shall have at least five years of experience with providing similar projects under the same company name and appropriate licenses. 1.1.1.4. Key Project Personnel The Proposer shall provide an organization chart appropriate for a project of this size and scope and identify the personnel who will fill the positions. Resumes shall be RFP No. 1456-Substation Underground Getaway Ampacity&Grounding Study 1 of 12 provided for each position. Key subcontractors shall also be shown on the organization chart. Key project personnel and subcontractors proposed and assigned to the project shall remain for the term of the project and may only be replaced with written prior approval by RPU. The Proposer shall indicate the location of the primary office where the project management and engineering will be performed, and the location and degree of activity of any branch offices that may perform work on this project. 1.1.1.5. List of Subcontractors If the proposal includes the use of subcontracting services to perform portions of the work, the Proposer shall provide the following information: • Subcontracting firm's name and performing office location. • Description of areas of responsibility. • Identification and resumes of key personnel. • Summary of qualifications and experience with similar work, shall meet the same criteria as in 1.1.1.3 above. • Identification of key subcontractors shall be included on the organization chart. 1.1.1.6. Compensation and Schedule of Billing Rates The Proposer shall submit a Schedule of Hourly Billing Rates to be applied to the Services to be provided under this agreement for approval by RPU. The Proposer shall be compensated for the services on a time and expense basis in accordance with Proposer's approved Schedule of Hourly Billing Rates. The Proposer's total compensation for the performance of the work under this agreement shall not exceed the "Project Total Price" indicated on the Price and Staff-hour Breakdown Form, unless approved by a formal change order. The awarded consultant must quickly identify a Change in Scope prior to encumbering costs. If a change is necessitated,no work is to be done until a formal Change Order is issued by RPU. 1.1.1.7. Submittal of Proposal The Proposer shall submit three hardcopies of their proposal and one electronic copy to: Lilliana Alvarez Associate Electrical Engineer City of Riverside Public Utilities 3750 University Ave., 3rd Floor Riverside, CA 92501 Email: lalvarez@rlversideca.gov The Proposal for the requested services must be clearly marked and received before 4p.m., June 16, 2014. No verbal or telephoned proposals will be considered. It is the responsibility of the Proposer to ensure that their proposal is received by the proposal due date. Proposals received after the due date will not be considered. RFP No.1456-Substation Underground Getaway Ampacity&Grounding Study 2 of 12 All Proposals become the property of the City of Riverside. Final disposition will be made according to the policies thereof. 1.1.1.8. RPU Contact Information Any questions arising during proposal preparation should be addressed to: Lill.iana Alvarez Associate Electrical Engineer City of Riverside Public Utilities 3750 University Ave., 3rd Floor Riverside, CA 92501 Phone: 951-826-5502 Email: lalvarez@rlversideca.gov Questions or requests for clarification in regard to the intent or meaning of any portion of this RFP received less than 3 business days before the proposal due date may not be addressed by RPU. RPU will respond to questions via written addenda or written questions and answers (or both) issued to all Proposers via email as used to distribute the original RFP documents if RPU determines, in their sole discretion, that a response is warranted. If RPU deems it necessary, RPU may independently issue written addenda to modify or otherwise clarify the RFP documents. The Proposer shall acknowledge in their cover letter all addenda and questions and answers received by the Proposer. 1.1.1.9. Proposal Validity Proposals shall remain valid for a period of 90 calendar days after the proposal due date. Any proposal that provides less than 90 days for acceptance by RPU will be considered non-responsive and may be rejected. 1.1.1.10. Mandatory Pre-Proposal Meeting A pre-proposal meeting will be held on June 5, 2014 at 9 a.m., in the Riverside Public Utilities office building located at 3750 University Avenue, 3rd Floor, Riverside, 92501, with an optional field visit to follow. A release of liability form must be signed and on file with the City of Riverside prior to field visit, see Attachment E. 1.1.1.11. Proposal Evaluation Criteria The contract will be awarded to a responsible consultant demonstrating the following: • Strength and experience of project team including any subcontractors. • Organizational and technical skills necessary to perform services outlined in this RFP as demonstrated by a proven track record of successful completion of similar work. A list of successful projects and references should be included. • Clear, appropriate and comprehensive project plan and approach to be used in executing the work. • Adequate technical, financial and staffing resources available to perform the required work. RFP No.1456—Substation Underground Getaway Ampacity&Grounding Study 3 of 12 It should be emphasized that the award will not be solely on the basis of a lowest price proposal. RPU may favor a proposal that appears the most complete, if the overall price is reasonable. RPU reserves the right to reject any or all proposals as may be determined to be in the best interest of RPU. This RFP does not commit RPU or any representative thereof to pay any costs incurred in the preparation or submission of any proposal or to procure or contract any work or services. 1.2. Consultant Selection Procedure The following is an outline of the procedures the City will use in the selection process: 1.2.1. RPU reviews Proposals submitted by prospective consultants. 1.2.2. RPU evaluates and selects Proposals for further consideration based upon the following criteria and weighted as shown below: • Completeness and quality of the Proposal (10%) • Demonstrated understanding of the project as evidenced in the Proposal (10%) • Demonstrated competence and qualifications for the types of services to be performed(20%) • Estimated fees for the proposed scope of work(15%) • Organization and technical skills necessary to perform services outlined in this RFP as demonstrated by a proven track record of successful completion of similar work. (101/o) • Strength and experience of project team including any subcontractors (10%) • Clear, appropriate and comprehensive project plan and approach to be used in executing the work (20%) • Geographic location of the principal offices of the firm(5%) 1.2.3. RPU may interview prospective consultants to make the final selection. Other consultants interviewed will be ranked in the event that a contract cannot be negotiated with the preferred Consultant. Fees will not be discussed during the selection interviews. RPU will rank the consultants and recommend the consultant to be selected for the project, based upon demonstrated competence and qualifications for the type of services to be performed at fair and reasonable prices; record of the firm in accomplishing work on other projects in the required time; and quality of work performed previously by the firm for the City (if applicable). 1.2.4. Negotiations will take place with the highest ranked Consultant on the final scope of work, contract, and fee. 1.2.5. If an acceptable contract cannot be agreed upon, negotiations with the preferred Consultant shall be terminated in writing; negotiations will begin with the next highest rated Consultant. RFP No.1456 Substation Underground Getaway Ampacity&Grounding Study 4 of 12 1.2.6. The Selected Consultant will be recommended to the Board of Public Utilities for contract award. 1.3. Payments The City of Riverside payment process is through an electronic transfer process. Contractors or Suppliers must be set up for this payment process in order to be compensated for materials and or services. 2. Project Requirements 2.1. Introduction RPU is requesting a proposal for developing a system-wide substation underground getaway ampacity study to determine the maximum allowable current rating of all circuits and a comprehensive ground grid study to test and evaluate the ground system condition in all substations. A total of 128 circuits will be studied for ampacity ratings in the following eleven substations: Hunter, University, Riverside, La Colina, Plaza, Mountain View, Springs, Casa Blanca,Freeman, Harvey Lynn and Orangecrest. See.Attachment A for substation locations. A total of fifteen substations' ground grids will be tested and analyzed to determine the safe limits, verify the adequacy of grounding systems, determine hazardous step and touch voltages, and determine ground potential rise (GPR). From the results of the analysis and testing, the consultant will provide recommendations for any upgrades to the electrical ground grid system including the existing crushed rock. The following is a list of the substations: Hunter, University, Riverside, La Colina, Plaza, Mountain View, Springs, Casa Blanca, Freeman, Harvey Lynn, Orangecrest, Clearwater, Riverside Energy Resources Center(RERC), Kaiser, and ROHR. See Attachment A for substation locations. RPU substations step down voltage from 69kV and 33kV to distribution voltage 12.47kV and 4.36kV. ROHR is the exception being a 12-4.16kV substation. Any work within the substations must be performed by or under the direction of a qualified Electrical Worker (QEW) in accordance with the Qualified Electrical Worker Requirements available at the following link: http://www.riversideca.gov/utilities/elec-workerregs.asp 2.2. Reference Standards • IEEE 442 Guide for Soil Thermal Resistivity.Measurements • ANSI/IEEE 80 Guide for Safety in AC Substation Grounding • ANSI/IEEE 81 Guide for Measuring Earth Resistivity, Ground Impedance, and Earth Surface Potentials of a Ground System • ANSI/IEEE 81.2 Guide for Measurement of Impedance and Safety Characteristics of Large, Extended or Interconnected Grounding Systems • ANSMEE 367 IEEE Recommended Practice for Determining the Electric Power Station Ground Potential Rise and Induced Voltage from a Power Fault RFP No.1456--Substation Underground Getaway Ampacity&Grounding Study 5 of 12 • ASTM G57-06 Standard Test Method for Field Measurement of Soil Resistivity Using the Wenner Four-Electrode Method • ASTM G187-12a Standard Test Method for Measurement of Soil Resistivity Using the Two-Electrode Soil Box Method 2.3. General Scope The project scope of work will include project management. Project management is required to complete the project analysis and studies within scope, budget, and schedule which includes monthly status reports, project control, document control, cost control, change order control, and project kick-off meeting. The consultant project manager and appropriate design engineers shall take part of bi-weekly meetings to review progress and address project issues. The scope of work shall consist of 2.3.1. Substation Underground Getaway Ampacity Study 2.3.1.1. Obtaining all the necessary geometrical information and simulation parameters, modeling the substation getaways on CYME International's CYMCAP software, obtaining ampacity values for each circuit with the use of CYMCAP and providing a full report of the study. 2.3.2. Substation Grounding Study 2.3.2.1. Conduct soil resistivity measurement test, develop an integrated model of the grounding grid, validate model with testing, assess system deterioration via measurements and inspections, and provide recommendations for mitigations or ground grid modification to eliminate any identified hazards. 2.4. Project Tasks 2.4.1. Substation Underground Getaway Ampacity Study 2.4.1.1. Obtain Geometrical Data: A QEW will be required. See Attachment B for substation conduit layout drawings. • Determine the cover depth (distance from ground surface to ductbank) by potholing throughout the substation. • Determine ductbank dimensions (height and width) and duct spacing (distance from the center of a duct to the next) by physically measuring inside vault. 2.4.1.2. As-built Drawings: Through the use of AutoCAD. • Update existing conduit layout drawings with appropriate geometrical data. • Create new duct bank cross-section drawings with appropriate details. • When applicable, indicate if no changes are required RFP No.1456—Substation Underground Getaway Ampacity&Grounding Study 6 of 12 2.4.1.3. Obtain Simulation Parameters: A QEW will be required. • Determine the circuit number and placement of each cable within the ductbank being studied thru the use existing drawings, if available, and verifying thru visual inspection. Obtain photographs. • Perform a geotechnical study to provide soil thermal resistivity values (°C-m/W) within the substation for all ductbanks being studied. Provide a test plan including the measurement location for each substation and list of the testing equipment. Calibration certificates are required for all test and measurement equipment. Test plan shall be approved by RPU engineering prior to commencing testing. • Obtain appropriate ambient temperatures for simulation. 2.4.1.4. Perform Ampaci Study: The use of CYMCAP is required. • Model all cable and ductbanks. Cable specifications will be provided. • Create a "Study" in CYMCAP for each substation and create "Executions" for each study. Each execution will correspond to a different ductbank(installation)within that substation. • Run a Steady-State Analysis for each execution. • Calculate the ampacity for each circuit at operating and emergency temperatures. 2.4.2. Substation Grounding Study 2.4.2.1 Conduct Soil Resistivity Measurement Test: Soil resistivity data will be used for conducting substations grounding study. • Soil resistivity measurements shall be made per ASTM G57-06 and IEEE 81-2012. • The tests will be performed using the Wenner 4-pin test methods over no less than ten probes spacing and a maximum probe-probe spacing approximately equal to the substation maximum dimension (diagonal), except where impractical. At least two perpendicular traverses must be tested, and a third test performed if there is not consistency in results of the two traverses. No test probes should be placed closer to a grounded metallic object than the probe spacing being tested. • The equipment used shall be accurate to the maximum required pin spacings, for the soil conditions encountered at the site. • A quality control program is required in the field to demonstrate that readings are valid. This includes, as a minimum, reporting of the measured signal voltage, injected current, and standard deviation between pulses of alternating polarity for each pin spacing. RFP No.1456-Substation Underground Getaway Ampacity&G-ounding Study 7 of 12 • Provide a test plan including the measurement location for each substation and list of the testing equipment. Calibration certificates are required for all test and measurement equipment. Test plan shall be approved by RPU engineering prior to commencing testing. • Perform calculations and build a soil resistivity profile for each substation in tabular and graphical format. • The measured soil resistivity data shall account for electrode pin depth, and any irregular pin spacings to obtain equivalent multi-layer soils to be used in the subsequent grounding study. Any approximations to the soil model shall be justified. 2.4.2.1. Develop an Integrated Model of the Grounding System: • Create a soil resistivity and grounding model for each substation listed in section 2.1 using CDEGS software from SES Technologies based on RPU's ground grid layout drawings and soil resistivity test. See Attachment C for grounding layouts. Each Substation shall have its CDEGS execution file. • Determine the step and touch potentials at the soil surface and compare this data against the tolerable levels as defined by the IEEE standard 80 "Safety in AC Substation Grounding". The system shall be adequate for detection and clearing faults. • Calculate and analyze the ground potential rise (GPR). Determine the zone of influence of the calculated GPR as per IEEE 367. Prepare three-dimensional potential plots, color-coded contour plots, and graphical display of over-limit voltages. • The analysis shall include fault current split calculation identifying the percentage of current returning to the source through the substation grounding system based on the existing overhead wires and underground cables. This analysis will also be used in comparing measured grounding system impedance to calculated impedance. • Provide comprehensive calculation details and list all assumptions used in the study. • Phase to fault current values, fault clearing time, line voltages and sub- transient x/r ratio will be provided by RPU Engineer, RFP No. 1456- Substation Underground Getaway Ampacity&Grounding Study 8 of 12 2.4.2.2. Validate Model with Tests: • Provide the following Tests: o Ground System Impedance Measurement- The objective of this measurement is to determine the actual impedance of the ground connections and also a check to the GPR calculation. This test will be performed at all substations identified in section 2.1. The fall-of-potential (FOP) test shall be performed based on IEEE Std. 81-2012, with the remote current probe placed at a distance from the substation no less than 6 times the maximum dimension of the grounding system, except where conditions prohibit. If shield wires or neutrals are connected to the substation, an adjustment to the measured results (dividing by the split factor) shall be used to approximate the actual standalone grounding system resistance. o Point to Point Ground Impedance Measurements—The objective of this measurement is to test the integrity of the ground grid. This test will be performed at all substations identified in section 2.1 with exception of Casa Blanca Substation. Point to Point Ground Impedance test shall be performed according to IEEE Std. 81-2012. o Touch and-Step Voltage Measurements — The objective of this measurement is to determine hazardous step and touch voltages and validate the estimated step and touch potential voltages from the soil resistivity test. This test will be performed at all substations identified in section 2.1. This test will be done in conjunction with the FOP test. The test shall be performed based on IEEE Std. 81-2012. • The final report shall include the measurement methodology and the reasons for that methodology for all the tests listed above. All test data and assumptions shall be documented in the final report. 2.4.2.3. Assess System Deterioration via Measurements and Inspections: See Attachment D for RPU grounding standards. • Confirm that the grounding practices in the stations are appropriate, i.e.: equipment grounded, steel joints bonded, in the event of a fault, size of conductor compared to fault levels (this list is not an extensive list, consultant to provide list of items to be reviewed). • Physically check all ground grid connections (above ground) including fences, gates,joints, switching mats, and check an appropriate sample of underground connections for deterioration. RFP No.1456 -Substation Underground Getaway Ampacity&Grounding Study 9 of 12 Review RPU grounding standards and provide any essential missing grounding standards or provide recommendations for changing existing ones. 2.4.2.4. Evaluate Grounding System Enhancements with Analysis: • Provide upgrades and recommendations for any intolerable results based on all preceding measurements and calculation (step potential, touch potential, GPR and ground conductor size adequacy) to bring the grid up to safe limits. • RPU will review and approve the consultant recommendations. The recommendation shall specify the size and depth of crushed rock, placement of ground grid conductors and ground rods. Consultant shall update RPU's ground grid drawings and prepare bill of material that reflects the recommendations if needed. • Test and confirm the model that the upgrades will reflect bringing the system up to appropriate levels. • Estimate cost implications of each solution and define the cost/benefit for each solution. 2.5. Software Requirements 2.5.1. CYMCAP 6.0 or latest version shall be used to perform the ampacity study. 2.5.2. CDEGS from SES Technolo,-,y shall be used to perform grounding study. 2.5.3. AutoCAD 2010 shall be used to update or create as-built drawings. 2.5.4. A schedule shall be generated and submitted utilizing Microsoft Project. The schedule shall be updated on a monthly basis. 2.6. Project Deliverables Consultant shall submit three hard copies and one electronic copy in an editable format with the following expectations: 2.6.1. Substation Underground Getaway Ampacity Study 2.6.1.1.Provide an overall study report: • Tabulate a summary listing all substations, circuit numbers, cable type and their designated ampacities. • Tabulate all assumptions and simulation parameters. • Include all substation vault photographs. Label photos accordingly. • CYMCAP generated summary reports are to be included as an appendix. RFP No.1456—Substation Underground Getaway Ampacity&Grounding Study 10 of 12 2.6.1.2.Provide the geotechnical report with site maps identifying all measurement locations. 2.6.1.3.Provide updated as-built conduit layout drawings. 2.6.1.4.Provide all electronic CYMCAP files in storage device/disc. 2.6.2. Substation Grounding Study 2.6.2.1.The final report shall have a tab for each substation that includes the following: • Summary of the data collected from testing and modeling, assumptions, model analysis, computation results, conclusions, recommendations for the limitations of the ground grid for each substation. The final report shall include the following computation results: o Summary of fault current split calculation results; o Summary of ampacity calculation results; o Summary of tolerable touch and step voltage limit calculation results; o Plan-view plots of substation grounding grid potential rise for all scenarios studied; o Plan-view plots of touch and step voltages throughout the substation; o Graphs comparing measured apparent soil resistivity data with values computed from soil model obtained from field data inversion. • Report physical assessment and recommended upgrades. Include photos of each deficiency. • Report identifying the measurements taken, methodology used, reasons for this methodology, results, expected results and the deficiencies. Plan view and tabular forms will be required to demonstrate the results. • Report the required upgrades and costs associated of each solution. • Include a copy of the electronic model "CDEGS"for each substation. 2.6.2.2.Update RPU's grounding drawings and grounding standards as needed. See Attachment C for grounding layouts and Attachment D for existing grounding standards. RFP No.1456—Substation Undergmind Getaway Ampacity&Qounding Study 11 of 12 3. Attachments 3.1. Attachment A—Substation Locations 3.2. Attachment B—Conduit Layouts 3.3. Attachment C—Grounding Layouts 3.4. Attachment D—Grounding Standards 3.5. Attachment E—Release of Liability Form RFP No. 1456—Substation Underground Getaway Ampacity&Grounding Study 12 of 12 Attachment A Substation Locations RPU Substation Addresses Casa Blanca Riverside 7615 Evans St. 3920 Mulberry St. Riverside, CA 92504 Riverside, CA 92507 Freeman ROHR 3301 Gibson St. Picker St. N/o Cypress Ave. Riverside, CA 92503 Riverside, CA 92503 Harvey Lynn Springs 11130 Schuyler Ave. 2221 Eastridge Ave. Riverside, CA 92505 Riverside, CA 92507 Hunter University 1731 Marlborough Ave. 3800 Canyon Crest Dr. Riverside, CA 92507 Riverside, CA 92507 Kaiser Orangecrest 10898 Magnolia Ave. 7850 Trautwein Rd. Riverside, CA 92503 Riverside, CA 92508 La Colina Clearwater 599 Central Ave. 2201 Railroad St. Riverside, CA 92507 Corona, CA 92880 Mt. View RERC Generation 5695 Mt. View Ave. 5901 Payton Ave. Riverside, CA 92504 Riverside, CA 92507 Plaza 3716 Elizabeth St. Riverside, CA 92507 Attachment B Conduit Layouts a_ $ 1,2 b NO H i a. y yy � h I i Q ma TMIU I � U a I 4 rera ff x 21 q - —o - I O $ J O O I I I s — ---- ---'� ---—-- 3 — �a SIN 1NYId n •.. a gS �, iiii■ i O O ili� I El III III ' o o o o li nl I 0 O 0 I I I t ,9-19 I � I I 6g aI Ls W n C lO\ m 0 gym _ m LD5 q mow ®®a o ® o w WIZ o ®®® 4 ®® o K w co s J ® = ® z m Fl l vq, '9 = U z H O p w a .0 1.2 io - � W I I$ a 3 c> � W rc ! n =OD " xomnar r�ti b "❑ 0 s LL -------- LL i i r IN v n i _ eo --- xy *-- W U O „i ,----j II_ h♦lam' N W El UVO I «Ila ♦ n ♦ I Q Ik 1 6 71g0 n :F,o-,ate Av 00N33 31401W- S3M ZO 133HS 33S - 3NIl HO1dW N 133HS 33S - 3NI1 HUVA a a m m0Z ao " fill 11 11115,11N ; / W Ld W}Z o rc 9' d o ses8 —_— l0 133HS 33S — 3NIl HO1dW Q\ I ro 4 � m � = I V I - 1 � 4 h I p L / C c � ry I I I � I O F- W I �I W I � 8� &m W Z O �m`Wp I J gg I = o y5y5 I Q I � 30N33 1NO�J 3ON3!.6-,M -I 0 i ry I I 9 l 0-,S9C =3 JiS NOSGIO I (z6a� "MIN §|■ ll °q §) @$® ` \ \\\ $|§ ` | w5} 10133¥ 3 - »nHOi m m 2 . �m ) | ! § § . \ y / \ . _ CD F- \ } 7| n & 2 } �� CD \ { s m Z CD / /9 7 § ` 2 a � kAk / m� e - -1]> \ .0 2 w / _ «® a• ' B .009 I I .a ) : " J O]]O) / VNyO% 0 ,O-&6g U' s] Z 3 z 0 O ~ o a w mo 4 r rams n 1 W p$aaq Evil ¢ ¢g q3E1 Evil g�i H IBM! 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BELOW GRADE GROUNDING } #4/0 BARE COPPER WIRE SWITCHYARD GROUND GRID #4/0 COPPER WIRE Of Q HORIZONTAL EXOTHERMIC HORIZONTAL EXOTHERMIC Z LD - 'X' STYLE WELD - 'T' STYLE SWITCHYARD GROUND J GRID #4/0 COPPER WIRE LLI cc 0_ Z SWITCHYARD GROUND GRID _ BARE COPPER 0 0 #4/0 COPPER WIRE 3/4" x 10' SOLID > HORIZONTAL EXOTHERMIC GROUND ROD 5: WELD - 'T' STYLE UJI GRID WIRE CONNECTION GROUND ROD/GRID CONNCTION N.T.S. N.T.S. ABOVE GRADE GROUNDING-CHAINLINK FENCE BURNDY'OREQUAL COMPRESSION CONNECTORS ICOkMPRENNMEI 'URS L I URNDY GAR1926) PIPE CLAMP(BURNDY GAR1926)-NOTE 1 71#7 CDPPERWELDm o a W71#7COPPERWELD L1j 71#7COPPERWELD FLEXIBLE GROUND 'BURNDYGROUND CLAMP BRAID'BURNDY' R EQUAL 0. EL #2AND41000PPER �NSHDGRADE Q Q COMPRESSION LUGS PIPE CLAMP(BURNDY GAR1926).NOTE 1O CABLE TO CABLE CONNECTION V�t�>n10 0GROUNDCLAMP(STOCKITEMNO.22072) EX.#MOAWG SYSTEM GROUND CONDUCTOR GO TYPICAL FENCE GROUNDING TYPICAL FENCE GATE GROUNDING a m FROM GROUND GRID INSTALLATION DETAIL LLI scuexavE scuFxae Lu a U LLI Lu W = a c� SUBSTATION STANDARDS Page 1 of 4 SDCS-3-500 OWATER ] ENERGY I LIFE :52- GROUNDING PUBLIC UTILITIES ABOVE GRADE GROUNDING-SECURA FENCE SECURA MESH PANEL 4"SCH 40 LINE POST Z_ w lY tL Z O c #210 w TYPICAL FENCE GROUNDING FROM GROUND GRID SCALE NONE ABOVE GRADE GROUNDING-BLOCK WALL -- CABLE CLAMP TO WALL AS REQD LLI 7/#7 COPPERWELD } Q PERIMETER WALL m 0 0 0 it It IL a ELEVATION OI o) m m WALL BARRIFT) W0 NO SCALE < Y a U w w as U SUBSTATION STANDARDS Page 2 of 4 SDCS-3-500 C W A T E R I E N E R G Y I L IF E N CD GROUNDING PUBLIC UTILITIES ABOVE GRADE GROUNDING-DISCONNECT SWITCH STEEL STRUCTURE VERTICAL OPERATING PIPE COPPER GROUND BRAID (BRAID & TERMINALS) SWING HANDLE (OR MOTOR OPERATOR) — CLAMP #4/0 CONTINUOUS CABLE FROM OPERATOR HANDLE TO OPERATING GROUND CONNECTOR GROUND MAT SWITCH OPERATOR �. 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COMPRESSIOVERY 48' C-CRIM GROUNDING BUSHING WATERTIGHT CABLE LOCKNUT DETAIL- 'A' ENTRANCE CONNECTOR CONDUIT a z #4/0 J WIRE TO SWITCHYARD DETAIL-'A W GROUND GRID CONDUIT GROUNDING AT ELECTRICAL w EQUIPMENT lL TYPICAL— AIL JUNCTION BOXES,PULL BOXES, INSTRUMENT TRANSFORMER SAFTEY SWITCH OR CONTROL Z STRUCTURES(AS REQ'D.) CABINETS O Tn w ABOVE GRADE GROUNDING-STEEL COLUMN IY _.. GROUND CONN. _ #4/0 BARE COPPER CONTINUED FOR CONNECT11ON TO MISC. EQUIPMENT FOR GROUNDING • W STEEL STRUCTURE (TYP.) Q GROUND CONN. m (] � Q W W dd 4/0 BARE COPPER Q Q RNISHED GRADE TO GROUND GRID O of DETAIL-'B' in >- TYPICAL FOR STEEL COLUMN GROUNDING o m WHEN GROUNDING IS REQ'D FOR W Q STRUCTURE MOUNTED DEVICES Y a U W LLI t>. U SUBSTATION STANDARDS Page 4 of 4 SDCS-3-500 Attachment E Release of Liability Form WAIVER AND GENERAL RELEASE RE: ACCESS TO CITY OF RIVERSIDE PROPERTIES BID# In consideration of receiving a limited and permissive right to enter CITY OF RIVERSIDE properties,IT IS AGREED THAT the undersigned hereby release the CITY OF RIVERSIDE, its agents, officers, directors, attorneys and employees (collectively referred to hereinafter as "City") to the greatest extent provided for under law for the following matters that arise in any way out of the activities specified herein: I. Any and all claims for personal injury or death to the undersigned, whether or not caused in whole or in part by the negligence or other acts or omissions of City, except for City's active negligence, and regardless of whether such injury is caused in whole or in part by the undersigned, whether alone or together with or in association with others; 2. Any and all claims for any real or personal property damage, whether or not the property is owned by or in the custody or possession of the undersigned, and whether or not caused by City or others, except for City's active negligence, and regardless of whether the damage is caused in whole or in part by the undersigned; 3. Any and all claims for any damage,injury, loss, expense or liability incurred or arising from any act or omission of the City, any individual, company or agency in relation to transportation services to or from City facilities; and 4. Any and all claims for any damage, injury, loss, accident, delay, irregularity, indebtedness, expense or liability incurred or arising from weather, illness, or federal, state, county or City rule, regulation or restriction. IT IS FURTHER AGREED that the undersigned will,to the greatest extent authorized under law, indemnify, defend,hold harmless and release the City from any and all claims, demands, actions, and damages, including but not limited to attorneys' fees and reasonable costs, brought against the City for any injury arising out of or caused by the undersigned's negligence or any acts, omissions or conduct of the undersigned in relation to and arising out of the activities specified in this Waiver and General Release. IT IS FURTHER AGREED that the undersigned understands, consents, and agrees to the terms and conditions set forth above, and that his/her consent and agreement to this Waiver and General Release is a condition precedent to City's grant of a limited and permissive right of entry. The foregoing is agreed to this day of ,20_: PRINTED NAME COMPANY NAME TELEPHONE# ( ) FAX# Signature WAIVER AND GENERAL RELEASE EXHIBIT B PROPOSAL 18 F - A Substation ! / ! Grid Testing and Study January 19, 2015 City of Vernon Gas *�► 'Department CONCEPTION TO COMPLETION— POWER Engineers is ready to work hard for your success. , # ¢ � Ek+.• f?�• F y Ice sir ;' '. s. •- -:f�'--'i. . ..�^• +y� �, y, - r •' e r gip'` CONTACT Dev Birla 714-507-2732 dev.birla@powereng.com A proposal from: ZPOWER ZA4NGINEERS POWER ENGINEERS,INC. 731 EAST BALL ROAD POWERSUITE ANAHEIMIM,CA 92805 USA ENGINEERS Pmom 714-507-2700 Fax 714-507-2799 January 19,2015 Mr.Nour Ali,P.E. City of Vernon Department of Gas and Electric 4305 Santa Fe Avenue off M107 Vernon, CA 90058 Subject: Vernon Substations Grounding Grid Testing and Study Dear Mr.Ali: Thank you for meeting with me on January 8,2015 to discuss the Vernon Substations Grounding Grid Testing and Study and discuss the work POWER is currently doing for Riverside Public Utilities(RPU)with you. During the meeting,the conversation came about the possibility to piggy backing on the RPU award as it was a comparatively bid project and award. I mentioned during that meeting that we will be happy to extend the same offer to the City of Vernon based on the average cost of per substation if interested.We understand that you have decided to pursue that option to piggy back on RPU award and glad to confirm our offer to you via this revised proposal. Our proposal for Engineering and Testing Services is to provide grounding grid testing and analysis with the report for Vernon's eight substations and customer stations. The substations include:Vernon,Leonis,Ybarra, Owill,McCormick,Kinetics,Bee Jay and Trigas. By engaging POWER as your engineering consultant we wish to emphasize the following benefits the Vernon Department of Gas and Electric will receive: • Vernon experience and familiarity:POWER has worked with the City of Vernon to provide engineering services for numerous critical projects for the Vernon electric system since 2008. POWER has also worked with other municipal electrical utilities in the area such as Burbank,Los Angeles,Pasadena,Riverside and IID.We have a strong understanding of local concerns and issues and the right background to work effectively with your staff to accomplish your project goals. Hiring us to perform your Substation Grounding Testing and Study is a natural extension of the services we already provide. This will allow a quick start on the project with minimum start—up time and costs to obtain accurate project data. • In-house capabilities.POWER Testing and Energization(PTE),is a wholly owned subsidiary of POWER Engineers,Inc. and works hand in hand with our SCADA and Analytical Services business unit that performs grounding studies.We will work directly with quality data to offer project efficiencies;no sub-consultants for the testing scope are needed. xww.Powereng.m. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG City of Vernon Gas&Electric Department January 19,2015 Page 2 • We are comfortable with large scale testing and analysis projects.Performing testing and studies for 8 substations or more is not new to us.Please refer to our Project Experience section which demonstrates our ability to handle multiple project sites in a timely manner. • Relevant project personnel experience. Before joining POWER as a Senior Project Manager,I led projects covering all aspects of power delivery as the Engineering Manager for a fellow local municipal utility,Burbank Water and Power(BWP).While there,I was a key contributor to the improvement of reliability of power at BWP.This lends itself to the assurance of a proven project methodology and a uniquely valuable perspective to deploy the right resources to get the job done. Rob Schaerer,our Proposed Grounding Study Project Lead,is intimately familiar with the steps that need to be taken to perform this work in the most efficient,knowledgeable manner. • CDEGS experts. We are experts using CDEGS software to analyze the substation ground grids and will bring this knowledge for the benefit of your project. This proposal will be valid for 60 days.The schedule of charges will be same as for RPU proposal and attached. This work will be performed consistent with mutually agreed terms and conditions for Vernon DG Impacts Study Project and is on file with the City of Vernon. We are excited at the prospect of maintaining a good working relationship with the City of Vernon,and you can be certain we will take a proactive interest in your success. Our desire is to build a long-term partnership with the City of Vernon based on trust,quality,and mutual success. I will serve as the Project Manager and contact person throughout the duration of the project. I can be reached at 714-507-2732 or dev.birla@powereng.com. Thank you for considering POWER Engineers in your search for an engineering services provider. We look forward to continuing to serve the City. Sincerely, Dev D.Birla,P.E./PMP Senior Project Manager HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG POWER ENGINEERS CONTENTS COVER LETTER 1. PROJECT UNDERSTANDING Z DEMLED WORK PLAN Wenner Resistivity Measurement Procedure Fall-of-Potential Procedure(draft) AGI MiniSting Procedures 3. SCHEDULE 4. PROJECT EXPERIENCE 5. KEY PROJECT PERSONNEL Organization Chart Resumes 6. BUDGET Breakdown and Total by Substation Schedule of Charges 7. TERNS& CONDITIONS E HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG CONTENTS 1 1 POWER ENGINEERS 1 . PROJECT UNDERSTANDING SECTION 1 CONTAINS: PROJECT DESCRIPTION AND UNDERSTANDING > Project Description > POWER's Scope Understanding The City of Vernon Gas and Electric Department(Vernon)is requesting > Project Location a proposal for developing a comprehensive grounding system study to > Key Attributes test and evaluate the ground system condition in eight substations. A total of eight substations'grounding systems will be tested and analyzed to determine the IEEE Std 80 limits,verify the adequacy of grounding systems,determine step and touch voltages that exceed limits, and determine ground potential rise(GPR)and resulting 300 V contour. From the results of the analysis and testing,POWER will provide recommendations for any upgrades to the electrical grounding system including upgrading the existing crushed rock surfacing. The following eight substations will be tested and analyzed: Leonis, Vernon,Ybarra,Owill,McCormick,Kinetics,Bee Jay and Trigas. Vernon substations included step down voltage from 66 kV to distribution voltages of 16 kV and/or 7 kV. Any work within the substations will be performed by or under the direction of a Qualified Electrical Worker(QEW)provided by POWER. The following reference standards will be applied: • IEEE Std 80-2000 IEEE Guide for Safety in AC Substation Grounding • IEEE Std 81-2012 IEEE Guide for Measuring Earth Resistivity, Ground Impedance,and Earth Surface Potentials of a Ground System • IEEE Std 81.2-1991 IEEE Guide for Measurement of Impedance and Safety Characteristics of Large,Extended or Interconnected Grounding Systems • IEEE Std 367-2012 IEEE Recommended Practice for Determining the Electric Power Station Ground Potential Rise and Induced Voltage from a Power Fault HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT UNDERSTANDING 1 1 POWER ENGINEERS,INC. POWER'S SCOPE Us% The scope of work is very similar to RPU original RFP 1456,follow up clarifications in the addendums from RPU,and the mandatory pre- proposal meeting on June 5,2014. The General Scope includes project management. Project management is required to complete the project analysis and studies within scope, budget,and schedule which includes monthly status reports,project control,document control,cost control,change order control,and project kick-off meeting. POWER's project manager and lead grounding engineer will take part in monthly meetings if required or needed to review progress and address project issues. The Substation Grounding Study scope of work includes the following. Conduct soil resistivity measurement test,develop an integrated model of the grounding system,validate model/results with testing,assess system deterioration via measurements and inspections,and provide recommendations for mitigations or grounding system modification to meet IEEE Std 80 compliance. Details of our plan for this effort can be found in Task 1 and Task 2 of the Work Plan portion of this proposal. Software Requirements We are fully capable in meeting all the software requirements including: • CDEGS(RESAP and MALZ modules)from SES Technology will be used to perform grounding study. • AutoCAD 2010 shall be used to update substation grounding layout and detail drawings. • A schedule shall be generated and submitted utilizing Microsoft Project after the project is awarded.The schedule shall be updated on a monthly basis. Project Deliverables POWER will submit three hard copies and one electronic copy in an editable format of the final grounding analysis and drawings.The details of the report can be found in Subtask 2.6 of the Work Plan portion of this proposal. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT UNDERSTANDING 1 2 POWER ENGINEERS,INC. PROJECT L OCA T/ON AND WORK TO BE PERFORMED Based on the POWER's understanding of the scope of the work,all grounding system analysis work will be led in our San Diego office, with a majority of the production work occurring in that location. Testing for the eight substations is city wide and will be performed one substation at a time as instructed by Vernon's clarification on priority and will be performed by PTE from Anaheim office.All substations except one are within the Vernon service territory. All testing work will ' be coordinated with Vernon for access to the substation,and if required excavation permits for the probes outside the substations will be coordinated with Vernon and Vernon Public Works Department. POWER will call Underground Service Alert(USA)before any probe is inserted in the ground at all eight substation locations. POWER will 4� attend the kickoff meeting and conference calls as required by Vernon. 1` KEY ISSUES AND A TTRIBUTES The POWER team offers several key features that we believe will add significant The POWER Team offers Vernon several key features that we believe value and efficiencies to Vernon's ground system analysis project. will add significant value and efficiencies to your Project,namely: • Familiarity with Vernon as a client means we have well-established, trusted relationships. Hiring us to perform your Substation Grounding Studies is a natural extension of the services we already provide.We will skip the learning curve our competitors will likely face getting to know your systems and standards. • Rob Schaerer,our Proposed Grounding Studies Project Lead,is intimately familiar with the steps that need to be taken to perform this work in the most efficient,knowledgeable manner. • POWER Testing and Energization(PTE),is a wholly owned subsidiary of POWER Engineers,Inc. and works hand in hand with our SCADA and Analytical Services(SAS)business unit.We will work directly with quality data to offer project efficiencies. • We are comfortable with large scale testing and analysis projects. Performing testing and studies for 8 substation studies or more is not new to us. Please refer to our Project Experience section which demonstrates our ability to handle multiple projects/sites in a timely manner. • We are experts using CDEGS software to analyze the ground grids and will bring this knowledge for the benefit of your project. HLY 11-131431.001 VERNON GROUNDING(1/19115)DG PROJECT UNDERSTANDING 1 3 POWER ENGINEERS,INC. PROJECT PLAN POWER'S GENERAL PHILOSOPHY POWER's project management and control system has a record of success in bringing projects in on time and within budget. This system is effective on large and small projects. Our system has three key elements—work plan,budget and schedule— linked by a common numbering system. The work plan is organized by tasks representing a deliverable or set of related deliverables to be generated for the project.The task numbering system found in the work plan corresponds to our budget and schedule.We use this consistent numbering system throughout the project's life as we assess task completion,schedule progress and budget compliance. Our management plan incorporates Using the task numbers,we can track the status of each project,team critical path management methods member,task or deliverable.We generate internal project status reports to keep projects on schedule. that allow us to: • Measure the progress of each deliverable for completion and cost;and, • Determine short-term and long-term manpower workload projections so that the assigned team members are available when you need them. PROJECT MANAGEMENT PROCESSES AND PROCEDURES—OUR CRITICAL PATH APPROACH Our system keeps the Project Manager abreast of the status of each deliverable and the project as a whole. Our project reports show the budget and schedule status of each task,and if needed,we make adjustments to keep the task on track using critical path management methods.Using these methods,we identify critical tasks that must be completed before other tasks can begin or be completed. We then focus on these tasks,monitor them closely and allocate resources as necessary so they remain on schedule. Our Project Manager generates reports on predetermined dates,or whenever needed for a specific project requirement.Vernon will receive these reports so that your project manager will know the status of the project on the same schedule as our project manager. Status reports and budget control Our Project Manager conducts regular conference calls that include POWER's Core Team group and technical team members as needed, subcontractors involved in current tasks,and client representatives. These calls cover project issues such as schedule adjustments,scope of work,personnel assignments,technical studies and reports. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT UNDERSTANDING 1 4 POWER ENGINEERS, INC. Our Project Manager will provide Vernon with written project status reports on a predetermined schedule that contain the following information: • Project overview including major activities performed during the month Our status reports will give you an . Areas of concern that are beyond the control of POWER and require overview of the project and let you action by the client know quickly how it is progressing. . 30-day forecast,including a summary of tasks to be performed during the period • Cost reports • Planning schedule status Our financial and cost management system is based on submission of weekly time sheets and job cost reports. Out-of-scope work During the course of the project,unforeseen issues may arise. If this occurs,we consult with our clients on the nature and extent of additional work required.Any additional work requires prior client approval. The time frame for accomplishing out-of scope work is coordinated with ongoing tasks to minimize interruptions to established schedules. We expect that designated team members will accomplish the out-of-scope work. However,we will provide additional staff if necessary. A work plan for any unanticipated work will be prepared and submitted to Vernon for review and approval. PROJECT MANAGEMENT TOOLS Our project managers and administrators use the latest versions of industry-standard scheduling and estimating tools.While this software is valuable,it is no substitute for the experience and judgment of the people doing the work. The seamless office POWER incorporates Internet,intranet,wireless technology and VOIP On the road or in another office, key into a seamless office concept. team members are always in touch with your project. In addition to speeding the transfer of data among offices nationwide, these technologies allow for face-to-face video conferencuig and electronic white board brainstorming sessions as well as access to the latest project information from any location. On the road or in another office,key team members are always in touch with your project. HLY 1 1-1 31 431.001 VERNON GROUNDING(1/19/15)DG PROJECT UNDERSTANDING 1 5 POWER ENGINEERS,INC. Please see Section 2 for scope confirmation and specific work plan for this project. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT UNDERSTANDING 1 6 '"", POWER ENGINEERS 2. DETAILED WORK PLAN TASK OUTLINE Task 0 Project Management Subtask 0.1 Project Supervision 0.2 Project Control 0.3 Document Control 0.4 Project Reporting 0.5 Project Review Meetings 0.6 Project Web Collaboration(PWC) Task 1 Grounding Testing Subtask 1.1 Soil Resistivity Test 1.2 Fall-of-Potential Test 1.3 Touch and Step Voltage Test 1.4 Point-to-Point Integrity Tests 1.5 Visual Inspections Task 2 Grounding Analysis Subtask 2.1 Assist in Measurements 2.2 Construct Grounding Model 2.3 Soil Analysis 2.4 Grounding Model Analysis 2.5 Mitigation 2.6 Report and Drawing Updates 2.7 Grounding Standard Drawing Updates and Final Grounding Report HLY 11-131431.001 VERNON GROUNDING(1/16/15)DG DETAILED WORK PLAN 1 POWER ENGINEERS,INC. TASK O PROJECT MANAGEMENT Objective(s): • To effectively manage all of the activities within POWER's scope of work. • To coordinate with Vernon and to direct the smooth flow of project communications. • To manage the work plan,schedule and budgets for on time completion of the Project within approved parameters. Prerequisite(s): • Mutually Agreeable Contract • Formal Notice to Proceed SUBTASK 0.1 PROJECT SUPERVISION Responsibility: POWER Deliverable(s): • Project Supervision • Internal Meeting Notes Organize and facilitate lines of communications among project team members,including Vernon to affect a smooth workflow. Organize appropriate meetings and teleconferences to effect good communications and clear understanding of work requirements,schedules,and budgets. Ask for Vernon's input on a continuing basis,on activities that affect the project or POWER's performance. Supervise and coordinate project participants to complete all tasks and activities as outlined in the Vernon approved scope of work in RFP for ground grid study and testing. Manage the project execution in accordance with Vernon's technical, quality,schedule,and budget objectives,the project approach and methodology,applicable codes,and Vernon's internal document and drawing standards. Manage timely task completion,review and analyze project status,and expedite the work by coordinating,allocating or redirecting resources. Identify risks,anticipate challenges,and propose,prepare and implement plans to mitigate effects on the project. Conduct internal POWER project control and design review meetings. Assumption(s): • Project duration of four months from award to completion and close out. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 2 POWER ENGINEERS, INC. SUBTASK 0.2 PROJECT CONTROL Responsibility: POWER Deliverable(s): • Work Plan Updates • Schedules and Updates • Work Scope Variance Reports • Deliverables Status Develop,prepare,and obtain Vernon's approval and,as needed,updated work plans and budgets. Establish and maintain the project schedule.Note deviations as they occur and issue schedule updates. Monitor progress as compared to the baseline schedule. Perform"What-if'and/or"Work Around"schedules as needed. Produce reports for inclusion in the status reports. Conduct earned value analysis and supporting analyses to provide the basis for managing the task activities to completion within approved budgets. Monitor the scope of work,document Work Scope Variances(WSV's), and submit change order requests on a timely basis for approval by Vernon. Track deliverables progress and completion relative to schedule. Maintain a deliverables log. Maintain a spreadsheet style document to track major project control activities and action items. Coordinate the communication of key project information from all project team members and subcontractors as input for analysis, production of reports,and inclusion in the status reports. Audit compliance with approved project processes and procedures by project team members and subcontractors. Educate project team members as needed to effect compliance with the procedures. Assumption(s): • The scheduling platform will be Microsoft°Office Project. • Reports and schedule updates will be consistent with 4-week billing periods. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 3 POWER ENGINEERS, INC. SUBTASK 0.3 DOCUMENT CONTROL Responsibility: POWER Deliverable(s): • Document Control System • Project Files • Records Retention Provide general administration and clerical support to organize and document the project. Adapt POWER's standard document control system and develop project-specific document filing system. Develop working file system containing a chronological history of project's progress,including status reports,correspondence,transmittals,phone and meeting documentation, and other project-relevant records. Handle,track, and archive project documentation per the project procedures manual, Log incoming and outgoing documents in POWER's computer database. Archive original documents in a secure,hard copy format and/or in a secure electronic database.Upload electronic documents to the project website. Assumption(s): • Document archiving will be per POWER's standard procedures and retention periods. SUBTASK 0.4 PROJECT REPORTING Responsibility: POWER Deliverable(s): • Status Reports Prepare,publish,and distribute project status reports in a standardized format that will allow the reports to be assembled readily from information obtained from project team members. Summarize the previous period's work progress and the status of deliverables,schedule, and costs. Summarize work expected to be accomplished in the next period. Include summaries of all of the data and reports produced for the management and control of the project.Address problems,trends and/or delays and the actions taken to bring those areas back on schedule or budget. Post electronic copies on the project website. File the status reports in the project record and document archives. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 4 POWER ENGINEERS,INC. Assumption(s): • The schedule for status reports will correspond to 4-week invoicing periods. SUBTASK 0.6 PROJECT REVIEW MEETINGS Responsibility: POWER Deliverable(s): • Meeting and Teleconference Agendas • Meeting and Teleconference Minutes • Action Items Attend a project kickoff meeting with Vernon,POWER,and other appropriate project participants. Establish communication protocols for all parties involved in the project,review project goals,identify areas of responsibility,and obtain clarification in applicable areas. Review the project scope(Work Plan)and schedule,and make adjustments needed, including corresponding adjustments in budget. Collect information to complete the Project Procedures. Schedule and conduct project meetings and teleconferences as required by RFP and agreed upon frequency and schedule to review project management,control,budget, and scheduling aspects of the project. Conduct informal telephone conferences on an as-required basis. Prepare an agenda for each scheduled meeting and teleconference, and compile and distribute minutes. Develop action item lists to schedule completion of items not resolved at the meetings or during telephone conferences. Follow up on action items. Assumption(s): • Review meetings will address project management issues. The Work Plan addresses technical meetings in other tasks. • The scope includes the following two face-to-face meetings: > One Project Initiation and Kick off >After all eight substations testing and study report • hi addition to these meetings,we will participate in three (3)monthly conference calls if needed. I HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 5 POWER ENGINEERS, INC. SUBTASK 0.6 PROJECT WEB COLLABORATION (PWC) Responsibility: POWERNernon Deliverable(s): • Project Website • Project Website Updates and Maintenance Set up a project-specific folder within POWER's secure Microsoft®R Outlook-based Project Web Collaboration(PWC)site to facilitate communication and sharing of project-related documents. Provide Vernon,if applicable and all project team members with secure password access to the site and assign permissions to all folders and subfolders. Administer the PWC site, and maintain the site with current information to keep team members informed of task/project progress or status. Use the PWC site as a common repository of project documentation with online access to data and information for all project team members. Typical documents will include: • Contact List • Phone Memos • Status Reports • Design Criteria • Schedule and Action • Drawings Items • Specifications • Meeting and Conference Call Minutes Provide for automatic e-mail notification of appropriate parties when documents are added to the site. Assumption(s): • Documents will be published in Adobe Acrobat. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 6 POWER ENGINEERS,INC. TASK I GROUNDING TESTING Objective(s): • To collect the data necessary to perform the grounding analysis of Task 2,as well as to validate the results and existing performance of the grounding system,several tests will be performed for the substations. SUBTASK 1.1 SOIL RESISTIVITY TEST Responsibility: PTENernon Deliverable(s): • Test Procedure for Each Substation • Completed Soil Resistivity Test Data Form for use in Task 2 Work with POWER's grounding engineering lead to determine sites where soil resistivity measurements could be performed,considering traverse length,elevation,and site proximity. Propose sites to Vernon staff to arrange permissions to enter the property for making the measurements. Submit a test procedure identifying the equipment,sites, procedures to Vernon prior to performing tests. Receive required excavation permits from the Public Works Department where required. Perform two traverses of soil resistivity measurements in accordance with IEEE Std 81-2012 using the Wenner four pin method for the substation site.Where possible,place the traverses approximately perpendicular to each other. Each traverse will consist of the tests with probe-to-probe spacings at 1.25',2.5',5.0',7.5', 10', 15',20',25',30', 40',50',60', 80', 100', 125', 150',200%250',300',and 400',stopping at the maximum dimension of the substation. If site conditions prohibit these full traverse lengths,testing will be performed to the maximum available spacing. Record and plot the data in Excel spreadsheets in the field during data collection to identify significant inconsistencies between traverses. If major inconsistencies occur,perform a third traverse up to the spacings where the data correlates. Assumption(s): • PTE have access to land near but outside the substations for testing starting from 7 am until 3:30 pm Monday through Friday except holidays. • Vernon will provide assistance to get the excavation permits from Vernon Public Works Department for location of test probes outside the substations. • All testing will be performed on consecutive work days until all eight substations are tested. • At least one testing personnel for each test will be a Qualified Electrical Worker. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 7 POWER ENGINEERS,INC. SUBTASK 1.2 FALL-OF-POTENTIAL TEST Responsibility: PTE/Vernon Deliverable(s): • Completed Fall-of-Potential Test Data Form for Reference in Task 2 Work with POWER's grounding engineering lead to determine a path which could be used to perform the fall-of-potential test,considering traverse length,apparent metallic objects,and other obstructions. Propose site/path to Vernon staff to arrange permissions to enter the property for making the measurements. Perform grounding system impedance measurement of the substation in accordance with IEEE Std 81-2012 using the Fall-of-Potential procedure. Place the remote current probe at six times the maximum diagonal of the substation,except where site conditions prohibit. Record and plot the data in Excel spreadsheets in the field durnng data collection. Document changes in the test locations from the plan. Assumption(s): • PTE have access to land near but outside the substations for testing starting from 7 am until 3:30 pm Monday through Friday except holidays. • Vernon will provide assistance to get the excavation pennits from Vernon Public Works Department for location of test probes outside the substations. SUBTASK 1.3 STEP AND TOUCH VOLTAGE TEST Responsibility: PTE/Vernon Deliverable(s): • Summary of Measured Touch and Step Voltages and Locations for Reference in Task 2 Work with POWER's Grounding Study Project Lead to determine a few locations at the substation where touch and step voltage measurements will be made. Immediately after performing the Fall-of-Potential,and while the remote current probe is still set up,perform touch and step voltage measurements at the selected locations in the substation. Record the injected current and measured voltage such that the measured values can be scaled to represent the actual voltages at maximum fault current. Document the locations and results for each test location. Assumption(s): • Up to five locations at each substation. • PTE have access to the substations for testing startnig from 7 am until 3:30 pm Monday through Friday except holidays. HLY 1 1-1 31 431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 8 POWER ENGINEERS,INC. • All testuig will be performed on consecutive work days until all eight substations are tested. • At least one testing personnel for each test will be a Qualified Electrical Worker. SUBTASK 1.4 POINT-TO-POINT INTEGRETY TEST Responsibility: PTE/Vernon Deliverable(s): • Documentation of Test Points on Drawings and Measured Results in a Spreadsheet Perform point-to-point impedance measurements for each grounded piece of equipment the substation in accordance with IEEE Std 81-2012. Use a test device capable of 10-300 A to assist in determining integrity. Choose reference points on equipment with multiple grounds where possible that allow most equipment to be tested from the reference. Verify references are very low impedance between each other. Record all measured data in a spreadsheet with a corresponding location identified on a drawing. Assumption(s): • PTE have access to the substations for testing starting from 7 am until 3:30 pin Monday through Friday except holidays. • All testing will be performed on consecutive work days until all eight substations are tested. • At least one testing personnel for each test will be a Qualified Electrical Worker. SUBTASK 1.5 VISUAL INSPECTION Responsibility: PTE Deliverable(s): • Photographs and Documentation of Damaged or Insufficient Grounding for Use in Task 2 Perform a visual inspection of above grade grounding leads and connectors for each grounded piece of equipment in the substation. Document frayed,broken,corroded/deteriorated,missing,undersized,or otherwise damaged conductors by taking photographs and documenting the location. At a few locations through the sub,remove the crushed rock surface layer around a ground lead to the depth of the native soil to identify signs of corrosion on the ground leads at the air-soil transition. Examine the approximate depth and type of surfacing material, documenting the results and taking photographs HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 9 POWER ENGINEERS,INC. Assumption(s): • PTE have access to the substations for testing starting from 7 am until 3:30 pm Monday through Friday except holidays. • All testing will be performed on consecutive work days until all eight substations are tested. • At least one testing personnel for each test will be a Qualified Electrical Worker. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 10 POWER ENGINEERS,INC. Objective(s): • To perform a grounding system analysis based on IEEE Std 80-2000 compliance limits using the Safe Engineering Services(SES)Current Distribution,Electromagnetic interference,Grounding&Soil analysis (CDEGS)software(Version 14)for the eight substations identified by Vernon. Prerequisite(s): • Receipt of all required data from Vernon. • Completion of Subtask 1.1 for the substation under analysis. SUBTASK 2.1 ASSIST IN MEASUREMENTS Responsibility: POWER/PTE Assist PTE testing personnel in identifying possible locations and traverse lengths for performing soil resistivity tests near the substation. Also assist in determining routes and locations for the fall-of-potential impedance test. Recommend locations where sample touch and step voltage tests could be performed. Develop procedure documents for the various measurements/tests performed to provide to PTE testing personnel. Provide phone support to PTE during testing should data appear inconsistent or to discuss changes relating to site limitations. Identify where the desired test requirements are not practical and determine limitations and generalized effects on the results. Participate in a conference call with Vernon to discuss the proposed test locations, procedures,and deviations prior to performing tests. SUBTASK 2.2 CONSTRUCT GROUNDING MODEL Responsibility: POWERNemon Construct a model of the substation grounding system using the CDEGS MALZ module based on the provided Vernon drawings.The MALZ model will include the main ground grid,significant equipment leads, ground rods,ground wells,an approximation of the substation fence/gates,and major substation foundations(where required). Assumption(s): • Vernon will provide up-to-date,accurate,and complete grounding system and general arrangement drawings in AutoCAD 2010 format. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 11 POWER ENGINEERS,INC. SUBTASK 2.3 SOIL ANALYSIS Responsibility: POWER Deliverable(s): • RESAP files (.F05, .FO9, .F21)for Inclusion in Final Deliverable Using the soil resistivity data collected by PTE,POWER will construct an electrically representative soil model using the RESAP module of CDEGS for each substation. The associated soil measurement values, modeling approach, and results for each soil model will be included in the substation's grounding report. SUBTASK 2.4 GROUNDING MODEL ANALYSIS Responsibility: POWER Incorporate the final RESAP model from Subtask 2.2 into the MALZ model developed in Subtask 2.3 and perform analysis of the existing grounding system based on the Vernon provided fault data. Using CDEGS,POWER will determine IEEE Std 80-2000 compliance limits, comparing the calculated touch and step voltages to these limits. Determine the ampacity of the primary grounding conductors used in the grounding system using the SES Ampacity module in CDEGS. Produce a summary report for use in the grounding report. Calculate the fault current split factor based on the transmission and distribution line data,along with the calculated substation grounding system impedance. Calculate the 300 Vpeak contour based on IEEE Std 367-2012 and produce 2D and 3D plots for the final design. CDEGS touch voltage and step voltage plots of the existing system will be produced for use in the grounding report. If the existing design is compliant,a CDEGS IEEE Std 80-2000 compliance("safety")report, MALZ grounding performance report,and 300 Vp,ak GPR plots for the existing grounding system will also be produced and included in the grounding report. Assumption(s): • Vernon will provide up-to-date,accurate, and complete fault data at each voltage level for the analyzed substation including: fault current magnitude,X/R ratio,and clearing time,or provide an ASPEN model of the system. • Vernon will provide accurate data for determining the fault current split analysis including: >At a minimum: the number of transmission lines with shield wires and distribution line paths with separate neutrals. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 12 POWER ENGINEERS, INC. >Preferably: typical transmission and distribution line grounding resistance(assumptions based on the soil data in the area will be used if not provided). • The grounding system is not connected to any other ground systems with the exception of transmission line shield wires and distribution line neutrals. • The grounding analysis does not consider transferred voltages due to grounded metallic conductor systems(such as pipelines,rails,and underground cable systems)beyond the substation. SUBTASK 2.6 MITIGATION Responsibility: POWER Identify area(s)within the analyzed substation that are not IEEE Std 80- 2000 compliant for either touch or step voltage. Where values exceed the IEEE Std 80-2000 limits,detennine mitigation approaches that will reduce the exceeded values to meet compliance. Select one mitigation design based on the constructability and typical cost of the design approaches in order to choose a practical and cost effective design. Include mitigation for undersized conductors that cannot carry the fault current, as well as surfacing(crushed rock)improvement recommendations. A CDEGS IEEE Std 80-2000 compliance report, MALZ grounding performance report,300 Vpeak GPR plots,touch voltage plot,and step voltage plot of the recommended system will be produced and included in the grounding report. A high level cost estimate will be produced for the recommended mitigation design. The cost estimate will be based on typical costs for materials and labor and can be refined if Version specific unit cost estimates are provided to POWER during the data acquisition stage. SUBTASK 2.6 REPORT AND DRAWING UPDATES Responsibility: POWER Deliverable(s): • One PDF"Issued for Implementation"Grounding Report for each Analyzed Substation • Updated Grounding Layout Drawing (sealed hard copy)for Each Substation where Mitigation is Required Produce an"Issued.for Implementation"grounding report for each substation summarizing the analysis and results.The report will contain the following sections as they apply to this project. • Executive Summary • Data Used For Analysis • Grounding System Model(s) HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 13 POWER ENGINEERS, INC. • Analysis Methodology • Recommended Design Results • Summary of Grounding Designs,Estimated Costs,Results • Appendices >Recommended Grounding System Model and Sketch > Soil Resistivity Data and Model > CDEGS IEEE Standard 80 Compliance Report >MALZ Grounding Performance Reports >Touch and Step Voltage Plots(Existing and Mitigated) >Telecommunications 300 V Contour Plots >Photos of Deficiencies from Testing If mitigation is required,POWER will provide an updated grounding layout based on the mitigation identified in Subtask 2.5. The drawings will be updated using AutoCAD 2010 and will only include new conductor/rods added to the existing drawings.Also produce a bill of materials for the new material included in the mitigation design. SUBTASK 2.7 GROUNDING STANDARD DRAWING UPDATES AND FINAL GROUNDING REPORT Responsibility: POWER Deliverable(s): • "Issued for Implementation"Final Aggregate Grounding Reports • One CD-ROM including both electronic natives and PDFs for each Analyzed Substation containing: >Associated grounding report >CDEGS files(RESAP and MALZ, .F05, .FO9, .F21) >Grounding layouts > Overall revised grounding standard detail drawings Assist in improving Vernon grounding standard drawings as needed to be more complete and representative of typical industry practice. Details expected to be added include sliding gate grounding and ground well details. Other details will be added as required based on mitigation design as well as IEEE Std 80-2000 requirements/recommendations. Combine each individual analyzed substation grounding report into one Final Aggregate Grounding Report with a tab for each section. The report will include a copy of each updated grounding layout drawing in I Ix17 format. Produce three hard copies of this final report for Vernon. Gather all native files(grounding reports, CDEGS files,and drawings) and copy onto a CD for delivery with the final report. Assumption(s): • Ten hours of engineer support and ten hours of drafting time are allocated for reviewing and updating grounding standard drawings. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG DETAILED WORK PLAN 1 14 January 9,2013 CLIENT XXX Substation Soil Resistivity Measurement Procedures Wenner Four-Probe Method Revision 0 PROJECT NUNRff& XXXXXX PAWECT CONTACD ROB SCHAERER,P.E HAUL; ROSERTSCHAERER@POWERENG.COM PHONED 858-8105337 POWER POWER ENGINEERS,INC. Wenner Soil Resistivity Measurement Procedure PREPARED FOR.- CLIENT XXX SUBSTATION PREPARED 8 K ROB SCHAERER, P.E.— 8-810-5337 ROBERT.SCHAERER@PO WERENG.COM JOHIV SQUm P.E.-- 503-892-6764—JSQUIRE@POWERENG.COM TYLsEIiKE,. —315-471-1100—TYLER.KENT@POWERENG.COM KURT'BELL E—208-288-6343—KBELL@POWERENG.COM REVISION HISTORY REV. ISSUE " CHKD APPD NOTES DATE BY BY 0 Xx/xx/2013 p Issued for Implementation "Issued For'Definitions: -"Prelim"means this document is issued for preliminary review,not for implementation -"Appvl"means this document is issued for review and approval,not for implementation -"Impl"means this document is issued for implementation -"Record"means this document is issued after project completion for project file PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGEi POWER ENGINEERS,INC TABLE OF CONTENTS INTRODUCTION AND PROCEDURES............................................................................................. 1 MEASUREMENT PRECAUTIONS.................................... 3 MEASUREMENT DEVICE.....................................................................................................................3 INTERFERENCE................................................................................:........................................................3 DATAERRORS.............................................................................................. ............4 SAMPLE MEASUREMENT DATASHEETS.................................................,: . ...............................5 TRAVERSE 1 (NORTH-SOUTH TRAVERSE 2 EAST-WEST TRAVERSES °.. .....7 TRAVERSE 4.................................... r.: 7 PRT 112,XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE ii POWER ENGINEERS,INC. INTRODUCTION AND PROCEDURES Soil resistivity measurements are an important step in conducting a grounding system analysis as the electrical characteristics of the soil play a significant factor in the system's performance under normal and fault conditions. As such, taking proper and complete measurements is a requirement for all grounding studies. This document presents the proper procedures to be followed along with measurement precautions and a sample means of recording the data collected. It is recommended for this substation site that soil resistivity shall be measured using the "Wenner Four-Point" Method in accordance with IEEE Std 81-2012, IEEE Guide foruMeasuring Earth Resistivity, Ground Impedance, and Earth Surface Potentials of a Grounding System. The Wenner method requires measurements to be conducted at three equal spacings with four probes in a line or traverse as shown below. Current'Leads Source - a a —a . C1 °; � P1 P2 C2 Voltage Leads The measurements require the use of a current source,a device to measure voltage and four electrodes (probes). The current is injected through one of the outside current probes (C,) and collected at the second outside current probe (Q. Two internal voltage probes, P, and P2 measure the voltage for each spacing. PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE 1 POWER ENGINEERS,INC. The probe spacings for"a", should vary from a short spacing of 1.25 feet up to at least the size of the diagonal distance of the substation with the following recommended spacings: 1.25',2.5', 5.0',7.5', 10', 15',20',25',30',40',50', 60', 80', 100', 125', 150',200',250',300', 400', 600', 800', 1000', 1250', and 1500'. This requires that more land be available and utilizeu «tan just the size of the ultimate substation design. If the maximum spacing taken is limited to the size of the fixture srh�+-ition, resulting errors in grounding analysis could exceed 50%. If the station has a diagonal rf ,'than 1500', the extra spacings identified above can be neglected. However, a measuremE '`' ' r _,:. __.,, spacing matchuig the maximum diagonal of the station should be taken (fof ample, ,a stbstation with a maximum diameter of 500',the final spacing could be 500' and greater spacings neglected). The probe depths if possible should not exceed 1/20t' of the probe spacing values. For very short probe spacing this rule of thumb may need to be exceeded(anti should be noted)to allow the probe to stay in the ground. Recommended probe depths for the measurements are shown in the sample measurement datasheets section on pages 5 to 7. The leads to the voltage and current probes"glibuld not be' placed next to each other to prevent coupling between the leads. To prevent`eoupling, keepthe`current and voltage leads separated by a minimum of 20 to 30 degrees. , On the measurement datasheets`(pages 5 to 7) ,additionaI iliformation to be recorded along with the resistance measurements include'd"ate of,the wieasurcinent, persons conducting the measurements, instrument used,the weather conditions, a 'the,soil conditions (such as wet,dry,frozen, and type of surface soil encountcrp . A sketch should be attached that indicates details of the measurements (location of traverses):, d 6the1_facilities in the area of the measurements. After conducting the first nleagur`enient traverse, a second measurement traverse should be performed approximatelytperpendicular o the first traverse for each recommended spacing. The purpose of this second measurement set is to make comparisons in the soil stricture in two different directions within the area:of the facilities —his'l elps to reduce the chances of error affecting the results. If the data shows inconsistencies, particularly for the first several points of a traverse, one or two additional short traverses are highly recommended. Each of these traverses should have a maximum probe spacing of 30 feet and should be made at two separate locations from the original two traverses and each other. When in doubt, it is best to perform these extra traverses since they are quick compared to the total traverses already performed. PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE 2 POWER ENGINEERS,INC. MEASUREMENT PRECAUTIONS Measurement Device Instrument selection is important for this measurement. The Syscal Rl Plus,R2, and Pro devices by IRIS, or Stinger and Supersting by Advanced Geo Sciences, are very capable devices for these measurements and are preferred. Other devices such as the L&R MiniRes, MeggerBiddle DET, Nilsson 400, or other Syscal equipment may be sufficient depending on site locations and the maximum spacing required and should be used with caution. If the measurements are to be conducted in high resistivity soils (such, tlie desert with dry sand or mountain terrain with a high concentration of rocks), or there is anticipation of,l roe amount of 60 Hertz interference,a device which is capable of transmitting a larger amount o ower and is immune to the interference is required. Very long traverses may also require a similar device_ ety low resistivity soils may require a more sensitive device to peri�orm large spacings"oillong 'raverses as t�y many devices have a lower limit that it can report. The Syscahat4d Supersting devi s.-.are appropriate for these situations. If there are concerns, this d. with engineer to determine which instrument is appropriate.` Interference Crossing under any energized transmissigii�-or distrb'ti n lines should be avoided if possible. If necessary, leads can be taken perpendicular under the energized lines. Measurements should not be taken under any energized lines, or in close proximity to them, If measurements are taken within 50 feet of a line(perpendicular to the line),this should be noted in the report. Measurements shouU.not be taken within any existing substation or immediately next to an existing station. If the only available areas around an `existing grounding system are near the present grounding, measurement traversos"should betaken perpendicular to and away from the substation to 3F avoid interference with'the existing gro"riding. A separation of approximately 50 feet between the f closest to pojq"nd the grounding system should be maintained. It is important to note the location of the,traverses and location of any existing grounding. Extreme caution should be taken when performing measurements near transmission or distribution lines,as well as buried metallic objects such as pipelines. Energized power lines will induce voltages on test leads and:with some test equipment can skew measurements significantly. Alternative conductive paths (buried or not) uicluding pipelines, transmission line shield wires, etc. will produce inaccurate results if measurements are performed too close to these objects. As a general rule of thumb,no measurement should be performed within a distance equivalent to the probe spacnig `a' to any metallic object. As an example,if the 200 foot test point is being performed, and there are any buried or grounded objects within 200 feet of any test probe, the results may be inaccurate. Wherever possible, these concerns should be addressed prior to perforning PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE 3 POWER ENGINEERS,INC. measurements, but in the case it is observed in the field, it must be noted with each measurement that breaks this rule of thumb. Data Errors 11 UIVI V 1S a surge increase in a resistance (or resistivity) value for measurement probe spacing compared to the adjacent measurement probe spacing, or if there is ditficuli conducting a measurement at a location (e.g.,due to terrain),then it is recommended to conduct the short distance away from either side of this measurement location (e.g., a sficant deviation in resistance of 50% occurs at the 80 foot measurement probe spacing. itler measurement was conducted at 85 feet and this deviation did not occur). One possible cause of problems with measurement values is where the 'f' con 'ct resistance is too high. This becomes apparent when the instrument indicates a high resistance valtic,or the measurements indicate an unusually high value abnormal from the trend in measurements:' This can be corrected by two possible methods (but not limited to these,,methods); addin ater (which should be included as one of the items for the measureruent trip)''to each probe, or adding additional probes connected to the C2 current probe or the P2 poteinfial probe. This;,,,is done by connecting additional electrodes (probes) perpendicular to ahe existing 62 or P2,probe,.(where the resistance is high)until a satisfactory reading is obtained r ` The measurements should be plotted against the„probe spacing during the actual field measurements to detect anomalies in the readings. This w111 a1`IQvv.corrective action to be taken immediately during the field measurements and will enhance the.'oitfideil,oe factor in the recorded data. The resistance curve should be a smooth decaying culve.as the.spacings increase. The resistivity curve should be relatively smooth but may both increase:and ,decrease throughout the measurements. It is recommended that the nncasurement tEam contact the engineering office personnel if there are questions about the measurements, �tfi^E1. If geotech reports.or core samples are available,these may be compared with the resistivity results for a sanity heck on the calculated/measured values, and should be included with the report. PRT 112-XXX(SR-05)XX(02AX/10)RS XXXXXX REV.0 PAGE 4 POWER ENGINEERS,INC. SAMPLE MEASUREMENT DATASHEETS Traverse 1 (North — South) Date: Weather Conditions: Instrumentation: Soil Conditions: Persons/Company Con ucting Measurement: Probe Spacing Potential Probe Current Probe Depth Resistance (Feet) Depth (Inches) Reading (Inches) (Ohms) 1.25 2 4 2.5 2 4 5.0 6 12 7.5 6 12 10 6 15 6 20 12 12 25 12 12+ 30 12 12+ 40 12 12+ 50 12 12+ 60 12 12+ 80 1-2, 12+ 100 ll 12+ 125 1,2 12+ 150 12 12+ 200 12 12+ 250 1 12+ 3091A 12 12+ 466 1,00Y 12 12+' 12 12+ 800- 12 12+ 1000 12 12+ 1250 12 12+ 1500 12 12+ Notes: PRT 112-XXX(SR-05)XX(02(XX/10)RS XXXXXX REV.0 PAGE 5 POWER ENGINEERS,INC. Traverse 2 (East—West) Date: Weather Conditions: Instrumentation: Soil Conditions: _ Persons/Company Persons/Company Con ucting Measurement: Probe Spacing Potential Probe Current Probe Depth Resistance (Feet) Depth (Inches) Reading (Inches) (Ohms 1.25 2 4 2.5 2 4 . 5.0 6 12 77, 7.5 6 12 10 6 12 15 6 12 20 12 12'' 25 12 12+ 30 12 12+ 40 12 12+ 50 12 12+ 60 12 12+ 80 12 12+ 100 12 12+ 125 1'2,. 12+ 150 12 12+ 200 12 12+ 250 12 12+ 300 12 12+ 400 12 12+ 12 12+ 800 12 12+ 1000 12 12+ 12.50 12 12+ 17-1500 12 12+ Notes: PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE 6 POWER ENGINEERS,INC. Traverse 3 Date: Weather Conditions: Instrumentation: Soil Conditions: Persons/Company Persons/Company Con ucting Measurement: Probe Spacing Potential Probe Current Probe Depth Resistance (Feet) Depth (Inches) Reading (Inches) (Ohms) 1.25 - 2 -- 4 Y:, 2.5 2 4 5.0 6 12 7.5 6 12 10 6 z 12 15 6 `12 20 12 1 = 25 12 12f, 30 12 12+ Notes: Traverse 4 Date: Weather Conditions Instrumentation: r. Soil Conditions: Persons/Company Con ductin „Measurement: Probe Spacing Potential Probe Current Probe Depth Resistance (Feet) Depth (Inches) Reading _ (Inches) (Ohms)_ 1,25 2 4 �2.5 __— — - 2 4 5.0 6 _ 12 7.5 6 12 10 6 12 15 6 12 20 12 12 25 12 12+ 30 1 12 1 12+ Notes: PRT 112-XXX(SR-05)XX(02/XX/10)RS)aXXXX REV.0 PAGE 7 January 1,2011 CLIENT NAME XXX Substation Grounding System Impedance Fall-of-Potential Ibleasurement Procedure Revision 0 PAWAW NUNAW& xxxxxx PROJECT GONTAm ROB SCHAERER EMAll- ROBERT.SCHAERER(d POWERENG.COM PNONO 858503-5975 " POWER POWER ENGINEERS,INC. 400C Fall-of-Potential Measurement Procedure PREPARED FOR.- CLIENT NAME XXX SUBSTATION PREPARED BY- ROB SCHAERER—858-503-5975—ROBERT.SCHAERER@POWERENG.COM JOHN SQUIRE—503-293-7164—JSQUIRE@POWERENG.COM KURT BELL,P.E.—208-288-6343—KBELL@POWERENG.COM REVISION HISTORY ISSUE ISSUED PREP CHKD APPD Rom' DATE FOR BY BY BY NOTES 0 Xx/xx/2011 Impl Issued for Implementation "Issued For"Definitions: -"Prelim"means this document is issued for preliminary review,not for implementation -"Appvl"means this document is issued for review and approval,not for implementation -"Imp["means this document is issued for implementation -`Record"means this document is issued after project completion for project file PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE POWER ENGINEERS,INC. TABLE OF CONTENTS INTRODUCTION AND TEST BACKGROUND............................................................................ 1 ZERODEGREE TEST............................................................................................................................3 NINETYDEGREE TEST........................................................................................................................4 TESTPROCEDURES .................. ........................................................................-..5 MEASUREMENT PRECAUTIONS.....................................................................................................7 MEASUREMENTDEVICE.....................................................................................................................7 BARE BURIED METALLIC STRUCTURES.............................................................................................7 INTERFERENCE........................... '- .,.........7 AMBIENT/BACKGROUND NOISE............................................................................................:............7 INTERLEADCOUPLING..........................................................................:.............................................8 WEAKSIGNAL.....................................................................................................................................8 ERRATICREADINGS............................................................................................................. 8 SAMPLE MEASUREMENT DATASHEET........................................................................................9 FALL-OF-POTENTIAL IMPEDANCE DATA SHEET................................................................................9 SITE SPECIFIC GUIDELINES/RECOMMENDATIONS................................................................. 10 SUGGESTED TRAVERSE LENGTHS AND SPANNG............................................................................. 10 SUGGESTED TRAVERSE LOCATIONS AND ALIGNMENT....................................................................10 ADDITIONALPRECAUTIONS .............................................................................................................10 LIST OF FIGURES FIGURE 1:EXAMPLE OF FALL-OF-POTENTIAL TEST SETUP[IEEE STANDARD 81.2-1991]...................I FIGURE 2:EXAMPLE CURVE-ZERO DEGREE TEST...............................................................................3 FIGURE 3: EXAMPLE CURVE-NINETY DEGREE TEST............................................................................4 PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE ii POWER ENGINEERS,INC. INTRODUCTION AND TEST BACKGROUND The fall-of-potential method is the fundamental method for measuring the ground impedance of large grounding systems. This test is a form of the three-pin impedance test,as it is sometimes called. The resulting impedance can be compared against the calculated values during a grounding study as a reasonableness check of the grounding system performance to help ensure proper functionality during faulted conditions. The procedures in this document are based on IEEE Standard 81-1983, IEEE Guide for Measuring Earth Resistivity, Ground Impedance and Earth Surface Potentials of a Ground System. This test method requires the circulation of a test current(Ij The test current(IS)circulates between the ground system and a remote current electrode labeled(Q. An example of the test setup is shown in Figure 1. With the test current(IS)flowing between the test location and the remote electrode(C), the voltage(VS)of the ground system relative to a reference potential electrode(P)is measured using a high-impedance meter and an insulated probe wire extended from the grounding system to a potential electrode some distance away. IS 4-- A ^� --�rL- C V PREFERRED TEST LEAD ORIENTATION P 90" 4 = MEASURED CURRENT V, MEASURED VOLTAGE P - REFERENCE POTENTIAL ELECTRODE 0 = REMOTE CURRENT ELECTRODE ( ze = GROUNDIMPEDANCE 1 Figure 1:Example of Fall-of-Potential Test Setup[IEEE Standard 81.2-1991] The potential electrode is moved away from the ground in several test steps. Using Equation (1) an impedance is determined for each test step. The impedance (Z) is plotted as a function of distance. Ideally,the value of(Z)in ohms on the plotted curve should level out. The data points throughout the level portion of the curve are interpreted as the impedance value of the grounding system under test. Vmeasured _Z (1) I measured The voltage and current leads can be taken either approximately parallel (zero degrees) or perpendicular(ninety degrees). Each method has specific advantages and disadvantages that must be considered before taking the measurements. Depending on site specific details one method may result in much greater error than the other. The guidelines at the end of this section should help PRT 112-XXX(SR-03)XX(02/XX/10)RS XXXXXX REV.0 PAGE 1 POWER ENGINEERS,INC. determine which method will be better suited to a site's conditions;however, as these guidelines are generalized,they should be used with caution. The location of the remote current and potential probes should extend to approximately 6.5 times the extent of the grounding system or further. The diagonal of the ground grid can be used to approximate the extent of the grounding system. If conditions are not favorable and a distance of 6.5 times the diagonal cannot be achieved, a range of 3 to 5 times the diagonal can sometimes be used; however the accuracy of the measurement will be decreased. (Examples of unfavorable conditions include lack of site space to achieve large spacings, buried metallic objects within the test area, and traverses which run under and parallel to overhead lines). Locating the current and the potential probes approximately 6.5 times the extent of the grounding system typically allows approximately 95% accuracy in measurements of the grounding system impedance with this method,assuming a fairly uniform soil. A substation often has transmission line static wires and system distribution neutrals bonded to the grounding system. If measurements are performed with these connections made, it will result in an artificially low impedance measurement of the grounding system as it will be measuring additional grounding. Therefore all metallic connections, including static wires and distribution neutrals that leave the substation must be disconnected from the grounding system before performing the tests. The measurements should be performed at a low frequency near that of the power system frequency, but not at 60 Hz or any harmonic of 60 Hz. Additional guidelines provided in the `Measurement Precautions' section(Page 7)should be followed in determining the proper frequency selection. If it is not possible to disconnect these connections, it is still possible to measure only the station grounding grid impedance. A test signal around 5 kHz or higher should be used to electrically "isolate" the grounding system from the neutral conductors, pipeline grounding, etc. At this frequency the static wires appear as inductive chokes to the station grounding system, so the measurement data will represcut only the grounding grid because the overhead static wire system appears like an open circuit at 5 kHz. Additional equipment and procedures not covered in this document are required for this sort of test and should be requested prior to performing this analysis. PRT 112.XXX(SR•05)XX(02r"10)RS XXXXXX REV.0 PAGE 2 POWER ENGINEERS,INC. Zero Degree Test The zero degree test involves running the current and voltage leads roughly in parallel with some separation;measurements are made roughly in a straight line from the substation.,When the current injection leads run parallel to voltage leads an induced voltage will be created, overstating the equivalent resistance measurement at a given location. A large separation between leads is required if they must generally run parallel, particularly for longer length traverses. An ideal separation is 50- 100 feet or greater; closer spacings may be used for very short measurements. Creating semicircles with the leads can increase separation,bringing the leads close together only at the test point. If conditions are ideal, the zero degree test will provide more accurate results than the ninety degree test. However,it is rare to have ideal conditions. Some of the major issues that should be considered include the following: o As mentioned above,running the leads parallel will result in inter-lead coupling. The effects of this can be reduced by using a very low test frequency (near DC). If higher frequencies must be used(due to equipment),the ninety degree test is usually preferred. o Typically with a low resistivity soil at the surface, the zero degree test will perform better, unless the layer is very thick,in which case it will become less accurate Figure 2 shows an example of an impedance curve generated during a zero degree fall-of-potential test. Note that the first few measurements will result in rapidly increasing resistance measurements, at which point the curve will slightly flatten out, before rising rapidly near the end of the traverse. The actual grounding system impedance will occur at a point along this flat section of the curve, typically near 61.8%of the total traverse. Further information on things that may result in curves of another shape may be found in the"Erratic Readings"section of the Measurement Precautions. FFSubstation Grounding System Impedance 6i vi 4 —� x O_ W v 3 R - N ,'R r 1• - 0 — 0 500 1000 1500 2000 2500 3000 3500 410 PROBE SPAa NG Figure 2:Example Curve—Zero Degree Test PRT 112-XXX(SR-05)XX(02/XX/10)RS 12 XXXXX REV.0 PAGE 3 POWER ENGINEERS,INC. Ninety Degree Test It is preferred that the potential probe be extended at 90' with respect to the current injection line to minimize mutual coupling, which is the purpose of using the ninety degree test. However, this test has some limitations and will typically slightly under-calculate the actual grounding system impedance. Some of the major issues that should be considered in using this test procedure include the following: o If a higher frequency test set(above 60 Hz)must be used,the ninety degree test will typically produce better results. o If soil resistivity values are low on upper layers and a significantly long traverse is not available to perform the measurements, this method can significantly underestimate the resistance in comparison to the zero degree test. o However, if a long traverse is available and the top lower resistivity layer is thick (on the order of 10% of the maximum substation dimension), the ninety degree test will result in more accurate results. Figure 3 shows an example of an impedance curve generated du►ing a ninety degree fall-of-potential test. Note that the first few measurements will result in rapidly increasing resistance measurements, at which point the curve will somewhat flatten out. Unlike the zero degree test,the curve should not rise again at the end. The approximate grounding system impedance is found at the flat section of the curve,near the end of the traverse. Further information regarding items that may result in curves of a different shape may be found in the `Erratic Readings' section (Page 8) of the `Measurement Precautions.' Substation Grounding System Impedance 0.25 0.2 "i y O 0.15 -'-. — W V 0.1- —'`�i--- I K 0.05 0 500 1000 1500 2000 2500 3000 3500 4000 4500 5 PROBESPACING Figure 3: Example Curve-Ninety Degree Test PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXY-X REV.0 PAGE 4 POWER ENGINEERS,INC. TEST PROCEDURES The following items describe the fall-of-potential test procedures. Note: Measurement precautions stated in this document need to be followed when performing these tests. These procedures must be performed in accordance with all safety guidelines provided by the test equipment manufacturer. Choose the best location available to conduct the test based on site specific details. The reference probe should be at the grounding system being measured. A typical test location is at the station entrance. The location of the measurement will be determined by the site conditions. Use the actual grounding system for a test probe (for example PI and CI attached to ground rod or equipment lead of substation). Test Device C2 C1 P1 P2 Tie to Ground System C2 c .i, P2, l C t Using the information provided in the `Test Background' section (Page 1), or the POWER fall-of- potential Excel spreadsheet, determine the required and desired distances for the traverses. An ideal distance for the remote current probe should be at least six and a half times the maximum diagonal distance of the station grounding system. The larger the distance, the more accurate the measurements. If site conditions do not allow this distance, a traverse of three to five times the maximum diagonal may be acceptable. Determine whether to utilize the zero degree or ninety degree test procedures in accordance with the considerations listed above. Ensure that the grounding system is isolated from any static wires or distribution neutrals as well as any other metallic paths leaving the station. Also ensure that the traverses chosen do not parallel any objects that may cause interference. See the `Measurement Precautions' section for further information on this aspect. The current probe (which remains stationary)should be placed at the maximum distance of the total traverse and the leads run between the test equipment at the grounding system and the remote current probe. PRT I I2-XXX(SR-05):O;(02/XXl10)RS-XXXXXX REV.0 PAGE 5 POWER ENGINEERS,INC. Test probes(voltage and current)should be driven to a depth of approximately one(1)to two(2)feet. Use a test current in the range of 0.1 to 10 amps. Using a test current of at least 2 amps would be ideal. The upper limit,depending on the soil and equipment,may be lower than ideal. Perform voltage measurements at various spacings along a voltage traverse. The spacings should not be greater than 150' apart and should not be greater than 10%of the total traverse. A good guide for the desired spacings is performing measurements at 150',300',450', 600 750',900', 1050', 1200', 1350', 1,500', 1,650', 1,800',etc.to distance of remote current probe. Document the layout of the test setup,location of the measurement,connection of the test equipment, equipment settings,etc. Use the data table provided as a guideline for recording the measurements, or if provided, plot the data in the Excel fall-of-potential sheet. Make sure to document the frequency of the source. PRT 112-XXX(SR-05)XX(02/XX/10)RS XX.VCXX REV.0 PAGE 6 POWER ENGINEERS,INC. MEASUREMENT PRECAUTIONS The following is a list of precautions to consider while measuring ground impedance. Failure to recognize these issues can cause significant measurement errors. Measurement Device The instrument selection is important for this measurement. The Syscal RI Plus,R2,and Pro devices by IRIS, or Stinger and Supersting by Advanced Geo Sciences, are very capable devices for these measurements and are preferred. Other devices such as the L&R MiniRes, MeggerBiddle DET, Nilsson 400, or other Syscal equipment may be sufficient depending on site locations and the maximum spacing required,however, these should be used with caution. Test equipment should be selected based on required test frequencies when necessary. If the measurements are to be conducted in high resistivity soils (such as the desert with dry sand or mountain terrain with a high concentration of rocks), or there is anticipation of large amount of 60 Hertz interference,a device which is capable of transmitting a larger amount of power and is immune to the interference is required. Very long traverses also require a similar device. The Syscal and Supersting devices are appropriate for these situations. If there are concerns, these should be discussed with the engineer to determine wh6 instrument is appropriate. Bare Buried Metallic Structures Bare metallic structures (including concrete-encased metal)of significant length can distort measured earth resistivities if the buried object is in the vicinity of the measurement. If the buried structure runs parallel to the measurement traverse,significant error in measurement can occur. As a rule of thumb, to avoid significant error,there should be no bare metallic structures of significant size buried within a radius "r" of any of the measurement electrodes, where "r" is the electrode spacing. When the measurement traverse runs perpendicular to a buried metallic structure without crossing it, the clearance requirement need not be as severe; however measurements must not be taken at the buried structure. Interference Crossing under any energized transmission or distribution lines should be avoided if possible. If necessary, leads can be taken perpendicular under the energized lines. The leads should never run parallel to any energized lines. Measurements should not be taken under any energized lines, or in close proximity to them. If measurements are taken witlnui 50 feet of a line, this should be noted in the report. Ambient/Background Noise Electrical noise at a 60 Hz frequency is sometimes expected in the measurements due to nearby sources of 60 Hz current and its harmonics,especially for larger electrode spacing. Test sources of 60 Hz current and its harmonics should be avoided and the noise portions of the measurement should be removed from the data. Ideally a test frequency near 60 Hz(typical devices go from near DC to 128 Hz)will be used for the test. PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE 7 POWER ENGINEERS,INC. Interlead Coupling Another problem that occurs, especially at large probe spacings, is from magnetic field induction between potential test leads and current injection leads connected to the grounding system. Induction will also occur when current injection leads run parallel to overhead lines carrying current. This coupling will induce noise into the measurements which will amplify the measured voltages. It is important to maximize the angle between the leads(90 degrees is ideal)to reduce interlead coupling. Running test leads parallel to overhead lines or each other should be avoided, if possible. A large separation between leads is required if they must generally run parallel. Weak Signal A weak measurement signal can result from a low-power source, a low-voltage source, or a high contact resistance of one or both of the current injection electrodes. The problem is most often experienced when driving electrodes in high resistivity surface soils or when the electrode spacing becomes large(the signal strength is inversely proportional to electrode spacing,all other things being equal). Use of a powerful, high-voltage source is an obvious first step to eliminating this problem. Even with a good source,however,contact resistance can easily become a problem in high resistivity soils. The solution in this case is to drive the current-injection electrodes as deep as possible and wet the soil around these electrodes with saltwater, particularly for the larger electrode spacing. If need be, multiple rods can be driven into the ground and connected together to constitute a larger, lower impedance electrode. On solid rock or in rock with a shallow soil layer over it,the electrodes can be placed horizontally on the rock and covered with conductive material, such as saltwater-moistened earth. Erratic Readings Erratic readings can occur with poor connections or high contact resistance, background noise at a frequency similar to that used by the measurement equipment, nearby buried metallic structures, equipment failure, operator error, and other factors. Measured impedances should be graphed in the field to permit detection of irregular measurements, so that corrective action can be taken immediately. Ground impedance values should be plotted versus electrode spacing. A smooth curve is expected. Sharp changes suggest a need for checking the equipment set-up and repeating measurements. Figure 2 and Figure 3 in the `Test Procedures' section show examples of typical good curves for each test type. The most common errors seen during plotting are: o A curve with a fairly constant slope. This indicates that the remote current probe is too close to the grounding system. o A curve with a very low fairly flat curve without rises on either end. Note there will be no rise on the end of a ninety degree test. This typically indicates that there are other ground connections such as neutrals or shield wires still attached. o A curve with erratic readings up and down. This typically indicates interference or noise is interfering with the results. Use a more powerful device and avoid the sources of interference by selecting a better alternative route. PRT 112-XXX(SR-05)XX(02/XX/10)RS XXXXXX REV.0 PAGE 8 POWER ENGINEERS,INC. SAMPLE MEASUREMENT DATASHEET Fall-of-Potential Impedance Data Sheet Date: Test Alignment(Zero or Ninety Degree Test): Persons/Company Conducting Measurement: Instrumentation: Soil Conditions: Weather Conditions: Potential Probe Voltage Current Resistance Location' (if Reported) (if Reported) Reading (Feet) (Millivolts,mV) (Milliamps,mA) (Ohms) The reference electrode denoted as probe position zero(describe location here). Notes with test layout and dimensions: PRT 112-XXX(SR-05)XX(02/,VU10)RS XXXXXX REV.0 PAGE 9 AGI MiniSting Memory Earth resistivity meter http://www.agiusa.com/niinisting.shtd f■�i r4 Espaftol Advanced �a AGI homepage Geosdences, Inc. =� AGI Directory Manufacturer of geophysical resistivity and IP imaging systems Company profile 2121 Geoscience Dr.,Austin,TX 78726, USA AGI headquarters! phone: +1(512)335-3338,fax: +1(512)258-9958 AGI Madrid office Career opportunity Search for information on the AGI website: AGI product catalog Search Brochure Download Case histories: Archeological surveys Cave and void detection Dam investigations MiniSting Down-hole tomography Engineering alsurvy Memory Earth Resistivity and IP Meter Environmental surveys Groundwater exploration Geotechnical examples Induced Polarization Mapping earth resources Marine exploration Mscellaneous 3D surveys Resistivity literature Customer case hist. Amistad dam �.�'• •5 Pellissippi StingCave deraba 0 O Horizontal q Op Op Marine survey Korean tunnel survey �p0 Products 0 SuperSting R8/IP SuperSting R1/IP �. SuperStina Marine SuperSting Remote MniSting Swift Earthlmager 1D Earthlmager 2D Earthlmager 3D File areas Public files Software demos (MNSting/Swift User Group SuperSting User Gi oup User Group registration Earthlmaper User Group Information request The MiniSting is a low cost resistivity&IP meter especially designed for small resistivity Send us mail jobs like electrical grounding-grid testing, soil resistivity test using the Wenner four electrode method, survey for corrosion control, electrical surveys with the four electrode method (vertical electrical sounding or profiling). This instrument is also recommended for Accepted educational purposes. Credit cards: The MiniSting is pre-programmed for Wenner, Schlumberger, dipole-dipole, pole-dipole, pole-pole, raise-a-la-masse, SP, resistance and azimuthal surveys in the manual measurement mode. The MiniSting can also be used with the Swift automatic smart electrode system or with Switch boxes (switching 28, 56, 84 or 98 electrodes) and passive electrodes or our down hole electrode cables. The MiniSting/Swift can perform automatic surveys with any V15A electrode array and can also also perform surveys controlled by a computer. Recorded data is saved in the internal memory and at a convenient time downloaded to a computer for further processing. Our utility sofware"the Administrator"is included with the MiniSting as well as a serial download cable. The Administrator software is used for data down-load and command file up-load. I of 3 4/27/2009 9-01 AM AGI Mini Sting Memory Earth resistivity meter http://www.agiusa.com/nirfisting.shbA Piney f�warm Resistivity imaging data and bore hole to bore hole data can be read directly by our Earthlmager software to produce brilliant tomographic images in color. DISCOVER The MiniSting has a built in re-chargeable NiMH battery with power sufficient for one day of manual surveying. The instrument is delivered with a battery charger. During automatic surveys when the instrument uses a lot of power, it is normally powered by an external 12 V battery. Key Benefits • Low cost instrument • Compact size with built in battery • Rugged construction • Easy to use menu driven system • Versatile instrument for different survey configurations TECHNICAL SPECIFICATION: Measurement Apparent resistivity, resistance, voltage(SP), induced polarization(IP), ,Modes.___ Pattery voltage _ Measurement 00 ko�hms to 0.1 milliohms (resistance) ange ;0-50' 0 V full scale voltage autoranging. Measuring Max 30 nV, depends on voltage level esolution i creen _ digits in engineering notation. resolution ,Output current 11-2-5-10-20-50-100-200-500 mA. he user can switch between high and low voltage limit for the transmitter Output voltage (800 Vp-p or 320 Vp-p voltage limit). Actual electrode voltage depends on ransmitted current and ground resistivity- Input gain (Automatic, always uses full dynamic range of receiver. ranging �mpedance nput >20 Mohms Input voltage Max 500 V P utomatic cancellation of SP voltages during resistivity measurement. ompensation Constant and linearly varying SP cancels completely. ype of I (`mime domain chargeabilitiy(M), six time slots measured and stored in measurement ;memory �ransmission P currentON+, OFF, ON-, OFF I IP cycle times 1 s, 2 s, 4 s and 8 s _ ;Running average of measurement displayed after each cycle. Automatic Measure 'cycle stops when reading errors fall below user set limit or user set max cycles cycles are done. _ Basic measure time is 1.2, 3.6, 7.2 or 14.4 s as selected by user via FY cle times :keyboard. autoranging and commutation adds about 1.4 s. Continuous averaging after each complete cycle. Noise errors calculated Signal and displayed as percentage of reading.Reading displayed as resistance processing '(dV1I) and apparent resistivity(ohmm or ohmft). Resistivity is calculated ;using user entered electrode distances. _ Noise Better than 100 d6 at f>20 Hz TM uppression_ jBetter than 120 d6 at power line frequencies(16 2/3, 20, 50&60 Hz) Better than 1%of reading in most cases (lab measurements). Field Total accuracy measurement accuracy depends on ground noise and resistivity. Instrument �vill calculate and display running estimate of measuring accuracy. 2 of 3 4/27/2009 9:01 AM AGI MiniSting Memory Earth resistivity meter http://www.agitisa.com/niinisting.shbil System Calibration is done digitally by the microprocessor based on correction calibration values stored in memory. upported Resistance, Schlumberger,Wenner, dipole-dipole, pole-dipole, pole-pole, onfigurations azimuthal, mise-a-la-masse, SP(absolute) and SP(gradient). _ Full resolution reading average and error are stored along with user (Data storage entered coordinates and time of day for each measurement. Storage is effected automatically. Memory More than 3000 measuring points can be stored in internal memory. apacity ^ Data RS-232C channel included to dump data from instrument to PC on user j ransmission command. he MiniSting is designed to run dipole-dipole surveys completely automatic Inrith the optional Swift Dual Mode Automatic Multi-electrode system(patent omatic %04,203). The MiniSting/Swift can run any other array(Schlumberger, ulti- , enner etc.) by using special user programmed command files. These files electrodes 'are created in an MS DOS type computer and downloaded to the MiniSting RAM memory and are later recalled and run in the field. Therefore there is no need for fragile computer in the field. ,20 key tactile,weather proof keyboard with numeric entry keys and .function keys. User controls On/Off switch Measure button, integrated within main keyboard. �LCD night light switch(push to illuminate). Display Alphanumeric LCD display(4 lines x 20 characters)with night light. 34 banana plug, pole screws for current and potential electrodes. 10-pole Fonnectors 'KPT connector for external power, RS-232C and synchronization —,connections. Power supply, 112/24 V DC external power, connector on front panel. field Maximum power output is increased when using_24V supply. 12V, 4.5 Ah MMH built-in rechargeable battery.External power connector ,Power supply on front panel,the instrument automatically selects external battery if present. Depends on conditions, internal circuitry in auto mode adjusts current to 'Operating time save energy.At 20 mA output current and 10 kW electrode resistance more than 2000 cycles are available from a fully charged battery pack. (Battery Dual stage charger with switchable input(115/230 V AC @ 50/60 cycles) harger _ _ eight 6 kg(14.5 lb.) -- —. Dimensions _ idth 255 mm(10"), length 255 mm(10") and height 123 mm(5"). Pricing (Please contact our sales department for a price quotation on resistivity meters.) Description part# MiniSting resistivity meter 960 000 Last modified: 2006-09-07 18:29:15 EDT Send corrrnents on our web site to the AGI Webmaster. Copyright 2000 Advanced Geosciences,Inc 3 of 3 4/27/2009 9:01 AM POWER s�I ENGINEERS 3. SCHEDULE PROPOSED PROJECT SCHEDULE The included project schedule shows how we plan to accomplish the project tasks in the timeframe you have requested. It was developed by our proposed project team using the anticipated start and end dates,our understanding of the project requirements,and our experience with similar projects. The listed activities correspond to the tasks in our project work plan. The proposed schedule assumes that we would receive notice to proceed on February 17,2015. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG W SCHEDULE 1 1 I _ r O N N N N' toN N N j N -` -' CD 00 J m fT A W toO f0 CO V to to A (aN O W W V O U1 A W N ICI Q0 D _T! 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C F-ID _ S oI�� Q co co m c y m - o N N N ^� y 3• m N I n py co CD b7 i�9 • � d L � N .yam. C' m 'F. � y ���N vNi m3• y �.°1e -0m C d Q• _. ��io a Li m .4 N R` a c �'+ < 0 �1 N m C m N _. y _. ..p' C y = O ....._.._._._._ ___ lA..._.__..__ Q.. _ v o m G� °: 0 3 m s 9 Imo' O m C 0 v o °c m 0 m n 3 a �, `2 m G p m 3 G O m C y m C v,h m m -aiIDm 3 a -, m a O x m 'o' 0-m d C Z. C.. m 0.-__ .y.. C m C G C. Z = 70C c �o 3 Q 6 m T O/ Q' O m Ol 1 N d 3 N fQ fA W fyQ Cl Z 3 '0C O• IN) G C Oi G 0 y N 7 p� a 7[' ...•� m v v c °' m j ~ Z �N c I m y I�i d 00 a x -o IV ILn IC SAN DIEGO GAS AND ELECTRIC Various Substation Grounding Projects, California S Between 2011 and 2013,POWER performed testing and substation �­_ grounding analysis for over 20 SDG&E substations,both new and existing. These stations were a combination of transmission,distribution, and industrial substations,ranging from 4 kV to 500 kV.Testing included soil resistivity measurements for each site,as well as fall-of- potential resistance tests and point-to-point continuity tests at select sites. Analysis of the grounding systems was performed in the CDEGS software package. In addition to verifying compliance of the design with t. IEEE Std 80-2000 touch and step voltage compliance,on many stations • POWER identified potential concerns with telecommunication facilities due to the ground potential rise of the substation under fault conditions. The projects at right represent a sample of Working with the telecommunications providers,POWER identified one the types of testing and grounding studies site that would not be acceptable and helped work with the POWER has worked on within the past 5-7 telecommunications provider to relocate the proposed substation to a years.We are extremely well suited to offer mutually agreeable site.Where proposed or existing designs exceeded Vernon services of the highest quality for tolerable voltage levels,POWER identified mitigation,working with your substation grounding studies. SDG&E to ensure the designs were practical to install. These designs sometimes included staged installations during substation rebuilds. RIVERSIDE PUBLIC UTILITIES Riverside Transmission Reliability Project,California Electrical System Studies POWER performed electrical studies of Riverside's existing transmission system,proposed future system, and system upgrade options.The City's existing ASPEN One-liner computer model was verified and checked for accuracy. An analysis of the existing transmission system was performed to determine if loading and voltage problems presently exist,if so where the problems are,and what outages (contingency cases)presented problems. Once the analysis was performed on the existing system configuration and it was verified that this configuration would be unable to adequately serve future loading, the same cases were run on the system configuration proposed by RPU and on various options to the proposed configuration.These cases were run for the estimated future system loading of 645 MW and 760 MW, with the 760 MW loading cases used to ensure that upgrades to the RPU system performed now did not cause other unforeseen problems at higher loading levels. Load flow runs were performed to determine the HILY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT EXPERIENCE 1 1 POWER ENGINEERS,INC. optimal sequence of system upgrades,and flow charts were developed to show the proposed construction sequence. Overall Project Services POWER is providing environmental,engineering,and engineering procurement and construction support services for the Riverside Transmission Reliability Project,a major upgrade to the City of Riverside's electric system- The project will add a second interconnection to the Southern California Edison transmission grid. � V w�..of •i- ..a., _.u� .titi.. During Phase I of the RTRP,POWER conducted a routing study to identify four alternative routes for the 230 kV and 69 kV transmission lines and determined that an Environmental Impact Report would need to be developed. Phase 11 will provide the city with certified Final �aea� . Al ,l i Y^:kid••:�.4.e•. —_e- Environmental Impact Report,Certificate of Public Convenience and r.-::�:r,:�•���,T, Necessity,substation and transmission line design,and construction of 230 kV and 69 kV systems to bring additional power into Riverside -`' Public Utilities' electric system. POWER completed the DSCADA Project 1n Phase II,POWER is preparing the Environmental Impact Report ahead of schedule and ultimately finished under CEQA with the City of Riverside as the lead agency. SCE will two months early with zero accidents or constrict the 230 kV portion of the project following the issuance of a incidents,despite working on multiple Certificate of Public Convenience and Necessity from the California substations simultaneously. This experience reflects how we can handle Vernon's 8 Public Utilities Commission.The selection of final routes for each line stations with efficiency,control,and ; will determine permitting requirements beyond CEQA certification. precision. Potential permits include wetlands identification,highway crossing and encroachment permits,a Nationwide 12-404 permit,401 Certification under the Clean Water Act,NPDES, South Coast AQMD,and SPCC permits. POWER is providing conceptual and detailed engineering for many of the components of the RTRP,including the new 230-69 kV Wilderness Substation,four new double circuit 69 kV transmission line segments; and upgrades to eight existing 69 kV substations.In.addition to design, POWER will be providing procurement,contractor selection assistance, and engineering support during construction. PROGRESS ENERGY FLORIDA Substation Readiness DSCADA Project, Florida Progress Energy Florida planned to implement a series of smart grid projects across its electrical system,but first needed to ready its substations system-wide for the new technologies. POWER Engineers supplied the engineering,procurement and constriction services to modify 199 PEF substations to allow for separate control and monitoring of distribution and transmission assets.This work enabled implementation of a new distribution SCADA system and laid the foundation for smart grid enhancements. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT EXPERIENCE 1 2 POWER ENGINEERS,INC. POWER provided services for the installation of new RTU/gateways and telecommunications equipment to support the carrying of distribution system operational data and substation equipment control signals using DNP3 over IP. hi addition,POWER was responsible for running and terminating power cables into the telecom equipment, studying and modifying the ground grid as necessary while maintaining compliance with IEEE 80,preparing equipment for transfer and readiness cutover of all distribution data and control points from the legacy equipment to the new distribution SCADA,and engineering and lab testing of revised RTU and gateway configuration files. For material procurement,POWER coordinated with seven PEF preferred vendors to meet requirements for specialty engineered products. 4` =„ PEF had an aggressive schedule for the project driven by federal r stimulus grant deadlines. Adding to the challenge,the 199 project sites Y were spread across a service area covering two-thirds of Florida. Due to ' the distances involved,POWER needed to schedule,stage and manage A �;.* � each site as a separate project.To accomplish the work—including procurement,constriction,testing and demobilization--in the required timeframe,POWER deployed four fiill crews working simultaneously under two full-time construction managers. Four months into construction,POWER's team was ahead of schedule and ultimately Clients hire POWER Testing and finished two months early with zero accidents or incidents,keeping PEF Energization because we continually provide clients with services that promote long- on track for the next phase of the project. term,efficient operation of electric systems.We will put our experience to work for Vernon's substation grounding project. SOUTHERN CALIFORNIA EDISON Big Creek Powerhouse Grounding Study,California SCE needed to conduct a grounding study at the Big Creek Hydroelectric#2 Plant,one of the oldest electric generation facilities in California,to confirm the facility's compliance with current grounding standards and to reduce touch and step voltages.Although the unconventional site layout,inconsistent soils and spotty data presented a complex modeling scenario,POWER successfully modeled the system and devised a relatively simple mitigation scheme that would keep the existing system operating satisfactorily. POWER'S SERVICES • Grounding study • Verification and modeling of existing system • Testing PROJECT FEATURES AND CHALLENGES • Located deep in the Sierra Mountains • Highly complex layout consisting of two,hundred-year-old powerhouses;an adjacent 230 kV switchyard;and a 12 kV distribution station spread across a creek and stepped up a 30 degree slope • Lack of existing drawings,studies,and grounding locations HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT EXPERIENCE 1 3 POWER ENGINEERS,INC. HIGHLIGHTS • Performed soil resistivity measurements in four different locations to characterize the different soil conditions and successfully model the existing complex station. • Performed a mitigation analysis and relatively simple mitigation scheme including increased surfacing,new ground well,and additional ground conductor in accessible locations. FIRST SOLAR Desert Sunlight 550 Mw Solar Project Grounding Studies I Lill POWER performed a grounding study for the substation and collection system components of the giant Desert Sunlight solar project in the Mojave desert near Desert Center, California with the goal of meeting -; IEEE Std 80 compliance through the plant.The project,including both generation and substation facilities and related infrastructure,is located r on approximately 4,000 acres of vacant land.The Desert Sunlight solar project has long-tern power supply contracts with SCE and PG&E,and Our grounding studies will provide you with a is one of the largest photovoltaic generation projects in the world. reliable roadmap for Vernon's power systems investment.We are experts using CDEGS software and will bring this knowledge for the benefit of your project. HOMER ELECTRIC ASSOCIATION Distribution Substation Grounding Analysis Review,Alaska POWER performed an independent third party review of the grounding analysis and mitigation recommendations of five distribution substations.The review consisted of examining the completeness and reasonableness of the testing,mitigation analysis and recommended designs.The initial project involved one substation and was expanded to include the additional sites.POWER identified and presented to Homer Electric instances where the design presented did not meet IEEE compliance guidelines. PECO ENERGY Schuylkill and Grays Ferry Substations, Pennsylvania The project involved performing a complete grounding analysis in accordance with IEEE Standard 80-2000 for determining allowable touch and step voltages for the existing 230 kV Grays Ferry and two 67 kV Schuylkill interconnected substations.Analysis and report also included determination and recommendation of the most feasible extensive mitigation after performing a fault current distribution analysis.Also responsible for providing soil resistivity measurement procedures and determining locations to perform the measurements in a difficult urban location. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG PROJECT EXPERIENCE 1 4 POWER ENGINEERS 5. KEY PROJECT PERSONNEL POWER PROJECT TEM7 POWER has developed a team tailored to meet Vernon's project goals. These team members have been chosen because they have familiarity ` with similar projects,and their cumulative experience will provide invaluable insight throughout the life of the project. Our team offers you: • Familiarity with your systems. Many of our proposed engineers are currently assisting Vernon with project upgrades. Our team offers Vernon familiarity, expertise, • Experts in CDEGS software—This knowledge will greatly benefit your and efficient communications to benefit your project. substation grounding studies. . A proven ability to manage several projects(in this case, 15 substation studies)with efficiency,control and precision. . Testing and energization personnel in-house. This efficiency in our service offerings will allow for enhanced communication to keep your schedule on track. An organizational chart showing our project team structure follows. Detailed resumes for each of POWER's team members are located immediately after the organizational chart. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG KEY PROJECT PERSONNEL 1 1 a � « t � •� � '2 I § 2 \ f o / I � g E \ t I G � E @ § w q � � o t 7 j E � \ � o . � , [ LAI CL Fu _ . Irn am 0 *) POWER Lrp"�ENGINEERS WOO DEV BIRLA, P.E./PMP PROJECT MANAGER YEARS OF EXPERIENCE EXPERIENCE SUMMARY 34 Mr.Birla is an electrical engineer with extensive experience leading and EDUCATION managing power delivery projects from inception to close-out including >M.S.,Electrical Engineering, planning,design,and construction.He enjoyed a successful career at Communications and Controls, Burbank Water and Power(B WP)for 31 years before retiring as California State University,Los Transmission and Distribution Engineering Manager.He managed hundreds Angeles, 1987 of projects for BWP ranging from substations to transmission lines, >B.S.,Electrical Engineering,Punjab distribution overhead and underground lines,and customer stations with University, 1970 budgets up to$25 million per year. AREAS OF EXPERTISE Mr.Birla was responsible for the modernization of BWP's engineering and > Overhead and underground line design work practices by introducing design-build concept,gas-insulated and construction substations,underground cable replacement,distribution transformer and > Distribution and customer GIS pole replacement programs. As a result of these initiatives,BWP has one of substations the highest reliability levels in the nation and received the American Public > Distribution planning Power Association's RP3 award for reliable electric operations three years in > Energy Control Center Operations a row. LICENSING Los Angeles Department of Water and Power, Power System >P.E.,Electrical:California Reliability Evaluation,California >Project Management Professional Senior Engineer for a study to evaluate LADWP's Power System Reliability SPECIAL TRAINING Plan.POWER performed a third-party assessment of the PSRP and provided > Relay Protection,IEEE Short Technical recommendations to support the utility in seeking increased funding for Courses reliability improvements.As a former Engineering Manager/Project Manager with one of LADWP's neighboring municipal utilities,Mr.Birla contributed CERTIFICATION specific expertise and local knowledge to all aspects of the project.Tasks > Project Management Professional included reviewing all components of the overall plan;developing and reviewing questions for Q&A sessions with LADWP staff;leading the internal discussion with POWER's project team,including subject matter experts in Distribution,Substations and Transmission;and providing specific feedback on LADWP's capital prioritization methodology and distribution of funds among different components of PSRP. Mr.Birla also played a major role in developing the study recommendations and reviewing the summary report. Burbank Water and Power, Keystone Distributing Station, California Senior Electrical Engineer/Project Manager responsible for overseeing and managing the design and construction of the substation.Disney Studios required this substation to accommodate the addition of more sound stages and office space.Introduced first Gas Insulated Switchgear(five positions, three lines and two transformer banks)for 34.5 kV and arc-resistant Air Insulated Switchgear(double bus,eight feeders and one capacitor bank)for 12.47 kV,two 33.6 MVA 34.5 kV to 12.47 kV with LTCs on low side and one two-staged switched 12.47 kV capacitor bank.Aesthetically very DEV BIRLA, P.E./PMP 1 2 POWER ENGINEERS, INC. pleasing,the substation blended well with its surrounding Disney Studio buildings and received a second-place award from Electric Light and Power Magazine. Burbank Water and Power,Olive Underground Utility District, California Transmission and Distribution Engineering Manager/Project Manager responsible for leading and overseeing the selection and formation of the Olive Underground Utility District.This district involved overall electrical and street light design and implementation of converting roughly 4000 feet of existing overhead lines to underground in a joint trench with AT&T,Charter Communications,and Verizon Wireless. It also involved approximately 2200 feet of overhead 69 kV line,the addition of two 69 kV underground lines and undergrounding 34.5 kV sub-transmission line,as well as 4,160 and 12,470 volt distribution lines,street lights and facilities from Charter Communications.It also involved undergrounding of 1,800 feet of overhead 4,160 volt distribution line along with streetlight system and facilities from AT&T,Charter Communications and Verizon Wireless.This project was completed in 18 months in two phases. Burbank Water and Power,Capon Switching Station, California Principal Electrical Engineer/Project.Manager responsible for managing the project from inception to close out including overseeing design and construction of the switching station. This project consisted of design and construction of 69 kV to 34.5 kV GIS switching station and line getaways for five 69 kV and nine 34.5 kV volt lines on Warner Ranch Studios in Burbank. Due to lack of availability of appropriate sites within the Media District Area and public opposition to substations in residential areas,site selection for this project was-very challenging. Capon was the first 69 kV GIS Substation energized on the-west coast,has the smallest foot print(1/8 size of land for open rack design with double the capacity),and required a City Charter Change. This design-build project dramatically improved the reliability of the whole network by reducing circuit overloads. Burbank Water and Power, Burbank Substation Replacement and 34.5 kV Network Upgrade, California Transmission and Distribution Engineering Manager/Project Manager responsible for initial planning to project closeout including design, construction and reporting progress to BWP Board and the City CounciL This project was a multiple-year project with four different phases and involved replacement of a 66-year-old open-rack substation,located close to the Administration Building.The new 34.5 kV substation replaced a 12.47 kV substation at another location on the BWP campus. The biggest challenge was layout of equipment on a very small site,line getaways and interfacing with existing underground infrastructure,including coordination of outages with the Energy Control Center and Power Plant. Burbank Water and Power, Distribution Planning,Selection of 12 kV Design Standards and Conversion of Load to 12 kV, California Supervising or Senior Electrical Engineer/Project Manager responsible for overseeing the distribution planning,design and construction of the 4 and 12 DEV BIRLA, P.E./PMP 3 POWER ENGINEERS,INC. kV distribution system.Engineered the design and selection of construction materials for 1.2 kV construction such as poles,cross arms,insulators, overhead primary and secondary conductor sizes and types,size and type of underground cable(for main feeders,laterals and on-site customer transformation),cable terminators and splices including surge arresters,pad mount transformers,pad mount switches(live front vs. dead front,air vs.oil or vacuum or SF6)and overhead transformers and overhead switches and disconnects,transformer fuses for overhead and pad mount transformers,etc. Developed detailed specifications and standards for major equipment used in line construction. Initiated first conversion of load from 4 kV feeder Town- 21 to 12 kV feeder San Jose-14 in 1985 and then continued conversion of large customer loads such as the Disney Channel Building and M.David Paul building 4 kV circuit Alameda-8 load to 12 kV feeder San Jose-2 and San Jose-5 in 1986.Then all new large spot loads were served from 12 kV underground distribution in the West Olive Area from the Hollywood Way Substation completed in 1988.Most of the 12 kV distribution system is a loop system with EPR cable and pad mount transformers and switches. Rebuilding of overhead and underground lines to 12 kV construction standards continued until the early 1990s for the remaining Hollywood Way and San Jose circuits including electrical service to Media City Center Mall. Burbank Water and Power,Conversion of Burbank Circuits from 4 kV to 12 kV,California Transmission and Distribution Engineering Manager/Project Manager responsible for managing the overall design and constriction of twelve 4 kV Burbank Circuits to 12 kV in a very short duration of three years. The old Burbank Substation had to be relocated,and twelve 4 kV circuits with combination of overhead and underground were rebuilt to 12 kV construction,while the load was transferred from the old substation to new substation in phases.Design and construction was done in-house and in parallel with the construction of the new Burbank Station and upgrade of the 34.5 kV network in the area.Existing pole lines had multiple 4 kV circuits on the same pole line and sometimes under build of 34.5 kV and 69 kV lines both in residential and commercial areas in back property lines with difficult access and in busy public streets with heavy traffic conditions.Each pole was evaluated and determined if it could be rebuilt or needed to be replaced,with new overhead primary conductor,new overhead transformers and secondary/service drop triplex conductors.The same was true for underground,with each and every run reviewed and field verified to see where upgrades to 12 kV were required,such as cable or pad mount transformer replacement with any associated work.There were numerous customer stations with critical loads which had to rebuilt and then cut-over to 12 kV at a later date along with the rest of the 4 kV circuit.New underground conduits and manholes were added and cable and devices installed to connect the old getaways with the new location of the substation. Burbank Water and Power, Hollywood Way Distributing Station, California Transmission and Distribution Engineering Manager/Project Manager responsible for overseeing and managing the design and construction of the new Hollywood Way substation.This project was required to accommodate Caltrans'addition of an off-ramp to SR-134 and involved building a new larger capacity substation adjacent to two existing substations(Alameda and DEV BIRLA, P.E./PMP 4 POWER ENGINEERS, INC. Hollywood Way),transferring all loads in a seven-year time frame by June 2011.That included five 34.5 kV lines providing bulk power to both substations and a tie between their and then conversion of twelve 4 kV circuits to 12 kV and transfer of six 12 kV circuits to the new substation.The Burbank Community Department funded the project with matching funds from the SR-134 project. It was an EPC project with aesthetically pleasing seven-position Gas Insulated Switchgear in a pre-fabricated building for 34.5 kV; 16-position 12.47 kV metal clad Switchgear in a pre-fabricated building with ten distribution circuits;two 56 MVA banks with LTCs on the low side; and two 12.47 kV switched capacitor banks. It also included a communication building with JungleMUX and RTUs for SCADA monitoring and control. Burbank Water and Power,Conversion of Alameda 4 kV Circuits to 12 kV Hollywood Way Circuits, California Transmission and Distribution Engineering Manager/Project Manager responsible for oversight and management of design and construction for the conversion of twelve 4 kV Alameda circuits,starting April 2004 and continuing until June 2011.The project initially involved rebuilding and conversion of one circuit per year and,later on, 1.5-2 circuits per year. It entailed a very intensive process of evaluation of each pole and facility serviced from Alameda Substation,then distribution planning to decide how each circuit would be configured from existing 4 kV circuits based on estimated load and ties to maintain high reliability to customers.It was followed by design and constriction,which included replacement of poles, cross arms,overhead primary conductors,distribution transformers, secondary/service drop triplex conductors. Burbank Water and Power,Olive Underground Utility District 1, California Transmission and Distribution Engineering Manager/Project Manager responsible for the formation of the first underground utility district in the City of Burbank and execution of undergrounding of all overhead facilities. This project was along Olive Avenue from the 1-5 bridge to Victory Blvd., and then along Lake Street from Olive Avenue to Magnolia Blvd., approximately 4,000 feet and in close proximity to the BWP campus.Per City Charter,the formation of the underground district involved three stages, including two public hearings with proper noticing and posting of signage in the proposed underground utility district.The overhead facilities were owned by BWP(power and street lighting),Charter Communications(cable), AT&T(telephone and cable)and Verizon wireless(telephone). Common trench was used,and the cost was shared by all parties. Implementation was done in two phases within a 30-month period,and the total cost vas$3-5 million. The biggest challenge was coordination with the telephone and cable companies for execution of their portion of the work as well as reimbursement of funds, POWER s ENGINEERS ROBERT SCHAERER, R.E. GROUNDING STUDIES PROJECT LEAD YEARS OF EXPERIENCE EXPERIENCE SUMMARY 8 Mr. Schaerer is a project engineer focusing on electrical studies for power EDUCATION transmission and distribution systems.His responsibilities have included >B.S.,Electrical Engineering,University utility and industrial substation grounding studies,grounding design support of Idaho,2006 and field effect analysis including AC and DC electromagnetic interference > Certificate,Transmission and for systems up to 600 kV.He is also experienced in developing and Distribution Engineering,Gonzaga reviewing transmission and distribution protective relay settings and University,2013 coordination from 480V to 345 kV,as well as developing special protection and control algorithms.He has worked on upgrades,expansions and AREAS OF EXPERTISE greenfield projects. > Protective relay settings/coordination > Grounding,AC interference and EMT Progress Energy Florida,Substation Readiness DSCADA > Electrical system studies Project, Florida LICENSING Lead Studies Engineer responsible for coordinating all grounding related >P.E.,Electrical:Oregon work including Ground Potential Rise(GPR).forms for telecommunications >P.E.,Electrical:California providers and IEEE Standard 80-2000 touch and step voltage compliance >P.E.,Electrical:Florida around the new communications equipment.Also responsible for reviewing grounding analysis performed by others.POWER provided EPC services for SPECIAL TRAINING installation of gateways/RTUs and telecommunication equipment at >EUCI Induction Voltage Hazards Near approximately 199 substations to the point of interconnections with the local Transmission and Distribution Lines telecommunication provider.The project implemented changes within PEF's > CDEGS Users Group Conference substations to enable SCADA/Smart Grid control and monitoring for > SEL University -Custom Course for distribution assets separate from existing transmission SCADA systems.The Chevron project had over 70 engineers designing in six separate states,along with > Beckwith Electric-Generator Protection another 50 personnel implementing and supporting the construction and back Theory office functions.Finished ahead of schedule,under budget and accident free. > Georgia Tech-Integrated Grounding System Design and Technology Short San Diego Gas and Electric,Various Substations Grounding, Course California > Safe Engineering Services& Technologies Ltd. -Grounding and Project Engineer responsible for coordinating,performing,and/or checking Electromagnetic Fields Course approximately 20 substation projects throughout SDG&E's service territory. Between 2011 and 2013,POWER performed testing and substation PAPERS grounding analysis for over 22 SDG&E substations,both new and existing. > "Parametric Analysis and Simplified Testing included soil resistivity measurements for each site,as well as fall- Calculations of Fault Current Split for of-potential resistance tests and point-to-point continuity tests at select sites. Wind Power Plant Grounding System Analysis of the grounding systems was performed in the CDEGS software Safety Design",IEEE T&D Conference package. In addition to verifying compliance of the design with IEEE Std 80- and Expo,2014 2000 touch and step voltage compliance,on many stations POWER > "Quasielectrostatic Induction on identified potential concerns with telecommunication facilities due to the Stationary Vehicles under High ground potential rise of the substation under fault conditions. Where Voltage Power Lines",COMSOL proposed or existing designs exceeded tolerable voltage levels,POWER Conference,2012 identified mitigation,working with SDG&E to ensure the designs were > "Considerations for Practical Structure practical to install. Grounding in Varying Soil Conditions", UTA TSDOS Conference,2012 ROBERT SCHAERER, P.E. 1 2 POWER ENGINEERS,INC, Riverside Public Utilities, RTRP Electrical System Studies, SEMINARS California > Adjunct Instructor,Transmission and Distribution Program,Gonzaga Studies engineer responsible for measuring ambient audible noise along the University,2010-present proposed transmission line route and preparing documentation of the results > Presenter,"Dealing with High Fault to be compared to calculated values.POWER performed electrical studies of Currents in Substation Grounding", Riverside's existing transmission system,proposed future system,and system POWER Delivery Design Conference, upgrade options.The City's existing ASPEN One-liner computer model was 2013 verified and checked for accuracy. An analysis of the existing transmission > Presenter,"Considerations for Practical system was performed to determine if loading and voltage problems Structure Grounding in Varying Soil presently exist,if so where the problems are,and what outages(contingency Conditions",Power Delivery Design cases)presented problems. Once the analysis was performed on the existing Conference,2012 system configuration and it was verified that this configuration would be > Instructor,"Substation Grounding unable to adequately serve future loading,the same cases were run on the System Design and Analysis",American system configuration proposed by RPU and on various options to the Electric Power,2010 proposed configuration.These cases were run for the estimated future system > Presenter,"Substation Grounding loading of 645 MW and 760 MW,with the 760 MW loading cases used to Analysis and Testing",Energy Council ensure that upgrades to the RPU system performed now did not cause other of the Northeast,2010 unforeseen problems at higher loading levels. Load flow runs were > Presenter,"Evaluating and Maintaining performed to determine the optimal sequence of system upgrades,and flow Existing Substation Grounding charts were developed to show the proposed construction sequence. Systems",NV./TPA,2011 First Solar, Desert Sunlight 550 MW Solar Project Grounding HARDWARE/SOFTWARE Study, California > CDEGS > WINIGS Lead grounding engineer responsible for providing technical guidance and > ASPEN modeling support for the CDEGS analysis of the PV solar plant.POWER > SKM PTW performed a grounding study for the substation and collection system > ETAP C components of the giant Desert Sunlight solar project in the Mojave desert > AFE > AFE tP near Desert Center,California with the goal of meeting IEEE Std 80 compliance through the plant. The project,including both generation and AFFILIATIONS substation facilities and related infrastructure,is located on approximately 4,000 acres of vacant land.The Desert Sunlight solar project has long-term > Member,IEEE power supply contracts with SCE and PG&E,and is one of the largest > Member,IEEE Overhead Lines photovoltaic generation projects in the world. Subcommittee >Member,IEEE Wind and Solar Plant Southern California Edison, Big Creek Powerhouse Grounding Collector Design Working Group Study, California > Vice Chair,IEEE Corona and Field Effects Working Group Project Engineer responsible for site visits and examinations,data acquisition,onsite testing,and providing high level design and modeling guidance and support.POWER conducted a grounding study at the Big Creek Hydroelectric 92 Plant to confirm the facility's compliance with current grounding standards and to reduce touch and step voltages.Located in the Sierra Mountains,Big Creek consists of two,hundred-year-old adjacent powerhouses stair-stepped up a 30 degree slope directly into bedrock,a 230 kV switchyard built across the creek and a 12 kV distribution substation.This odd layout combined with a lack of reliable drawings or grounding studies,a sprawling footprint,and inconsistent soil made for a complex modeling task.POWER's analysis offered SCE a relatively simple grounding mitigation scheme and assurance that the original system would be satisfactory for years to come. ROBERT SCHAERER, P.E. 3 POWER ENGINEERS, INC. � ¢•�ri PECO Energy, Schuylkill and Grays Ferry Substations, Pennsylvania Studies Engineer Lead responsible for helping in developing detailed grounding system models from numerous drawings and other sources.The project involved performing a complete grounding analysis in accordance with IEEE Standard 80-2000 for determining allowable touch and step voltages for the existing 230 kV Grays Ferry and two 67 kV Schuylkill interconnected substations.Analysis and report also included determination and recommendation of the most feasible extensive mitigation after performing a fault current distribution analysis.Also responsible for providing soil resistivity measurement procedures and determining locations to perform the measurements in a difficult urban location. Tesoro, Golden Eagle 230/15 kV Switching Station, California Studies Engineer responsible.for performing a grounding analysis_The objective of the study,performed with Safe Engineering Software's CDEGS package,was to ensure the grounding system design met IEEE Standard 80- 2000 compliance for touch and step voltages and to provide a report summarizing the results for reference and review by PG&E.POWER provided preliminary and detailed design engineering and a training/operations manual for the new greenfield 230-15 kV substation and multi-feeder 15 kV distribution system. Homer Electric Association, Distribution Substation Grounding Analysis Review,Alaska Project Engineer responsible for performing and documenting the findings of POWER's independent review of five distribution substation grounding system analyses and reports. POWER performed an independent third party review of the grounding analysis and mitigation recommendations of five distribution substations.The review examined the completeness of the testing,mitigation analysis and recommended designs.POWER identified and presented instances where the design presented did not meet IEEE compliance guidelines. Idaho Power, Hillsdale Substation,Idaho Studies Engineer responsible for performing a full grounding study of the proposed grounding system for the new Idaho Power Hillsdale Substation. Work included developing a soil model from field soil measurements, modifying the soil model to reflect the grading and fill plans,modeling the proposed ground grounding in Safe Engineering Services' SESCAD program,and performing a frill analysis of the grid.Using IEEE Standard 80- 2000 as a guideline,analysis was completed in CDEGS to design mitigation such that all touch and step voltages throughout the station were below the allowable compliance limits during fault conditions. In addition,analysis was performed to determine the percentage of the total fault current that would return through the grounding system versus transmission line shield wires. A report detailing a summary of the work,results and recommendations from the analysis were prepared. ROBERT SCHAERER, P.E. 4 POWER ENGINEERS, INC. Tesoro,Alaska 115 kV Service Upgrade,Alaska Studies Engineer responsible for performing an analysis of the substation grounding system and modifying the preliminary designs to verify the final system would meet IEEE Standard 80-2000 touch and step voltage compliance.The project was an upgrade of the 115 kV electrical service to Tesoro Alaska Refinery to improve reliability and increase import capability from Homer.Electric Association.POWER conducted a feasibility study, followed by cost estimate,detailed engineering,and comprehensive testing and energization.The scope of work included substation,underground distribution line and SCADA engineering. Terra-Gen Power LLC,Alta Wind Projects, California Studies Engineer responsible for reviewing the design and analysis for the collector system and collector substation grounding systems and identifying potential concerns with the analysis and results which may have produced an insufficient design.POWER is providing comprehensive Owner's Engineer services for the Alta Wind Farm,currently the USA's largest wind power project. The project is located in California's Tehachapi-Mojave Wind Resource Area and when complete will feed clean energy into California's electricity grid. The project uses GE and Vestas wind turbines. Golden Valley Electric Association, 138 kV Jarvis Creek SVC, Alaska Engineer responsible for grounding study and substation report for the installation of a+22/-8 Mvar SVC at the Jarvis Creek Substation near Delta Junction,Alaska.Using grounding grid models at the substation,as well as soil resistivity data collected from the sight,a grounding model was developed in Safe Engineering Service's CDEGS grounding package,This model was analyzed for compliance with IEEE's Guide for Substation Safety regarding acceptable touch and step potentials.From the initial proposed model,additional mitigation through additional grounding material and ground rods was recommended to comply with the standard.A final report detailing the work completed and recommendations was also prepared. PECO Energy, Northeast Corridor AC Interference Studies, Pennsylvania SCADA and Analytical Services Engineer and Project Engineer for the Northeast Corridor rail line electrical interference studies.Performed AC interference analysis of a combination of Amtrak and PECO lines in various large railroad corridors.Duties also included data acquisition,modeling, analysis,reports,and checking and presenting results to Amtrak and PECO. PECO needed transmission line upgrades and enlisted POWER to assess possible electrical interference on existing infrastructure and/or deleterious effects to other parties.The only high speed railway in the U.S.,the NEC is characterized by a finely tuned complexity of circuits operating on three different frequencies and serving multiple owners.POWER performed AC interference studies(inductive and conductive)and created a 3-D model of the various electric and railway systems using the HIFREQ module of Safe Engineering Service's CDEGS software for analysis. POWER ENGINEERS ROLAND BOMAR TESTING SUPERVISOR YEARS OF EXPERIENCE EXPERIENCE SUMMARY 23 AREAS OF EXPERT/SE Mr.Bomar has extensive experience in acceptance and maintenance testing of low,medium and high voltage systems in the electrical industry.He is > Troubleshooting skilled in the use of schematics,engineering drawings and test equipment.He > System shut-downs&start-ups has designed and assembled retrofits and retrofills and is able to perform shut > Quality control downs and start-up services on a range of power supplies.Mr.Bomar is > Circuit breakers knowledgeable of OSHA regulations and safety inspections.His experience > Transformers also includes troubleshooting electrical circuits and parts inspections. > Switches > Motor controls Bergelectric,St.John's Health Center Acceptance Testing, > Switchgear California Project Manager/Engineer responsible for managing all activities within POWER's scope of work,coordinating with client,and managing the project scope,test specifications,schedule and budgets.Coordinated with the client for on-site electrical testing activities.Managed and completed the test processes and test documentation.including as-built diagrams.POWER performed acceptance testing on new equipment installed at St.John's 4- story in-patient hospital facility in Santa Monica,California.Acceptance testing was performed on circuit breakers,transformers,cables and automatic transfer switches.POWER also provided customer support and training for employees on the new equipment.The project was completed on time and within budget. TTM Technologies,Inc.,Inglewood CAD Files and Drawings, California Project Lead responsible for managing and coordinating all project and technical activities in a safe manner with POWER's scope of work. Coordinated with the client for on-site electrical testing activities.Managed and completed the test processes and test documentation including as-built diagrams.POWER performed data collection and equipment testing at this 600 kV computer processing center.New single line drawings were created of existing equipment and equipment testing was performed on panel boards, transformers and motors. AES Alamitos,Transformer Maintenance Testing, California Project Manager for the maintenance testing on eighteen 230 kV and 115 kV transformers at Units 1-4 of this 6 unit 230 kV power plant.POWER completed oil sample testing on each of the four units and sent the samples to a lab for analysis.The oil quality test provided a dissolved gas analysis, amount of moisture in the oil,interfacial tension,acid number,color visual, dielectric breakdown,power factor and specific gravity.After the report was completed POWER provided recommendations to the client. ROLAND BOMAR 2 POWER ENGINEERS, INC. GE Energy,IEEC Annual Maintenance,California Project Lead for the annual maintenance testing at this 525 kV switchyard at GE's IEEC power plant.Testing included a power test red line of 4160 kV equipment 12V distribution panels for Unit 41,Unit 42 and common systems.Equipment tested included relays,transformers,circuit breakers, current transformers,potential transformers,meters,bus duct,switchgear, thermographic scanning disconnect switch and a surge arrestor. Oakley,Shutdown Maintenance, California Project Manager responsible for managing all activities within POWER's scope of work,coordinating with client,and managing the project scope,test specifications,schedule and budgets. Also performed management and coordination of all project and technical activities in a safe manner within POWER's scope of work.Managed and completed the test processes and test documentation including as-built diagrams.POWER provided acceptance testing services including circuit breaker testing and small transformer testing.Inspection of the equipment was completed in accordance with manufacturer's instructions and service manuals,ANSMEEE and NETA Standards,along with POWER's recommended standard circuit breaker and transformer guidelines for power distribution equipment.Testing was completed during a distribution shutdown at this 100,000 square foot manufacturing plant with four 4,000 amp services. Tri Power Electric, UCLA Circuit Breaker Testing, California Project Manager responsible for managing all activities within POWER's scope of work,coordinating with client,and managing the project scope,test specifications,schedule and budgets. Also managed and coordinated all project and technical activities in a safe manner within POWER's scope of work.Coordinated with the client for onsite electrical testing activities. Managed and completed the test processes and test documentation including as-built diagrams.POWER performed acceptance testing on low voltage circuit breakers for the University of California,Los Angeles. Inspection of the equipment was completed in accordance with manufacturer's instructions and service manuals,ANSI/IEEE and NETA Standards,along with POWER's recommended standard circuit breaker guidelines for power distribution equipment. Brutoco Engineering &Construction, Inc., Metrolink Colton Station Acceptance Testing, California Project Manager responsible for managing all activities within POWER's scope of work,coordinating with client,and managing the project scope,test specifications,schedule and budgets.POWER provided acceptance testing on 12 kV transformers,circuit breakers,cables and air switches.Equipment tested included 480 V switchgear,circuit breakers,cable grounding, transformers and switchboards at the Colton train wash station and maintenance facility.POWER's services were performed on time and within budget. ROLAND BOMAR 1 3 POWER ENGINEERS,INC. Dynalectric, University of California,San Diego Thornton Emergency System Upgrade, California Project Manager for the project.POWER performed a short circuit,device evaluation,protective device coordination study and are flash hazard analysis for the upgraded backup electrical system for the University of California— San Diego(UCSD)Thornton Medical Center on time and under budget.The electrical system was modeled and analyzed,fault currents were calculated and compared against equipment ratings and protective device settings were created. Are flash hazards were calculated for the systems directly connected to the emergency generator with the goal of minimizing arc flash hazards to within standard personal protective equipment levels. Are flash hazard signage was produced to conform to the existing UCSD safety programs. Conti Electric,Antelope Valley Solar Ranch One Acceptance Testing,California Project Engineer for acceptance testing services for a new 230 MW solar photovoltaic generating plant in Los Angeles County. Services included VLF testing of the 35 kV XLPE underground cables associated with the collector system,and 2-point testing of the ground grid.POWER's team met schedule and budget targets using an innovative test procedure that reduced testing time per cable. The plant is one of the world's largest solar generating plants. Conti Electric,Alpine Solar Project Acceptance Testing, California Project Engineer for acceptance testing services for a new 66 MW solar photovoltaic generating plant in Los Angeles County. Services included VLF testing of the 35 kV electrical cables and 2-point ground testing.POWER's team met schedule and budget targets using an innovative test procedure that reduced testing time per cable.The plant supplies power to Pacific Gas& Electric. One Source, Federal Office Building, California Lead Testing Technician responsible for overseeing a shutdown at a federal office building in San Diego. Responsible for performing maintenance testing on 2500 MVA dry type transformers,vacuum circuit breakers and air switches. Boeing,Seal Beach Maintenance Shutdown, California Testing Supervisor responsible for overseeing a maintenance shutdown at Seal Beach Boeing.Responsible for testing low voltage circuit breakers, medium voltage transformers and medium voltage air switches. Also performed retrofitting on low voltage circuit breakers. Installed power meters for the 480V system. POWER ENGINEERS ROBERT SMALLWOOD GROUNDING STUDIES ENGINEER YEARS OF EXPERIENCE EXPERIENCE SUMMARY 4 Mr. Smallwood is an electrical system studies engineer with experience in EDUCATION system impact studies,including power flow and dynamic stability analysis, >B.S.,Electrical Computer Engineering, network integration studies,and voltage scheduling studies.He is Oregon State University,2010 knowledgeable in compliance studies/reports(NERC/FERC)and the analysis of high voltage transmission systems.His primary areas of focus include AREAS OF EXPERTISE power system modeling,protection and relaying,fault analysis,and > Grounding grounding.He also has experience in arc flash review,fuse selection for >Operation of electrical test equipment power factor correction systems and breaker sizing. >Transient analysis >Power flow and QV analysis PacifiCorp,Substation Grounding Services, Multiple Locations >Digital electronic circuit design >Protective Relaying Studies Engineer responsible for grounding studies for:Ponderosa,Jordan, > Short Circuit,Coordination,and Arc Buchanan,Jim Bridger,Beck Street,Scio,Whetstone,Bar Nunn,and Riley Flash analysis Ridge substations.POWER has been responsible for specification,design, >National Electrical Code(NFPA 70E) procurement,configuration,and testing of substation and communication site >NERC/FERC compliance standards SCADA RTUs.POWER's work included modeling the proposed grounding system in Safe Engineering Services' CDEGS program,and performing a SPECIAL TRAINING full analysis of the systems.Using IEEE Standard 80 as a guideline,analysis >University of Wisconsin Madison- was completed in CDEGS for meeting the acceptable touch and step Understanding Power System Dynamic potentials throughout the station. Behavior > SEL University-Custom Course for Oncor Electric Delivery,General Engineering Services,Texas POWER Engineers > Shermco Industries—Electrical Safety Studies Engineer responsible for grounding studies for the Brown 345 kV Certification Switching Yard,Brown SVC,Krum West,Ector County Scurry County, > E-Hazard—NFPA 70E Electrical South Switching Station,Andrews North,Centralia,and Mason Substations, Workplace Safety POWER works closely with Oncor under a long-term alliance to provide all >ENSA Training aspects of transmission and distribution engineering and support services CERTIFICATION including detailed physical,electrical and civil engineering for substations and transmission lines(overhead and underground);material procurement > ENSA certified assistance,permitting and construction support services.In addition, HARDWARE/SOFTWARE POWER assists with the scheduling and coordination of the engineering, > CDEGS material procurement and construction for 150-200 projects per year. > WINIGS San Diego Gas and Electric, Ocean Ranch Substation,California > ASPEN > SKM PT W > EasyPower SCADA and Analytical Services(SAS)Engineer responsible for the > ETAP grounding analysis and report of the new Ocean Ranch substation as well as > GE PSLF determine possible transferred voltages on nearby pipes.POWER's work > PowerWorld included modeling the proposed grounding system in Safe Engineering > SynerGEE Services'CDEGS program,and performing a full analysis of the systems. Using IEEE Standard 80 as a guideline,analysis was completed in CDEGS AFFILIATIONS for meeting the acceptable touch and step potentials throughout the station. > IEEE ROBERT SMALLWOOD 2 POWER ENGINEERS,INC. �h - -- Progress Energy Florida, Substation Readiness DSCADA Project, Florida Studies Engineer responsible for ground study production work including Form 100 and 1039 and IEEE 80 compliant reports.POWER provided EPC services for installation of gateways/RTUs and telecommunication equipment at approximately 199 substations to the point of interconnections with the local telecommunication provider.The project implemented changes within PEF's substations to enable SCADA/Smart Grid control and monitoring for distribution assets separate from existing transmission SCADA systems.The project had over 70 engineers designing in six separate states,along with another 50 personnel implementing and supporting the construction and back office functions.Finished ahead of schedule,under budget and accident free. Seattle City Light, Denny Way Substation Project, Seattle, Washington Studies Engineer responsible for grounding and EMF studies. Seattle City Light is designing its first new electrical power substation in 30 years.The substation and its related new transmission lines and distribution systems in downtown Seattle will serve high-load commercial users as well large medical centers and high-rise urban residential neighborhoods, When finished it will feature a GIS substation with 230 kV, 115 kV,26 kV and 13.8 kV equipment inside a highly compact footprint with extensive architectural screening.The project includes changes to an existing 115 kV HPFF line,a new 3-mile overhead/underground 115/230 kV transmission line,and a distribution network featuring 40 new underground feeders and associated duct bank systems.POWER is overseeing 21 subconsultants,providing preliminary and detailed design of the substation,distribution and transmission systems,conducting electrical studies and assisting with equipment specifications. Ridgeline Energy, Meadow Creek Wind Farm, Idaho Electrical Engineer responsible for grounding analysis and substation and wind turbine ground grid design.The Meadow Creek Wind Project will produce 120MW of clean energy,supplied by 57 Suzlon S97 2.1MW turbines. The project interconnects at the Goshen Substation owned by PacifiCorp via a 161 kV transmission line connecting two existing wind plants.POWER provided detailed design of the collection system,collector substation,interconnecting substation,transmission line,studies,SCADA, and electrical site inspection and interconnect support.To ensure that line capacity was not exceeded during critical operating periods and to enable all three wind plant to coordinate operation,POWER developed a volt/VAR controller unique for this wind farm.The project was very fast track and was brought in on time and under budget. PECO Energy Company,Waneeta Substation, Pennsylvania SCADA and Analytical Services(SAS)Engineer responsible for the grounding analysis and report of the existing Waneeta Substation.POWER's work included modeling the existing grounding system in Safe Engineering Services' CDEGS program,and performing a full analysis of the systems. Using IEEE Standard 80 as a guideline,analysis was completed in CDEGS for meeting the acceptable touch and step potentials throughout the station. ROBERT SMALLWOOD 3 POWER ENGINEERS, INC. Xcel Energy Services,Smoky Hill 230/345 kV Yard Expansion, Colorado Studies Engineer responsible for providing grounding studies for the station. The project consisted of the design of a 345/230 kV ring bus substation arranged for an ultimate breaker-and-a-half configuration on land adjacent to Xcel's existing Smoky Hill 230 kV Substation.It also covered modifications to the existing substation to accommodate two transformer feeds from the new 345 kV yard.For the new 345 kV yard and the new 230 kV equipment, POWER provided complete civil and electrical design,with the exception of grading and drainage. Kenya Electricity Transmission Company, Ltd., Nairobi Ring 400 kV Transmission Project, Kenya Studies Engineer responsible for AC interference studies.POWER is providing technical design review and construction supervision services for approximately 110 km of new 400 kV and 220 kV transmission lines and five new substations for KETRACO. The project will expand the transmission network around Nairobi to reduce technical losses and improve voltage conditions to better cope with a growing demand on the local system. The project involves an approximately 100 km of 400 kV overhead transmission line,two 220 kV spur lines with one overhead and the other underground,two new 220 kV substations,and three new 220 kV/66 kV substations. Golden Valley Electric Association, New University Avenue Substation,Alaska SCADA and Analytical Services(SAS)Engineer responsible for the grounding analysis and report of the new University Ave. Substation. POWER's work included modeling the proposed grounding system in Safe Engineering Services' CDEGS program,and performing a full analysis of the systems.Using IEEE Standard 80 as a guideline,analysis was completed in CDEGS for meeting the acceptable touch and step potentials throughout the station, LS Power, San Diego Gas &Electric,230 kV Drew Switchyard, California Engineer responsible for developing relay settings for three 230 kV line protection schemes.POWER performed the full electrical and civil design for the new 230 kV Drew Switchyard to interconnect new solar facilities into the existing San Diego Gas and Electric(SDG&E)transmission system. Station design follows SDG&E design standards as the station was turned over to SDG&E upon completion of construction. The switchyard consists of a three breaker ring bus with a fourth future position. POWER's work included all design,calculations,as well as testing and commissioning support. Studies work including grounding analysis and protective relay settings.Line protection involved setting three SEL-311L relays,three SEL- 421 relays,and two SEL-352 relays for the Drew Switchyard. ROBERT SMALLWOOD 4 POWER ENGINEERS,INC. i �, - it- �, rr �rF'� .•. r :i � Xcel Energy Company, Fargo 3 345 kV Transmission Project, Minnesota Studies Engineer responsible for AC interference studies.POWER performed AC interference analysis to examine the AC Interference effects of Xcel's new 345 kV transmission line on the existing pipelines. POWER created a 3-D model of the various electric and pipeline systems and used the HIFREQ module of Safe Engineering Service's CDEGS software for analysis.Results of the future upgrade were compared to the existing conditions and the NACE/IEEE-80 guidelines for compliance. Delmarva Power, 138 kV Transmission Line, Maryland SCADA and Analytical Services(SAS)Engineer responsible for performing AC interference analysis of a Delmarva transmission line in an Amtrak railroad corridor.The corridor consisted of two high speed electric traction tracks and one diesel electric track.Amtrak operates multiple 6.9 kV, 100 Hz signal circuits through the corridor,along with 138 kV,25 Hz transmission and 12 kV,25 Hz catenary circuits for train power.POWER created a 3-D model of the various electric and railway systems and used the HIFREQ module of Safe Engineering Service's CDEGS software for analysis. Results of the future upgrade were compared to the existing conditions and the EPRI/ARENA guidelines for compliance. Vestas Americas,Arc Flash Hazard Analysis, Multiple States Studies Engineer responsible for developing the necessary information for arc.flash information packets(V47,V80,V90,V100),running hazard analysis with different fuse/pad mount configurations(V47,NM52/54), creating generic are flash stickers,and developing trip curves for the(V90, V 100,VI 12).Analysis was performed in ETAP 7.0,and information was used to further improve the safety of the turbines and or used for new installation analysis. Portland General Electric,Total Transfer Capability Analysis and Report, Oregon Studies Engineer responsible for analysis of system paths and development of a procedure to find transfer capabilities of specific paths.The purpose of this study was to calculate Total Transfer Capability in a manner which is in compliance with MOD-029-1. To increase the consistency and reliability in the development and documentation of Total Transfer Capability calculations for short-term use performed by entities using the Rated System Path Methodology to support analysis and system operations.Along with finding these capabilities the system also had to pass numerous contingencies to show stability. QV analysis was then nun to evaluate adequate reactive margin at the monitored buses for the outages studied. Transient analysis was used to show that the system remained stable for all three-phase normally cleared faults. POWER "P ENGINEERS MIKE MATRE GROUNDING STUDIES ENGINEER YEARS OF EXPERIENCE EXPERIENCE SUMMARY 1 Mr.Matre is an electrical engineer focusing on electrical studies and EDUCATION protection for power transmission and distribution systems. His >B.S.,Engineering Management, responsibilities have included utility substation grounding design and Electrical Engineering Concentration, analysis and other power systems analysis.He is also experienced in Gonzaga University,2013 developing protective relay settings for distribution systems and transmission >Minor,Business Administration, equipment up to 138 kV,including work with advanced schemes.He has Gonzaga University,2013 worked on upgrades,expansions,and greenfield projects. SEMINARS San Diego Gas&Electric, Point Loma Substation,California > Western Protective Relay Conference, 2013 Studies Engineer responsible for performing the grounding analysis and designing recommended grounding system upgrades using CDEGS to assure HARDWARE/SOFTWARE the design meets IEEE 80-2000 requirements. SDG&E upgraded their Point > CDEGS Loma Substation by adding a new 69/12 kV transformer and adding all new >ASPEN 12 kV switchgear.Analysis included developing a soil model from soil >ETAP resistivity measurements,determining compliance criteria,and designing an > CAFEP optimized model for mitigation of unacceptable step and touch voltages at > ATP minimal cost. > SynerGEE San Diego Gas&Electric, Mira Sorrento Substation,California Studies Engineer responsible for designing a grounding system and performing the grounding analysis using CDEGS to assure the design meets IEEE 80-2000 standards for SDG&E's new 69/12 kV Mira Sorrento Substation.Analysis included developing a soil model from soil resistivity measurements,building of a preliminary grounding system based on the station layout,determining compliance criteria,and designing an optimized model for mitigation of unacceptable step and touch voltages at minimal cost. The design layout and the grounding analysis took into consideration Mira Sorrento's ultimate arrangement. Tex-La Electric Cooperative, Fitze Substation,Texas Studies Engineer responsible for performing the grounding analysis using CDEGS to assure the design meets IEEE 80-2000 standards.Tex-La was upgrading their transmission.line high-side transformer voltage from 69 kV to 138 W.Grounding analysis included developing a soil model from an electrical earth resistivity survey,determining compliance criteria,and designing an optimized model for mitigation of unacceptable step and touch voltages at minimal cost. South Texas Electric Cooperative,Midstream Substation,Texas Studies Engineer responsible for verifying the grounding system design of the Midstream Substation.The responsibilities included checking the grounding system design with CDEGS in order to determine if the proposed MIKE MATRE 2 POWER ENGINEERS, INC. design for STEC's existing 138/13.8 kV Midstream Substation meets IEEE Std 80-2000 touch and voltage limits. Verification of the grounding system design included checking a soil model,a grounding system,and the compliance criteria.In addition to the grounding analysis,POWER is providing the physical design of the Substation. PECO,220-43 Linwood-Chichester 230 kV, Pennsylvania Studies Engineer responsible for calculating and reporting the electric magnetic fields(EMT)and corona effects associated with the proposed 230 kV PECO transmission line. Analysis consisted of analyzing the EMF values of PECO's existing 66 kV transmission line and comparing those values to the proposed 230 kV PECO transmission line. The EW results were determined by modeling the proposed and existing lines in three dimensions using CDEGS'HIFREQ module.The associated audible noise,radio interference,and television interference values were also calculated using the BPA CAFEP software. American Electric Power,Adams Substation,Ohio Studies Engineer responsible for quality control of the existing Adams Substation. The quality control responsibilities included verifying the grounding system by performing the grounding analysis using CDEGS to assure the proposed design-net IEEE Std 80-2000 touch and step voltage limits for AEP's existing 138/69 kV Adams Substation.Analysis included verifying: a soil model from soil resistivity measurements,a grounding system based on the station layout,compliance criteria,and an optimized model for mitigation of unacceptable step and touch voltages at minimal cost. In additional to performing a grounding analysis,POWER was responsible for designing the SCADA system as well as providing protective relay settings. Mitsubishi Electric Power Products Inc., Mosby SVC,West Virginia Studies Engineer responsible for developing protective relays settings for the 500 kV/25 kV Mosby SVC Station.Relays set included four SEL-387E relays and six SEL-351A relays which protect their associated TCR,TSC, and shunt capacitor bank.The Mosby SVC station contains two SVC banks. Since,both banks are identical,the protection concepts were similar and thus, the protective elements were set the same,unless otherwise specified. Additional switching logic was implemented in the filter banks in case the primary banks fail.POWER was a subcontractor to Mitsubishi Electric Power Products(MEPPI).POWER performed the physical design and provided commissioning support to MEPPI.The new SVC system can now provide-200 to+200 WAR of continuous compensation. POWER ENGINEERS RYAN CONGER GROUNDING STUDIES ENGINEER YEARS OF EXPERIENCE EXPERIENCE SUMMARY 1 Mr. Conger is an electrical engineer skilled in analysis and design of power EDUCATION systems.His background includes power system studies,protection,and >B.S.,Electrical Engineering,San Diego substation design analysis.His experience includes protective relay settings State University,2013 including distribution reclosers,substation protection,and transmission line >A.S.,Electrical Engineering,MiraCosta relay settings.He is also experienced in substation and other facility College,2010 grounding design and analysis. AREAS OF EXPERTISE San Diego Gas&Electric, Distribution Recloser Programming, > Protective Relaying California > Substation Grounding Analysis and Design Electrical Engineer responsible for preparing calculations and settings for >Power System Studies more than 100 S&C IntelliRupter reclosers throughout SDG&E's 12.47 kV distribution system. POWER was selected by SDG&E to assist in revising HARDWAREISOFTWARE primarily existing reclosers to their current standard schemes and firmware > PTW version. The work included gathering data from SDG&E's Milsoft and > WfNlGS ASPEN system models,calculating recloser protection settings,verifying > ATP coordination of the full circuit,and providing recommendations for changes > SEL Relays for devices outside the scope of work,where required. Based on the > SynerGEE calculations and coordination analysis,POWER's engineers also prepared > ASPEN and validated settings files using S&C's wi-fi module. HONORS Desert Sunlight 550 MW Solar Project Grounding Study, >Two U.S.Army Commendation Medals California >Four U.S. Army Achievement Medals >U.S.Army Good Conduct Medal Electrical Engineer responsible for performing a grounding analysis for >U.S.Army:Three Certificates of substation and collection system components of the giant Desert Sunlight Achievement solar project in the Mojave desert near Desert Center,California.The project, including both generation and substation facilities and related infrastructure, is located on approximately 4,000 acres of vacant land.The Desert Sunlight solar project has long-term power supply contracts with SCE and PG&E,and is one of the largest photovoltaic generation projects in the world. American Electric Power Substation Upgrades,Ohio and Kentucky Electrical Engineer as part of POWER's support to AEP for design and installation of substation facility upgrades to increase transmission capacity in AEP's and Kentucky Power's service areas.Projects included: > Delano Substation:design and installation of a new 138 kV breaker in the existing Delano substation to accept a new 138 kV transmission line being built to increase capacity and reliability in AEP's Ohio service area. >Bonnyman Substation:design and installation of substation upgrades to support and supply 20 miles of new 138kV electric transmission line in Knott and Perry Counties,Kentucky.The new line connects the Bonnyman Substation located north of Hazard to the Soft Shell Substation north of the community of Soft Shell.Construction of the new line is scheduled to be RYAN CONGER 2 POWER ENGINEERS, INC. W1 au - complete by the end of 2014. San Diego Gas&Electric,Salt Creek Substation Grounding Study, California Studies Engineer responsible for performing a grounding analysis for the new 69/12 kV substation design.Analysis of the grounding system was performed in the CDEGS software package to verify the design met IEEE Std 80-2000 touch and step voltage compliance due to the ground potential rise of the substation under fault conditions.Helped identify soil measurement procedures and determining locations to perform the resistivity measurements. A report detailing a summary of the work,results and recommendations from the analysis were prepared. Progress Energy Florida, Substation Readiness DSCADA Project, Florida Studies Engineer responsible for performing grounding analysis for three distribution substations.POWER provided EPC services for installation of gateways/RTUs and telecommunication equipment at approximately 199 substations to the point of interconnections with the local telecommunication provider.. The project implemented changes within PEF's substations to enable SCADA/Smart Grid control and monitoring for distribution assets separate from existing transmission SCADA systems.The project had over 70 engineers designing in six separate states,along with another 50 personnel implementing and supporting the construction and back office functions. Finished ahead of schedule,under budget and accident free. San Diego Gas &Electric,Sycamore Substation Grounding Study, California Electrical Engineer responsible for performing a grounding analysis for the substation design upgrade.Analysis of the grounding systems was performed in the CDEGS software package. Analysis of the grounding system was performed in the CDEGS software package to verify the design met IEEE Std 80-2000 touch and step voltage compliance due to the ground potential rise of the substation under fault conditions. Where proposed or existing designs exceeded tolerable voltage levels,POWER identified mitigation, working with SDG&E to ensure the designs were practical to install. Engineer, Large Electronic Equipment Repair, Maintenance and Operations, U.S.Army Army Engineer Sergeant,serving as squad leader supervising several subordinates on a daily basis. Instructor for groups ranging in size from 20 to 100. Served one year as a sergeant in charge of a squad of several soldiers in day-to-day duties and drills,and two years as an Army instructor in South Korea training both American and Korean soldiers,who needed advanced training in repairing,maintaining,and operating large equipment. PONWER TESTI and ENERGIZATION KUNAL PATEL PROJECT MANAGER YEARS OF EXPERIENCE EXPERIENCE SUMMARY 13 HARDWARE/SOFTWARE 1\4r•Patel is an experienced manager who brings technical knowledge and >XP Professional administrative skills to each project.He has overseen daily operation of >Microsoft Office Suite grounding projects,and other electrical construction projects up to 500 kV. > Visual Basic He is experienced in managing testing programs and personnel in support of >FrontPage commissioning,acceptance,maintenance,power quality and reliability for all > SQL Language varieties of power systems.He also is adept at managing contracts and purchase orders,as well as creating and managing schedules and budgets. A sampling of Mr.Patel's projects are as follows: >Project Manager,Pacific Winds Building,Inc,Fleet Shop Heater Acceptance Testing > Project Manager,City of Riverside,Sub Grounding Test and Study > Project Manager,Southern Contracting Company,UCI SF6 Switch Acceptance Testing > Project Manager,Taft Electric,Jordan High School Low Voltage Switchgear Acceptance Testing PREVIOUS WORK HISTORY Administrator,Power Systems Testing Company,2006-2014 Analyzed weekly proposals including single line drawings.Organized employee schedules based on weekly work evaluation. Cashier, Petroleum Management and Marketing,2002-2006 Analyzed weekly inventory.Monitored the store stock and made orders as necessary. Organized employee schedules for evaluation.Responsible for increasing sales. Assistant Manager, Mobile Telesys Inc.,2001-2003 Provided technical assistance to customers.Monitored computer applications and answered telephone calls. PONWER TESTI and ENERGIZATION RYAN C PERRY TESTING SUPPORT YEARS OF EXPERIENCE EXPERIENCE SUMMARY 7 Mr. Perry is a Protection and Controls Technician with many years of EDL/CAT/ON relevant industry experience.He has tested and maintained devices found in >B.S.,Electrical Engineering,University low and medium voltage substations. Additionally,Mr.Perry has of California,Irvine,2003 commissioned medium voltage Motor Control Centers consisting of vacuum contactors,motor protection relays,meters,fuses,current and potential LICENSING transformers. In this role he has performed tests using various test equipment >Engineer in Training:California manufactured by Megger,Biddle,Multi-Amp,Doble,Dranetz,Flir,Fluke, >Electrician:California High Voltage Inc.,AEMC,Vanguard,GE,and Siemens.Mr.Perry is also experienced in providing cost estimates and bids,as well as project SPEC/AL TRAIN/NG management. >AEMC—Ground Resistance Testing > AVO Training-Circuit Breaker Los Angeles County Sanitation District,Puente Hills Maintenance,LV Maintenance Testing,California > Megger—Relay Tutorial Testing > Weidmann—Technical Conference: Test technician who performed electrical maintenance on protective relays at Transformers a material recovery facility. Maintenance included inspection,testing and > Fluke—Thermography Seminar calibration of electro-mechanical,solid-state and digital relays. > Megger—Relay and Protection Seminar > Megger-Circuit Breaker and Substation California State University San Marcos,Maintenance Testing, Seminar California > Doble—Transformer Testing&Partial Discharge Seminar Test technician who performed electrical maintenance on protective relays at > Megger—Cable Fault Locating Seminar the University. Maintenance included inspection,testing and calibration of > SEL—Technical Seminar electro-mechanical relays. > ABB—Electromechanical Relay Training Pacific Winds Building, Fleet Shop Heater Acceptance Testing, > Megger—Substation Testing Seminar California > Megger—AVTS Relay Training Seminar CERTIFICATION Project lead for acceptance testing of low voltage power and grounding >Engineer-In-Training(State of CA) systems for existing municipal building. Equipment included disconnect > General Electrician(State of CA) switches,distribution panels,circuit breakers,cables,transformers and ground rods. HARDWARE/SOFTWARE Taft Electric,Jordan High School Acceptance Testing,California > Doble F2253,F2350,F25002 F6150 Relay Test Sets > Megger DDA-6000—High Current Project lead for acceptance testing of low voltage power and grounding > Megger DDA-1600—High Current systems for new multi-level school buildings. Equipment included > Megger S1-1052—Insulation Resistance panelboards,circuit breakers,cables,transformers and ground rods. > Biddle 24700—DLRO > Associated Research Omnia 8100 Tri-Power Electric,Community Day School Acceptance Testing, > AVO CTER-9I—CT Tester California > Megger TTR-100—Transformer Turns Ratio Project lead for acceptance testing of low voltage power and grounding >HV Inc.PFT-503—VLF Hi-Pot systems for new school buildings. Equipment included panelboards,circuit > GE TVTS,TVRMS,TVRMS2, breakers,cables,transformers and ground rods. RYAN C PERRY 1 2 POWER TESTING AND ENERGIZATION,INC. In GTUTK20—Secondary Test Kits > Siemens PTS-4-Secondary Test Kit VISTAM, Inc.—Electrical Test Engineer > Dranetz PX5—Power Recorder > AEMC 4620—Ground Resistance • Test and maintain devices found in low and medium voltage > AEMC 5060—Insulation Resistance substations such as power transformers,disconnect switches,circuit > AEMC 6240—Contact Resistance breakers,protective relays,current/potential transformers,control >Raytech TR-1—Turns Ratio circuits,meters,batteries and chargers,cables and bus ducts. >Megger MIT510—Insulation Resistance • Commission medium voltage Motor Control Centers consisting of > AEMC 3711—Clamp-on Ground Resist vacuum contactors,motor protection relays,meters,fuses,current ance and potential transformers. > Vanguard EZCT-2000—CT Tester • Perform tests using various test equipment manufactured by > Vanguard WRM-10—Winding Megger,Biddle,Multi-Amp,Doble,Dranetz,Flir,Fluke,High Resistance Voltage Inc.,AEMC,Vanguard,GE, Siemens,Westinghouse,etc. > Vanguard Auto-Ohm 100—DLRO • Perform various electrical testing methods such as Relay > ETI PI-6000,PI-2500,PI-1600—High Calibration/Programming,Primary/Secondary Current Injection, Current Insulation Resistance,Contact Resistance,Dielectric Withstand(Hi- > Omicron CMC 156,256,356 Relay Potential),Transformer Turns Ratio,Winding Resistance,CT Test Sets Saturation and Polarity,and Ground Resistance. • Calculate test values and expected test results.Test devices according to manufacturers'instructions and NETA standards. • Create device test forms,update schematic diagrams,prepare equipment manuals and compose detailed service reports for all devices tested. VISTAM, Inc.—Electrical Maintenance Project Manager • Manage substation maintenance projects and teams.Also manage resource and equipment requirements to meet customer's shutdown schedules and maintenance windows. • Purchase electrical materials,subcontracted services and rented equipment. • Manage project execution packages.Documents include device test forms,settings list,instruction manuals,electrical drawings and work scope. • Conduct equipment inspections,work hazard analysis,and pre job safety meetings to drive jobsite safety. Create project close out packages consisting of detailed service reports,device test forms and invoices. POWER s�I ENGINEERS 6. BUDGET Since you wish to piggyback on the RPU award,we have prepared the price proposal based on RPU RFP 1456 and our understanding of the project's scope of work.The budget is on time and expense basis with not-to-exceed$142,251. The budget is based on the assumptions listed in the work plan and any deviations from those may be basis for discussion with Vernon on the work scope variance(WSV).The budget is based on average cost of $17,917 per substation and the budget break down per substation is our best estimate at this time. The actual time involved and billed per substation may be different,but the total amount invoiced will not exceed$142,251. A summary of our proposed budget,broken down Vernon's substation sites,is on the following page. It is followed by the schedule of charges that will be used for invoicing and work not included in our work plan. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG BUDGET 11 POWER ENGINEERS,INC. SUBSTATION PROJECT GROUND GROUNDING TOTAL MANAGEMENT ING ANALYSIS TESTING Leonis $1,742 $7,170 $8,510 $17,422 Vernon $1,742 $7,170 $8,510 $17,422 Ybarra $1,742 $7,170 $8,510 $17,422 Owill $1,742 $7,170 $8,510 $17,422 McCormick $1,742 $7,170 $8,510 $17,422 Kinetics $1,742 $7,170 $8,510 $17,422 Bee Jay $1,742 $7,170 $8,510 $17,422 Trigas $1,742 $7,170 $8,510 $17,422 Standard Drawings and $287 $2,588 $2,875 Final Report TOTAL $14,223 $57,360 $70,668 $142,251 *numbers are rounded to nearest dollar Assumptions: 1, hnvoicing will be on a monthly basis. 2. We have only budgeted two in-person meetings for Project Manager and Lead Project Engineer. 3. PTE has access to the substations for testing starting from 7:00 am until 3:30 pm Monday through Friday except Holidays. 4. You will provide assistance to get the excavation permits from Vernon Public Works Department for location of probes outside the substations if required.We have only allowed two hours per substation for this task. 5. Three or four days of training is not included in the budget and available on time and expense basis if interested. 6. Due to limited budget to upgrade grounding grid drawings and standards,we have allowed maximum of 20 hours for this task. Additional support will be on time and expense basis. 7. Every test will be performed only once for each substation. 8. Testing of ground grid for substations will be planned and scheduled in advance. 9. Any additional work not within the scope of work will be performed on the attached schedule of charges. HLY 11-131431.001 VERNON GROUNDING(1119/15)DG BUDGET 1 2 Page 1 POWER ENGINEERS,INC. SCHEDULE OF CHARGES-2014-CITY OF VERNON This standard Schedule of Charges is for professional services. Unless agreed otherwise,charges forwork on continuing projects will be based on the then current Schedule of Charges. A new Schedule of Charges will be issued to be effective January 1 of each new year and as necessary on an intermediate basis to accommodate new items or revised charges. Invoices will be submitted monthly and/or upon completion of the work and will be due and payable when issued. All accounts not paid within thirty(30)days after Owner's receipt of the invoice will bears SERVICE CHARGE OF 1.0%PER MONTH for each month the invoice is unpaid. PERSONNEL CLASSIFICATION President..................................................................................... • ....._...-------------- -------.. --------•------------- -----•----•----••---------$230.00/hr. Executive Vice President Senior Project Manager IV ProjectManager Director:.............:......:... .............................................................................::.....:...........................:..........:....................,........$212.00/hr. Senior Project Manager III SeniorProject Manager II............................:...........................................................................................................................I..............................$198.00/hr. Senior Project Manager I............ . ........ _ ........ ..........­.­­­1.... ............ --111....................... .$184.00/hr. Senior Project Engineer III Strategic Consultant III Project Manager III.................................................................................... $172.00/hr. Project Lead IV Construction Manager III Senior Project Engineer II Strategic Consultant II Senior Consultant III ProjectManager II •........................................................................................................... ................... ................................... ...... ...•--•----$154.00/hr. Project Lead III Strategic Consultant I Senior Consultant II Project Engineer III Construction Manager II Senior Project Engineer I Engineer V ProjectManager I., ... . •. ...._..... ........................ ....:.............:.........,....,.....................,....................................... .$132.00/hr. Project Lead II Construction Manager I Environmental Specialist IV Project Engineer II Engineer IV Designer V Project Administrator III Senior Consultant I Consultant III Project Lead 1............................................._..,:• •.................. .................................. $123.00/hr. Project Engineer I Engineer III Designer IV Environmental Specialist III Procurement Specialist III Scheduling Specialist III Project Administrator II Consultant II EngineerII, •• ..................:.M.. ......::.........:.............................................................:...........................................................$114.00/hr. Designer III Technician IV Environmental Specialist II Procurement Specialist II Scheduling Specialist II Project Administrator I Programmer III Consultant I EngineerI....................................:............... ............. ---------•----------•--•-----•--------:_:. ..._..._ .. .- ... ................................. _-------$103.00/hr. Designer II Technician III Environmental Specialist I Procurement Specialist I Field Representative IV Scheduling Specialist I Project Managers Assistant III Programmer II DesignerI............. .................................._............................ .. • •• ... .. .. .. .. •• - •.. .._.... .. .............,..;.............:.........$90.00/hr. Drafter III Technician II Administrative Assistant I Field Representative III Staff Assistant II Project Managers Assistant II Programmer I DrafterII.................... . ... • ............ ............................................................................... ...................................................... ................$76.00/hr. Staff Assistant Field Representative II Project Managers Assistant I Drafter I....................................................................... .. .. • •• • ... • •• ..$61.00/hr. General Office Assistant Field Representative I Personnel with specialized experience are employed by or on retainer to POWER. Charges for these specialists are negotiated on an Individual basis depending on the assignment. Professional time for depositions and testimony is charged at 1.5 times the rate for services;full-day minimums apply. City of Vernon 2014 Fees (7/7/14)rt Page 2 POWER ENGINEERS,INC. SCHEDULE OF CHARGES—2014—CITY OF VERNON This standard Schedule of Charges is for professional services. Unless agreed otherwise,charges for work on continuing projects will be based on the then current Schedule of Charges. A new Schedule of Charges will be Issued to be effective January 1 of each new year and as necessary on an intermediate basis to accommodate new items or revised charges. Invoices will be submitted monthly and/or upon completion of the work and will be due and payable when issued. All accounts not paid within thirty(30)days after Owner's receipt of the invoice will bear a SERVICE CHARGE OF 1.0%PER MONTH for each month the invoice is unpaid. SPECIAL APPLICATION SOFTWARE REPRODUCTION Level I Software* $10.00/hr. Drawings—Black&White Level II Software*` $20.00/hr. Large Scale Drawings(C Size) $1.90/ea. Level III Software"* $35.00/hr. Large Scale Drawings(D Size) $3.30/ea. Level IV Software"" $60.00/hr. Large Scale Drawings(E Size) $5.50/ea. *Level I Software includes,among others:CPM,Traverse PC Drawings—Color Structural Design,Foundation Design,HVAC Design,Conveyor Large Scale Drawings(C Size) $6.00/ea. Design, Rockwell RSView & RSLogix, Subnet Solutions Large Scale Drawings(D Size) $10.90/ea. Substation Server net, Subnet Solutions Substation Explorer, Large Scale Drawings(E Size) $17.50/ea. and Wonderware. **Level II Software includes, among others: ArcPro, ASPEN Documents—Black&White OneLiner, ESA Easy Power, Milsoft Windmil, OSI ETAP, Single-sided Copies 8 x 11$0.05/ea. 11 x 17$0.15/ea. Pathloss V5, SKIM PTW, SynerGee DPA/G (Distribution Double-sided Copies 8 x 11$0.10/ea. Primary Analysis/Graphics), Smart Plant P&ID, Smart Plant Documents—Color Instrumentation, SIMFLEXS, DPAG, PTW, Harmflo, Matlab, PLS-CADD,TL-CADD,AutoCAD,MicroStation.Drafting Station Single-sided Copies 8 x 11$0.50/ea. 11 x 17$1 00/ea. w/software,and specialized estimating programs. Double-sided Copies 8 x 11$1.00/ea Spiral Comb $2.65/ea. ***Level III Software includes, among others. CDEGS 3 Ring Binder Dependent on size (RESAP/MALZ), GE PSLF, PSCAD (PSCAD/EMTDC), PTI Special Copy Center Projects(Labor) $45.00/hr. PSS/E,WinIGS,Smart Plant 3D,PDS,Rebis,GIS Workstation, and Engineering Workstation SURVEY EQUIPMENT ****Level IV Software includes,among others:CDEGS,CDEGS Survey Equip.to support field crew $70.001day (HiFREQ), COMSOL Multiphysics, Sigma SLP, STRI Line GPS Equipment 2 Units $60 00/hour $350.00/day Performance Software,and Animation. GPS Equipment 3 Units $80 00/hour $450.00/day This Schedule of Charges will remain in effect until December 31 of the year designated in the title On January 1 of the following year,and on each anniversary date thereafter during the remaining term,an adjustment to the rates will be calculated based upon the Consumer Price Index for All Urban Consumers(CPI-U)as listed on the ftol/ftp�bls.goy/pub/s�cial..reguests/cri/coiai.txt website based on the period column, specifically December to December.Note that the Dec-Dec information will not become available until approximately January 15 of each year. The adjustment calculation is as follows:the immediate preceding year rates multiplied times the above described Pricing Index. Labor rates will be rounded to the nearest dollar.Special application software,reproduction and survey equipment will be rounded to the nearest cent. All other expenses such as rental equipment, photography,transportation,rental vehicles,shipping,outside computer services,lodging.meals,other reproduction,express mail,courier/delivery service,subcontractors and special supplies are charged at cost plus a carrying and handling charge of 10%. Communication Charge-including but not limited to long distance telephone and fax,charged at 1%of labor billing charges. CAD Usage Charge—charged at 3%of labor billing charges. City of Vernon 2014 Fees (7/7/14)rt POWER ENGINEERS 7. TERMS & CONDITIONS This work will be performed consistent with mutually agreed terms and conditions for Vernon DG Impacts Study Project and is on file with the City of Vernon. HLY 11-131431.001 VERNON GROUNDING(1/19/15)DG TERMS&CONDITIONS 1 1 POWER 73' EAST BALL ROAD SYTE 100 : ANAHEIM CA e2805 : USA : www.powereng.c�,rn ENGINEERS Why POWER? v Local experience and familiarity with Vernon will allow for a quick project start-up and accurate data Testing capabilities in-house to allow for project efficiencies Experience with large scale testing and analysis projects means we can handle Vernon's multiple project sites in a timely manner Relevant project personnel means we know the steps needed to perform this particular project » We are experts in using CDEGS software EXHIBIT C SCHEDULE 19 Page 1 POWER ENGINEERS,INC. SCHEDULE OF CHARGES—2014—CITY OF VERNON This standard Schedule of Charges is for professional services. Unless agreed otherwise,charges for work on continuing projects will be based on the then current Schedule of Charges. A new Schedule of Charges will be issued to be effective January 1 of each new year and as necessary on an intermediate basis to accommodate new items or revised charges. Invoices will be submitted monthly and/or upon completion of the work and will be due and payable when issued. All accounts not paid within thirty(30)days after Owner's receipt of the invoice will bear a SERVICE CHARGE OF 1.0%PER MONTH for each month the invoice is unpaid. PERSONNEL CLASSIFICATION_ President................................................................................................................................................................................:.. .._..........---- .------$230.00/hr. Executive Vice President Senior Project Manager IV ProjectManager Director..................................................................................................:.....................:...........:.................:.. $212.00/hr. Senior Project Manager III SeniorProject Manager II.........................................:...,...,....,...............................................................................................................................$198.00/hr. Senior Project Manager I.................:............................ ...:................ ..:.........::...................................:...............:.,....:.............................................$184.00/hr. Senior Project Engineer III Strategic Consultant III ProjectManager III.....................................:.....................:.:..................rr............................................ ...:......................:.........................................$172.00/hr. Project Lead IV Construction Manager III Senior Project Engineer II Strategic Consultant II Senior Consultant III ProjectManager II....................:.........................:................:..............:....................:.............................:.......................:.......... $154.00/hr. Project Lead III Strategic Consultant I Senior Consultant II Project Engineer III Construction Manager II Senior Project Engineer I Engineer V ProjectManager I...............................................:............................._.....:........:................,....,...:...............:............................... ........... $132.00/hr. Project Lead II Construction Manager I Environmental Specialist IV Project Engineer II Engineer IV Designer V Project Administrator III Senior Consultant I Consultant III Project Lead I................ •.... •• • ...............................$123.00/hr. Project Engineer I Engineer III Designer IV Environmental Specialist III Procurement Specialist III Scheduling Specialist III Project Administrator II Consultant II EngineerII..............................................................................................................................................................................................................$114.00/hr. Designer III Technician IV Environmental Specialist II Procurement Specialist II Scheduling Specialist II Project Administrator I Programmer III Consultant I EngineerI.............................:........................................................................................................................................................................ .......$103.00/hr. Designer II Technician III Environmental Specialist I Procurement Specialist I Field Representative IV Scheduling Specialist I Project Managers Assistant III Programmer II DesignerI.......................1.........................................................,............,..,...........................................,....,.........................................................$90.00/hr. Drafter III Technician II Administrative Assistant I Field Representative III Staff Assistant II Project Managers Assistant II Programmer I DrafterII................... ...............................................................................................................................................................................................$76.00/hr. Staff Assistant Field Representative II Project Managers Assistant I DrafterI.............................................................................................................................................................. r..................................................$61.00/hr. General Office Assistant Field Representative I Personnel with specialized experience are employed by or on retainer to POWER Charges for these speciallsts are negotiated on an individual basis depending on the assignment. Professional time for depositions and testimony is charged at 1.5 times the rate for services,full-day minimums apply. City of Vernon 2014 Fees (7/7/14)rt Page 2 POWER ENGINEERS,INC. SCHEDULE OF CHARGES—2014—CITY OF VERNON This standard Schedule of Charges is for professional services. Unless agreed otherwise,charges for work on continuing projects will be based on the then current Schedule of Charges. A new Schedule of Charges will be issued to be effective January 1 of each new year and as necessary on an intermediate basis to accommodate new items or revised charges. Invoices will be submitted monthly and/or upon completion of the work and will be due and payable when issued. All accounts not paid within thirty(30)days after Owner's receipt of the invoice will bear a SERVICE CHARGE OF 1.0%PER MONTH for each month the invoice is unpaid. SPECIAL APPLICATION SOFTWARE REPRODUCTION Level I Software* $10.00/hr. Drawings—Black&White Level II Software** $20.00/hr. Large Scale Drawings(C Size) $1.90/ea. Level II I Software*** $35.00/hr, Large Scale Drawings(D Size) $3.30/ea. Level IV Software**** $60.00/hr. Large Scale Drawings(E Size) $5.50/ea. *Level I Software includes,among others:CPM,Traverse PC, Drawings—Color Structural Design,Foundation Design,HVAC Design,Conveyor Large Scale Drawings(C Size) $6.00/ea. Design, Rockwell RSView & RSLogix, Subnet Solutions Large Scale Drawings(D Size) $10.90/ea. Substation Server.net, Subnet Solutions Substation Explorer, Large Scale Drawings(E Size) $17.50/ea. and Wonderware, ** Level II Software includes, among others: ArcPro, ASPEN Documents—Black&White OneLiner, ESA Easy Power, Milsoft Windmil, OSI ETAP, Single-sided Copies 8 x 11$0.05/ea. 11 x 17$0.15/ea. Pathloss V5, SKIM PTW, SynerGee DPA/G (Distribution Double-sided Copies 8 x 11$0.10/ea. Primary Analysis/Graphics), Smart Plant P&ID, Smart Plant Documents—Color Instrumentation, SIMFLEXS, DPAG, PTW, Harmflo, Matlab, PLS-CADD,TL-CADD,AutoCAD,MicroStation,Drafting Station Single-sided Copies 8 x 11$0.50/ea. 11 x 17$1.00/ea. w/software,and specialized estimating programs. Double-sided Copies 8 x 11$1.00/ea. Spiral Comb $2.65/ea, ***Level III Software includes, among others: CDEGS 3 Ring Binder Dependent on size (RESAP/MALZ), GE PSLF, PSCAD (PSCAD/EMTDC), PTI Special Copy Center Projects(Labor) $45.00/hr. PSS/E,WinIGS,Smart Plant 3D,PDS,Rebis,GIS Workstation, and Engineering Workstation. SURVEY EQUIPMENT ****Level IV Software includes,among others:CDEGS,CDEGS Survey Equip.to support field crew $70.00/day (HIFREQ), COMSOL Multiphysics, Sigma SLIP, STRI Line GPS Equipment 2 Units $60.00/hour $350.00/day Performance Software,and Animation. GPS Equipment 3 Units $80.00/hour $450.00/day This Schedule of Charges will remain in effect until December 31 of the year designated in the title. On January 1 of the following year,and on each anniversary date thereafter during the remaining term,an adjustment to the rates will be calculated based upon the Consumer Price Index for All Urban Consumers(CPI-U)as listed on the ft❑•//ftgbis,00v/pub/snecial.reowesWcoUcpiaL.W.website based on the period column, specifically December to December.Note that the Dec-Dec information will not become available until approximately January 15 of each year. The adjustment calculation is as follows:the immediate preceding year rates multiplied times the above described Pricing Index. Labor rates will be rounded to the nearest dollar.Special application software,reproduction and survey equipment will be rounded to the nearest cent. All other expenses such as rental equipment,photography,transportation,rental vehicles,shipping,outside computer services,lodging,meals,other reproduction,express mail,courier/delivery service,subcontractors and special supplies are charged at cost plus a carrying and handling charge of 10%. Communication Charge-including but not limited to long distance telephone and fax,charged at 1%of labor billing charges. CAD Usage Charge—charged at 3%of labor billing charges. City of Vernon 2014 Fees (7/7/14)rt EXHIBIT D LIVING WAGE PROVISIONS Minimum Living Wades: A requirement that Employers pay qualifying employees a wage of no less than $10.30 per hour with health benefits, or$11.55 per hour without health benefits. Paid and Unpaid Days Off: Employers provide qualifying employees at least twelve compensated days off per year for sick leave, vacation, or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employer's compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay, treble damages for willful violations, and attorney's fees, or to compel City officials to terminate the service contract of violating employers. 20 EXHIBIT E EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A. Contractor certifies and represents that, during the performance of this Agreement, the contractor and each subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed, color, national origin, ancestry, handicap, sex, or age. Contractor further certifies that it will not maintain any segregated facilities. B. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor, state that it is an "Equal Opportunity Employer" or that all qualified applicants will receive consideration for employment without regard to their race, religious creed, color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement, discriminated against applicants or employees because of their membership in a protected class. D. Contractor agrees to provide the City with access to, and, if requested to do so by City, through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. 21 0 t RECEIVED FEB 2 4 2015 RECEIVED , LT 1"q CITY ADMINISTR I'9 � FEB 2 4 2015 ciTY 7 {�� STAFF REPORT PWR WORKS, WATER AND DEVELOPMENT SERVICE DATE: March 3,2015 TO: Honorable Mayor and City Council PREPARED BY: Rafael Contreras,Project Engineer Fy APPROVED BY: Samuel Kevin Wilson, birector of Public Works, Water and Development Services RE: Approval of a Program Supplement No. M002 Rev. 2 to Administering Agency-State Agreement with Caltrans for Federal-Aid Project No. 07-5139, the Atlantic Blvd.Bridge Rehabilitation and Widening Project Recommendation It is recommended that the City Council: 1. Find that the work associated with the proposed agreement in this staff report is within the Initial Study/Mitigated Negative Declaration prepared for this project pursuant to the provisions under the California Environmental Quality Act(CEQA) in accordance with Section 15063. 2. Approve the Program Supplement No. M002 Rev. 2 to Administering Agency-State Agreement(the "Agreement") for Federal-Aid Project No. 07-5139,the Atlantic Blvd. Bridge Rehabilitation and Widening Project(the "Project"), Federal Project No. DBPL02-5139(010),with Caltrans, in substantially the same form as submitted with this staff report,to provide $1,163,018.61 in federal funds for the engineering design, right way acquisition support and coordination services as described below, and authorize the Mayor and City Clerk to execute the agreement on behalf of the City. Background The City of Vernon has received a grant of federal funds for the widening of Atlantic Blvd.Bridge.These included Highway Bridge Program(HBP)and Congressional appropriations for 80%of the project design cost and 88.53%of the right of way acquisition and support cost.Federal funds require the City to provide a local match to fund the remaining portion of the project cost.The City has allocated Metro Measure R funds to cover the majority of the City's local match. As required by Caltrans,any city or county,which are receiving federal and/or state funds are required to execute a Master Administering Agency-State Agreement for Federal-Aid Projects.A Master Agreement is an agreement between the city and the state defining the general terms and conditions which must be met to receive federal-aid or state funds. To supplement the Master Agreement,a Program Supplement will be executed for each project and covers project specific rules and regulations,which are called special covenants. On March 5,2003,the City Council of the City of Vernon adopted Resolution No. 8167 approving and authorizing the execution of Program Supplement No.M002 to the Agreement providing for special covenants allowing initial funding for the Project. On July 212008,the City Council approved the Program Supplement No. M002 Rev. 1 to the Agreement providing for special covenants allowing additional funding for future phases of the Project. Discussion As the project developed into the draft 95%design level, some project elements require modifications escalating the project cost and requiring additional partial right of way acquisitions. City staff has secured additional HBP federal funding for the Project. On September 18,2014,the City received State"Authorization to Proceed,"authorizing the additional funds and allowing the City to proceed with the engineering and right of way acquisitions phases of the Project.As required by Caltrans, in order for the City to remain in compliance with the Agreement and eligible for reimbursement of federal funds,the City must execute the Program Supplement No. M002 Rev. 2 for the additional authorized funds. The federal funds require a matching contribution of $150,681.39. The approved federal funds and matching share are showing below: Design Engineering Right of Way Acquisition Reimbursement Support Reimbursement Total Ratio 88.53% Ratio 88.53% Federal Funds $88,530.00 $1,074,488.61 $1,163,018.61 City's Matching Share $11,470.00 $139,211.39 $150,681.39 Total $100,000.00 $1,213,700.00 $1,313,700.00 Fiscal Impact The City's matching share has been included in the approved department budget. Additional Attachments: Caltrans Master Agreement Program Supplement No. M002 Rev. 1 PROGRAM SUPPLEMENT NO. M002 Rev. 2 Adv Project ID Date: November 21, 2014 to 0700001197 Location: 07-LA-0-VER ADMINISTERING AGENCY-STATE AGREEMENT Project Number: DBPL02-5139(010) FOR FEDERAL-AID PROJECTS NO 07-5139 E.A. Number: 07-932107 Locode: 5139 This Program Supplement hereby adopts and incorporates the Administering Agency-State Agreement for Federal Aid which was entered into between the Administering Agency and the State on 09/28/98 and is subject to all the terms and conditions thereof. This Program Supplement is executed in accordance with Article I of the aforementioned Master Agreement under authority of Resolution No. approved by the Administering Agency on (See copy attached). The Administering Agency further stipulates that as a condition to the payment by the State of any funds derived from sources noted below obligated to this PROJECT, the Administering Agency accepts and will comply with the special covenants or remarks set forth on the following pages. PROJECT LOCATION: Atlantic Blvd over LA River TYPE OF WORK: Bridge Rehabilitation &Widening LENGTH: 0.0(MILES) Estimated Cost J Federal Funds Matching Funds HY10 $136,876.00 LOCAL OTHER M001 $1,163,019.00 $3,236.648.00 Q060 $282,270.00 $518,211.00 $0.00 L1C0 $177,060.00 H060 $376,167.00 LY10 $583,045.00 CITY OF VERNON STATE OF CALIFORNIA Department of Transportation By By Title _ _ _ Chief, Office of Project Implementation Division of Local Assistance Date — Date Attest _ I hereby certify upon my personal knowledge that budgeted funds are available for this encumbrance: Accounting Officer 1 1 )o4 c g , Date �� - $2,718,437.00 �- Chapter Statutes Item Year Program BC Category Fund Source AMOUNT Program Supplement 07-5139-M002-112-ISTEA Page 1 of 4 STATE OF CALIFORNIA DEPARTMENT OF TRANSPORTATION PROGRAM SUPPLMENT AND CERTIFICATION FORM PSCF(REV 01/2010) Page_of_ TO STATE CONTROLLER'S OFFICE DATE PREPARED' PRgJECT NUMBER: Clains Audits 1112112014 0700001197 3301 "C"Street,Rm 404 REQUISITION NUMBER/CONTRACT NUMBER Sacramento,CA 95816 CT-2660-075139002M1 FROM: Department of Transportation SUBJECT Encumbrance Document VENDOR I LOCAL AGENCY : CITY OF VERNON CONTRACTAMOUNT: $1,163,019.00 PROCUREMENT TYPE: Local Assistance CHAPTER STATUTES ITEM YEAR PECIPECT TASK ISUBTASK AMOUNT 20 2013 2660-102-0890 2013-2014 2030010300 2240/0600 1,163,019.00 ADA Notit For individuals with sensory disabilities,this document is available in alternate formats For information,call(915)654-6410 of TDD(916)-3880 or write Records and Forms Management,1120 N.Street,MS-89,Sacramento,CA 95814. 07-LA-0-VER 11121/2014 DBPL02-5139(010) SPECIAL COVENANTS OR REMARKS 1. The ADMINISTERING AGENCY will reimburse the STATE for the ADMINISTERING AGENCY share of costs for work requested to be performed by the STATE. 2. The ADMINISTERING AGENCY will advertise, award and administer this project in accordance with the current published Local Assistance Procedures Manual. 3. All project repair, replacement and maintenance involving the physical condition and the operation of project improvements referred to in Article III MAINTENANCE, of the aforementioned Master Agreement will be the responsibility of the ADMINISTERING AGENCY and shall be performed at regular intervals and as required for efficient operation of the completed project improvements. 4. The ADMINISTERING AGENCY is required to have an audit in accordance with the Single Audit Act and OMB A-133 if it receives a total of $500,000 or more in federal funds in a single fiscal year. The federal funds received under this project are a part of the Catalogue of Federal Domestic Assistance (CFDA) 20.205, Highway Planning & Research. OMB A-133 superceded OMB A-128 in 1996. A reference to OMB A-128 in a Master Agreement (if any) is superceded by this covenant to conform to OMB A-133. 5. The ADMINISTERING AGENCY agrees that payment of Federal funds will be limited to the amounts approved by the Federal Highway Administration (FHWA) in the Federal-Aid Project Authorization/Agreement or Amend me nt/Mod ifi cation (E-76) and accepts any resultant increases in ADMINISTERING AGENCY funds as shown on the Finance Letter, any modification thereof as approved by the Division of Local Assistance, Office of Project Implementation. 6. As a condition for receiving federal-aid highway funds for the PROJECT, the Administering Agency certifies that NO members of the elected board, council, or other key decision makers are on the Federal Government Exclusion List. Exclusions can be found at www.sam.gov. 7. STATE and ADMINISTERING AGENCY agree that any additional funds which might be made available for new phase(s) of work by future Federal obligations may be encumbered on this PROJECT by use of a STATE approved "Authorization to Proceed" and Finance Letter. ADMINISTERING AGENCY agrees that Federal funds available for reimbursement will be limited to the amounts obligated by the Federal Highway Administration. 8. ADMINISTERING AGENCY agrees that it will only proceed with work authorized for specific phase(s) with an "Authorization to Proceed" and will not proceed with future phase(s) of this project prior to receiving an "Authorization to Proceed" from the STATE for that phase(s) unless no further State or Federal funds are needed for those future phase(s). 9. Any State and Federal funds that may have been encumbered for this project are Program Supplement 07-5139-M002-R2-ISTEA Page 2 of 4 07-LA-0-VER 11121/2014 DBPL02-5139(010) SPECIAL COVENANTS OR REMARKS available for disbursement for limited periods of time. For each fund encumbrance the limited period is from the start of the fiscal year that the specific fund was appropriated within the State Budget Act to the applicable fund Reversion Date shown on the State approved project finance letter. Per Government Code Section 16304, all project funds not liquidated within these periods will revert unless an executed Cooperative Work Agreement extending these dates is requested by the ADMINISTERING AGENCY and approved by the California Department of Finance. ADMINISTERING AGENCY should ensure that invoices are submitted to the District Local Assistance Engineer at least 75 days prior to the applicable fund Reversion Date to avoid the lapse of applicable funds. Pursuant to a directive from the State Controller's Office and the Department of Finance; in order for payment to be made, the last date the District Local Assistance Engineer can forward an invoice for payment to the Department's Local Programs Accounting Office for reimbursable work for funds that are going to revert at the end of a particular fiscal year is May 15th of the particular fiscal year. Notwithstanding the unliquidated sums of project specific State and Federal funding remaining and available to fund project work, any invoice for reimbursement involving applicable funds that is not received by the Department's Local Programs Accounting Office at least 45 days prior to the applicable fixed fund Reversion Date will not be paid. These unexpended funds will be irrevocably reverted by the Department's Division of Accounting on the applicable fund Reversion Date. 10. "ADMINISTERING AGENCY certifies that neither the ADMINISTERING AGENCY nor its principals are suspended or debarred at the time of the execution of this agreement. ADMINISTERING AGENCY agrees that it will notify the STATE immediately, in the event a suspension or a debarment happened after the execution of this agreement." 11. The Administering Agency shall not discriminate on the basis of race, religion, age, disability, color, national origin, or sex in the award and performance of any Federal- assisted contract or in the administration of its DBE Program Implementation Agreement. The Administering Agency shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of Federal-assisted contracts. The Administering Agency's DBE Implementation Agreement is incorporated by reference in this Agreement. Implementation of the DBE Implementation Agreement, including but not limited to timely reporting of DBE commitments and utilization, is a legal obligation and failure to carry out its terms shall be treated as a violation of this Agreement. Upon notification to the Administering Agency of its failure to carry out its DBE Implementation Agreement, the State may impose sanctions as provided for under 49 CFR Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.). 12. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once every six months commencing after the funds are encumbered for each phase by the execution of this Project Program Supplement Agreement, or by STATE's approval of an applicable Finance Letter. STATE reserves the right to suspend future authorizations/obligations for Program Supplement 07-5139-M002-R2-ISTEA Page 3 of 4 07-LA-0-V ER 11/21/2014 DBPL02-5139(010) SPECIAL COVENANTS OR REMARKS Federal aid projects, or encumberances for State funded projects, as well as to suspend invoice payments for any on-going or future project by ADMINISTERING AGENCY if PROJECT costs have not been invoiced by ADMINISTERING AGENCY for a six-month period. If no costs have been invoiced for a six-month period, ADMINISTERING AGENCY agrees to submit for each phase a written explanation of the absence of PROJECT activity along with target billing date and target billing amount. ADMINISTERING AGENCY agrees to submit the final report documents that collectively constitute a "Report of Expenditures" within one hundred eighty (180) days of PROJECT completion. Failure of ADMINISTERING AGENCY to submit a "Final Report of Expenditures" within 180 days of PROJECT completion will result in STATE imposing sanctions upon ADMINISTERING AGENCY in accordance with the current Local Assistance Procedures Manual. 13. Award information shall be submitted by the ADMINISTERING AGENCY to the District Local Assistance Engineer within 60 days of project contract award and prior to the submittal of the ADMINISTERING AGENCY'S first invoice for the construction contract. Failure to do so will cause a delay in the State processing invoices for the construction phase. Please refer to Section 15.7 "Award Package" of the Local Assistance Procedures Manual. Program Supplement 07-5139-M002-R2-ISTEA Page 4 of 4 MASTER AGREEMENT ADMINISTERING AGENCY-STATE AGREEMENT FOR FEDERAL-AID PROJECTS 07 City of Vernon ---------------------------------- District Administering Agency Agreement No. 07-5139R This AGREEMENT, is entered into effective this L� day of &vembep, 2009, by and between the City of Vernon, hereinafter referred to as "ADMINISTERING AGENCY," and the State of California, acting by and through its Department of Transportation (Caltrans), hereinafter referred to as "STATE, and together referred to as "PARTIES" or individually as a "PARTY." RECITALS: 1. WHEREAS, the Congress of the United States has enacted the intermodal Surface Transportation Efficiency Act (ISTEA) of 1991 and subsequent Transportation Authorization Bills to fund transportation programs. These transportation programs include, but are not limited to, the Surface Transportation Program (STP), the Congestion Mitigation and Air Quality Improvement Program (CMAQ), the Transportation Enhancement Program (TE), Highway Safety Improvement Program (HSIP) and the Highway Bridge Program (HBP) (collectively the "PROGRAMS"); and 2. WHEREAS, the Legislature of the State of California has enacted legislation by which certain federal-aid funds may be made available for use on local transportation related projects of public entities qualified to act as recipients of these federal-aid funds in accordance with the intent of federal law; and 3. WHEREAS, before federal-funds will be made available for a specific program project, ADMINISTERING AGENCY and STATE are required to enter into an agreement to establish terms and conditions applicable to the ADMINISTERING AGENCY when receiving federal funds for a designated PROJECT facility and to the subsequent operation and maintenance of that completed facility. NOW, THEREFORE, the PARTIES agree as follows: Page 1 of 26 ARTICLE'I - PROJECT ADMINISTRATION 1. This AGREEMENT shall have no force or effect with respect to any program project unless and until a project-specific Program Supplement to this AGREEMENT for federal-aid projects, hereinafter referred to as "PROGRAM SUPPLEMENT", has been fully executed by both STATE and ADMINISTERING AGENCY. 2. The term "PROJECT", as used herein, means that authorized transportation related project and related activities financed in part with federal-aid funds as more fully-described in an "Authorization/ Agreement Summary" or "Amend me nt/Mod ification Summary", herein referred to as "E-76" or "E-76 (AMOD)" document authorized by STATE or the Federal Highway Administration (FHWA). 3. The E-761E-76(AMOD) shall designate the party responsible for implementing PROJECT, type of work and location of PROJECT. 4. The PROGRAM SUPPLEMENT sets out special covenants as a condition for the ADMINISTERING AGENCY to receive federal-aid funds from/through STATE for designated PROJECT. The PROGRAM SUPPLEMENT shall also show these Federal Funds that have been initially encumbered for PROJECT along with the matching funds to be provided by ADMINISTERING AGENCY and/or others. Execution of PROGRAM SUPPLEMENT by the PARTIES shall cause ADMINISTERING AGENCY to adopt all of the terms of this AGREEMENT as though fully set forth therein in the PROGRAM SUPPLEMENT. Unless otherwise expressly delegated in a resolution by the governing body of ADMINISTERING AGENCY, and with written concurrence by STATE, the PROGRAM SUPPLEMENT shall be approved and managed by the governing body of ADMINISTERING AGENCY. 5. ADMINISTERING AGENCY agrees to execute and return each project-specific PROGRAM SUPPLEMENT within ninety (90) days of receipt. The PARTIES agree that STATE may suspend future authorizations/obligations and invoice payments for any on-going or future federal-aid project performed by ADMINISTERING AGENCY if any project-specific PROGRAM SUPPLEMENT is not returned within that ninety (90) day period unless otherwise agreed by STATE in writing. 6. ADMINISTERING AGENCY further agrees, as a condition to the release and payment of Federal Funds encumbered for the PROJECT described in each PROGRAM SUPPLEMENT, to comply with the terms and conditions of this AGREEMENT and all of the agreed-upon Special Covenants or Remarks incorporated within the PROGRAM SUPPLEMENT, and Cooperative/Contribution Agreement where appropriate, defining and identifying the nature of the specific PROJECT. 7. Federal, State and matching funds will not participate in PROJECT work performed in advance of the approval of the E-76 or E-76 (AMOD), unless otherwise stated in the executed project- specific PROGRAM SUPPLEMENT. ADMINISTERING AGENCY agrees that it will only proceed with the work authorized for that specific phase(s) on the project-specific E-76 or E-76 (AMOD). ADMINISTERING AGENCY further agrees to not proceed with future phases of PROJECT prior to receiving an E-76 (AMOD) from STATE for that phase(s) unless no Further Federal funds are needed or for those future phase(s). Page 2 of 26 B. That PROJECT or portions thereof, must be included in a federally approved Federal Statewide Transportation Improvement Program (FSTIP) prior to ADMINISTERING AGENCY submitting the "Request for Authorization". 9. ADMINISTERING AGENCY shall conform to all State statutes, regulations and procedures (including those set forth in the Local Assistance Procedures Manual and the Local Assistance Program Guidelines, hereafter collectively referred to as "LOCAL ASSISTANCE PROCEDURES") relating to the federal-aid program, all Title 23 federal requirements, and all applicable federal laws, regulations, and policy and procedural or instructional memoranda, unless otherwise specifically waived as designated in the executed project-specific PROGRAM SUPPLEMENT. 10. If PROJECT is not on STATE-owned right of way, PROJECT shall be constructed in accordance with LOCAL ASSISTANCE PROCEDURES that describes minimum statewide design standards for local agency streets and roads. LOCAL ASSISTANCE PROCEDURES for projects off the National Highway System (NHS) allow STATE to accept either the STATE's minimum statewide design standards or the approved geometric design standards of ADMINISTERING AGENCY. Additionally, for projects off the NHS, STATE will accept ADMINISTERING AGENCY- approved standard specifications, standard plans, materials sampling and testing quality assurance programs that meet the conditions described in the then current LOCAL ASSISTANCE PROCEDURES. 11. If PROJECT involves work within or partially within STATE-owned right-of-way, that PROJECT shalt also be subject to compliance with the policies, procedures and standards of the STATE Project Development Procedures Manual and Highway Design Manual and where appropriate, an executed cooperative agreement between STATE and ADMINISTERING AGENCY that outlines the PROJECT responsibilities and respective obligations of the PARTIES. ADMINISTERING AGENCY and its' contractors shall each obtain an encroachment permit through STATE prior to commencing any work within STATE rights of way or work which affects STATE facilities. 12. When PROJECT is not on the State Highway System but includes work to be performed by a railroad, the contract for such work shall be prepared by ADMINISTERING AGENCY or by STATE, as the PARTIES may hereafter agree. In either event, ADMINISTERING AGENCY shall enter into an agreement with the railroad providing for future maintenance of protective devices or other facilities installed under the contract. 13. If PROJECT is using STATE funds, the Department of General Services, Division of the State Architect, or its designee, shall review the contract PS&E for the construction of buildings, structures, sidewalks, curbs and related facilities for accessibility and usability. ADMINISTERING AGENCY shall not award a PROJECT construction contract for these types of improvements until the State Architect has issued written approval stating that the PROJECT plans and specifications comply with the provisions of sections 4450 and 4454 of the California Government Code, if applicable. Further requirements and guidance are provided in Title 24 of the California Code of Regulations. 14. ADMINISTERING AGENCY will advertise, award and administer PROJECT in accordance with the current LOCAL ASSISTANCE PROCEDURES unless otherwise stated in the executed project-specific PROGRAM SUPPLEMENT. Page 3 of 26 15. ADMINISTERING AGENCY shall provide or arrange for adequate supervision and inspection of each PROJECT. While consultants may perform supervision and inspection work 'for PROJECT with a fully qualified and licensed engineer, ADMINISTERING AGENCY shall provide a full-time employee to be in responsible charge of each PROJECT. 16. ADMINISTERING AGENCY shall submit PROJECT-specific contract award documents to STATE's District Local Assistance Engineer within sixty (60) days after contract award. A copy of the award documents shall also be included with the submittal of the first invoice for a construction contract by ADMINISTERING AGENCY to: Department of Transportation, Division of Accounting Local Programs Accounting Branch, MS #33, PO Box 942874, Sacramento, California 94274- 0001. 17. ADMINISTERING AGENCY shall submit the final report documents that collectively constitute a "Report of Expenditures" within one hundred eighty (180) days of PROJECT completion. Failure by ADMINISTERING AGENCY to submit a "Report of Expenditures" within one hundred eighty(180) days of project completion will result in STATE imposing sanctions upon ADMINISTERING AGENCY in accordance with the current LOCAL ASSISTANCE PROCEDURES. 18. ADMINISTERING AGENCY shall comply with: (i) section 504 of the Rehabilitation Act of 1973 which prohibits discrimination on the basis of disability in federally assisted programs; (ii) the Americans with Disabilities Act (ADA) of 1990 which prohibits discrimination on the basis of disability irrespective of funding; and (iii) all applicable regulations and guidelines issued pursuant to both the Rehabilitation Act and the ADA. 19. The Congress of the United States, the Legislature of the State of California and the Governor of the State of California, each within their respective jurisdictions, have prescribed certain nondiscrimination requirements with respect to contract and other work financed with public funds. ADMINISTERING AGENCY agrees to comply with the requirements of the FAIR EMPLOYMENT PRACTICES ADDENDUM (Exhibit A attached hereto) and the NONDISCRIMINATION ASSURANCES (Exhibit B attached hereto). ADMINISTERING AGENCY further agrees that any agreement entered into by ADMINISTERING AGENCY with a third party for performance of PROJECT-related work shall incorporate Exhibits A and B (with third party's name replacing ADMINISTERING AGENCY) as essential parts of such agreement to be enforced by that third party as verified by ADMINISTERING AGENCY. Page 4 of 26 ARTICLE 11 - RIGHTS OF WAY 1 . No contract for the construction of a federal-aid PROJECT shall be awarded until all necessary rights of way have been secured. Prior to the advertising for construction of PROJECT, ADMINISTERING AGENCY shall certify and, upon request, shall furnish STATE with evidence that all necessary rights of way are available for construction purposes or will be available by the time of award of the construction contract. 2. ADMINISTERING AGENCY agrees to indemnify and hold STATE harmless from any liability that may result in the event the right of way for a PROJECT, including, but not limited to, being clear as certified or if said right of way is found to contain hazardous materials requiring treatment or removal to remediate in accordance with Federal and State laws. The furnishing of right of way as provided for herein includes, in addition to all real property required for the PROJECT, title free and clear of obstructions and encumbrances affecting PROJECT and the payment, as required by applicable law, of relocation costs and damages to remainder real property not actually taken but injuriously affected by PROJECT. ADMINISTERING AGENCY shall pay, from its own non- matching funds, any costs which arise out of delays to the construction of PROJECT because utility facilities have not been timely removed or relocated, or because rights of way were not available to ADMINISTERING AGENCY for the orderly prosecution of PROJECT work. 3. Subject to STATE approval and such supervision as is required by LOCAL ASSISTANCE PROCEDURES over ADMINISTERING AGENCY's right of way acquisition procedures, ADMINISTERING AGENCY may claim reimbursement from Federal Funds for expenditures incurred in purchasing only the necessary rights of way needed for the PROJECT after crediting PROJECT with the fair market value of any excess property retained and not disposed of by ADMINISTERING AGENCY. 4. When real property rights are to be acquired by ADMINISTERING AGENCY for a PROJECT, said ADMINISTERING AGENCY must carry out that acquisition in compliance with all applicable State and Federal laws and regulations, in accordance with State procedures as published in State's current LOCAL ASSISTANCE PROCEDURES and STATE's Right-of-Way Manual, subject to STATE oversight to ensure that the completed work is acceptable under the Federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended. 5. Whether or not federal-aid is to be requested for right of way, should ADMINISTERING AGENCY, in acquiring right of way for PROJECT, displace an individual, family, business, farm operation, or non-profit organization, relocation payments and services will be provided as set forth in 49 CFR, Part 24. The public will be adequately informed of the relocation payments and services which will be available, and, to the greatest extent practicable, no person lawfully occupying real property shall be required to move from his/her dwelling or to move his/her business or farm operation without at least ninety (90) days written notice from ADMINISTERING AGENCY. ADMINISTERING AGENCY will provide STATE with specific assurances, on each portion of the PROJECT, that no person will be displaced until comparable decent, safe and sanitary replacement housing is available within a reasonable period of time prior to displacement, and that ADMINISTERING AGENCY's relocation program is realistic and adequate to provide orderly, timely and efficient relocation of PROJECT- displaced persons as provided in 49 CFR, Page 5 of 26 Part 24_ 6. ADMINISTERING AGENCY shall, along with recording the deed or instrument evidencing title in the name of the ADMINISTERING AGENCY or their assignee, shall also record an Agreement Declaring Restrictive Covenants (ADRC) as a separate document incorporating the assurances included within Exhibits A and B and Appendices A, B, C and D of the AGREEMENT, as appropriate. Page 6 of 26 ARTICLE ill - MAINTENANCE AND MANAGEMENT 1. ADMINISTERING AGENCY will maintain and operate the property acquired, developed, constructed, rehabilitated, or restored by PROJECT for its intended public use until such time as the parties might amend this AGREEMENT to otherwise provide. With the approval of STATE, ADMINISTERING AGENCY or its successors in interest in the PROJECT property may transfer this obligation and responsibility to maintain and operate PROJECT property for that intended public purpose to another public entity. 2. Upon ADMINISTERING AGENCY's acceptance of the completed federal-aid construction contract or upon contractor being relieved of the responsibility for maintaining and protecting PROJECT, ADMINISTERING AGENCY will be responsible for the maintenance, ownership, liability, and the expense thereof, for PROJECT in a manner satisfactory to the authorized representatives of STATE and FHWA and if PROJECT falls within the jurisdictional limits of another Agency or Agencies, it is the duty of ADMINISTERING AGENCY to facilitate a separate maintenance agreement(s) between itself and the other jurisdictional Agency or Agencies providing for the operation, maintenance, ownership and liability of PROJECT. Until those agreements are executed, ADMINISTERING AGENCY will be responsible for all PROJECT operations, maintenance, ownership and liability in a manner satisfactory to the authorized representatives of STATE and FHWA. If, within ninety (90) days after receipt of notice from STATE that a PROJECT, or any portion thereof, is not being properly operated and maintained and ADMINISTERING AGENCY has not satisfactorily remedied the conditions complained of, the approval of future federal-aid projects of ADMINISTERING AGENCY will be withheld until the PROJECT shall have been put in a condition of operation and maintenance satisfactory to STATE and FHWA. The provisions of this section shall not apply to a PROJECT that has been vacated through due process of law with STATE's concurrence. 3. PROJECT and its facilities shall be maintained by an adequate and well-trained staff of engineers and/or such other professionals and technicians as PROJECT reasonably requires. Said operations and maintenance staff may be employees of ADMINISTERING AGENCY, another unit of government, or a contractor under agreement with ADMINISTERING AGENCY. All maintenance will be performed at regular intervals or as required for efficient operation of the complete PROJECT improvements. Page 7 of 26 ARTICLE IV - FISCAL PROVISIONS 1. All contractual obligations of STATE are subject to the appropriation of resources by the Legislature and the allocation of resources by the California Transportation Commission (CTC). 2. STATE'S financial commitment of Federal Funds will occur only upon the execution of this AGREEMENT, the authorization of the project-specific E-76 or E-76 (AMOD), the execution of each project-specific PROGRAM SUPPLEMENT, and STATE's approved finance letter. 3. ADMINISTERING AGENCY may submit signed duplicate invoices in arrears for reimbursement of participating PROJECT costs on a monthly or quarterly progress basis once the project-specific PROGRAM SUPPLEMENT has been executed by STATE. 4. ADMINISTERING AGENCY agrees, as a minimum, to submit invoices at least once every six (6) months commencing after the funds are encumbered on either the project-specific PROGRAM SUPPLEMENT or through a project-specific finance letter approved by STATE. STATE reserves the right to suspend future authorizations/obligations, and invoice payments for any on-going or future federal-aid project by ADMINISTERING AGENCY if PROJECT costs have not been invoiced by ADMINISTERING AGENCY for a six (6) month period 5. Invoices shall be submitted on ADMINISTERING AGENCY letterhead that includes the address of ADMINISTERING AGENCY and shall be formatted in accordance with LOCAL ASSISTANCE PROCEDURES. 6. Invoices must have at least one copy of supporting backup documentation for costs incurred and claimed for reimbursement by ADMINISTERING AGENCY. Acceptable backup documentation includes, but is not limited to, agency's progress payment to the contractors, copies of cancelled checks showing amounts made payable to vendors and contractors, and/or a computerized summary of PROJECT costs. 7. Payments to ADMINISTERING AGENCY can only be released by STATE as reimbursement of actual allowable PROJECT costs already incurred and paid for by ADMINISTERING AGENCY. 8. An Indirect Cost Rate Proposal and Central Service Cost Allocation Plan and related documentation are to be provided to STATE (Caltrans Audits & Investigations) annually for review and approval prior to ADMINISTERING AGENCY seeking reimbursement of indirect cost incurred within each fiscal year being claimed for federal reimbursement. 9. Once PROJECT has been awarded, STATE reserves the right to de-obligate any excess Federal Funds from the construction phase of PROJECT if the contract award amount is less than the obligated amount, as shown on the PROJECT E-76 or E-76 (AMOD). 10. STATE will withhold the greater of either two (2) percent of the total of all Federal Funds encumbered for each PROGRAM SUPPLEMENT or $40,000 until ADMINISTERING AGENCY submits the Final Report of Expenditures for each completed PROGRAM SUPPLEMENT PROJECT. Page 8 of 26 11. The estimated total cost of PROJECT, the amount of Federal Funds obligated, and the required matching funds may be adjusted by mutual consent of the PARTIES hereto with a finance letter, a detailed estimate, if required, and approved E-76 (AMOD). Federal-aid funding may be increased to cover PROJECT cost increases only if such funds are available and FHWA concurs with that increase. 12. When additional federal-aid funds are not available, ADMINISTERING AGENCY agrees that the payment of Federal Funds will be limited to the amounts authorized on the PROJECT specific E-76 / E-76 (AMOD) and agrees that any increases in PROJECT costs must be defrayed with ADMINISTERING AGENCY's own funds. 13. ADMINISTERING AGENCY shall use its own non-Federal Funds to finance the local share of eligible costs and all expenditures or contract items ruled ineligible for financing with Federal Funds. STATE shall make the determination of ADMINISTERING AGENCY's cost eligibility for federal fund financing of PROJECT costs. 14. ADMINISTERING AGENCY will reimburse STATE for STATE's share of costs for work performed by STATE at the request of ADMINISTERING AGENCY. STATE's costs shall include overhead assessments in accordance with section 8755.1 of the State Administrative Manual. 15. Federal and state funds allocated from the State Transportation Improvement Program (STIP) are subject to the timely use of funds provisions enacted by Senate Bill 45, approved in 1997, and subsequent STIP Guidelines and State procedures approved by the CTC and STATE. 16. Federal Funds encumbered for PROJECT are available for liquidation for a period of seven (7) years from the beginning of the State fiscal year the funds were appropriated in the State Budget. State funds encumbered for PROJECT are available for liquidation only for five (5) years from the beginning of the State fiscal year the funds were appropriated in the State Budget. Federal or state funds not liquidated within these periods will be reverted unless an Cooperative Work Agreement (CWA) is submitted by ADMINISTERING AGENCY and approved by the California Department of Finance (per Government Code section 16304). The exact date of fund reversion will be reflected in the STATE signed finance letter for PROJECT. 17. Payments to ADMINISTERING AGENCY for PROJECT-related travel and subsistence (per diem) expenses of ADMINISTERING AGENCY forces and its contractors and subcontractors claimed for reimbursement or as local match credit shall not exceed rates authorized to be paid rank and file STATE employees under current State Department of Personnel Administration (DPA) rules. If the rates invoiced by ADMINISTERING AGENCY are in excess of DPA rates, ADMINISTERING AGENCY is responsible for the cost difference, and any overpayments inadvertently paid by STATE shall be reimbursed to STATE by ADMINISTERING AGENCY on demand within thirty (30) days of such invoice. 18. ADMINISTERING AGENCY agrees to comply with Office of Management and Budget (OMB) Circular A-87, Cost Principles for State and Local Governments, and 49 CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. Page 9 of 26 19_ ADMINISTERING AGENCY agrees, and will assure that its contractors and subcontractors will be obligated to agree that (a) Contract Cost Principles and Procedures, 48 CFR, Federal Acquisition Regulations System, Chapter 1, Part 31, et seq., shall be used to determine the allowability of individual PROJECT cost items and (b) those parties shall comply with federal administrative procedures in accordance with 49 CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. Every sub-recipient receiving PROJECT funds as a contractor or sub-contractor under this AGREEMENT shall comply with Federal administrative procedures in accordance with 49 CFR, Part 18, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments. 20. Any PROJECT costs for which ADMINISTERING AGENCY has received payment or credit that are determined by subsequent audit to be unallowable under OMB Circular A-87, 48 CFR, Chapter 1, Part 31 or 49 CFR, Part 18, are subject to repayment by ADMINISTERING AGENCY to STATE. Should ADMINISTERING AGENCY fail to reimburse moneys due STATE within thirty 30 days of demand, or within such other period as may be agreed in writing between the PARTIES hereto, STATE is authorized to intercept and withhold future payments due ADMINISTERING AGENCY from STATE or any third-party source, including but not limited to, the State Treasurer, the State Controller and the CTC. 21. Upon written demand by STATE, any overpayment to ADMINISTERING AGENCY of amounts invoiced to STATE shall be returned to STATE. 22. Should ADMINISTERING AGENCY fail to refund any moneys due STATE as provided hereunder or should ADMINISTERING AGENCY breach this AGREEMENT by failing to complete PROJECT without adequate justification and approval by STATE, then, within thirty 30 days of demand, or within such other period as may be agreed to in writing between the PARTIES, STATE, .acting through the State Controller, the State Treasurer, or any other public entity or agency, may withhold or demand a transfer of an amount equal to the amount paid by or owed to STATE from future apportionments, or any other funds due ADMINISTERING AGENCY from the Highway Users Tax Fund or any other sources of funds, and/or may withhold approval of future ADMINISTERING AGENCY federal-aid projects. 23. Should ADMINISTERING AGENCY be declared to be in breach of this AGREEMENT or otherwise in default thereof by STATE, and if ADMINISTERING AGENCY is constituted as a joint powers authority, special district, or any other public entity not directly receiving funds through the State Controller, STATE is authorized to obtain reimbursement from whatever sources of funding are available, including the withholding or transfer of funds, pursuant to Article IV - 22, from those constituent entities comprising a joint powers authority or by bringing of an action against ADMINISTERING AGENCY or its constituent member entities, to recover all funds provided by STATE hereunder. 24. ADMINISTERING AGENCY acknowledges that the signatory party represents the ADMINISTERING AGENCY and further warrants that there is nothing within a Joint Powers Agreement, by which ADMINISTERING AGENCY was created, if any exists, that would restrict or otherwise limit STATE's ability to recover State funds improperly spent by ADMINISTERING AGENCY in contravention of the terms of this AGREEMENT. Page 10 of 26 r ARTICLE V AUDITS, THIRD PARTY CONTRACTING, RECORDS RETENTION AND REPORTS 1. STATE reserves the right to conduct technical and financial audits of PROJECT work and records when determined to be necessary or appropriate and ADMINISTERING AGENCY agrees, and shall require its contractors and subcontractors to agree, to cooperate with STATE by making all appropriate and relevant PROJECT records available for audit and copying as required by paragraph three (3) of ARTICLE V. 2. ADMINISTERING AGENCY, its contractors and subcontractors shall establish and maintain an accounting system and records that properly accumulate and segregate incurred PROJECT costs and matching funds by line item for the PROJECT. The accounting system of ADMINISTERING AGENCY, its contractors and all subcontractors shall conform to Generally Accepted Accounting Principles, enable the determination of incurred costs at interim points of completion, and provide support for reimbursement payment vouchers or invoices sent to or paid by STATE. 3. For the purpose of determining compliance with Title 21, California Code of Regulations, Chapter 21, section 2500 et seq., when applicable, and other matters connected with the performance of ADMINISTERING AGENCY's contracts with third parties, ADMINISTERING AGENCY, ADMINISTERING AGENCY's contractors and subcontractors, and STATE shall each maintain and make available for inspection and audit all books, documents, papers, accounting records, and other evidence pertaining to the performance of such contracts, including, but not limited to, the costs of administering those various contracts. All of the above referenced parties shall make such AGREEMENT and PROGRAM SUPPLEMENT materials available at their respective offices at all reasonable times during the entire PROJECT period and for three (3) years from the date of final payment to ADMINISTERING AGENCY under any PROGRAM SUPPLEMENT. STATE, the California State Auditor, or any duly authorized representative of STATE or the United States, shall each have access to any books, records, and documents that are pertinent to a PROJECT for audits, examinations, excerpts, and transactions and ADMINISTERING AGENCY shall furnish copies thereof if requested. 4. ADMINISTERING AGENCY is required to have an audit in accordance with the Single Audit Act of OMB Circular A-133 if it receives a total of$500,000 or more in Federal Funds in a single fiscal year. The Federal Funds received under a PROGRAM SUPPLEMENT are a part of the Catalogue of Federal Domestic Assistance (CFDA) 20.205, Highway Planning and Research. 5. ADMINISTERING AGENCY agrees to include all PROGRAM SUPPLEMENTS adopting the terms of this AGREEMENT in the schedule of projects to be examined in ADMINISTERING AGENCY's annual audit and in the schedule of projects to be examined under its single audit prepared in accordance with OMB Circular A-133. 6. ADMINISTERING AGENCY shall not award a construction contract over $10,000 or other contracts over $25,000 (excluding professional service contracts of the type which are required to be procured in accordance with Government Code sections 4525 (d), (e) and (f) on the basis of a noncompetitive negotiation for work to be performed under this AGREEMENT without the prior written approval of STATE. Contracts awarded by ADMINISTERING AGENCY, if intended as local match credit, must meet the requirements set forth in this AGREEMENT regarding local match funds. Page 11 of 26 7. Any subcontract entered into by ADMINISTERING AGENCY as a result of this AGREEMENT shall contain all of the provisions of ARTICLE IV, FISCAL PROVISIONS, and this ARTICLE V, AUDITS, THIRD-PARTY CONTRACTING RECORDS RETENTION AND REPORTS, and shall mandate that travel and per diem reimbursements and third-party contract reimbursements to subcontractors will be allowable as PROJECT costs only after those costs are incurred and paid for by the subcontractors. 8. To be eligible for local match credit, ADMINISTERING AGENCY must ensure that local match funds used for a PROJECT meet the fiscal provisions requirements outlined in ARTICLE IV in the same manner as required of all other PROJECT expenditures. 9. In addition to the above, the pre-award requirements of third-party contractor/consultants with ADMINISTERING AGENCY should be consistent with LOCAL ASSISTANCE PROCEDURES. Page 12 of 26 ARTICLE VI -FEDERAL LOBBYING ACTIVITIES CERTIFICATION 1. By execution of this AGREEMENT, ADMINISTERING AGENCY certifies, to the best of the signatory officer's knowledge and belief, that: A. No federal or state appropriated funds have been paid or will be paid, by or on behalf of ADMINISTERING AGENCY, to any person for influencing or attempting to influence an officer or employee of any STATE or federal agency, a member of the State Legislature or United States Congress, an officer or employee of the Legislature or Congress, or any employee of a Member of the Legislature or Congress in connection with the awarding of any STATE or federal contract, including this AGREEMENT, the making of any STATE or federal loan, the entering into of any cooperative contract, and the extension, continuation, renewal, amendment, or modification of any STATE or federal contract, grant, loan, or cooperative contract. B. If any funds other than federal appropriated funds have been paid, or will be paid, to any person for influencing or attempting to influence an officer or employee of any federal agency, a member of Congress, an officer or employee of Congress or an employee of a member of Congress in connection with this AGREEMENT, grant, local, or cooperative contract, ADMINISTERING AGENCY shall complete and submit Standard Form-LLL, "Disclosure Form to Rep Lobbying," in accordance with the form instructions. C. This certification is a material representation of fact upon which reliance was placed when this AGREEMENT and each PROGRAM SUPPLEMENT was or will be made or entered into. Submission of this certification is a prerequisite for making or entering into this AGREEMENT imposed by Section 1352, Title 31, United States Code. Any party who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 2. ADMINISTERING AGENCY also agrees by signing this AGREEMENT that the language of this certification will be included in all lower tier sub-agreements which exceed $100,000 and that all such sub-recipients shall certify and disclose accordingly. Page 13 of 26 ARTICLE VII - MISCELLANEOUS PROVISIONS 1. ADMINISTERING AGENCY agrees to use all State funds reimbursed hereunder only for transportation purposes that are in conformance with Article XIX of the California State Constitution and the relevant Federal Regulations. 2. This AGREEMENT is subject to any additional restrictions, limitations, conditions, or any statute enacted by the State Legislature or adopted by the CTC that may affect the provisions, terms, or funding of this AGREEMENT in any manner. 3. ADMINISTERING AGENCY and the officers and employees of ADMINISTERING AGENCY, when engaged in the performance of this AGREEMENT, shall act in an independent capacity and not as officers, employees or agents of STATE or the federal government. 4. Each project-specific PROGRAM SUPPLEMENT shall separately establish the terms and funding limits for each described PROJECT funded under the AGREEMENT. No federal or state funds are obligated against this AGREEMENT. 5. ADMINISTERING AGENCY certifies that neither ADMINISTERING AGENCY nor its principals are suspended or debarred at the time of the execution of this AGREEMENT. ADMINISTERING AGENCY agrees that it will notify STATE immediately in the event a suspension or a debarment occurs after the execution of this AGREEMENT. 6. ADMINISTERING AGENCY warrants, by execution of this AGREEMENT, that no person or selling agency has been employed or retained to solicit or secure this AGREEMENT upon an agreement or understanding for a commission, percentage, brokerage, or contingent fee, excepting bona fide employees or bona fide established commercial or selling agencies maintained by ADMINISTERING AGENCY for the purpose of securing business. For breach or violation of this warranty, STATE has the right to annul this AGREEMENT without liability, pay only for the value of the work actually performed, or in STATE's discretion, to deduct from the price of consideration, or otherwise recover, the full amount of such commission, percentage, brokerage, or contingent fee. 7. In accordance with Public Contract Code section 10296, ADMINISTERING AGENCY hereby certifies under penalty of perjury that no more than one final unappealable finding of contempt of court by a federal court has been issued against ADMINISTERING AGENCY within the immediate preceding two (2) year period because of ADMINISTERING AGENCY's failure to comply with an order of a federal court that orders ADMINISTERING AGENCY to comply with an order of the National Labor Relations Board. 8. ADMINISTERING AGENCY shall disclose any financial, business, or other relationship with STATE, FHWA or FTA that may have an impact upon the outcome of this AGREEMENT. ADMINISTERING AGENCY shall also list current contractors who may have a financial interest in the outcome of this AGREEMENT. 9. ADMINISTERING AGENCY hereby certifies that it does not now have nor shall it acquire any financial or business interest that would conflict with the performance of PROJECT under this Page 14 of 26 :,AGREEMENT. 10. ADMINISTERING AGENCY warrants that this AGREEMENT was not obtained or secured through rebates, kickbacks or other unlawful consideration either promised or paid to any STATE employee. For breach or violation of this warranty, STATE shall have the right, in its discretion, to terminate this AGREEMENT without liability, to pay only for the work actually performed, or to deduct from the PROGRAM SUPPLEMENT price or otherwise recover the full amount of such rebate, kickback, or other unlawful consideration. 11. Any dispute concerning a question of fact arising under this AGREEMENT that is not disposed of by agreement shall be decided by the STATE's Contract Officer who may consider any written or verbal evidence submitted by ADMINISTERING AGENCY. The decision of the Contract Officer, issued in writing, shall be conclusive and binding on the PARTIES on all questions of fact considered and determined by the Contract Officer. 12. Neither the pending of a dispute nor its consideration by the Contract Officer will excuse ADMINISTERING AGENCY from full and timely performance in accordance with the terms of this AGREEMENT. 13. Neither ADMINISTERING AGENCY nor any officer or employee thereof is responsible for any injury, damage or liability occurring by reason of anything done or omitted to be done by, under or in connection with any work, authority or jurisdiction arising under this AGREEMENT. It is understood and agreed that STATE shall fully defend, indemnify and save harmless the ADMINISTERING AGENCY and all of its officers and employees from all claims, suits or actions of every name, kind and description brought forth under, including, but not limited to, tortuous, contractual, inverse condemnation and other theories or assertions of liability occurring by reason of anything done or omitted to be done by STATE under this AGREEMENT. 14. Neither STATE nor any officer or employee thereof shall be responsible for any injury, damage or liability occurring by reason of anything done or omitted to be done by ADMINISTERING AGENCY under, or in connection with, any work, authority or jurisdiction arising under this AGREEMENT. It is understood and agreed that ADMINISTERING AGENCY shall fully defend, indemnify and save harmless STATE and all of its officers and employees from all claims, suits or actions of every name, kind and description brought forth under, including, but not limited to, tortuous, contractual, inverse condemnation or other theories or assertions of liability occurring by reason of anything done or omitted to be done by ADMINISTERING AGENCY under this AGREEMENT. 15. STATE reserves the right to terminate funding for any PROJECT upon written notice to ADMINISTERING AGENCY in the event that ADMINISTERING AGENCY fails to proceed with PROJECT work in accordance with the project-specific PROGRAM SUPPLEMENT, the bonding requirements if applicable, or otherwise violates the conditions of this AGREEMENT and/or PROGRAM SUPPLEMENT, or the funding allocation such that substantial performance is significantly endangered. Page 15 of 26 16. No termination shall become effective if, within thirty (30) days after receipt of a Notice of Termination, ADMINISTERING AGENCY either cures the default involved or, if not reasonably susceptible of cure within said thirty (30) day period, ADMINISTERING AGENCY proceeds thereafter to complete the cure in a manner and time line acceptable to STATE. Any such termination shall be accomplished by delivery to ADMINISTERING AGENCY of a Notice of Termination, which notice shall become effective not less than thirty (30) days after receipt, specifying the reason for the termination, the extent to which funding of work under this AGREEMENT is terminated and the date upon which such termination becomes effective, if beyond thirty (30) days after receipt. During the period before the effective termination date, ADMINISTERING AGENCY and STATE shall meet to attempt to resolve any dispute. In the event of such termination, STATE may proceed with the PROJECT work in a manner deemed proper by STATE. If STATE terminates funding for PROJECT with ADMINISTERING AGENCY, STATE shall pay ADMINISTERING AGENCY the sum due ADMINISTERING AGENCY under the PROGRAM SUPPLEMENT and/or STATE approved finance letter prior to termination, provided, however, ADMINISTERING AGENCY is not in default of the terms and conditions of this AGREEMENT or the project-specific PROGRAM SUPPLEMENT and that the cost of PROJECT completion to STATE shall first be deducted from any sum due ADMINISTERING AGENCY. 17. In,case of inconsistency or conflicts with the terms of this AGREEMENT and that of a project- specific PROGRAM SUPPLEMENT, the terms stated in that PROGRAM SUPPLEMENT shall prevail over those in this AGREEMENT. 18. Without the written consent of STATE, this AGREEMENT is not assignable by ADMINISTERING AGENCY either in whole or in part. 19. No alteration or variation of the terms of this AGREEMENT shall be valid unless made in writing and signed by the PARTIES, and no oral understanding or agreement not incorporated herein shall be binding on any of the PARTIES. IN WITNESS WHEREOF, the PARTIES have executed this AGREEMENT by their duly authorized officers. STATE OF CALIFORNIA City of Vernon DEPARTMENT DF TRANSPO TATION By By �. Hil.ario Gonzales, Mayor (Chief, Office of Project Implementation City of Vernon Division of Local Assistance Representative Name & Title (Authorized Governing Body Representative) Date Date -- Page 16 of 26 EXHIBIT A EXHIBIT A FAIR EMPLOYMENT PRACTICES ADDENDUM 1. In the performance of this Agreement, ADMINISTERING AGENCY will not discriminate against any employee for employment because of race, color, sex, sexual orientation, religion, ancestry or national origin, physical disability, medical condition, marital status, political affiliation, family and medical care leave, pregnancy leave, or disability leave. ADMINISTERING AGENCY will take affirmative action to ensure that employees are treated during employment without regard to their race, sex, sexual orientation, color, religion, ancestry, or national origin, physical disability, medical condition, marital status, political affiliation, family and medical care leave, pregnancy leave, or disability leave. Such action shall include, but not be limited to, the following: employment; upgrading; demotion or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. ADMINISTERING AGENCY shall post in conspicuous places, available to employees for employment, notices to be provided by STATE setting forth the provisions of this Fair Employment section. 2. ADMINISTERING AGENCY, its contractor(s) and all subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Government Code Section 1290-0 et seq.), and the applicable regulations promulgated thereunder (California code of Regulations, Title 2, Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code, Section 12900(a-f), set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this AGREEMENT by reference and made a part hereof as if set forth in full. Each of the ADMINISTERING AGENCY'S contractors and all subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreements, as appropriate. 3. ADMINISTERING AGENCY shall include the nondiscrimination and compliance provisions of this clause in all contracts and subcontracts to perform work under this AGREEMENT. 4. ADMINISTERING AGENCY will permit access to the records of employment, employment advertisements, application forms, and other pertinent data and records by STATE, the State Fair Employment and Housing Commission, or any other agency of the State of California designated by STATE, for the purposes of investigation to ascertain compliance with the Fair Employment section of this Agreement. 5. Remedies for Willful Violation: (a) STATE may determine a willful violation of the Fair Employment provision to have occurred upon receipt of a final judgment to that effect from a court in an action to which ADMINISTERING AGENCY was a party, or upon receipt of a written notice from the Fair Employment and Housing Commission that it has investigated and determined that ADMINISTERING AGENCY has violated the Fair Employment Practices Act and had issued an order under Labor Code Section 1426 which has become final or has obtained an injunction under Labor Code Section 1429. Page 17 of 26 (b) For willful violation of this Fair Employment Provision, STATE shall have the right to terminate this Agreement either in whole or in part, and any loss or damage sustained by STATE in securing the goods or services thereunder shall be borne and paid for by ADMINISTERING AGENCY and by the surety under the performance bond, if any, and STATE may deduct from any moneys due or thereafter may become due to ADMINISTERING AGENCY, the difference between the price named in the Agreement and the actual cost thereof to STATE to cure ADMINISTERING AGENCY's breach of this Agreement. Page 18 of 26 EXHIBIT B EXHIBIT B NONDISCRIMINATION ASSURANCES ADMINISTERING AGENCY HEREBY AGREES THAT, as a condition to receiving any federal financial assistance from the STATE, acting for the U.S. Department of Transportation, it will comply with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-42 U.S.C. 2000d-4 (hereinafter referred to as the ACT), and all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, "Nondiscrimination in Federally-Assisted Programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964" (hereinafter referred to as the REGULATIONS), the Federal-aid Highway Act of 1973, and other pertinent directives, to the end that in accordance with the ACT, REGULATIONS, and other pertinent directives, no person in the United States shall, on the grounds of race, color, sex, national origin, religion, age or disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which ADMINISTERING AGENCY receives federal financial assistance from the Federal Department of Transportation. ADMINISTERING AGENCY HEREBY GIVES ASSURANCE THAT ADMINISTERING AGENCY will promptly take any measures necessary to effectuate this agreement. This assurance is required by subsection 21.7(a) (1) of the REGULATIONS. More specifically, and without limiting the above general assurance, ADMINISTERING AGENCY hereby gives the following specific assurances with respect to its federal-aid Program: 1. That ADMINISTERING AGENCY agrees that each "program" and each "facility" as defined in subsections 21.23 (e) and 21.23 (b) of the REGULATIONS, will be (with regard to a "program") conducted, or will be (with regard to a "facility") operated in compliance with all requirements imposed by, or pursuant to, the REGULATIONS. 2. That ADMINISTERING AGENCY shall insert the following notification in all solicitations for bids for work or material subject to the REGULATIONS made in connection with the federal-aid Program and, in adapted form, in all proposals for negotiated agreements: ADMINISTERING AGENCY hereby notifies all bidders that it will affirmatively insure that in any agreement entered into pursuant to this advertisement, minority business enterprises will be afforded full opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, sex, national origin, religion, age, or disability in consideration for an award. 3. That ADMINISTERING AGENCY shall insert the clauses of Appendix A of this assurance in every agreement subject to the ACT and the REGULATIONS. 4. That the clauses of Appendix B of this Assurance shall be included as a covenant running with the land, in any deed effecting a transfer of real property, structures, or improvements thereon, or interest therein. Page 19 of 26 5. That where ADMINISTERING AGENCY receives federal financial assistance to construct a facility, or part of a facility, the Assurance shall extend to the entire facility and facilities operated in connection therewith. 6. That where ADMINISTERING AGENCY receives federal financial assistance in the form, or for the acquisition, of real property or an interest in real property, the Assurance shall extend to rights to space on, over, or under such property. 7. That ADMINISTERING AGENCY shall include the appropriate clauses set forth in Appendix C and D of this Assurance, as a covenant running with the land, in any future deeds, leases, permits, licenses, and similar agreements entered into by the ADMINISTERING AGENCY with other parties: Appendix C; (a) for the subsequent transfer of real property acquired or improved under the federal-aid Program; and Appendix D; (b) for the construction or use of or access to space on, over, or under real property acquired, or improved under the federal-aid Program. 8. That this assurance obligates ADMINISTERING AGENCY for the period during which federal financial assistance is extended to the program, except where the federal financial assistance is to provide, or is in the form of, personal property or real property or interest therein, or structures, or improvements thereon, in which case the assurance obligates ADMINISTERING AGENCY or any transferee for the longer of the following periods: (a) the period during which the property is used for a purpose for which the federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or (b) the period during which ADMINISTERING AGENCY retains ownership or possession of the property. 9. That ADMINISTERING AGENCY shall provide for such methods of administration for the program as are found by the U.S. Secretary of Transportation, or the official to whom he delegates specific authority, to give reasonable guarantee that ADMINISTERING AGENCY, other recipients, sub-grantees, applicants, sub-applicants, transferees, successors in interest, and other participants of federal financial assistance under such program will comply with all requirements imposed by, or pursuant to, the ACT, the REGULATIONS, this Assurance and the Agreement. 10. That ADMINISTERING AGENCY agrees that the United States and the State of California have a right to seek judicial enforcement with regard to any matter arising under the ACT, the REGULATIONS, and this Assurance. Page 20 of 26 11. ADMINISTERING AGENCY shall not discriminate on the basis of race, religion, age, disability, color, national origin or sex in the award and performance of any STATE assisted contract or in the administration on its DBE Program or the requirements of 49 CFR Part 26. ADMINISTERING AGENCY shall take all necessary and reasonable steps under 49 CFR Part 26 to ensure non discrimination in the award and administration of STATE assisted contracts. ADMINISTERING AGENCY'S DBE Race-Neutral Implementation Agreement is incorporated by reference in this AGREEMENT. Implementation of this program is a legal obligation and failure to carry out its terms shall be treated as a violation of this agreement. Upon notification to the recipient of its failure to carry out its approved DBE Race-Neutral Implementation Agreement, STATE may impose sanctions as provided for under 49 CFR Part 26 and may, in appropriate cases, refer the matter for enforcement under 18 USC 1001 and/or the Program Fraud Civil Remedies Act of 1985 (31 USC 3801 es seq.) THESE ASSURANCES are given in consideration of and for the purpose of obtaining any and all federal grants, loans, agreements, property, discounts or other federal financial assistance extended after the date hereof to ADMINISTERING AGENCY by STATE, acting for the U.S. Department of Transportation, and is binding on ADMINISTERING AGENCY, other recipients, subgrantees, applicants, sub-applicants, transferees, successors in interest and other participants in the federal-aid Highway Program. Page 21 of 26 APPENDIX A TO EXHIBIT B During the performance of this Agreement, ADMINISTERING AGENCY, for itself, its assignees and successors in interest (hereinafter collectively referred to as ADMINISTERING AGENCY) agrees as follows: (1) Compliance with Regulations: ADMINISTERING AGENCY shall comply with the regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation, Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the REGULATIONS), which are herein incorporated by reference and made a part of this agreement. (2) Nondiscrimination: ADMINISTERING AGENCY, with regard to the work performed by it during the AGREEMENT, shall not discriminate on the grounds of race, color, sex, national origin, religion, age, or disability in the selection and retention of sub-applicants, including procurements of materials and leases of equipment. ADMINISTERING AGENCY shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the REGULATIONS, including employment practices when the agreement covers a program set forth in Appendix B of the REGULATIONS. (3) Solicitations for Sub-agreements, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by ADMINISTERING AGENCY for work to be performed under a Sub-agreement, including procurements of materials or leases of equipment, each potential sub-applicant or supplier shall be notified by ADMINISTERING AGENCY of the ADMINISTERING AGENCY's obligations Under this Agreement and the REGULATIONS relative to nondiscrimination on the grounds of race, color, or national origin. (4) Information and Reports: ADMINISTERING AGENCY shall provide all information and reports required by the REGULATIONS, or directives issued pursuant thereto, and shall permit access to ADMINISTERING AGENCY's books, records, accounts, other sources of information, and its facilities as may be determined by STATE or FHWA to be pertinent to ascertain compliance with such REGULATIONS or directives. Where any information required of ADMINISTERING AGENCY is in the exclusive possession of another who fails or refuses to furnish this information, ADMINISTERING AGENCY shall so certify to STATE or the FHWA as appropriate, and shall set forth what efforts ADMINISTERING AGENCY has made to obtain the information. (5) Sanctions for Noncompliance: In the event of ADMINISTERING AGENCY's noncompliance with the nondiscrimination provisions of this agreement, STATE shall impose such agreement sanctions as it or the FHWA may determine to be appropriate, including, but not limited to: (a) withholding of payments to ADMINISTERING AGENCY under the Agreement within a reasonable period of time, not to exceed 90 days; and/or (b) cancellation, termination or suspension of the Agreement, in whole or in part. Page 22 of 26 (6) Incorporation of Provisions: ADMINISTERING AGENCY shall include the provisions of paragraphs (1) through (6) in every sub-agreement, including procurements of materials and leases of equipment, unless exempt by the REGULATIONS, or directives issued pursuant thereto. ADMINISTERING AGENCY shall take such action with respect to any sub-agreement or procurement as STATE or FHWA may direct as a means of enforcing such provisions including sanctions for noncompliance, provided, however, that, in the event ADMINISTERING AGENCY becomes involved in, or is threatened with, litigation with a sub-applicant or supplier as a result of such direction, ADMINISTERING AGENCY may request STATE enter into such litigation to protect the interests of STATE, and, in addition, ADMINISTERING AGENCY may request the United States to enter into such litigation to protect the interests of the United States. Page 23 of 26 Mrrr_N J1A b 1 U tAtllbl I B The following clauses shall be included in any and all deeds effecting or recording the transfer of PROJECT real property, structures or improvements thereon, or interest therein from the United States. (GRANTING CLAUSE) NOW, THEREFORE, the U.S. Department of Transportation, as authorized by law, and upon the condition that ADMINISTERING AGENCY will accept title to the lands and maintain the project constructed thereon, in accordance with Title 23, United States Code, the Regulations for the Administration of federal-aid for Highways and the policies and procedures prescribed by the Federal Highway Administration of the Department of Transportation and, also in accordance with and in compliance with the Regulations pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the ADMINISTERING AGENCY all the right, title, and interest of the U.S. Department of Transportation in, and to, said lands described in Exhibit "A" attached hereto and made a part hereof. (HABENDUM CLAUSE) TO HAVE AND TO HOLD said lands and interests therein unto ADMINISTERING AGENCY and its successors forever, subject, however, to the covenant, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and shall be binding on ADMINISTERING AGENCY, its successors and assigns. ADMINISTERING AGENCY, in consideration of the conveyance of said lands and interests in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, (1) that no person shall on the grounds of race, color, sex, national origin, religion, age or disability, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility located wholly or in part on, over, or under such lands hereby conveyed (;) (and) * (2) that ADMINISTERING AGENCY shall use the lands and interests in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in federally-assisted programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations may be amended (;) and (3) that in the event of breach of any of the above-mentioned nondiscrimination conditions, the U.S. Department of Transportation shall have a right to re-enter said lands and facilities on said land, and the above-described land and facilities shall thereon revert to and vest in and become the absolute property of the U.S. Department of Transportation and its assigns as such interest existed prior to this deed.* * Reverter clause and related language to be used only when it is determined that such a clause is Page 24 of 26 necessary in order to etectuate the.purposes of Title.VI of the Civil Rights Act of.1964. APPENDIX C TO EXHIBIT B The following clauses shall be included in any and all deeds, licenses, leases, permits, or similar instruments entered into by ADMINISTERING AGENCY, pursuant to the provisions of Assurance 7(a) of Exhibit B. The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds and leases add "as covenant running with the land") that in the event facilities are constructed, maintained, or otherwise operated on the said property described in this (deed, license, lease, permit, etc.) for a purpose for which a U.S. Department of Transportation program or activity is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.), shall maintain and operate such facilities and services in compliance with all other requirements imposed pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of Secretary, Part 21, Nondiscrimination in federally-assisted programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations may be amended. (include in licenses, leases, permits, etc.)* That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING AGENCY shall have the right to terminate the (license, lease, permit etc.) and to re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit, etc.) had never been made or issued. (Include in deeds)* That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING AGENCY shall have the right to re-enter said land and facilities thereon, and the above- described lands and facilities shall thereupon revert to and vest in and become the absolute property of ADMINISTERING AGENCY and its assigns. * Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964. Page 25 of 26 APPENDIX D TO EXHIBIT B The following shall be included in all deeds, licenses, leases, permits, or similar agreements entered into by the ADMINISTERING AGENCY, pursuant to the provisions of Assurance 7 (b) of Exhibit B. The grantee (licensee, lessee, permittee, etc., as appropriate) for himself, his personal representatives, successors in interest and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds, and leases add "as a covenant running with the land") that: (1) no person on the ground of race, color, sex, national origin, religion, age or disability, shall be excluded from participation in, denied the benefits of, or otherwise subjected to discrimination in the use of said facilities; (2)that in the construction of any improvements on, over, or under such land and the furnishing of services thereon, no person on the ground of race, color, sex, national origin, religion, age or disability shall be excluded from participation in, denied the benefits of, or otherwise be subjected to discrimination; and (3) that the (grantee, licensee, lessee, permittee, etc.,) shall use the premises in compliance with the Regulations. (Include in licenses, leases, permits, etc.)* That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING AGENCY shall have the right to terminate the (license, lease, permit, etc.) and to re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit, etc.) had never been made or issued. (include in deeds)* That in the event of breach of any of the above nondiscrimination covenants, ADMINISTERING AGENCY shall have the right to re-enter said land and facilities thereon, and the above- described lands and facilities shall thereupon revert to and vest in and become the absolute property of ADMINISTERING AGENCY, and its assigns. * Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to effectuate the purposes of Title VI of the Civil Rights Act of 1964. Page 26 of 26 ,r ROGE,�.11 SUPPLEMENT NO. M002 Rev. 1 Date.-June 02,2008 to Location:07-LA-0-V ER ADMINISTERING AGENCY-STATE AGREEMENT Project Number:DBPL02-5139(010) FOR FEDERAL-AID PROJECTS NO. 07-5139 E.A. Number:07-932107 This Program Supplement hereby incorporates the Administering Agency-State Agreement for Federal Aid which was entered into between the Administering Agency and the State on 09/28/98 and is subject to all the terns and conditions thereof.This Program Supplement is executed in accordance with Article I of the aforementioned Master Agreement under authority of Resolution No. 9 U qO ,approved by the Administering Agency ond7/7-I/7-008 (See copy attached). The Administering Agency further stipulates that as a condition to the payment by State of any funds derived from sources noted below obligated to this project,the Administering Agency accepts and will comply with the Special covenants or Remarks setforth on the following pages. PROJECT LOCATION: Atlantic Blvd over LA River TYPE OF WORK: Bridge Rehabilitation&Widening LENGTH; O(MILES) Estimated Cost Federal Funds C— Matching Fundo H060 $376,167.00 LOCAL QO LY10 $1,452,838.00 HY10 S136,876.00 ' $273,508.00 $282,270,00 $206,957.00 L1C0 $177,060.00 CITY OF VERNON STATE OF CALIFORNIA Department of Transportation Zn By By Le❑ xa C. llalbuio,, Mayor chief, office of Project Imp1nmerntatl.vn Date Division of Local Assistance Attest o V Date Title Manueia liiron, City C-lerk I hereby certify upon my peraah. tmowledge that budgeted hinds tre for this encumbrance: Accounting Officer r Date C $1,179,330.00 Chapter Statute. Item Ycar irograrn BC Category Fund Source MWJ24T 171 2007 2660-102-890 2007-2008 20.30.010.680 C 262042 892-F 343,833.00 171 2007 2660-102-890 2007-2008 20-30-010,600 C 262042 892-F 376,167.00 379 2002 2660-102-890 2002-2003 20.30.010.300 C 224060 892-F 282,270.00 171 2007 2660-102-890 2007-2008 20.30.010.300 C 224060 892-F 177,060.00-- APPROVED AS 1J FORM: 'TT/A. Ile ison, City lit torney Program Supplement 07-5139-NO02-R1 ISTEA Page 1 of 5 y 06/19/2008 )BPL02-51sq(01'0) SP$cTAL COv st!7 L TS Oft" REMARKS 1.. The :ADMINISTERTNG° AG$NCY 'wzll . re3mburae th'e STATE for the. ADMINISTERING AMEN Y shade Of co'S fqr work requested to; ]ie perfomec, by the STATE. 2 . The -ADMINISTERING AGEIx-y- W. 11: ;adv,ortioa, Award and admi inter th1S � ;;LA. AOcc, ;c1anc:e w�tk� thE' ourrent puJ*0 i Ced n Al Assa.stauc:e Proceydures: Maanual. .3. All :tktsale'eat. repaft., .aplace ►erit;: and ma:intenahce involving the. physical condztIon and .the aperation of prolec:t. improvements. rasfzxxed to . iAticle III MAINTENANCE, of .the afareate� aued s ddt-er Agree Aft 1.11 be the responsIbil.i.ty of the ADRUISTERING AGENCY and .is�l be performed at regular intersrp B Wand as regi or tffation of the c 'pro 1 j eat img�cnvebi�itts. .. 4. The ADMINISTERING AGEiT& is r qui red to have ah audit in accordance with the Sin gle., Au t.,Act and .OVER. A-133 if it a total of $.5:0.D..,.04):t1. o €iore::. a federal funds in a si.nglid Aiscal year.. The federal funds received under this prvject; ,are a part of the Catalogue. of Federal Dcab�:tic. Ass.is.i�ance t60b. 20:205, Highway Planning & kA*0 .01 09B A-1.33 supercede.d OMB A-128 in 1996. A reference: t.0 'A-128 in a Master Agreement (if .any) is supe.rcede.d by this covenant- :tio conform to OMB A-13a:.1 5, The. ADMi=6TERING AGENCY agr4*e that payment of Federal funds will be limited to the amount-*. approved by the Federal Highway Administration .(FHWA) in the Federal -Ai:d .Project Authorization/Agreement or Ames pent/Modification f-A 4] did acd'epts any resultant increas4a 'in ADMINISTERING AMNCY frk Ab sh *on the Finance Letter, A modi f'icat on thereof as approved 0. by:=.,.�: _.:_Divasaozx of Loyalazxcer. v.ffice of. 1ect Ire oo*tation. 6. Award information shall b-6- snbfa3tted by the ADMINI ... Ei` Ate: to :the District Local Assistance. Engineer within 60 days after: the project contract award. . .A copy of the award package shall .also be ncluded with the submittal of the ADMINISTERING AGENCY's fS,rt lxzvgace for the coristru :txzn contract to: DepartiMbl t of'. T7ranap .tati c a Division of Acdeunti.ng Local. Programs Accounting 1�xaixch,.. MS 03 Rrggr8m:Supplement Or ?li .Q.i�:�� ,:;: i9, i Page 2 of S 06/19/2008 GIRL COS1-ENA= A R ,RE.3 #t's r. P. .O. Boat 94261 Sacramento CA f: Failure to 'do so :Will cause a delay in the :St a:te .pros ng invoices for the; :canstruc:tion ge e: 0 z y- refer- to -Section A card Pad; + :" of the Lrical Assn#t' e: F�rocedu c- Nlanual. 7. STATE and ADMINISTERING AGENCY agree any additional funds whi C h m ht be erode ova �ab3 e far new ; ase(s 3 of work by future S Federal ;Q��-,�gatiQns will be .ea�cumbere.3'':on this PROJECT by .use af' :.: a STATE >:at roved "Authorization to Proceed" and Finance Letter..: ADMINISTMNG. AGENCY .a reel that Federal funds ava :.' ``.,. a for xeaxaluriseent Will .be limited to the axouxxts :dbl:3ga ;::by the Federal Highway Administration. 8. 3MNISTERTN[3 AGENCY agrees that it Will 1�41y p +aead w44 c- outhorized for specific. phase(s.) with :an zation to Proceed" and will not p:raceed wits future gl i e-(s) of this project ,prior to 'receivi:ng an '"Authorizatzod to Proceed" -from. the .."-. :STATE for that Phase(s) unless :,ho .furt _er` State or Federal funds are::.;rieeded for those fut .a. Phase(s) 9.: Any :State and Federal funds that.:may.haVo: been eft.400 bd for tha.s project ark only a`va: ];able for dlibursement f¢ s period of - five (5) years and seven (7) ye4rsi respectively., ftbA..°ice. start of the fiscal year(s) that tholW:.f undo..w. ere appropriat: 4�-.thin :the State: :Oudg'et Act... :Al:.i pro funds not liqui.date:d.: :•�n. these per Gads will revert unlei ..`.an axa:cuted Cooperative irk Agreement axtending thes:e. dates ,is .rd ested and is. approved by . :....:.... tb Californi_a Departmei�z ; of Fi(Ance ;der Government Code gection „: 16` The exact date p each.:iund r' ersion will be reflected .. . .. in the a�Oved fi:"n##:.:. Etter d) iss-t►ed for. this project..-. Notwithstanding: thw:�p;�irr�uidated sums of project specific State and Federal:. fundi#4::Teheaining and available to fund project work, any invoice for reimbursement that is not submitted to the Department ::on .ox before 60 days after that .applicable fixed fund reversion date:: tbt be paid from that fiscal year's encumbered funds because all of.. these. unexpended funds will be- .- irrevocably reverie ,1 ;y the Department's Division of AGpzw.;.... . on that date Program Sugglfnt 07�5Y39�MD,0 �R1 ISTSA P�lq 3 �s 7-LA_0-VER 06hz)/2008 )BPL025 1 39(0'10) . SPECIAL CqyEX WO ant to a 'directive fr.am the State Controller's Office and the Department. of Finance, th6 last d 3. to submit invoicee- reimbursed work in each: .- year is '�Iay 15th itk. .ordear f6k . pay-m6nt to be. made. out of those then q*rent alp r at aiis:: Proj;ec;t. ork: pexf6rned and invoiped of Or May :1W;:will be reimbursed only out *Table funding that be encuzriB-ered in the subsequent fiscal year, and then only wk ii`. those funds are . 4c..tua7.7.1r` al1::o:C:ate'd. and encumbered as authari.zed: ;b�- �� -California. . ar O Transporta tiasi :Commission a :. ;tk�e- Dep tment; s A��d ag ff3te, !ADMINISTERING. AGENCY certif1-e* :that neither:'tfie. AD NISTERIM: AGENCY acti]r ' pr-incipals are euspen @ox fed at `t3se. e of.. .tha execution of this agreement. . ` MINIS ...... G AGENCY 0 s.. that it will notify the STATE i.mmediately., in: :the eveint a ension or a debarment..happened of ter :the. execution of this �ement:" tlxxl. The Admire sterinJ A 5 enc Y shall. not di:seri 6. &vi _tLie beisis of n5;, grace, rel g ari; age, dissabili t color, na��anaI oragin, :OV sex g %, in- the `aura d axid performax►ce :of .airy Fed4ra.l,saisted cantra+ctw or in the administration of its DBE Program Implemen.tat�e►�� Agreement. Thy..Administering Agency shall take all nedeSsary and z•easonablees utxder: -9 CM . ':Art 26 to ensure noat. erimanatian in the award and administration of Federal-assisted, c6ntrs<ctz.. The Administrating Agency's DBE Implementation .Agreement in, incorporated by re:fer.ence. in. .thiB Agreement. Implement n of the DBE 1aiple e� .t,i q►;-, rg erk ., including but not lim 't�a to timely 3 ep'ortrigif..I _64 ..tniest .::anc� utxliation■ is a legal :.obligation and rry_ cUt; its terms .shall be treated as a violation of t -is� cation to the Administering A#"Cy`dir Ats fa lure t4:,Zaxr7 out its DBE Implementation Weement, .the State may impose, sanctions as provided for under 49 Pakxt 26 and `may, in :appropriate castes; ra£er the matter for enforcement under IS v.S.:C, :1R01 and/or the Program Fraud Civil Remedies Act of 1986 (31 U S :C. 3801 et seq..) . 12. ADMINISTERING AGENCY: agrees, as a minimum,, to submit invoices at least, once every six months commencing after .the funds are encumbered for each phase by t1w :execution of this Project Program Supplement Agreement, or by STATFIs .approval of :an applicable Finance Letter. STATE resie es: the right to -BUspend pron sUPPIXement07-5139-MO02-ii1, -XSTRA Page 4 b4. 1.1 07-LA;0-VER.. 06/19/2008 L7B3�L8 _'_.00 tM :$ is , "NA:NTS .:OR REMARIKS fulAire authorization bbligation.s, and. sae P U9= t'a for 4. ain or future fed'eral.=;a'id. g prey ec.. .... M NISTERTNG VMOW .4f, PROJECT :coats:..-6ma not been 'invo.ic.ed. `b NISTERIING.. I�GENCY' ,for a a i.x UMUh: p e ri od. T.f.. no :casts have been invoiced for a six:-zbhth period, �WWIWISTERING. AGENCY; :a.g:rees. to submit: for.:each PbAlse a writeon axpl.anatio °a;f the abiertce of 1RRaJECT activity a ,w,i.t:h tar b 3 ling da, ;;:s d target bil-lino *unt. =N A IS:T R-00. s '-'ta submit the: final repoar docuatje that c :1 �fe ely f l: :- : a *Report of: :Expenditurea" Within .. ....:..::::.. one hundred el.ghty a. .of• :PROJECT ,Come et .6n. ..::Failure ..ak ADMINISTERING AGENCY: to submit a *Finial R4 ' of Expenditures" within .ISO ::��ys of PROJECT :ecixtiipletion will r txlt in STATE imposing sanctions upon. ADMINISTERING AGENCY in accordance with .; i'.-ei�=the current Local ,Assistance-Procedu-pos Zanual., .' :i`�..,. .ti,w^�5. :..ei...A:'. .F ,�:d�y':�:�4 bi:y,;...( . �r.�, .,S ''6 } .i .'lt', _. i +. .. •.'1'•:e�:..• F.F:ter. - i i ra Supplemezntp7=S11< MO02-Rx ISTEA Page 5 of 5 � ►,$ RECEIVED FEB 2 4 2015 {� a�{{} `�� .t•`*' CITY ADMINIST �� L V�r): •�Li s%60 STAFF REPORT PUBLIC WORKS, WATER AND DEVELOPMENT SERVI ES DATE: March 3,2015 TO: Honorable Mayor and City Council PREPARED BY: Vincent A.Rodriguez, Public Works Project Coordinator APPROVED BY: Samuel Kevin Wilson, Director of Public Works, Water and Development Services RE: Request for Approval to Advertise a Notice Inviting Bids for Citywide Traffic Signal Maintenance Contract No.CS-0541 Recommendation It is recommended that the City Council: 1. Find the approval of the notice inviting bids proposed in this staff report is categorically exempt under the California Environmental Quality Act(CEQA)in accordance with CEQA Guidelines Section 15301,Existing Facilities Class 1, maintenance,because this project only consists of maintenance and repair of the City's traffic signals; and 2. Approve and authorize the advertisement of a Notice Inviting Bids for Citywide Traffic Signal Maintenance, Contract No. CS-0541, in substantially the same form as submitted herewith. Background The City of Vernon currently owns and operates 41 traffic signals. The City is seeking a Contractor to inspect and perform maintenance on the traffic signals on a monthly basis. In addition, they must be capable of performing emergency repairs on damaged or non-functioning equipment at all locations including repair or replacement of failed components and the emergency replacement of equipment damaged by vehicular accidents. This extraordinary work will be performed on an on-call basis available 24 hours a day, 7 days a week. Currently, Aegis ITS is the contractor maintaining the City's traffic signals. Pursuant to Resolution No. 2012-46 approved by the City Council on April 3, 2012, the City entered into a three-year services agreement with Aegis ITS effective May 1, 2012 to perform the traffic signal maintenance and repairs. Under the Competitive Bidding Ordinance, each contract must be rebid every three years. The Notice Inviting Bids will be posted on the City's website, published in the Vernon Sun newspaper, and be advertised as follows: 1. Bid America 2. Bidboard Construction Contract Advertising 3. McGraw-Hill Construction 4. Reed Construction Data Fiscal Impact The cost for traffic signal maintenance is budgeted in the Street Operations-Public Works portion of the budget. This contract will be for three years at an estimated cost of$110,000.00 per year. City of Vernon O F VE t FQ St�, Pyz R 1y G '� f 1905 LY 114 REQUEST FOR BIDS CITYWIDE TRAFFIC SIGNAL MAINTENANCE CONTRACT NO. CS-0541 FOR THE DEPARTMENT OF Public Works, Water and Development Services CITY OF VERNON, CALIFORNIA 4305 SANTA FE AVENUE VERNON, CA 90058 TABLE OF CONTENTS PAGE NOTICEINVITING BIDS..........................................................................................................................„...NIB 2-5 INSTRUCTIONSTO BIDDERS.,................ ................................................................................................ITB 6-18 BIDDING FORMS Bidder's Proposal..............................................................................................................................BF-1 Pre-Bid site Inspection Certification................................................................................................BF-2 Scheduleof Bid Prices......................................................................................................................BF-5 IncumbencyCertificate................................................................................,.....,.,........................._BF-11 BidBond.............................................................................................................................................BF-12 Bidder's Statement of Qualifications...............................................................................................BF-15 Bidder's Experience Form......... ................... .............................................................BF-23 Contractor Safety Questionnaire..................................................................................................,_.BF-24 Designation of Subcontractors............................................................................,.,.,.......................BF-28 Questionnaire Regarding Subcontractors......................................................................................BF-31 Specialty Contractor or Subcontractor Statement of Qualifications ...........................................BF-32 Contractor's Affidavit of Non-collusion...........................................................................................BF-34 Insurance Requirement Certification...............................................................................................BF-36 STANDARD FORM OF CONTRACT.................................................................................................................37 LIVING WAGE COMPLIANCE CERTIFICATION ...............................................................................40 CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES ...................................................................41 PROJECT WORKFORCE UTILIZATION FORM ................................................................................42 CURRENT PERMANENT WORKFORCE UTILIZATION FORM ............................................................43 CONTRACT EXHIBITS: Exhibit A—General Conditions ARTICLE 1. PRELIMINARY PROVISIONS ......................................................................... ,.,. .....GC-1 1.01 Definitions 1.02 Representatives 1.03 Permits, Inspections, Plan Checks, and Similar Governmental Approvals and Utilities 1.04 Licenses 1.05 Allowances 1.06 Waiver TABLE OF CONTENTS PAGE i 1.07 Data to be Furnished by the Contractor 1.08 Contract Drawings 1.09 Specifications and Drawings 1.10 Precedence of Contract Documents 1.11 Notice of Conflicts 1.12 Reports 1.13 Lines, Grades,and Measurements 1.14 Right of Way 1.15 Contractor's Operations/Storage Yard ARTICLE 2. PERFORMANCE OF THE WORK.........................................................................GC-11 2,01 Performance of Work-General 2.02 No Assignment or Delegation 2.03 Standard of Performance 2.04 Defective Work 2.05 City's Right to Carry Out the Work 2.06 Communications and Notices Regarding the Work 2.07 Independent Contractor 2.08 Emergency Work 2.09 Subcontractors 2.10 Use of Facilities Prior to Completion of Contract 2.11 Cooperation With Other Work Forces 2.12 Agreements With Property Owners 2.13 Protection of Property 2.14 Contractor's Responsibilities for Losses or Liabilities 2.15 Warranty and Corrections 2.16 Cleaning and Environmental Controls 2.17 Water Pollution Control 2.18 Solid Waste Disposal and Diversion 2.19 Recycled, Reusable and Recyclable Products ARTICLE 3. TIME OF COMMENCEMENT AND COMPLETION...............................................GC-25 3.01 Commencement, Prosecution, and Completion of Work 3.02 City's Discretion to Extend Time 3.03 Substantial Completion 3.04 Delays and Extensions of Time for Contractor 3.05 Climatic Conditions 3.06 Completion and Acceptance 3.07 Liquidated Damages ARTICLE 4. CONSTRUCTION SCHEDULES........................ 4.01 Baseline Project Schedule 4.02 Schedule Updates 4.03 Noncompensable Extraordinary Measures TABLE OF CONTENTS PAGE ii 4.04 Condition of Payment ARTICLE 5. SUSPENSION OR TERMINATION OF CONTRACT.............................................GC-32 5.01 Termination by the Contractor 5.02 Termination by the City for Cause 5.03 Partial Deletion or Suspension of Work by the City 5.04 Termination by the City for Convenience 5.05 Contractor's Duties Upon Termination for Cause or Convenience ARTICLE6. CHANGES.......................................................... ...................................................GC-37 6.01 C4's Right to Order Changes 6.02 Applicable Provisions 6.03 Notice of Scope Change 6.04 Change Orders 6.05 Construction Change Directive(Field Directive) 6.06 Pricing Changes in the Work 6.07 City Originated Request for Itemized Change Order Proposal Request 6.08 Contractor Originated Change Order Request(COR) 6.09 City Originated Unilateral Work Directive(Unilateral) ARTICLE 7. CONTRACT PAYMENTS AND CLAIMS ........................................................GC-45 7.01 General 7.02 Schedule of Values for Payments 7.03 Applications for Payment 7.04 Progress Payments 7.05 Final Payment 7.06 Miscellaneous 7.07 Payments by Contractor 7.08 Payments Withheld 7.09 Substitution of Securities 7.10 Claims ARTICLE 8. MATERIALS AND EQUIPMENT........................................ ............................. GC-58 8.01 General 8.02 Quality and Workmanship 8.03 Trade Names and"Or Approved Equal" Provision 8.04 Approval of Materials 8.05 Ordering Materials and Equipment 8.06 Authority of the Director 8.07 Inspection 8.08 Infringement of Patents ARTICLE9. SUBMITTALS.........................................................................................................GC-61 9.01 General 9.02 Product Handling 9.03 Schedule of Submittals TABLE OF CONTENTS PAGE hi 9.04 Shop Drawings 9.05 Colors 9.06 Manufacturer's Literature ' 9.07 Substitutions 9.08 Manuals 9.09 As-Built Drawings i 9.10 Submittals Quantities 9.11 Identification of Submittals 9.12 Schedule of Submittals 9.13 Coordination of Submittals 9.14 Timing for Submittals 9.15 Approval by City 9.16 Changes to Approved Submittals ARTICLE10. SAFETY..................................................................................................................GC-66 10.01 Protection of Persons and Property 10.02 Protection from Hazards 10.03 Differing Site Conditions 10.04 Traffic Regulation 10.05 Traffic Control Devices 10.06 Execution 10.07 Flagging 10.08 Pedestrian Canopies or Barricade Payments ARTICLE11. INDEMNITY ...........................................................................................................GC-71 11.01 Indemnity 11.02 Enforcement 11.03 No Limitations ARTICLE12. INSURANCE..........................................................................................................GC--73 12.01 Condition to Commencement 12.02 Minimum Coverage and Limits 12.03 Conditions Regarding Insurance Coverage and Limits 12.04 Insurance Obligation is Separate from Indemnity Obligation ARTICLE13. BONDS ......................................................................................................................GC-74 13.01 Required Bonds 13.02 Power of Attorney 13.03 Approved Surety 13.04 Required Provisions 13.05 New or Additional Sureties 13.06 Waiver of Modifications and Alterations 13.07 Approval of Bonds ARTICLE % LABOR PROVISIONS ...........................................................................................GC-76 14.01 Working Hours TABLE OF CONTENTS PAGE iv 14.02 Cost of Overtime Construction Services and Inspections 14.03 Compliance with State Labor Code 14.04 Wage Rates 14.05 Apprenticeship Standards 14.06 Employment of Apprentices 14.07 Character of Workers 14.08 No Smoking ARTICLE 15. DISPUTE RESOLUTION .......................................................................................GC-80 15.01 Submission of Claims 15.02 Claims Dispute Resolution Process 15.03 No Waiver ARTICLE 16. ACCOUNTING RECORDS ... .................................................. ...........................GC-82 16.01 Maintenance of Records 16.02 Access to Records 16.03 Contractor Noncompliance-Withholding 16.04 Specific Enforcement by City ARTICLE 17. MISCELLANEOUS PROVISIONS.................................... ..................................GC-83 17.01 Compliance with Applicable Laws 17.02 Ownership of Design Documents 17.03 Amendments 17.04 Waiver 17.05 Independent Contractor 17.06 Successors and Assigns 17.07 Survival 17.08 Limitation on Third Party Beneficiaries 17.09 Personal Liability of City Employees 17.10 No Estoppel 17.11 Governing Law 17.12 Further Assurances 17.13 Severability 17.14 Headings 17.15 Entire Agreement 17.16 Counterparts Exhibits to Exhibit A--General Conditions: PerformanceBond ...................................................................................................Exhibit 1 PaymentBond .........................................................................................................Exhibit 2 Maintenance Bond ...................................................................................................Exhibit 3 Insurance Requirements ...........................................................................................Exhibit 4 TABLE OF CONTENTS PAGE v Exhibit B—Special Provisions—Specific for This Project..........................................................................SP 1-9 Attachments to Exhibit B—Special Provisions City of Vernon Location Map...............................................................................................Attachment"A„ TrafficSignal Locations.......................................................................................................Attachment"B„ Monthly Preventative Maintenance Tasks..........................................................................Attachment"C" Exhibit C—Living Wage Provisions Exhibit D—Equal Employment Opportunity Practices Provisions [END OF TABLE OF CONTENTS] TABLE OF CONTENTS PAGE vi NOTICE INVITING BIDS For CITYWIDE TRAFFIC SIGNAL MAINTENANCE CONTRACT NO. CS-0541 in the City of Vernon, California Bids are to be signed and submitted in TRIPLICATE. ONE ORIGINAL AND TWO COPIES of sealed bids must be received prior to 2:00 p.m., March 25, 2015,by the City Clerk, City of Vernon, 4305 Santa Fe Avenue, Vernon, CA 90058, ("Bid Deadline"). All bids shall be enclosed in sealed envelopes, distinctly marked "Bid"with the title of the bid and the bidder's name address appearing on the outside. Mail sufficiently early or deliver in person before 2:00 p.m. on the day listed in the Notice Inviting Bids. Bids must be received in the City Clerk's Office before that time. At the bid opening, the City Clerk shall open bid packages and acknowledge the receipt of Bids. Once all bid packages are opened and announced, the Bid Forms will be made available for public review. NO LATE BIDS WILL BE ACCEPTED The bids shall be clearly titled. Copies of the Bid Documents, Plans and Specifications are available at no charge at the Public Works, Water and Development Services Department Counter, City of Vernon, 4305 Santa Fe Avenue, Vernon, between 7 a.m. and 5:30 p.m., Monday through Thursday. A non-refundable fee of$20.00 will be charged if mailing is requested by calling (323) 583-8811, extension 259. Pre-Bid Meeting: A pre-bid meeting to answer any questions regarding the project plans and specifications is scheduled for March 12, 2015 at 10:00 am in the Department of Public Works, Water and Development Services, 4305 Santa Fe Avenue, Vernon, California. This meeting is to answer any questions regarding the project plans and specifications. Attendance is not mandatory. City of Vernon Contact Person: Vince Rodriguez Phone: (323) 583-8811 ext. 220 Facsimile: (323) 826-1435 Email: vrodriguez@ci.vemon.ca.us NOTICE INVITING BIDS i CONTRACT NO. CS-0541 Mandatory Qualifications for Bidder and Designated Subcontractors: A Bid may be rejected as non-responsive if the Bidder fails to meet the essential requirements for qualification. General Scope of Work: Contractor shall furnish labor, materials, equipment, services, and specialized skills to perform work involved in the Project. The Work in the Bid is defined in the Project Drawings and Specifications and will generally include the following: Contractor shall furnish labor, materials, equipment, services, and specialized skills to perform work involved in the Project. The Work in the Bid is defined in the Project Drawings and Specifications and will generally include: Scope of Work—The proposed project will consist of ongoing and regular field preventative maintenance and repair of traffic signal equipment, as further described in this special provision, and other related equipment by truly trained and qualified personnel. In addition, The Contractor shall provide Emergency Service response for the repair of the City's forty-one (41) signalized intersections on a 24-hour a day, 7 days per week basis, including all holidays. The work shall be done in accordance with Contract No. CS-0541 Specifications; "Greenbook" Standard Specifications for Public Works Construction (2015 Edition), State of California Department of Transportation (Caltrans) Standard Plans (2010 Edition) and the State of California Department of Transportation(Caltrans) Standard Specifications (2010 Edition). In the event of any conflicts, the Contract Specifications shall prevail. Mandatory Qualifications for Bidder and Designated Subcontractors: A Bid maybe rejected as non-responsive if the Bid fails to document that Bidder meets the essential requirements for qualification. As part of the Bidder's Statement of Qualifications, each Bid must establish that: Bidder satisfactorily completed at least three (3)prevailing wage public contracts in California; each comparable in scope and scale to this Project,within three (3) years prior to the Bid Deadline and with a dollar value in excess of the Bid submitted for this Project. Other Bidding Information: 1. Number of Contract calendar days: 365 calendar days 2. Amount of Liquidated Damages: a. $ 100.00 per hour late on emergency call-outs. b. $ 500.00 for each day past the first seven (7) working days of the month for non-completion of the preventative maintenance. 3. Required Construction Stagg—Not a part of this contract. 4. Intermediate Completion Milestones : The Contractor shall perform Monthly Maintenance during the first seven(7)working days of each month. NOTICE INVITING BIDS 2 CONTRACT NO. CS-0541 5. Bidding Documents. Bids must be made on the Proposal Form contained herein. 6. Engineer's Estimate. An Engineer's Estimate of the cost of construction of this Work has been prepared. Said estimate is in the range of$30,000.00 to $35,000.00 for the total annual preventative maintenance. 7. Time of Completion. This Work must be completed within 365 calendar days from the date of commencement as established by the City's written Notice to Proceed. 8. Acceptance or Rejection of Bids. The City reserves the right to reject any and all bids, to award all or any individual part/item of the bid, and to waive any informalities, irregularities or technical defects in such bids and determine the lowest responsible bidder, whichever may be in the best interests of the City. No late bids will be accepted,nor will any oral, facsimile or electronic bids be accepted by the City. 9. Contractor's License. At the time of the Bid Deadline and at all times during performance of the Work, including full completion of all corrective work during the Correction Period, Contractor must possess a California contractors license or licenses, current and active, of the classification required for the Work, in accordance with the provisions of Chapter 9, Division 3, Section 7000 et seq. of the Business and Professions Code. In compliance with Public Contract Code Section 3300, the City has determined that the Bidder must possess the following license(s): C-10, Electrical Contractor and D-31,Pole Installation and Maintenance Contractor from California State License. The Bidder will not receive a Contract award if at the time of submitting the bid, the Bidder is unlicensed, does not have all of the required licenses, or one or more of the licenses are not current and active. If the City discovers at the time of the Bid Deadline that Contractor is unlicensed, does not have all of the required licenses, or one or more of the licenses are not current and active, the City may reject the Bid, cancel the award, declare the Bid Bond as forfeited, keep the Bid Bond's proceeds, and exercise any one or more of the remedies in the Contract Documents in addition to those provided by law. 10. Subcontractors' Licenses and Listing. Bidders must list each Subcontractor whom the Bidder must disclose under Public Contract Code Section 4104 (Subcontractor Listing Law), and the Bidder must provide all of the Subcontractor information that Section 4104 requires (name, address, license number, and portion of the Work). An inadvertent error in the license number will not be considered nonresponsive if it is corrected within 24 hours after the bid opening. In addition, the City requires the Bidder to list the dollar value of each Subcontractor's labor or services. The City reserves the right to review and disqualify any proposed Subcontractor. The City's disqualification of a Subcontractor does not disqualify a Bidder. In such case, prior to and as a condition to award of the Contract, the successful Bidder shall substitute a properly licensed and qualified Subcontractor—without an adjustment of the Bid Amount. At the time of the Bid Deadline and at all times during performance of the Work, each listed Subcontractor's license must be current and active for the portion of the Work listed and shall hold all specialty certifications required for such Work. 11. Permits Inspections,Plan Checks Governmental Approvals,Utility Fees and Similar Authorizations: The City will apply and pay for all necessary Governmental Approvals and Utility Fees. 12. Bid Forms and Security: Each Bid must be made on the Bid Forms obtainable at the Department of Public Works, Water and Development Services. Each Bid shall be accompanied NOTICE INVITING BIDS 3 CONTRACT NO. CS-0541 by a cashier's check or certified check drawn on a solvent bank, payable to "City of Vernon," for an amount equal to five percent (5%) of the total maximum amount of the Bid. Alternatively, a satisfactory corporate surety Bid Bond for an amount equal to five percent (5%) of the total maximum amount of the Bid may accompany the Bid. Said security shall serve as a guarantee that the successful Bidder will, within fifteen(15) calendar days after the date of the award of the contract, enter into a valid contract with the City for said Work in accordance with the Contract Documents. 13. Bid Irrevocability. Bids shall remain open and valid for ninety(90) calendar days after the Bid Deadline. 14. Substitution of Securities. Pursuant to California Public Contract Code Section 22300, substitution of securities for withheld funds is permitted in accordance therewith. 15. Prevailing Wages. This Project is a"public work" as defined in California Labor Code Section 1720. Contractor awarded this Contract and all Subcontractors of any tier shall not pay less than the minimum prevailing rate of per diem wages for each craft, classification, or type of worker needed to perform the Work. The Director of Industrial Relations of the State of California, pursuant to the California Labor Code, and the rates determined by the California Director of Industrial Relations are available online at www.dir.ca.gov/DLSR/PWD/. 16. Payroll Records. Pursuant to SB 854, Contractor.and any Subcontractors shall furnish electronic certified payroll records directly to the Labor Commissioner(aka Division of Labor Standards Enforcement). 17. Annual Fee to the Department of Industrial Relations (DIR). Pursuant to Labor Code 1725.5, Contractor and any Subcontractors who bid or work on this project with the City must register and pay an annual fee to the DIR. This project is subject to compliance monitoring and enforcement by the DIR. Mark Whitworth City Administrator Dated: (Authorized by City Attorney) Published: NOTICE INVITING BIDS 4 CONTRACT NO. CS-0541 City of Vernon Instructions for Bidders Project: Citvwide Traffic Signal Maintenance For the Department of Public Works, Water and Development Services The City staff contact for prospective bidders is: Vince Rodriguez,Public Works Project Coordinator, Department of Public Works, Water and Development Services, 4305 Santa Fe Avenue, Vernon, CA 90058 (323) 583-8811 Ext. 220. Bid opening date and time: March 25, 2015 ("Bid Deadline") Bids will be received and opened at the Office of the City Clerk,4305 Santa Fe Avenue, Vernon, CA 90058 The bid must be received by the City Clerk prior to the time set for bid opening. A bid received by the City Clerk after the time set for the bid opening is a non-responsive bid and shall not be considered. GENERAL BID REOUIREMENTS To be considered, a bidder must strictly follow the format for bids in the specifications. Bids must be binding and firm. Any bids may be withdrawn before bid opening, but bids shall remain open and valid for ninety (90) calendar days after the Bid Deadline. 1. CONTRACTORS LICENSE The Bidder must possess a valid State of California Contractors License in the classification(s) specified in the Notice Inviting Bids at the time of the Bid Deadline and at all times during the performance of the Work, except as otherwise provided in California Business and Professions Code Section 7028.15. 2. INTERPRETATION OF BIDDING DOCUMENTS, SPECIFICATIONS AND ADDENDA A. If any Bidder contemplating submitting a Bid is in doubt as to the true meaning of any part of the Bidding Documents, or who finds discrepancies, errors or omissions therein or who finds variances in any of the Bidding Documents with applicable law, such Bidder shall at once submit a written request for an interpretation or correction thereof to the City's representative identified in the Notice Inviting Bids, or other designated individual. All Bidders shall submit such written requests to City not less than ten (10) calendar days prior to the Bid Deadline. The person or entity submitting the request shall be responsible for its prompt delivery to City's Contact Person identified in the Notice Inviting Bids. INSTUCTIONS TO BIDDERS 5 CONTRACT NO. CS-0541 Any interpretation or correction will be made only by Addendum issued by the City and a copy of such Addendum will be delivered to all Interested Bidders of record. Any Addenda so issued must be acknowledged in the Bid and the cost of performing Work described in the Addenda shall be included in the Bid. Bidder's failure to acknowledge receipt of all Addenda may result in rejection of the Bid as nonresponsive. No person is authorized to render an oral interpretation or correction of any Bidding Documents and no Bidder may rely on any such oral interpretation or correction issued by the City. The City shall not be responsible for any other explanation or interpretation of the Drawings or Specifications, or for any oral instructions. City reserves the right to extend the Bid Deadline by issuing an Addendum to Interested Bidders no later than 72 hours prior to the Bid Deadline. Bidders shall use complete sets of Bidding Documents in preparing Bids; City shall not assume responsibility for errors or misinterpretations resulting from the use of incomplete sets of Bidding Documents. B. Copies of Addenda will be made available for inspection wherever Bidding Documents are on file for that purpose. Each Bidder shall ascertain prior to submitting a Bid that the Bidder has received all Addenda issued and the Bidder shall acknowledge their receipt in the Bid. 3. OBTAINING DRAWINGS AND DOCUMENTS Bidder may secure Bidding Documents only from the location specified in the Notice Inviting Bids. City will maintain a list of persons who obtained a copy of these Specifications ("Interested Bidders"). Only Interested Bidders will receive Addenda, if so issued. 4. BID FORMS—SUBMITTAL A. The Bids shall be made on the forms provided herein with all blank spaces properly filled in. B. The phraseology shall not be changed, and no additions shall be made to the items mentioned herein. Unauthorized conditions, exemptions, limitations, or provisions attached to a Bid will render it informal and may cause its rejection. All forms requiring specific information shall be completed with all applicable information for a Bid to be considered responsive. C. Include all Bid Forms, properly executed, and intact on forms provided. Enclose the Bid Forms in a sealed envelope; type or print on the envelope "BIDS for" followed by the title and Specification Number and the date and time of the Bid Deadline, and the Bidder's name and address. The envelope may be mailed, hand delivered, or delivered by courier or package delivery service. D. One Original Bid and two copies shall be hand delivered, delivered by courier or package delivery service to the City Clerk, City of Vernon, 4305 Santa Fe Avenue, Vernon, CA 90058. INSTUCTIONS TO BIDDERS 6 CONTRACT NO. CS-0541 E. Bids received after the Bid Deadline or at any place other than the Office of the City Clerk will not be considered. 5. BID FORMS—AUTHORIZED SIGNATURES A. The full name, business address, zip code, and business telephone number, with area code of the individual, partnership, joint venture, or corporation submitting the Bid shall be typewritten or legibly printed on the Bid Forms. The Bidder shall sign the form with his/her usual wet ink signature. B. Sole Proprietorship: An individual shall sign. C. Partnership (General or Limited): A partner shall sign for a partnership; the partner shall give the names and addresses of all partners. D. Corporation: An officer shall sign for a corporation. The corporate name must be attested by the corporate seal. The names and titles of the president and all officers of the corporation who are authorized to sign the Bid Forms must be listed in an authenticated Incumbency Certificate signed by the corporate secretary. A signature other than a corporate officer's will be accepted only if an authenticated Incumbency Certificate is attached. E. Joint Venture: Bidders shall use the appropriate section(s) listed above in B-D, based on their applicable situation. 6. BID FORMS—SCHEDULE OF BID PRICES A. The Bidder shall include in his/her Bid price(s) any and all expense or costs that may be necessary to complete the project in accordance with the requirements of the Contract. The cost of all mobilization, preparatory work and operations for the multiple movements of personnel, equipment, supplies, and incidentals to the various project sites must be included in the various bid items, and no extra compensation will be paid to Contractor. B. The Bidder shall state for each item on the Schedule of Bid Prices form, in clearly legible figures, the Base Bid, the alternates, and the unit price and item total or lump sum, as the case may be, for which he/she proposes to supply labor, materials, and equipment and to perform the Work. Bids must not contain any erasures, interlineations, strike-throughs or other corrections unless the same are suitably authenticated by affixing in the margin immediately opposite such erasure or correction the initials of the person(s) signing the Bid. If any Bid, or portion thereof, is determined by the City to be illegible, ambiguous or inconsistent, City may reject such a Bid as being non-responsive. C. In the case of a unit price item, the amount set forth, as the item total shall be the product of the estimated quantity times the unit price Bid. In the event of a discrepancy between the unit price Bid and the item total, the unit price shall prevail; however, if the unit price is ambiguous, unintelligible, or uncertain for INSTUCTIONS TO BIDDERS 7 CONTRACT NO. CS-0541 any cause, or is omitted, or is the same amount as the entry for the item total, then the item total shall prevail and shall be divided by the estimated quantity for the item and the price thus obtained shall be the unit price. Where so indicated by the makeup of the Bid Form, sums shall be expressed in both words and figures, and in case of discrepancy between the two, the amount written in words shall govern. D. All requested Alternates, if any, shall be Bid. See the Schedule of Bid Prices for more information and the list of Bid Alternates, if any. If no change in the Base Bid is required, enter"No Change." 7. BID SECURITY A. Each Bid shall be accompanied by cash or a cashier's check or a certified check, drawn on a responsible bank doing business in the United States payable to the City, or a satisfactory Bid Bond in favor of the City executed by the Bidder as a principal and a California admitted surety company (as defined by California Code of Civil Procedure §§995.120 and 995.311) as surety("Bid Security"). B. All bonds must be issued by a California admitted surety insurer with the minimum AM Best Company Financial strength rating of "A:VII" or better. Bonds issued by a California admitted surety not listed on Treasury Circular 570 will be deemed accepted unless specifically rejected by the City. Bonds issued from admitted surety insurers not listed in Treasury Circular 570 must be accompanied by all documents enumerated in California Code of Civil Procedure Section 995.660. All such bonds must be accompanied by a power of attorney from the surety company authorizing the person executing the bond to sign on behalf of the company. If the bonds are executed outside the State of California, all copies of the bonds must be countersigned by a California representative of the surety. The signature of the person executing the bond on behalf of Surety must be acknowledged by a Notary Public as the signature of the person designated in the power of attorney. C. Bid Security shall be in an amount not less than 5% of the Base Bid. Any Bid submitted without Bid Security will be rejected as non-responsive. The Bid Security shall be given as a guarantee that the successful Bidder will execute the Contract and will provide the insurance, bonds and other required forms within fourteen (14) calendar days after award of the Contract. Bidders will be entitled to return of Bid Security except when a successful Bidder forfeits its Bid Security. A forfeit may occur, for example, if the successful Bidder withdraws its Bid prior to the expiration of ninety (90) calendar days after award of the Contract; attempts to withdraw its Bid when the requirements of Public Contract Code § 5101 et seq. are not met; or refuses or fails to execute the Contract and provide the required bonds, insurance or certificates within fourteen (14) calendar days after award of the Contract. In any one or more of these events, if City awards the Contract for the Work to the next lowest responsible Bidder, the amount of the original lowest Bidder's security shall be applied to the Contract Price differential between the lowest Bid and the second lowest Bid. Any surplus will be returned to the original 1NSTUCTIONS TO BIDDERS 8 CONTRACT NO. CS-0541 I lowest Bidder. If the City rejects all other Bids presented and re-advertises, the lowest Bidder's Bid Security may be used to offset the City's cost of re- advertising and receiving new Bids. In that case, the surplus if any, will be returned to the original lowest Bidder. D. The Bid Security shall be held for ninety (90) calendar days after the award of the Contract or until posting by the successful Bidder of the payment and performance bonds, proof of insurance, return of executed copies of the Contract and necessary certification(s), whichever first occurs, after which time the Bid Security will be returned to all Bidders. E. If a Bid Bond is to be submitted, Bidder shall use the form entitled "Bid Bond" contained in the Bidding Documents, which Bid Bond shall be properly executed and acknowledged by the Bidder and by a corporate surety authorized to transact such business in the State of California. F. Any alteration of said form of Bid Bond, or imperfection in the execution thereof, as herein required, will render it informal and may, at the option of the City, result in the rejection of the Bid under which the Bid Bond is submitted. 8. BIDDER'S AND SPECIALTY CONTRACTORS' STATEMENTS OF QUALIFICATIONS A. Each Bidder shall be required to complete, execute and submit with its Bid, the form entitled "Bidder's Statement of Qualifications." Subcontractors listed must satisfy the mandatory qualifications described in the Specialty Contractor or Subcontractor Statement of Qualifications applicable to the Work to be performed by each Subcontractor and Bidder must submit the completed forms with the Bid. Notwithstanding the provisions of Paragraph 22 herein, the Bidder's Statement of Qualifications and the Specialty Contractor or Subcontractor Statement of Qualifications shall not be public records. All information required by a Bidder's or Specialty Contractor Statement of Qualifications shall be completely and fully provided. If no information is to be filled in a blank space, then write "none." Any Bid not accompanied by a Bidder's Statement of Qualifications and Specialty Contractor or Subcontractor Statement of Qualifications form completed with all information required may render the Bid non-responsive. If the City determines that any information provided by a Bidder in the Bidder's or Specialty Contractors or Subcontractor Statement of Qualifications is false or misleading, or is incomplete so as to be false or misleading, the City may reject the Bid submitted by such Bidder as being non-responsive. B. A responsible Bidder is a Bidder who has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity and experience to satisfactorily perform fully the requirements of the contract documents. In selecting the lowest responsible Bidder, consideration will be given not only to the Bidder's financial standing but also to the general competency of the Bidder for the performance of the work covered by the Bid including, but not limited to, INSTUCTIONS TO BIDDERS 9 CONTRACT NO. CS-0541 the experience of the Bidder in construction of public buildings for public agencies. By submitting a Bid, each Bidder agrees that the City, in determining the successful Bidder and its eligibility for the award, may consider the Bidder's experience with similar types of construction projects and facilities, conduct and performance under other contracts, financial condition, reputation in the industry, and other factors which could affect the Bidder's performance of the work. 9. DESIGNATION OF SUBCONTRACTORS A. Subcontractor Listing. On the Designation of Subcontractors form, the Bidder shall list each Subcontractor whom the Bidder must disclose under the Subletting and Subcontracting Fair Practice Act, Public Contract Code Section 4104. The Bidder shall provide: each Subcontractor's name, the trade and type of work that the Subcontractor will perform,the location(address) of the Subcontractor's place of business, each Subcontractor's license number, and the dollar value of each Subcontractor's labor or services. If additive Alternate Bid Items are included in the Bidding Documents, the Bidder shall identify each Subcontractor performing additive Alternate Bid Items, when such Work — or the combination of base Contract Work and Alternate Work— exceeds one-half of one percent of the total Bid Amount. B. Subcontractors' Licenses. At the time of the Bid Deadline and at all times during performance of the Work, each listed Subcontractor shall possess a current and active California Contractor's license appropriate for the portion of the Work listed for such Subcontractor, and hold all specialty certifications required for such Work. C. Disqualification of a Subcontractor. The City has the right to review the suitability and qualifications of any Subcontractor proposed by the Bidder. As part of this review,the City may request a Bidder to submit additional information about one or more of the listed Subcontractors—including, but not limited to—a statement detailing the Subcontractor's experience with pertinent information as to similar projects and other evidence of the Subcontractor's qualifications. If requested, the Bidder shall provide the information to the City within the time specified in the City's written request. After due investigation, if the City has a reasonable objection to any proposed Subcontractor, the City may, before giving the notice of award, require the apparent successful Bidder to submit an acceptable substitute. The City's disqualification of a Subcontractor does not disqualify a Bidder. However, prior to and as a condition to award of the Contract, the successful Bidder shall substitute a properly licensed and qualified Subcontractor without an adjustment of the Bid Price. D. Work of Subcontractors. The organization or arrangement of the Specifications and Drawings do not limit the extent of the Work for the Contract Documents. Accordingly, all Bidders are encouraged to disseminate all of the Specifications, Drawings and other Contract Documents to all persons or entities submitting sub- bids to the Bidder. The omission of any portion or item of Work from the Bid or INSTUCTIONS TO BIDDERS 10 CONTRACT NO. CS-0541 from sub-bids, which is reasonably inferable from the Contract Documents, will not be a basis for adjustment of the Contract Price or the Contract Time. E. Ineligible Subcontractors. The successful Bidder is prohibited from performing Work on the Project with any Subcontractor who is ineligible to perform work on a public works project pursuant to California Labor Code Sections 1777.1 or 1777.7. In submitting its Bid, the Bidder certifies that it has investigated the eligibility of each and every listed Subcontractor and has determined that none is ineligible to perform work pursuant to the above code provisions. 10. CONTRACTOR'S NONCOLLUSION AFFIDAVIT A Noncollusion Affidavit in the form provided by the City shall be signed under penalty of perjury, certifying that the Bid is not the result of and has not been influenced by collusion. Bidder shall submit this form with its Bid. Any Bid made without such affidavit, or believed to be made in violation of the requirements set forth in the affidavit form, may be rejected. 11. INSURANCE REQUIREMENTS The Bidder shall submit to its insurance company or insurance agent the Insurance Requirements in this Specification and the Contract Documents. The insurance company's underwriter or agent must complete the Insurance Requirements documentation which states that the insurer's underwriter or agent will furnish the City with the required insurance documents within fourteen (14) days after the Bidder's having been notified of the Contract's award. The Bidder shall submit this form with its Bid. Any Bid made without this statement, or made with an incomplete statement, may be rejected. 12. EXAMINATION OF DRAWINGS, SPECIFICATIONS,AND SITE OF WORK A. The Bidder shall examine carefully the site of the Work contemplated and the Drawings and Specifications. The submission of a Bid will be conclusive evidence that the Bidder has investigated and is satisfied as to the conditions to be encountered, as to the character, quality, and quantities of Work to be performed and materials to be furnished, the difficulties to be encountered, and to the requirements of the Drawings, Specifications, and other Contract Documents. The Bidder shall ascertain the locations of the existing utility services, and other underground facilities, and provide for carrying out its operations so as to cause the minimum possible inconvenience to the occupants of properties along any streets affected. All Work and costs involved in the safeguarding of the properties of others shall be at the expense of the Bidder to whom the Contract may be awarded. B. The Bidder hereby certifies that it has examined the local conditions, has read each and every clause of the Contract Documents, and that it has included all costs necessary to complete the specified Work in its Bid prices, and the Bidder agrees that if it is awarded the Contract, it will make no claim against the City INSTUCTIONS TO BIDDERS 11 CONTRACT NO. CS-0541 based upon ignorance of local conditions or misunderstanding of any of the provisions of the Contract. Should the conditions turn out otherwise than the Bidder anticipated, the Bidder agrees to assume all risks incident thereto. 13. PRICES AND PAYMENTS Approximate quantities listed in the Schedule of Bid Prices are estimates given for comparing Bids, and no claim shall be made against the City for excess or deficiency therein, actual or relative. Payment at the prices agreed upon will be in full for the completed Work and will cover materials, supplies, labor, tools, equipment, and all other expenditures incident to a satisfactory compliance with the Contract, unless otherwise specifically provided. 14. PERMIT FEES City of Vernon shall obtain all Governmental Approvals and Utility Fees as required for the construction of the project. The Bidder shall not include the direct cost associated with obtaining any permits and its fees, except as otherwise noted in the project specifications. 15. SUBSTITUTIONS No requests for substitution of any material, device, product, equipment, fixture, form, or type of construction shall be considered by City prior to award of the Contract. Bidders shall submit all requests for substitution and substantiating data, within seven (7) calendar days from the date of the Notice to Proceed. Bidder shall refer to the appropriate provisions of the General Conditions for additional information regarding substitutions. Authorization of a substitution is solely within the discretion of the City. 16. RETURN OF IMPROPER BIDS Bids submitted after the Bid Deadline are non-responsive and shall be returned to the Bidder unopened. Oral, telephonic, telegraphic, facsimile or electronically transmitted Bids shall not be considered unless the Notice Inviting Bids expressly permits such means of transmittal. 17. WITHDRAWAL OF BIDS Bidder may withdraw its Bid either personally or by written request any time prior to the scheduled Bid Deadline by notice to the City's Contact Person designated in the Notice Inviting Bids. If such notice is written, it shall be signed by the Bidder and shall be date- stamped and time-stamped by the City upon receipt. Withdrawn Bids may be resubmitted before the Bid Deadline provided that they are in full conformance with these Instructions to Bidders. Once submitted, all Bids are irrevocable, except as otherwise provided by law. Requests for withdrawal of Bids after the Bid Deadline shall be made only in accordance with California Public Contract Code § 5100, et seq. Bidder agrees by submitting a Bid that such Bid shall remain open, is irrevocable, and may not be modified, withdrawn, or cancelled for a period of ninety (90) days after award of the INSTUCTIONS TO BIDDERS 12 CONTRACT NO. CS-0541 Contract. 18. OPENING AND EVALUATION OF BIDS A. Bid Opening and Tabulation. The Bids shall be opened and read in public after the Bid Deadline has expired at the time and location listed in the Notice Inviting Bids. A tabulation of all Bids received will be available for public inspection at the Office of the Director of Community Service & Water, 4305 Santa Fe Avenue, Vernon, CA during regular business hours for a period of not less than thirty (30) calendar days following the Bid Deadline. The City reserves the right to accept or reject any or all Bids and be the sole judge regarding the suitability of the products, services or supplies offered; and/or to waive any irregularities or informalities in any Bids or in the bidding process. The City further reserves the right to purchase all or fewer than all items or quantities of each item listed in the Bidding Documents. The award of the Contract, if made by the City, shall be to the lowest responsive and responsible Bidder. If Bid Alternate Items are called for, the lowest Bid shall be determined according to Paragraph 20 below. B. Evaluation of Bids. 1. Mandatory Qualifications. A Bid shall be rejected as non-responsive if the Bidder fails to document in the Bid that Bidder meets the essential requirements for qualification described in the Notice Inviting Bids. As part of the Bidder's Statement of Qualifications each Bidder must establish that it, as the current entity: (1) has successfully completed at least 3 similar projects involving similar work within the last 3 years with a cost equal to or in excess of the Bidder's Bid; and (2) has successfully completed at least 3 public works projects. 2. Responsive Bid. A responsive Bid is a Bid which conforms, in all material respects, to the Bidding Requirements and Contract Documents. 3. Responsible Bidder. A responsible Bidder is a Bidder who has demonstrated the attribute of trustworthiness, as well as quality, fitness, capacity and experience to satisfactorily perform fully the requirements of the Contract Documents. 4. Competency of Bidders. In selecting the lowest responsible Bidder, consideration will be given not only to the financial standing but also to the general competency of the Bidder for the performance of the Work covered by the Bid including, but not limited to, the experience of the Bidder in construction of public works for public agencies. By submitting a Bid, each Bidder agrees that the City, in determining the successful Bidder and its eligibility for the award, may consider the Bidder's experience with similar types of construction projects and facilities, conduct and performance under other contracts, financial condition, reputation in the industry, safety record and protocols and other factors INSTUCTIONS TO BIDDERS 13 CONTRACT NO. CS-0541 which could affect the Bidder's performance of the Work. 19. AWARD OF CONTRACT The City reserves the right to reject any or all Bids and to waive any or all information or technical defects, as the interest of the City may require. Award of Contract or rejection of Bids will be made by the City within ninety (90) calendar days following the Bid Opening. 20. BASIS OF AWARD A. A Contract will be awarded to the lowest responsive and responsible Bidder meeting all requirements set forth in these Bidding Documents. B. City reserves the right in its sole discretion to select any, all, or none of the Bid Alternates at the time of award of the Contract, regardless of whether such Bid Alternates were used in the analysis to determine the lowest Bid. 21. EXECUTION OF CONTRACT Within fourteen (14) calendar days after being notified by City that it has been awarded the Contract, Contractor shall deliver to the City the following documents: A. Three (3) copies of the Contract in the form included herein, properly executed by Contractor and, if Contractor is a corporation, evidence of its corporate existence and that the persons signing the Contract are authorized to do so. All signatures must be notarized. B. Properly executed copies of the (a) Performance Bond (b) Labor and Material (Payment) Bond and (c) Maintenance Bond in accordance with the requirements set forth in Article 13 of the General Conditions and in the form shown on Exhibits 1, 2 and 3 attached thereto. All signatures must be notarized. C. Properly executed policies of all of the following: (a) the Commercial General Liability Insurance, (b) the Automotive Liability Insurance, and (c) Professional Liability, if required, and (e) the corresponding endorsements for each policy in accordance with the requirements set forth in Article 12 of the General Conditions. In the event that the fourteenth calendar day falls on Saturday, Sunday, a legal holiday for the State of California, or on days when City Hall is closed, the aforesaid documents shall be delivered by the following Working Day. After receipt of said documents within said time period or any extension thereof granted by the City, the City shall execute the Contract and return one (1) of said three (3) copies to Contractor for its files. INSTUCTIONS TO BIDDERS 14 CONTRACT NO. CS-0541 22. PUBLIC RECORDS City seeks to conduct its business openly. Except as set forth in paragraph 8.A., upon opening, all Bids shall become a matter of public record and shall be regarded as public, with the exception of those elements of each Bid that are identified by the Bidder and plainly marked as "trade secret," "confidential," or "proprietary," including any Statement of Qualifications and financial statements to be submitted by Bidders. Each element of a Bid which a Bidder desires not to be considered a public record must be clearly marked as set forth above, and any blanket statement (i.e. regarding entire pages, documents, or other, non-specific designations) shall not be sufficient and shall not bind the City in any way whatsoever. If City receives a request from a third party to make a Bid available for inspection and copying, the City will notify the Bidder of the request. If a Bidder instructs the City that the information is not to be released, City will withhold the information, provided, the Bidder expeditiously seeks a protective order from a court of competent jurisdiction to prevent such release. If disclosure is required under the California Public Records Act or otherwise by law (despite the Bidder's request for confidentiality), the City shall not in any way be liable or responsible for the disclosure of any such records or part thereof. Bidder shall indemnify, defend (including Bidder's providing and paying for legal counsel for City), and hold harmless City, its officers, agents, employees, and representatives from and against all liability, claims, suits, demands, damages, fines, penalties, costs, or expenses arising out of or alleging City's refusal to publicly disclose one or more records that Bidder identifies as protectable, or asserts is protectable. 23. PREVAILING WAGE RATES AND EMPLOYMENT OF APPRENTICES A. Prevailing Wage Rates. The Bidder and all Subcontractors shall utilize the relevant prevailing wage rate determinations in effect on the first advertisement date of the Notice Calling for Bids in preparing the Bid Proposal and all component price quotations, provided, however, that when Davis Bacon wage rates apply, such rates are subject to increase by written notice, issued by Addendum not less than 10 calendar days before the Bid Deadline. Pursuant to California Labor Code Section 1770 et seq., the Director of the Department of Industrial Relations of the State of California and the United States Secretary of Labor have determined the general prevailing wage rates in the locality in which the Work is to be performed. Said rate schedules are available on the Internet at www.dir.ca.gov/DLSR/PWD/. The wage rate for any classification not listed, but which may be required to execute the Work, shall be commensurate and in accord with specified rates for similar or comparable classifications for those performing similar or comparable duties. To comply with California Labor Code Section 1773.2, Contractor shall post, at appropriate and conspicuous locations on the job site, a schedule showing all applicable prevailing wage rates and shall also comply with the requirements of California Labor Code Sections 1773 et seq. B. Apprenticeship Committee Contract Award Information. Pursuant to California Labor Code § 1777.5 and Title 8 of the California Code of Regulations § 230, INSTUCTIONS TO BIDDERS 15 CONTRACT NO. CS-0541 Contractor and Subcontractors of any tier who are not already approved to train by an apprenticeship program sponsor shall, within ten (10) calendar days of signing the Contract or subcontract, as applicable, but in any event prior to the first day in which Contractor or Subcontractor has workers employed on the Project, submit the Public Works Contract Award Information form (DAS Form 140) to the appropriate local apprenticeship committees whose geographic area of operation include the area of the Project and who can supply apprentices to the Project. City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to the City. C. Statement of Employer Fringe Benefit Payments. Within five (5) calendar days of signing the Contract or subcontract, as applicable, the Statement of Employer Payments (DLSE Form PW 26) shall be completed for each Contractor and Subcontractor of any tier who pays benefits to a third party trust, plan or fund for health and welfare benefits, vacation funds or makes pension contributions. The form must contain, for each worker classification, the fund, plan or trust name, address, administrator, the amount per hour contributed and the frequency of contributions. Training fund contributions shall also be reported in this form. City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to the City. D. Notice to Subcontractors. Bidders shall notify all potential Subcontractors submitting price quotations for portions of the Work of the requirements concerning payment of prevailing wage rates, payroll records, hours of Work, and employment of apprentices. 24. SPECIAL CITY REQUIREMENTS Special City forms and their instructions are an integral part of these specifications and failure to submit same may be grounds, in the sole discretion of the City, for rejection of any Bidder. A. Living Wage Ordinance And Prevailing Wage Where Applicable. Contractor, and Subcontractors, if any, shall comply with the terms and conditions of Ordinance No. 1187, the City's Living Wage Ordinance. Upon request, certified payroll documents shall be provided to the City. If there is a difference between the Vernon Living Wage rates and the California Prevailing wage rates for the same classification of labor, Contractor and subcontractor shall not pay less than the highest wage rate for that classification. B. Equal Employment Opportunity In Contracting. The City of Vernon is committed to a policy of equal opportunity in contracting. Qualified firms including small businesses and businesses owned by women, minorities, and disabled persons are encouraged to submit bids or proposals. Contractors expressly agree to comply with the City's ordinances and regulations regarding Equal Opportunity Employment as well as regulations that may be mandated by the source of the funds supporting the Contract. Contractor certifies and represents that during the INSTUCTIONS TO BIDDERS 16 CONTRACT NO. CS-0541 performance of this Contract, it and any other parties with whom it may subcontract shall adhere to equal employment opportunity practices to assure that applicants, employees and recipients of service are treated equally and are not discriminated against because of their are not discriminated against because of their race, religion, religious belief, color, national origin, citizenship, ancestry, disability, sex, age, medical condition, pregnancy, sexual orientation or marital status.Contractor certifies that it will not maintain any segregated facilities. Contractor shall comply with all applicable Federal and California laws including, but not limited to, the California Fair Employment and Housing Act (California Government Code Section 12900, et seq.), California Labor Code Section 1735, and The Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.). Contractor shall require like compliance by all Subcontractors employed on the Work. 25. BID PROTEST PROCEDURES A. Any Bidder submitting a Bid directly to the City and eligible for award of the Contract may file a protest if the Bidder complies with all of the following requirements and conditions: 1. The Bid protest is in writing; 2. A protest based upon alleged defects or improprieties in the Contract Documents is filed with the City prior to the Bid Deadline; 3. All other protests are to be filed and received by the City no more than five (5) calendar days following the City's notice of intent to award the Contract; and 4. The written Bid protest sets forth, in detail, all grounds for the Bid protest, including without limitation: all facts, supporting documentation, legal authorities, and argument in support of the grounds for the Bid protest. All factual contentions must be supported by competent, admissible, and credible evidence. B. Any matters not set forth in the written Bid protest will be deemed waived. Any Bid protest not conforming to the foregoing requirements and conditions will be rejected by the City as invalid. C. Bid Dispute Indemnification. In the event of a Bid dispute based upon the Bidder's submission of this Bid and the City acceptance of same, the Bidder shall indemnify, defend (with counsel acceptable to City), and hold harmless the City, its City Council members, employees, and agents from liability, claims, demands, damages, and costs arising therefrom if such dispute or action arises solely upon the award of a Contract in compliance with federal, state, and local laws. [END OF DOCUMENT] 1NSTUCTIONS TO BIDDERS 17 CONTRACT NO. CS-0541 BIDDING FORMS BIDDING FORMS BIDDER'S PROPOSAL The undersigned submits this Bid in response to the Notice Inviting Bids issued by the City to construct the Work of the following Project in accordance with the Contract Documents: PROJECT: Citywide Traffic Signal Maintenance, Contract No.CS-0541 A. Enclosed herewith and by this reference incorporated herein and made a part of this Bidder's Bid are the following completed forms: 1. Bidder's Proposal 2. Schedule of Bid Prices 3. Incumbency Certificate 4. Bid Security in the following form(check one): ❑ Cashier's Check ❑Certified Check ❑ Bid Bond ❑Cash 5. Bidder's Statement of Qualifications 6. Experience Form 7. Statement of Violations of Federal, State or Local Law, if applicable 8. Contractor Safety Questionnaire 9. Designation of Subcontractors 10. Specialty Contractor Statement of Qualifications 11. Contractor's Affidavit of Noncollusion 12. Insurance Requirements Affidavit 13. Statement of Disqualification or Debarment. 14. Pre-Bid Site Inspection Certification. B. Acknowledgment of Addenda. The Bidder shall acknowledge the receipt of all Addenda by attaching a signed copy of all Addenda,and by listing all Addenda received and attached in the space below. If an Addendum or Addenda have been issued by the City and not attached and noted above as being received by the Bidder,the Bid may be rejected. C. Inspection of the Work and Contract Documents. Bidder certifies that it has carefully examined and is fully familiar with all of the provisions of the Bidding Documents and said Bidding Documents contain sufficient detail regarding the Work to be performed; that it has notified City of any errors or omissions in the Bidding Documents and/or any unusual site conditions;and that it has carefully checked all words, prices, and BF 1 of 38 BIDDING FORMS statements in this Bidding Document. Bidder hereby certifies that he/she and his/her Subcontractors have inspected the site and related Drawings and Specifications of Work and fully acquainted themselves with all conditions and matters which may in any way affect the Work,time of completion or the costs thereof. Bidder also certifies he/she has observed the designated Contractor Work areas and access routes, if disclosed or shown, as part of the Work in this Contract. SITE INSPECTION—CERTIFICATION: Person(s)who inspected site of the proposed Work for your firm: Name: Date of Inspection Title: Name: Date of Inspection Title: _. D. Bidder agrees that all costs of Work shown in the Bidding Documents, including work reasonably inferable therefrom and necessary thereto, are included in his/her Bid. All Work shown in the Contract Documents for which a specific line item is not provided in the Bidding Form is included in the Bidder's Total Base Bid Price. E. Forfeiture of Bid Security. Bidder further agrees that, in case of his/her default in executing the required Contract and the required bonds, or furnishing the required insurance, the money payable under the Bid Security accompanying this Bid shall be applied by the City towards payment of the damage to the City on account of such default, as provided in the Bidding Documents. F. Period of Irrevocability. Bidder agrees that this Bid shall remain open and shall not be withdrawn for a period of not less than ninety (90) calendar days from the date of award of Contract, or until rejected by the City, whichever period is shorter. G. Bid Dispute Indemnification. In the event of a Bid dispute based upon the Bidder's submission of this Bid and the City acceptance of same, the Bidder shall indemnify, defend (with counsel acceptable to City), and hold harmless the City, its City Council members, employees, and agents from liability, claims, demands, damages, and costs arising therefrom if such dispute or action arises solely upon the award of a Contract in compliance with federal, state,and local laws. The Bidder declares that neither he/she nor any member of his/her firm or cor oration is an officer or employee of the City of Vernon. I hereby certify under penalty of perjury under the laws of the State of California that the representations made herein are true and correct. Executed this day of at City State Bidder's Proposal Respectfully Submitted, BF 2 of 38 BIDDING FORMS NAME OF BIDDER COMPANY NAME: ADDRESS: CONTACT PERSON: TELEPHONE NUMBER: — FAX NUMBER: -- _ E-MAIL: _-- CALIFORNIA STATE CONTRACTOR'S LICENSE NUMBER: EXPIRATION DATE: TAX IDENTIFICATION NO.: SURETY COMPANY: All Bid forms must be signed where so indicated by the person or persons duly authorized to sign on behalf of the Bidder. By signing the Bid, the person signing is deemed to represent that he or she has authority to bind the Bidder. Failure to sign the Bidder's Proposal may invalidate the Bid. BIDDER'S PROPOSAL—SIGNATURE(S): Form of Entity of Bidder: Please check the appropriate signature block below and fill in all related information. Sole Proprietorship: By:_ — Title: Printed name of person signing Signature List All d/b/a's: Partnership: ❑ General Partner ❑ Limited Partner By: — Title: Printed Name of person signing Signature BF3of38 BIDDING FORMS ❑ Corporation: By: Corporate Officer Title: Printed Name of person signing Corporate Seal Signature ❑ Joint Venture: ❑ Corporation ❑ Partnership ❑ Individual ❑ Other By: Title: Printed Name of person signing Signature Name of all Joint Venturers: [If the Bidder is a corporation or a limited liability company, enter state or county of incorporation in addition to the business address and include an incumbency certificate executed by a Secretary thereof in the form set forth herein listing each officer with signing authority and his/her corresponding office. If the Bidder is a partnership or joint venturer stating that the respective partner or joint venturer agrees to be held jointly and severally liable for any and all of the duties and obligations of the Bidder under the Bid and under any contract arising therefrom. Attach evidence to the Bid Proposal Form that the individual signing has authority to do so.] BF4of38 BIDDING FORMS SCHEDULE OF BID PRICES PROJECT: Citywide Traffic Siqnal Maintenance, Contract No.CS-0541 BIDDER'S NAME: BASE BID Pursuant to and in compliance with your Notice Inviting Bids and Contract Documents relating to the Project including all Addenda (attach signed copies), Bidder, having become thoroughly familiar with the terms and conditions of the Contract Documents and with local conditions affecting the performance and the costs of the Work at the place where the Work is to be done, hereby proposes and agrees to fully perform the Work within the time stated in strict accordance with the Contract Documents (including the furnishing of any and all labor, materials, tools, expendable equipment, and utility and transportation services necessary to fully perform the Work and complete it in a workmanlike manner)for the Grand Total of: Dollars (Also, enter Total at top of page 10 of 38) Proposed Construction Costs Breakdown SECTION I-ROUTINE MAINTENANCE Bid Unit Price Total Cost Item Description Unit Qty Per Month Per Year No. 1 Routine Maintenance-Inspection and Cleaning per EA 41 $ $ Attachment"C". SECTION II-EXTRAORDINARY MAINTENANCE A. Material: Contractor's cost for the supply plus(+) 15%per the Green Book B. Labor: Contractor's hourly rates (including all fringe benefits, markup, overhead, etc.) for all job classifications involved in extraordinary maintenance. Bid Hours Straight Total Cost Item Classification Title Unit Per Time Per Year No. Year 2 Signal Maintenance Superintendent HR 5 $ $ 3 Engineering Technician HR 10 $ $ 4 Laboratory Technician HR 10 $ $ 5 Traffic Signal Technician-Lead (IMSA Level III Certified) HR 120 $ $ 6 Traffic Signal Technician-(IMSA Level II Certified) HR 80 $ $ —� BF5of38 1 BIDDING FORMS 7 Utility Technician-Lead (Certified) HR 30 $ $ 8 Utility Technician HR 30 $ $ SUBTOTAL FOR BID ITEMS NO.2 THROUGH NO. 8 $ Bid Hours Total Cost Item CLASSIFICATIONS TITLE Unit Per Overtime ! per Year No. Year 9 Signal Maintenance Superintendent HR 5 $ $ 10 Engineering Technician HR 10 $ $ 11 Laboratory Technician HR 10 $ $ 12 Traffic Signal Technician-Lead (IMSA Level III Certified) HR 120 $ $ 13 Traffic Signal Technician-(IMSA Level II Certified) HR 80 $ $ 14 Utility Technician-Lead (Certified) HR 30 $ $ 15 Utility Technician HR 30 $ $ SUBTOTAL FOR BID ITEMS NO.9 THROUGH NO. 15 $ Bid Item Labor and Material Unit Qty per Unit Price Total Cost No. Year Per Year 16 Install 6'diameter traffic loop(4 or less) EA 12 $ $ 17 Install 6'diameter traffic loop(more than 4) EA 12 $ $ 18 Furnish and Install 6'diameter bike loop(4 or less) EA 12 $ $ ` 19 Furnish and Install 6'diameter bike loop(more than 4) EA 12 $ $ 20 Furnish and Install No.5 pullbox EA 4 $ $ 21 Furnish and Install No. 6 pullbox EA 4 $ $ 22 Furnish and install LED Countdown Pedestrian Head- EA 12 $ $ (Dialight) 23 Furnish and install video detection camera (Iteris EA 2 $ $ Vantage Edge 2)-Connect @ mast arm Furnish and install video detection camera (Iteris 24 Vantage Edge 2) - Connect @ mast arm with new cable EA 2 $ $ to cabinet. 25 Furnish and install video detection camera (Autoscope EA 2 $ $ Solo Pro)-Connect @ mast arm BF6of38 BIDDING FORMS Furnish and install video detection camera (Autoscope 26 Solo Pro) - Connect @ mast arm with new cable to EA 2 $ $ cabinet. 27 Furnish and install ADA push button. EA 10 $ $ 28 Furnish and install ADA push button assembly complete EA 8 $ $ with signs. 29 Furnish and install handhole cover(Small Plastic oval or EA 4 $ $ rectangular). 30 Furnish and install handhole cover (Small Galvanized EA 4 $ $ oval or rectangular). 31 Furnish and install handhole cover(Large Plastic oval or EA 8 $ $ rectangular). 32 Furnish and install handhole cover (Large Galvanized EA 8 $ $ oval or rectangular). 33 Furnish and install 3 section 12"head on shaft EA 4 $ $ 34 Furnish and install 5 section 12"head on shaft EA 2 $ $ 35 Furnish and install 3 section 12"head on mast arm EA 2 $ $ 36 Furnish and install 5 section 12" doghouse with mast EA 2 $ $ arm mount 37 Furnish and install NEMA conflict monitor EA 4 $ $ 38 Furnish and install 24 volt power supply EA 4 $ $ 39 Furnish and install 8"LED Red Ball (Dialight) EA 10 $ $ 40 Furnish and install 8"LED Yellow Ball(Dialight) EA 6 $ $ 41 Furnish and install 8"LED Green Ball (Dialight) EA 10 $ $ 42 Furnish and install 12"LED Red Ball (Dialight) EA 24 $ $ 43 Furnish and install 12"LED Yellow Ball (Dialight) EA 8 $ $ 44 Furnish and install 12"LED Green Ball (Dialight) EA 24 $ $ 45 Furnish and install 12"LED Red Arrow(Dialight) EA 4 $ $ 46 Furnish and install 12"LED Yellow Arrow(Dialight) EA 2 $ $ 47 Furnish and install 12"LED Green Arrow(Dialight) EA 4 $ $ 48 Furnish and install 72"x18" ISNS Panel (Green/White) EA 12 $ $ 49 Conduct Safety Light and ISNS Night Survey(Monthly) EA 12 $ $ 50 Install City furnished regulatory sign on signal mast arm EA 50 $ $ 51 Replace Type 1-A(10') pole. EA 4 $ $ 52 Adjust alignment of signal head on pole. EA 10 $ $ BF7of38 BIDDING FORMS 53 Adjust alignment of signal head on mast arm. EA 4 $ $ Furnish and install Type 332 cabinet with 170 ATC 54 McCain controller per Los Angeles County Specifications EA 2 $ $ (complete in place with all necessary equipment) including turn-on. Furnish and install Type P1 or M1 cabinet with ASC/2S- 55 2100 Econolite controller per Los Angeles County EA 2 $ $ Specifications (complete in place with all necessary equipment) including turn-on. 56 Furnish and install 170 ATC McCain controller EA 2 $ $ 57 Furnish and install ASC/2S-2100 Econolite controller EA 2 $ $ SUBTOTAL FORBID ITEM NO. 16 THROUGH NO.57 $_ (LABOR AND MATERIAL) Bid Qty.Per Total Cost Item Equipment Unit Year Unit Price Per Year No. 58 Pick-up truck TRIP 80 $ $ 59 Hydraulic service bucket truck TRIP 120 $ $ 60 Hydraulic Boom Truck TRIP 5 $ $ 61 j Compressor with tools TRIP 5 $ $ 62 Crane Truck TRIP 5 $ $ 63 Concrete Saw TRIP 5 $ $ 64 Water Truck TRIP 1 $ $ SUBTOTAL BID ITEM NO.58 THROUGH NO.64(EQUIPMENT) $ BF8of38 BIDDING FORMS SECTION III-CONTRACT PROPOSAL COST SUMMATIONS GRAND TOTAL BID ITEMS NO. 1 THROUGH NO 64(USED FOR BID PURPOSES ONLY): Dollars ($ } (Also,enter Total at top of page 6-38) Bid is for comparison purposes. Actual pay to the Contractor for emergency work will be based on actual time and materials based on unit prices provided.All unit prices shall include all overhead costs and profits. All other work items, labor, materials, tools and incidentals which are not specifically listed in the above bid items, but are necessary to complete the project per specifications, and all other applicable standards and codes are considered to be included in the above bid items. If there is a discrepancy between (1)the"Grand Total'shown immediately above, (2)any of the"total costs" shown in the far right column above,or(3)the individual Unit Price,then the Unit price shall control over the total cost, and the total cost shall control over the total. If, however, the unit price is ambiguous, unintelligible, or uncertain for any cause, or is omitted, or is the same amount as the entry for the item total, then the item total shall prevail and shall be divided by the estimated quantity for the item and the price thus obtained shall be the unit price. Bidder shall exclude the cost of Permit Fees from Bidder's Base Bid sum. BF9of38 BIDDING FORMS Respectfully submitted: Signature Address Title Date License Number Date of Expiration (SEAL-if Bid is by a corporation) Attest Amount of Certified or Cashiers Check or Bid Bond Name of Bonding Company BF 10 of 38 BIDDING FORMS INCUMBENCY CERTIFICATE Print legibly the names and title of the president and all officers of the Company who are authorized to sign the Bid Forms: PRESIDENT'S&OFFICERS' NAME: TITLE: The undersigned hereby certifies to the City of Vernon that he/she is the duly elected and acting Secretary of (the"Company"), and that, as such, he/she is authorized to execute this Incumbency Certificate on behalf of the Company, and further certifies that the persons named above are the duly elected,qualified and acting officers of the Company, holding on the date hereof,the titles and positions set forth opposite their names and are authorized to sign the Bid Forms. IN WITNESS WHEREOF, the undersigned has executed this Incumbency Certificate this day of , 20_ Secretary's Name-Printed Secretary's Signature BF 11 of 38 BIDDING FORMS Bond No.: Premium Amount:$ Bond's Effective Date: BID BOND RECITALS: 1. The City of Vernon,California("City"),has issued a Notice Inviting Bids for the Work described as follows: Contract No.CS-0541: Citywide Traffic Signal Maintenance in Vernon,CA.("Project"). 2. In response to the Notice Inviting Bids, (Name,address,and telephone of Contractor) ("Principal"), has submitted the accompanying Bid for the Project. 3. Principal is required under the terms of the Specification—and all Bidding Documents referenced in it—to furnish a bond with the Bid. 4. The Specification, including all its amendments and supplements, and Principal's Bid are incorporated into this Bond and made a part of it by this reference. OBLIGATION: THEREFORE,for value received,We,Principal and (Name,address,and telephone of Surety) ("Surety"), a duly admitted surety insurer under California's laws,agree as follows: By this Bond, We jointly and severally obligate and bind ourselves, and our respective heirs, executors, administrators, successors,and assigns to pay City the penal sum of Dollars($ )("the Bonded Sum"),this amount comprising not less than FIVE PERCENT(5%)TEN oF-err:hiT(10%)of Principal's Base Bid, in lawful money of the United States of America. The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No. THE CONDITION OF THIS BOND'S OBLIGATION IS THAT, if: (1) Principal does not(a)withdraw its Bid for the period specified in the Bidding Documents, or—if no period is specified—for ninety (90) calendar days after City awards the Contract for the Project,or(b)attempt to withdraw its Bid when the requirements of California Public Contract Code W 01 et seq., or any successor legislation, are not met; or(2) City awards Principal the Contract in response to Principal's Bid, and within the time and manner specified by the Specification or Contract Documents or—if no period is specified—within fourteen (14)calendar days after the Contract's award, Principal (a)signs and delivers to City the Contract,in accordance with the Bid as accepted, (b) furnishes the required bonds for not only Principal's faithful performance and proper fulfillment of the Contract, but also Principal's payment for labor and materials used in the Project, and (c) furnishes the required insurance, then this obligation becomes null and void. Otherwise, this Bond remains in full force and effect, and the following terms and conditions apply to this Bond: 1. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's guaranteeing that upon City's awarding the Contract to Principal,the Principal will enter into the Contract with City. 2. No right of action accrues on this Bond to any entity other than City or its successors and assigns. 3. If an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay—in addition to the Bonded Sum—City's reasonable attorneys'fees and litigation costs,in an amount the court fixes. BF 12 of 38 BIDDING FORMS 4. Surety shall mail City written notice at least 30 days before:(a)the effective date on which the Surety will cancel,terminate, or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. On the date set forth below,Principal and Surety duly executed this Bond,with the name of each party appearing below and signed by its representative(s)under the authority of its governing body. Date: PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By: By: (Name) (Name) Its: Its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: CORPORATE SEAL CORPORATE SEAL ■ EVIDENCE MUST BE ATTACHED OF THE AUTHORITY OF ANY PERSON SIGNING AS ATTORNEY-IN-FACT. ■ THE ATTORNEY-IN-FACTS SIGNATURE MUST BE NOTARIZED. ■ A CORPORATE SEAL MUST BE IMPRESSED ON THIS FORM WHEN THE PRINCIPAL, OR THE SURETY, OR BOTH,AREA CORPORATION. BF 13 of 38 BIDDING FORMS BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ) } ss. COUNTY OF ) On this day of 20 before me, (name), a Notary Public for said County, personally appeared ,(name), who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of and acknowledged to me that he/she subscribed the name of thereto as principal, and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Notary Public SEAL BF 14 of 38 BIDDER'S STATEMENT OF QUALIFICATIONS 1. ORGANIZATION 1.1 How many years has your organization been in business as a Contractor? 1.2 How many years has your organization been in business under its present name?_ 1.2.1 Under what other names has your organization operated? 1.3 If your organization is a corporation, answer the following: 1.3.1 Date of incorporation/organization: 1.3.2 State of incorporation/organization: 1.3.3 Corporate ID number: 1.3.4 Name of President 1.3.5 Agent for Service of Process: 1.4 If your organization is a partnership, answer the following: 1.4.1 Date of organization/formation: 1.4.2 Type of partnership(if applicable): 1.4.3 Name(s)of general partner(s): 1.4.4 List all states in which you are registered and state ID numbers for each: 1.5 If your organization is individually owned, answer the following: 1.5.1 Date of organization: 1.5.2 Name of owner: 1.6 If the form of your organization is other than those listed above, describe it and name the principals: 2. LICENSING 2.1 List jurisdictions in which your organization is legally qualified to do business, indicate registration or license numbers, and category of license, if applicable. BF15of38 2.2 List jurisdictions in which your organization's partnership or trade name is filed. 2.3 List any licensing suspensions and/or violations assessed against your organization within the past five years. 3. EXPERIENCE 3.1 List the categories of Work that your organization normally performs with its own personnel.. 3.2 On the Experience Form, list the project information that establishes that Bidder meets the essential requirements for qualification set forth in the Mandatory Qualifications paragraph of the Notice Inviting Bids for this Project. 3.3 Have Subcontractors performing any of the Work complete the Specialty Contractors' Statements of Qualifications(or Bidder to complete if self-performing). 3.4 On a separate sheet, list projects to which your firm or business has been awarded a government contract since your firm or business has been in existence (giving the name and address of the project,the government agency,contact name and phone number,the contract amount, and contract's starting date and ending date). 3.5 On a separate sheet, list the experience and present commitments of the key individuals of your organization. 4. CLAIMS; LAWSUITS; CRIMINAL ACTS For the following questions, the term "owner" does not include owners of stock in your firm if your firm is a publicly-traded corporation. 4.1 In the past five (5) years, have, you, your firm or any of its owners, partners, officers, or employees been a defendant in court, or participated in an arbitration or mediation, on a matter related to: 4.1.1 The performance, non-performance, default, violation, or breach of a contract or agreement? ❑ YES ❑ NO 4.1.2 A vehicle collision or accident involving your firm's employees? BF 16 of 38 ❑ YES ❑ NO 4.1.3 Damage to real property arising out of your services or operations? ❑ YES ❑ NO 4.1.4 Employment-related litigation brought by an employee of your firm? ❑ YES ❑ NO 4.1.5 Payment to a subcontractor or supplier? ❑ YES ❑ NO 4.1.6 Defective,deficient,or substandard work? ❑ YES ❑ NO If the answer to any questions in 4.1.1 to 4.1.6 is YES, identify the name of the person or entity that sued (i.e., "the plaintiff) or was involved in the mediation or arbitration; list the date, court, court address, and case number; describe the facts and circumstances giving rise to the lawsuit, mediation, or arbitration; and set forth the outcome or disposition. Attach additional sheets as necessary. 4.2 Have you or your firm ever filed a claim for damages or a lawsuit, or requested arbitration or mediation, against a government entity or a Client? ❑ YES ❑ NO If YES, identify the government entity or client; list the date,court and case number; describe the facts and circumstances about the claim for damages,or the lawsuit,or both; and set forth the outcome or disposition. Attach additional sheets as necessary. 4.3 Are there any pending or outstanding judgments or liens against you,your firm,or any of its owners, partners, officers, or employees? ❑ YES ❑ NO If YES, identify the name of the person or entity entitled to payment; list the date court and case number; describe the facts and circumstances giving rise to the judgment or lien; and set forth the amount of the judgment or lien. Attach additional sheets if necessary. 4.4 In the past five (5) years, has any government entity ever: (a) investigated, cited, disciplined, or assessed any penalties against you, your firm, or any of its owners, partners, officers, or employees, or(b)determined or concluded that your firm or any of its owners, partners, officers, or employees violated any laws, rules, or regulations? ❑ YES ❑ NO BF 17 of 38 If YES, identify the government entity; list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 4.5 In the past five(5)years, have you,your firm or any of its owners, partners,officers or employees been convicted of a crime related to the bidding of a government contract,the awarding of a government contract,or the performance of a government contract? ("Convicted"includes a verdict of guilty by a judge or jury,a plea of guilty,a plea of nolo contendere,or a forfeiture of bail.) ❑ YES ❑ NO If YES, identify the government entity; list the date,court and case number;describe the facts and circumstances about each instance; and set forth the penalty or punishment imposed. Attach additional sheets as necessary. 4.6 In the past five(5)years, have you,your firm,or any of its owners, partners,officers or employees been convicted of a crime involving embezzlement,theft,fraud,forgery, bribery,deceptive or unlawful business practices, perjury,falsifying or destroying records or evidence,or receiving stolen property,or making or submitting a false claim? ❑ YES ❑ NO If YES, identify the crime or offense; list the date,court and case number;describe the facts and circumstances about each instance;and set forth the penalty or punishment imposed. Attach additional sheets as necessary. 4.7 Have you or, if Bidder is a corporation, any principal of the corporation ever been convicted of a felony? ❑ YES ❑ NO If YES, please explain the details of that conviction and, if so,whether you or said officer have served his or her sentence. 4.8 In the past five(5)years, has a government entity determined or concluded that you,your firm,or any of its owners, partners,officers or employees made or submitted a false claim (including a false claim for payment),or made a material misrepresentation? ❑ YES ❑ NO If YES, identify the government entity, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 4.9 Have you or your company ever been charged by any governmental agency for failure to follow safety procedures? If YES, please explain. ❑ YES ❑ NO BF 18 of 38 4.10 Has any governmental agency ever submitted a complaint against you or your firm to the California State Labor Commission for failure to submit certified payrolls? If your answer is "Yes", please provide the details of such complaint. ❑ YES ❑ NO 5. FIRM'S OPERATIONAL STATUS 5.1. In the past seven (7) years, has your firm, or anyone else acting on behalf of your firm, filed for bankruptcy, insolvency, receivership,or reorganization? ❑ YES ❑ NO If YES, list the filing date,identify the court and case number;describe the facts and circumstances giving rise to each instance; and set forth the disposition or current status. Attach additional sheets as necessary. 5.2. In the past five (5) years, has your firm had an consolidations, mergers, acquisitions, closings, layoffs or staff reductions? ❑ YES ❑ NO If YES, list the filing date,and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 5.3. Is your firm in the process of, or in negotiations toward: (a) consolidating, merging, selling,or closing its business,or(b) laying off employees or reducing staff? ❑ YES ❑ NO If YES, describe the transaction; list the anticipated date for completing the transaction, laying off employees,or reducing staff;and describe the facts,circumstances, and reason for taking the action. Attach additional sheets as necessary. 6. BIDDING; DEBARMENT; CONTRACT PERFORMANCE 6.1. Has a government entity ever debarred, disqualified, removed, suspended, or otherwise prevented you or your firm from bidding on, contracting, or completing a construction project? ❑ YES ❑ NO If YES, identify the name of the government entity, list the date, and describe the facts and circumstances about each instance, and state the reason for the government entity's action against your firm. Attach additional sheets as necessary. 6.2. Has a government entity ever rejected your firm's Bid or Proposal on the ground that you or your firm is a"non-responsible" bidder or proposer? BF 19 of 38 ❑ YES ❑ NO If YES, identify the name of the government entity, list the date,describe the facts and circumstances about each instance, and state the reason or basis for the government entity's determining that your firm was a"non-responsible"bidder. Attach additional sheets as necessary. 6.3. Have you or your firm ever failed to fulfill or perform — either partially or completely — a contract or an agreement with a government entity or a client? ❑ YES ❑ NO If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.4. In the past five(5)years, have you or any officer or principal of your firm been an officer of another firm which failed to perform a contract or agreement? ❑ YES ❑ NO If YES, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.5. Has your firm ever advised a government entity or a client, while your firm was under contract with the government entity or client,that your firm could not(or would not)fulfill or perform — either partially or completely — the contract or the agreement based on the prices that your firm had originally submitted in a Bid or a Proposal? ❑ YES ❑ NO If YES, list the date, identify the name of the government entity or client, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.6. Has your firm ever requested a government entity or a client, while your firm was under contract with the government entity or client, to renegotiate one or more terms of the existing contract or agreement? ❑ YES ❑ NO If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.7. Has your firm ever requested a government entity or a client, while your firm was under contract with the government entity or client, to: (a) cancel the contract or agreement, or (b) release or discharge your firm form the contract or agreement? ❑ YES ❑ NO BF 20 of 38 If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.8. Has a government entity or a client ever terminated,suspended,or non-renewed your firm's contract or agreement before its completion? ❑ YES ❑ NO If YES, identify the name of the government entity, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.9. Has a government entity or a client ever notified or advised your firm that your firm's performance under a contract or agreement was poor, sub-standard, deficient, or non- compliant? ❑ YES ❑ NO If YES, identify the name of the government entity or client, list the date, and describe the facts and circumstances about each instance. Attach additional sheets as necessary. 6.10. In the past five (5) years, has your firm paid, or has your firm been assessed, liquidated damages on a contract or agreement? ❑ YES ❑ NO If YES, identify all such contracts/projects by owner, owner's address, the date of completion of the project, amount of liquidated damages assessed, and all other information necessary to fully explain the assessment or payment of liquidated damages. Attach additional sheets as necessary. 7. INSURANCE AND BONDS 7.1. In the past ten years, has an insurance company or a surety company: 7.1.1. Refused to insure your firm for liability coverage? ❑ YES ❑ NO 7.1.2. Canceled or non-renewed your firm's insurance coverage? ❑ YES ❑ NO 7.1.3. Refused to issue your firm a bond? ❑ YES ❑ NO 7.1.4. Canceled or revoked a bond obtained by your firm? ❑ YES ❑ NO BF 21 of 38 If the answer to any questions in 7.1.1 to 7.1.4 is YES, identify the name of the insurance company or surety company, list the date, and describe the facts and circumstances about each instance. Attach addition sheets as necessary. 7.2 In the past ten (10) years, has an insurance company or surety company made any payments on your firm's behalf as a result of a default,to satisfy any claims against a performance bond, payment bond,or maintenance bond issued on your firm's behalf? ❑ YES ❑ NO If YES, identify each contract completed or amount of each claim, the name and telephone number of the claimant,the date,grounds and current status of the claim, and if resolved, the method, nature, and amount of the resolution. Attach addition sheets as necessary. 8. SURETY 8.1 If a performance and/or payment bond is required by this bid, identify the bonding company if arrangements for the bond have been made; if not, identify the bonding company for the Contractor's most recent project: 8.2 Name and address of agent: All of the above statements as to experience, financial qualifications, and available plant and equipment are submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the information is guaranteed by the Bidder. I hereby certify under penalty of perjury under the laws of the state of California that the representation made herein are true and correct. Signature of Bidder_ BF 22 of 38 BIDDING FORMS BIDDER'S EXPERIENCE FORM PROJECT NAME: Citywide Traffic Signal Maintenance Contract No. CS-0541 COMPANY NAME: ***Please use additional sheets if necessary List below the project information that establishes that Bidder meets the essential requirements for qualification set forth in the Mandatory Qualifications paragraph of the Notice Inviting Bids for this Project. CONTRACT CONTRACT CONTRACT CONTACT PHONE START DATE END DATE $AMOUNT PROJECT NAME ADDRESS CONTACT NAME NUMBER 2 3 All of the above statements as to experience are submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the information is guaranteed by the Bidder. I hereby certify under penalty of perjury under the laws of the state of California that the representation made herein are true and correct. Signature of Bidder Print name: State of California Contractor's License No. -_ Contractor's License expiration date BF 23 of 39 BIDDING FORMS CONTRACTOR SAFETY QUESTIONNAIRE Company Name: Primary Type of Work: Person Completing Form: Title: Phone Number: Date: SAFETY PERFORMANCE 1. List your company's Interstate Experience Rating Modifier(ERM)l for the three most recent years. 20 20 20 2. List your company's number of injuries/illnesses from your OSHA 300 logs for the three most recent years. 20 20 20 a. Fatalities b. OSHA recordable incidents c. Lost work day incidents d. Total lost work days e. Total hours worked 3. Please provide copies of the following items(a-g);and Items(d-g)for each listed Subcontractor a). OSHA 300 logs for the most recent three years e). Training Plans and current year-to-date b). Verification of ERM from your insurance carrier f). Training Certificates for Employees c). Injury/Illness Report g). Emergency Response Training d). Complete written Safety Program 4. Company Safety Contact: a. Name b. Phone ' ERM=applies to workers'compensation policies. It compares the experience of this contractor to others of similar size,type and ratio. Used against annual premium. It has a direct correlation to how much the contractor pays in workers'comp premium. BF 24 of 39 BIDDING FORMS CONTRACTOR SAFETY QUESTIONNAIRE (continued) SAFETY PROGRAM 1. SAFETY PROGRAM DOCUMENTATION Circle One a. Do you have a written safety program manual? Yes No 1) Last revision date b. Do you have a written safety field manual? Yes No c. Are all workers given a booklet that contains work rules, responsibilities, and other appropriate information? Yes IN 2. POLICY AND MANAGEMENT SUPPORT a. Do you have a safely policy statement from an officer of Yes No the company? b. Do you have a disciplinary process for enforcement Yes Nc of your safety program? c. Does management set corporate safety goals? Yes N(, d. Does executive management review: ❑Accident reports? Yes No ❑Safety statistics? Yes No ❑ Inspection reports? Yes No e. Do you safety pre-qualify subcontractors? Yes No f. Do you have a written policy on accident reporting Yes No and investigation? g. Do you have a light-duty, return-to-work policy? Yes No h. Is safety part of your supervisors performance evaluation? Yes No i. Do you have a personal protective equipment(PPE) policy? Yes No j. Do you have a written substance abuse program? Yes No If yes,does it include (check all applicable boxes): ❑ Pre-employment testing ❑ Return-to-duty testing ❑ Random testing ❑ Disciplinary process ❑ Reasonable cause testing ❑Alcohol testing ❑ Post accident testing ❑ National Institute on Drug Abuse ❑ Panel Screen k. Does each level of management have assigned safety Yes No duties and responsibilities? BF 25 of 39 BIDDING FORMS 3. TRAINING AND ORIENTATION a. Do you conduct safety orientation training for each employee? Yes No b. Do you conduct site safety orientation for every Yes No person new to the job site? c. Does your safety program require safety training meetings? Yes No for each supervisor(foreman and above)? How often? ❑Weekly ❑ Monthly❑Quarterly ❑Annually ❑ Other . d. Do you hold tool box/tailgate safety meetings focused on your specific work operations/exposures? Yes No How often? ❑ Weekly ❑ Daily ❑ Other e. Do you require equipment operation/certification training? Yes No 4. ADMINISTRATION AND PROCEDURES a. Does your written safety program address administrative procedures? Yes No If yes,check which apply: Pre project/task planning _Emergency procedures Record keeping _Audits/inspections Safety committees —Accident investigations/reporting HAZCOM _Training documentation Substance abuse prevention _Hazardous work permits Return-to-work _Subcontractor prequalification b. Do you have project safety committees? Yes No c. Do you conduct job site safety inspections? Yes No How often? ❑ Daily ❑Weekly ❑ Monthly ❑ Other __ Do these inspections includes a routine safety inspection of equipment(e.g.,scaffold, ladders,fire extinguishers,etc.)? Yes No d. Do you investigate accidents? Yes No How are they reported? ❑Total company ❑ By superintendent ❑ By project ❑ By project manager ❑ By foreman ❑ In accordance with OSHA e. Do you discuss safety at all preconstruction and progress meetings? Yes No BF 26 of 39 BIDDING FORMS f. Do you perform rigging and lifting checks prior to lifting? Yes No ❑ For personnel ❑ For equipment ❑ Heavy lifts(more than 10,000 lbs.) 5. WORK RULES a. Do you periodically update work rules? Yes No When was the last update? b. What work practices are addressed by your work rules? ❑ CPR/first aid ❑Access--entrances/stairs ❑ Barricades, signs, ❑ Respiratory protection and signals ❑ Blasting ❑ Material handling/storage ❑ Communications ❑Temporary heat ❑ Compressed air and gases ❑Vehicle safety ❑ Concrete work ❑ Traffic control ❑ Confined-space entry ❑ Site visitor escorting ❑ Cranes/rigging and hoisting ❑ Public protection ❑ Electrical grounding ❑ Equipment guards and grounding ❑ Environmental controls and ❑ Monitoring equipment Occupational health ❑ Emergency procedures ❑ Flammable material handling/storage ❑ Fire protection and prevention ❑ Site sanitation ❑ Floor and wall openings ❑Trenching and excavating ❑ Fall protection ❑ Lockout/Tagout ❑ Housekeeping ❑ Energized/pressurized equipment ❑ Ladders and scaffolds ❑ Mechanical equipment/ ❑ Personal protective equipment maintenance/pre-op checks/ ❑ Tools, power and hand operation ❑ Electrical power lines ❑Welding and cutting (hot work) ❑ Other 6. OSHA INSPECTIONS a.Have you been inspected by OSHA in the last three years? Yes No b.Were these inspections in response to complaints? Yes No c. Have you been cited as a result of these inspections? Yes No If yes,describe the citations(add additional sheets if necessary): BF 27 of 39 BIDDING FORMS DESIGNATION OF SUBCONTRACTORS NAME OF BIDDER: Each Bidder must list, on the form provided on the next page, each Subcontractor who will perform work or labor or render service to the Contractor in or about the construction of the Work or improvement, or a Subcontractor licensed in the State of California who, under subcontract to the Contractor, specially fabricates and installs a portion of the Work or improvement according to detailed drawings contained in the Drawings and Specifications, in an amount in excess of one-half of one percent of the Contractors Base Bid Amount. Each Subcontractor must have an active and current license, and all requisite specialty certifications,when listed. Bidder must provide the following information for EACH Subcontractor. 1. The name of the Subcontractor; 2. The trade and type of work that the Subcontractor will perform; 3. Location (address)of Subcontractor's place of business; 4. Subcontractor's license number; and any specialty licenses;and 5. Dollar value of the Work that the Subcontractor will perform. Subletting or subcontracting of any portion of the Work in excess of one-half of one percent of the Contractor's Base Bid to which no Subcontractor was designated in the original Bid shall only be permitted in cases of public emergency or necessity, and then only after a finding reduced to writing as a public record of the City setting forth the facts constituting the emergency or necessity. If the Contractor violates any of the above provisions the Contractor may be in breach of this Contract and the City may exercise the option, in its own discretion, to (1) cancel this Contract, or(2) assess the Contractor a penalty in an amount not more than ten percent(10%)of the amount of the subcontract involved, and this penalty shall be deposited in the fund out of which the prime Contract is awarded. If the Contractor fails to specify a Subcontractor, or if the Contractor specifies more than one Subcontractor for the same trade or type of Work to be performed under the Contract in excess of one-half of one percent of the Contractor's Base Bid Amount, then the Contractor agrees that he/she is fully qualified to perform that Work himself/herself,and that he/she shall perform that Work himself/herself. If after award of Contract, the Contractor subcontracts any such Work, the Contractor will be subject to the statutory penalties. DESIGNATION OF SUBCONTRACTORS FORM IS ON THE FOLLOWING PAGE BF 28 of 39 BIDDING FORMS DESIGNATION OF SUBCONTRACTORS (continued) Please type or legibly print(attach additional sheets as necessary). Trade and License Dollar($) Name of Subcontractor Type of Work Business Location Number Value to be Performed BF 29 of 36 BIDDING FORMS The Contractor shall not: A. Substitute any person as Subcontractor in place of the Subcontractor listed in the original Bid, except that the City may consent to the substitution of another person as Subcontractor in any of the following situations: 1. When the Subcontractor listed in the Bid, after having had a reasonable opportunity to do so, fails or refuses to execute a written contract for the scope of Work specified in the Subcontractor's bid and at the price specified in the Subcontractor's bid, when that written contract, based upon the general terms, conditions, Drawings and Specifications for the Project or the terms of Contractor's written Bid, is presented to the Subcontractor by the Contractor; 2. When the listed Subcontractor becomes insolvent or the subject of an order for relief in bankruptcy; 3. When the listed Subcontractor fails or refuses to perform his/her subcontract; 4. When the listed Subcontractor fails or refuses to meet the band requirements of the Contractor as set forth in Public Contract Code Section 4108; 5. When the Contractor demonstrates to the City that the name of the Subcontractor was listed as the result of an inadvertent clerical error; 6. When the listed Subcontractor is not licensed pursuant to the Contractors License Law; 7. When the City determines that the Work performed by the listed Subcontractor is substantially unsatisfactory and not in substantial accordance with the Drawings and Specifications, or that the Subcontractor is substantially delaying or disrupting the progress of the Work; 8. When the listed Subcontractor is ineligible to work on a public works project pursuant to Section 1777.1 or 1777.7 of the Labor Code; or 9. When the City determines that the listed Subcontractor is not a responsible contractor. B. Permit any subcontract to be voluntarily assigned or transferred or allow it to be performed by anyone other than the original Subcontractor listed in the original Bid,without the consent of the City. C. Other than in the performance of "change orders" causing changes or deviations from the original Contract, sublet or subcontract any portion of the Work in excess of one-half of one percent of the Contractor's Base Bid Amount as to which his/her original Bid did not designate a Subcontractor. Prior to approval of the Contractor's request for a Subcontractor substitution,the City shall give notice in writing to the listed Subcontractor of the Contractors request to substitute and of the reason for the request. The notice will be served by certified or registered mail to the last known address of the Subcontractor. The listed Subcontractor who has been so notified shall have five (5) Working Days within which to transmit to the City written objections to the substitution. Failure to file these written objections shall constitute the listed Subcontractor's consent to the substitution. If written objections are filed, the City shall give notice in writing of at least five (5) Working Days to the listed Subcontractor of a hearing by the City on the Contractor's request for substitution. The Contractor, as a condition to asserting a claim of inadvertent clerical error in the listing of a Subcontractor, shall within two (2) Working Days after the time of the Bid Deadline, give written notice to the City and copies of such notice to both the Subcontractor he/she claims to have listed in error and the intended Subcontractor who had bid to the Contractor prior to the Bid Deadline. BF 30 of 36 BIDDING FORMS QUESTIONNAIRE REGARDING SUBCONTRACTORS Bidder shall answer the following questions and submit with his/her Contract proposal. 1. Were bid depository or registry services used in obtaining subcontractors bid figures in order to compute your bid? Yes❑ No❑ 2. If the answer to No. 1 is"Yes", please forward a copy of the rules of each bid depository you used with this questionnaire. 3. Did you have any source of subcontractors'bids other than bid depositories? 4. Has any person or group threatened you with subcontractor boycotts, union boycotts, or other sanctions to attempt to convince you to use the services or abide by the rules of one or more bid depositories? Yes❑ No❑ 5. If the answer to No.4 is"Yes", please explain the following details: (a) Date: (b) Name of person or group: (c) Job involved (if applicable): (d) Nature of the threats: (e) Additional comments: (Use additional paper if necessary) 6. Was a conscious effort made to recruit or provide equal opportunity for bids by minority or project area subcontractors? Yes❑ No❑ 7. Was a conscious effort made to recruit and hire project area lower-income residents? Yes❑ No❑ Please submit statement. 8. We declare under penalty of perjury that the foregoing is true and correct. Dated this day of 20 All of the above statements as to experience, financial qualifications, and available plant and equipment are submitted in conjunction with the proposal, as a part thereof, and the truthfulness and accuracy of the information is guaranteed by the bidder. Name of Company By: Title BF31 of36 BIDDING FORMS SPECIALTY CONTRACTOR OR SUBCONTRACTOR STATEMENT OF QUALIFICATIONS As part of its Bid, Bidder shall submit this Statement of Qualifications for the Subcontractor that will perform any portion of the work This information shall provide evidence to indicate successful experience in providing any traffic signal related work comparable to that specified in the Project Drawings and Specifications. Referenced qualifications shall demonstrate experience as a successful installer of traffic signal and related electrical work. A Bid may be rejected as non-responsive if Bidder fails to provide this completed form with the Bid or submits this form with inaccurate information. Mandatory qualifications: Specialty Contractor(or Bidder, if self-performing)shall possess a valid C-10 Electrical and/or D-31 Pale Installation and Maintenance California Contractors License at the time of the Bid Deadline and at all times during performance of the Work and shall establish that it satisfactorily completed at least three (3) public contracts for construction and/or maintenance of a signalized intersection)in California;each comparable in scope and complexity to this Project,within three(3)years prior to the Bid Deadline. Specialty Contractor Name: Project Manager/Foreman: Phone No: E-mail: COMPARABLE PROJECTS(Provide three(3) projects as required above) 1. Project Name: Address: Date Completed: _ Reference/Contact Name: Reference/Contact Phone No: Description of work performed: 2. Project Name: Address: Date Completed: Reference/Contact Name: Reference/Contact Phone No: Description of work performed: BF 32 of 36 BIDDING FORMS 3. Project Name: Address: Date Completed: Reference/Contact Name: Reference/Contact Phone No: Description of work performed: 4. Project Name: Address: Date Completed: Reference/Contact Name: Reference/Contact Phone No: Description of work performed: BF 33 of 36 BIDDING FORMS CONTRACTOR'S AFFIDAVIT OF NONCOLLUSION STATE OF CALIFORNIA ) COUNTY OF ) being first duly sworn,deposes and says: 1. That he/she is the (Title of office if a corporation, "sole owner,""Partner," or other proper title) of , (hereinafter called "Contractor")who has submitted to the City of Vernon a Bid for the construction of the Citywide Traffic Signal Maintenance; 2. That said Bid is genuine;that the same is not sham;that all statements of fact therein are true; 3. That said Bid is not made in the interest or behalf of any person, partnership, company, association, organization,or corporation not named or disclosed; 4. That Contractor did not, directly or indirectly induce, solicit, agree, collude, conspire or contrive with anyone else to submit a false or sham bid,to refrain from bidding, or withdraw his/her bid,to raise or fix the Bid price of Contractor or of anyone else, or to raise or fix any overhead profit, or cost element of Contractor's price or the price of anyone else; and did not attempt to induce action prejudicial to the interests of the City of Vernon, or of any other Bidder, or anyone else interested in the proposed Contract; 5. That the Contractor has not in any manner sought by collusion to secure for himself an advantage over any other Bidders or induce action prejudicial to the interests of the City of Vernon or of any other Bidder, or anyone else interested in the proposed Contract; 6. That the Contractor has not accepted any bid from any Subcontractor or material supplier through any bid depository, the bylaws, rules or regulations of which prohibit or prevent the Contractor from considering any bid from any Subcontractor or material supplier, which is not processed through said bid depository, or which prevent any Subcontractor or material supplier from bidding to any Contractor who does not use the facilities of or accept bids from or through such bid depository; 7. That the Contractor did not, directly or indirectly, submit the Contractor's Bid price or any breakdown thereof, or the contents thereof, or divulge information or data relative thereto, to any corporation, partnership, company, association, organization,bid depository,or to any member or agent thereof,or 111 111 111 111 111 111 111 BF 34 of 36 BIDDING FORMS to any individual or group of individuals, except to the City of Vernon, or to any person or persons who have partnership or other financial interest with said Contractor in his/her business. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct. Dated this day of _ at MonthNear City State Contractor (Please Print) Contractor's Signature Title CONTRACTOR'S SIGNATURE MUST BE NOTARIZED BF 35 of 36 BIDDING FORMS THE BIDDER'S INSURANCE COMPANY(S)OR INSURANCE AGENT MUST COMPLETE THIS FORM AND THE BIDDER MUST SUBMIT THIS CERTIFICATION WITH THE BID FORMS. 1, the undersigned (Please check one box) ❑ underwriter C agent, certify that I and the Contractor listed below have jointly reviewed the"Insurance Requirements" in these Bidding Documents and the Contract Documents. If the City of Vernon ("City") awards the Contractor the Contract for this project, I will be able—within fourteen (14) calendar days after the Contractor is notified of the Contract's award—to furnish the City with valid insurance forms (including one or more insurance certificates and additional insured endorsements) that fully meet all of the Insurance Requirements. Name of Insurance Company Date Insurance Agent's Name(Printed) Insurance Agent's Name (signature) Address City State Zip Code Telephone Number FAX Number Email Address Contractor's Name City Specification Number Below State the Name of Insurance Company Providing Coverage: DO NOT write"Will Provide,""To Be Determined,""When Required,"or similar phrases. Commercial General Liability Automobile Liability Workers'Compensation Liability City Will Purchase Policy, if required Builders Risk Pollution Liability [NOTE TO CONTRACTOR: See "Insurance Requirements" EXHIBIT 4 of the Contract for the requirement of obtaining Pollution Liability Insurance.] (VOTE TO THE UNDERWRITER/AGENT: If the insurance forms that the Contractor submits to the City do not fully comply with the Insurance Requirements, and/or if the Contractor fails to submit the forms within the 14-day time limit, the City may: (1) declare the Contractor's Bid non-responsive, and (2) award the Contract to the next lowest responsible Bidder. BF36of36 STANDARD FORM OF CONSTRUCTION CONTRACT BETWEEN CITY AND CONTRACTOR This Agreement is made and entered into at Vernon, California this_day of , 20_, by and between the CITY OF VERNON, a chartered municipal corporation (hereinafter"City")and [Insert State of Incorporationl corporation (hereinafter "Contractor'), for construction of Citywide Traffic Signal Maintenance, Contract No.CS-0541. THE PARTIES HERETO AGREE AS FOLLOWS: 1. CONTRACT DOCUMENTS The"Contract Documents"except for modifications issued after execution of this Agreement,shall consist of the following documents which are either attached hereto as exhibits or are incorporated into this Agreement by this reference,with the same force and effect as if set forth at length herein: A. Governmental Approvals including,but not limited to,permits required for the Work; B. This Agreement, inclusive of Exhibit A(General Conditions), Exhibit B(Special Provisions), Exhibit C (Living Wage Provisions), Exhibit D(Equal Employment Opportunity Practices Provisions), and all Attachments and Sub-Exhibits thereto; C. Notice Inviting Bids; D. Instructions to Bidders; E. Bid Forms; F. Designation of Subcontractors; and G. Bidding Addenda Nos. 3. SCOPE OF WORK Within the Contract Time and for the stated Contract Sum, subject to adjustments thereto, and pursuant to the Contract Documents, the Contractor shall perform and provide all necessary: labor; services; supervision; materials; tools; equipment; apparatus; facilities; supplies; tools; permits, inspections, plan checks, and similar Governmental STANDARD CONTRACT FORM 37 Approvals; temporary utilities; utility connections; and transportation necessary to complete the Work in strict conformity with the Contract Documents for: Citywide Traffic Signal Maintenance Contract No. CS-0541 4. TIME FOR PERFORMANCE Contract Time. Contractor shall achieve Substantial Completion of the Work within 365 calendar days from the Date of Commencement established in City's written Notice to Proceed ("Contract Time"), subject to adjustment in accordance with the Contract Documents. Contractor shall achieve Final Completion of the Work, within the time established by the Certificate of Substantial Completion issued by the City. The Contract Time may only be adjusted as permitted by this Construction Contract and the General Conditions. Time is of the essence of this Agreement. Except when the Contract Documents state otherwise,time is of the essence in the performance of the Work. Contractor acknowledges that the time limits and deadlines set forth in the Contract Documents are reasonable for Contractor to perform and complete the Work. Liquidated Damages. If Contractor fails to achieve Substantial Completion of the entire Work within the Contract Time for Substantial Completion, Contractor shall pay City as liquidated damages the amount of —Five Hundred Dollars ($ 500.00) per day for each working day occurring after the first seven (7) working days of each month for non-completion of the preventative maintenance and One-Hundred Dollars ($ 100.00) for each hour late when responding to emergency situations per Contract Time for Substantial Completion until Contractor achieves Substantial Completion of the entire Work, as required by Article 3 of the General Conditions of Contract and Section B-1.07 of Exhibit B Special Provisions. Contractor Initial here: 5. CONTRACT SUM In consideration of the Contractor's full, complete, timely, and faithful performance of the Work required by the Contract Documents, City shall pay Contractor the sum of _ dollars/no cents ($ ), payable as set forth in the General Conditions ("Contract Sum"). STANDARD CONTRACT FORM 38 IN WITNESS WHEREOF,the parties have caused this Contract to be executed the date and year first above written. Executed at California. [Contractor's Corporate Seal] [Contractor]: By: An Authorized Signatory Printed Name: Title: Date: CITY OF VERNON: APPROVED AS TO FORM: By: By:_ _ Date: Date: CONTRACTOR'S SIGNATURE MUST BE NOTARIZED STANDARD CONTRACT FORM 39 LIVING WAGE COMPLIANCE CERTIFICATION This contract is subject to the City of Vernon's Living Wage Ordinance, Vernon Municipal Code Chapter 2, Article XVIII ("Ordinance"). The Ordinance requires that service contractors providing labor or services to the City by contract in excess of$25,000: ♦ Pay no less than ten dollars and thirty cents ($10.30)per hour with medical benefits, or eleven dollars and fifty-five cents ($11.55)per hour without medical benefits to all employees, as defined in the Ordinance who, at any time, provide labor or delivery services to the City of Vernon. Additionally, on July 1st of each year thereafter the Living Wage rate shall be adjusted by the change in the Federal Bureau of Labor Statistics Consumer Price Index, for the Los Angeles area, for the most recently available 12 month period. Accordingly, current City contractors will be required to adjust wage rates no later than July 1st, to remain in compliance. ♦ Notify employees who spend any of their time providing labor or delivering services to the City of Vernon who make less than twelve dollars ($12)per hour of their possible right to the federal Earned Income Tax Credit(EITC)under § 32 of the Internal Revenue Code of 1954, 26 U.S.C. § 32, and making available to such employees forms required to secure advance EITC payments. ♦ If there is a difference between the Vernon Living Wage rates and the California Prevailing wage rates for the same classification of labor, the Contractor and subcontractor shall not pay less than the highest wage rate for that classification. The selected contractor will be required to show compliance with the Living Wage Ordinance by submitting payroll records as requested by the City. Each record shall include the full name of each employee performing labor or providing services under the contract;job classification; rate of pay and benefit rate. Provisions of the Living Wage Ordinance may be waived in a bona fide collective bargaining agreement, but only if the waiver is explicitly set forth in clear and unambiguous terms. If this provision applies, you must provide a copy of the collective bargaining agreement to the City. I do hereby certify and declare under penalty of perjury that if awarded the contract for which this bid/proposal is made _ _ __will comply with the (Name of Company) requirements of the Vernon Living Wage Ordinance, Vernon Municipal Code Chapter 2 Article XVIII and the rules and regulations promulgated thereunder. I understand that failure to comply with the provisions of the Vernon Living Wage Ordinance may result in termination of the contract as well as other penalties as stated in Vernon Municipal Code Chapter 2 Article XVIII. (Name) (Title) (Signature) (Date) Please return this form with your bid/proposal. Questions concerning the Living Wage Ordinance should be directed to the Department of Finance—Purchasing Division 323.583.8811. STANDARD CONTRACT FORM 40 of vRh CERTIFICATE OF EQUAL OPPORTUNITY PRACTICES '""" p� Purchasing& Payables Division 4305 Santa Fe AvenueVernon,CA 90058 • (323)583-8811 Fax(323) 826-1433 Internet: www.cityofvernon.ori!/departments/finance nt4�'' rr 31�°�s�4 Article I. Affidavit of Equal Opportunity Employment& Non-segregation(Form AA-1) Article II. Vendor List Questionnaire(Forms AA-2 &3) In order to be placed to the City's vendor list and be eligible to receive City business, you must provide the following information except where indicated as "optional." By submitting this form you are declaring under penalty of perjury under the laws of the State of California and the laws of the United States that the information is true and correct. Furthermore, you are certifying that your firm will adhere to equal opportunity employment practices to assure that applicants and employees are not discriminated against because of their race, religion, color, national origin, ancestry, disability, sex or age. And, your firm does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location,under its control,where segregated facilities are maintained. Name of Company Business Telephone Address-_- Fax number (optional) City State Zip Contact Person E-mail Address (optional) Tax ID Number(or Social Security Number) Remit Address (if different) Please state clearly and concisely the type(s) of goods and services your company provides: The following section is OPTIONAL and is for statistical reporting purposes only. Ownership(please check all that apply): African-American Asian Armenian Hispanic Native American Disabled Female STANDARD CONTRACT FORM 41 Proiect Workforce Utilization (Form AA-2) This form is to be included in all bid documents for projects involving labor or services valued at $25,000 or more. Instructions: Please indicate the job titles/classifications to be used in the performance of this contract should it be awarded to your firm. Please indicate the number of employees in each job classification as well as the number of new hires, if any, as a result of this contract. Name of Company: Project: Job Titles/Classification Estimated number of existing staff to be employed Estimated number of new hires to be employed in this classification if awarded the contract in this classification if awarded the contract Are any current employees or potential new hires Vernon residents? If so, how many? STANDARD CONTRACT FORM 42 Current Permanent Workforce Utilization (Form AA-3) OPTIONAL Name of Company: Project: Completion of this form is OPTIONAL. Any information supplied by vendors is for reporting purposes only and will not be factored into the award of any contract. Instructions: Please indicate the number of employees in each Job Classification belonging to the following groups. White African-American Hispanic Asian/Pacific Native Armenian Male Female (not of Hispanic (not of Hispanic Islander American origin) origin) CLASSIFICATION Officials/ Managers Professionals Technicians Office/Clerical Skilled Craft Workers Operators (semi-ski lied) Laborers Service Workers TOTAL STANDARD CONTRACT FORM 43 EXHIBIT A GENERAL CONDITIONS ARTICLE 1 - PRELIMINARY PROVISIONS 1.01 DEFINITIONS The following words shall have the following meanings: A. Allowance. A line item cost estimate established by the City to be carried in the Base Bid sum, Contract Sum, and Schedule of Values for Payment for a particular item of Work, which cannot be sufficiently defined so as to allow Contractor to adequately determine fair value before the Bid Deadline. Allowances include estimated amounts established by the City for certain construction elements that have not yet been fully designed or authorized for inclusion in the Work or to permit deferred approval or selection of actual materials and equipment to a later date when additional information is available for evaluation. B. As-Builts. The documents prepared by Contractor showing the condition of the Work as actually built, including, without limitation, all changes and the exact locations of all mechanical, electrical, plumbing, HVAC or other portions of the Work that are shown diagrammatically in the Contract Documents. C. Base Bid. The total sum stated in the Bid Form for which the Bidder offers to perform Work described in the Contract Documents as the base Contract Work(e.g. not designated as part of a Bid Alternate). D. Bid. A complete and properly executed offer by the Bidder on City-prescribed forms to perform the Work for the prices stated in response to the Notice Inviting Bids. E. Bid Alternate. An item of Work described in the Contract Documents as an Alternate Bid that will be added to or deducted from the Base Bid and Contractor's responsibility only if the City accepts the Bid Alternate. F. Bid Forms: The City-prescribed forms which the Bidder shall complete and use to submit a Bid. The Bid Forms include: (1) Bidder's Proposal; (2) Schedule of Bid Prices; (3) Incumbency Certificate; (4) Bid Bond; (5) Bidder's Statement of Qualifications; (6) Experience Form; (7) Trades Experience Form; (8) Contractor Safety Questionnaire; (9) Designation of Subcontractors; (10) Affidavit of Non-Collusion; (11) Insurance Requirements Affidavit; and (12) forms included in the Specification required by the type of project funding(e.g.federal, ARRA, HUD,etc.). G. Bidder. The individual, partnership, firm, corporation, joint venture or other legal entity submitting a bid on these Contract Documents or any part thereof. H. Bidding Documents. Bidding Documents include the Bidding Requirements and the proposed Contract Documents. The Bidding Requirements consist of: (1) Notice Inviting Bids; (2) Instructions to Bidders; and (3) Bid Forms. The proposed Contract Documents consist of: (1) the Bidding Requirements; (2) the Construction Contract Between City and Contractor; (3) the Conditions of the Contract(General, Supplementary, and Special, if applicable); (4) all Exhibits to the Contract; (5) the ARTICLE 1 GC-1 of 90 Drawings; (6) the Specifications; (7) all Addenda issued prior to the execution of the Construction Contract; (8) all Modifications issued after the execution of the Construction Contract; and (9) Governmental Approvals, if any, including but not limited to,permits. I. Change Order. A Change Order is a written document prepared by the City reflecting the agreement between the City and Contractor for: a change in the terms or conditions of the Contract, if any; a specific Scope Change in the Work; the amount of the adjustment, if any, in the Contract Sum; and the extent of the adjustment, if any, in the Contract Time. J. Change Order Request (COR). A Change Order Request is a written document originated by Contractor, which describes an instruction issued by the City after the effective date of the Contract, which Contractor believes to be a scope change that may result in changes to the Contract Sum or Contract Time or, which describes the need for or desirability of a change in the Work proposed by Contractor. K. City or Owner. The City of Vernon, Califomia, acting through its City Council or other City officials authorized to act for the City, acting in its proprietary rather than regulatory capacity in connection with the Project. L. Construction Change Directive. A written order prepared and signed by the City directing a change in Work prior to agreement on adjustment, if any, in the Contract Sum or Contract Time,or both. M. Contract Documents. Contract Documents are enumerated in the Construction Contract between City and Contractor and consist of: (1)the Bidding Requirements; (2) the Construction Contract; (3) the Conditions of the Contract(General, Supplementary, and Special, if applicable); (4) all Exhibits to the Contract; (5)the Drawings; (6) the Specifications; (7) all Addenda issued prior to the execution of the Contract; (8) all Modifications issued after the execution of the Contract; and (9) Governmental Approvals, including, but not limited to, permits. The intent of the Contract Documents is to include all items necessary for the proper execution and completion of the Work by Contractor. The Contract Documents are complementary, and what is required by one shall be as binding as if required by all; performance by Contractor shall be required to the extent consistent with the Contract Documents and reasonably inferable from them as being necessary to produce the indicated results. N. Contract. Contract Documents form the Contract for Construction. The Contract Represents the entire and integrated agreement between the parties hereto and supersedes prior negotiations, representations, or agreements, either written or oral. The Contract may be amended or modified on by a Modification. The Contract Documents shall not be construed to create a contractual relationship of any kind between any persons or entities other than the Owner and Contractor. There shall be no third party beneficiaries of the Contract Documents. 0. Contract Sum. The total amount of compensation stated in the Construction Contract that is payable to Contractor for the complete performance of the Work in accordance with the Contract Documents. P. Contract Time. The total number of days set forth in the Construction Contact within which Substantial Completion of the Work must be achieved beginning with the Date of Commencement established in the Notice to Proceed, subject to adjustments in accordance with the terms of the Contract Documents. The Contract Time for Contractor's performance of the Work is measured in calendar days(not work days). ARTICLE I GC-2 of 90 Q. Contractor. The individual, partnership, firm, corporation, joint venture or other legal entity with whom the Contract is made by City, or the agent or legal representative who may be appointed to represent such individual, partnership, firm, corporation, joint venture or other legal entity in the execution of the Contract as general contractor for construction of the Work. R. Correction Period. Correction Period is synonymous with the terms of the correction guarantee period used in the Contract Documents. S. Date of Commencement. The date for commencement of the Work fixed by City in a Notice to Proceed to Contractor. T. Day. The terms "day" or "days" mean calendar days unless otherwise specifically designated in the Contract Documents. The term "Work Day" or "Working Day" shall mean any calendar day except Saturdays, Sundays and City-recognized legal holidays. U. Director. The Director of the Department of Public Works,Water&Development Services of the City of Vernon or his/her duly appointed representative. V. Drawings. The Drawings are the graphic and pictorial portions of the Contract Documents showing the design, location, and dimensions of the Work, generally including plans, elevations, sections, details,schedules,and diagrams. W. Extra Work. New or unforeseen work will be classified as Extra Work when determined by the City that the work is not described in, or reasonably inferable from,the Contract Documents,the work is not covered by any Bid line item or Allowance, and the work causes Contractor to incur additional and unforeseen costs. X. Field Directive. See, "Work Directive." Y. Final Completion. Final Completion is the stage of performance of the Work when (1) all Work required by the Contract Documents has been fully completed in compliance with the Contract Documents and all applicable laws including, but not limited to, correction or completion of all punch list items noted by City upon Substantial Completion; (2) Contractor has delivered to City an Application for Final Payment and all closeout documentation required by the Contract Documents; and (3) documentation of all final Governmental Approvals has been submitted to City including, but not limited to a final Certificate of Occupancy or equivalent Building Department sign-off has been issued covering the entire Project site without exception or conditions. Z. Force Majeure. "Force Majeure"includes but is not limited to declared or undeclared war,sabotage, insurrection, riot, or other acts of civil disobedience, labor disputes, fires, explosions, floods, earthquakes or other acts of God. AA. Fragnet. The sequence of new activities that are proposed to be added to an existing schedule. BB. Governmental Approval. Any approval, authorization, inspection,certification, consent, exemption, filing, permit, registration, plan check, ruling or similar authorization required by any federal, state or local law, regulation or procedures in order for Contractor to perform the Work. CC. Guarantee. Assurance to City by Contractor or product manufacturer or other specified parry, as guarantor, that the specified warranty will be fulfilled by the guarantor in the event of default by the warrantor. ARTICLE 1 GC-3 of 90 DD. Modification. A Modification is: (1) a written amendment to Contract signed by both parties; (2) a Change Order;or(3)a Construction Change Directive. EE_ Notice to Proceed. The Notice to Proceed is a document issued by the City fixing the date for Commencement for the Work. FF. Parties. The City and Contractor may be referred to in the Contract Documents from time to time as the Parties. GG. Permits. Governmental Approvals and Utility Fees as required by any agency. HH. Intentionally Omitted H. Project. The Project is the total construction of which the Work performed under the Contract Documents may be the whole or a part and which may include construction by the City or by separate contractors. JJ. Project Manual/Contract Package. The volumes of Contract Documents and reference documents assembled for the Work made available to Bidders. KK. Record Documents. The Drawings, Specifications, addenda, requests for information, bulletins, Change Orders and other modifications to the Contract Documents, approved shop drawings, product data, samples, mock-ups, permits, inspection reports, test results, daily logs, schedules, subcontracts, and purchase orders. Records Documents shall include a set of"As-Built" Drawings and Specifications, which shall be continuously updated during the prosecution of the Work. LL. Site. The physical area designated in the Contract Documents for Contractor's performance of the Work. NIM. Specifications. The Specifications are the volume(s) assembled for the Work that includes, without limitation, the Bidding Documents, the Construction Contract and Exhibits, the General Conditions, Supplementary and/or Special Conditions, if any, the "GREENBOOK" STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION (2015 Edition), the Standard flans for Public Works Construction (2012 Edition), State of California, Department of Transportation Standard Plans and Standard Specifications (2010 Edition), and the City of Vernon Standard Plans. NN. Specifications. The Specifications are that portion of the Contract Documents consisting of the written requirements for materials, equipment, systems, standards, and workmanship for the Work and performance of related services, including, but not limited to, the Project Technical Specifications, Standard Specifications, if any, and any applicable Trade Association Specifications. 00. Substantial Completion. Substantial Completion is defined to mean the stage in the progress of the Work when the Work is sufficiently complete in accordance with the Contract Documents as determined by the City so that the City can occupy and utilize the Work for its intended use and as further defined in the Contract Documents. PP. Unilateral Change Order. See"Work Directive." ARTICLE 1 GC-4 of 90 QQ. Utility Fees. The fees charged by any public, private,cooperative, municipal and/or government line, facility or system used for the carriage, transmission and/or distribution of cable television, electric power, telephone, water, gas, oil, petroleum, steam, chemicals, sewage, storm water or similar commodity including,but not limited to fees for temporary utilities and refuse hauling. RR. Warranty. Assurance to City by contractor, installer, supplier, manufacturer or other parry responsible as warrantor, for the quantity, quality, performance and other representations of a product,system service of the Work. SS. Work. The term "Work" means the construction and other services required by, and reasonably inferable from the Contract Documents, whether completed or partially completed, and includes all other labor, materials, equipment, and services provided or to be provided by Contractor to fulfill Contractor's obligations.The Work may constitute the whole or a part of the Project. TT. Work Directive. A Work Directive is a unilateral written order issued by the City directing Contractor to continue performance of the Work or to perform a disputed change in the Work prior to agreement or adjustment, if any, in the Contract Sum, Contract Time, or both. 1.02 REPRESENTATIVES A. Director shall be the representative of the City and,except as otherwise expressly provided herein, shall make all decisions and interpretations to be made by the City under the provisions of the Contract Documents. B. Contractor shall at all times be represented on the Work in person or by a duly designated agent. Instructions and information given by the Director to Contractor's agent on the Work shall be considered as having been given to Contractor. 1.03 PERMITS, INSPECTIONS, PLAN CHECKS, AND SIMILAR GOVERNMENTAL_APPROVALS AND UTILITIES A. City of Vernon shall obtain ail Governmental Approvals and Utility Fees required for the construction of the project. B. All documents evidencing Contractor's satisfaction with all Governmental Approvals and Utility Fees must be submitted to the City prior to submission of the Application for Final Payment. C. Where requirements of the Governmental Approvals differ from those of the Drawings and Specifications,the more stringent requirements shall apply. D. Contractor shall obtain a no-fee encroachment permit from the City of Vernon's Public Work, Water and Development Services Department. 1.04 LICENSES Contractor shall apply and pay for a City of Vernon business license. Additionally, Contractor shall apply for, obtain, and pay for all other licenses required by governing authorities for the Work. 1.05 ALLOWANCES ARTICLE 1 GC-5 of 90 A. Contractor shall include in the Contract Sum and Schedule of Values for Payment, the City's estimated cost established for each Work item covered by an Allowance stated in the Contract Documents. See Paragraph 1.01 for definition of Allowance. B. The line item cost estimate established by the City for Work covered by an Allowance includes the cost to Contractor of: all materials and equipment, preparation of submittals; labor; transportation; delivery; handling; installation; supervision; overhead; profit; licenses; bonds; insurance; all sales, use and other taxes legally chargeable;and all other costs and expenses incidental to such Work. C. Work items covered by Allowances shall be supplied with such materials and equipment and for such prices approved in advance by City. Contractor shall notify and request City's approval of material equipment, and pricing information for Work covered by an Allowance before ordering the material or equipment and in sufficient time to avoid delay to the Work. City shall provide approval of materials, equipment,and prices with reasonable promptness. The material, equipment, and pricing information submitted by Contractor to the City's Project Manager shall, at a minimum, include product data and detailed costs of material, equipment, and labor to complete such Work, itemized by costs incurred by Contractor and each subcontractor associated with the performance of such Work. Contractor shall not order materials or equipment or proceed with Work covered by an Allowance until the material, equipment, and pricing information for such Work items have been submitted to the City's Project Representative for review and Contractor has received City's approval to proceed with a Work item covered by an Allowance. D. All expenditures for Allowance Work shall be separately itemized in each Application for Payment. E. To the extent that the cost of Work items covered by an Allowance is less than the Allowance cost estimate established by the City,the Contact Sum shall be reduced by Change Order or Construction Change Directive to reflect the actual cost of the Allowance item. Similarly, to the extent the cost of Work items covered by an Allowance is greater than the Allowance cost estimate, the Contract Sum shall be increased by Change Order or Construction Change Directive to reflect the actual cost of the Allowance item. If Work items covered by an Allowance are not performed or the City deletes such items from the Scope of Work, the Contract Sum shall be reduced by Change Order or Construction Change Directive to deduct the Cost of the unused Allowance item. 1.06 WAIVER A waiver by City of any breach of any term, covenant, or condition contained in the Contract Documents shall not be deemed to be a waiver of any subsequent breach of the same or any other term, covenant, or condition contained therein,whether of the same or a different character. 1.07 DATA TO BE FURNISHED BY CONTRACTOR Contractor shall furnish the Director with such information as the Director may desire respecting the character of the materials and the progress and manner of the Work, including all information necessary to determine Contractor's costs, such as the number of persons employed, their pay, the time during which they worked on the various classes of construction,and other pertinent data. 1.08 CONTRACT DRAWINGS The City will accept no responsibility for errors resulting from misinterpretation or scaling of the Drawings. ARTICLE 1 GC-6 of 90 1.09 SPECIFICATIONS AND DRAWINGS A. Contractor shall keep on the Work Site a copy of all Specifications, Drawings, and Change Orders pertaining to the Work and shall at all times give the Director access thereto. Anything mentioned in the Specifications and not shown on the Drawings or shown on the Drawings and not mentioned in the Specifications shall be of like effect as though shown or mentioned in both. B. In general, the Drawings will show dimensions, positions, and kind of construction; and the Specifications will define materials, quality, and standards. Any Work not particularly detailed, marked or specified,shall be the same as similar parts that are detailed, marked or specified. C. The Drawings shall not be scaled to determine dimensions, and in all cases shall be calculated from figures shown on the Drawings. Any discrepancies between scale and figured dimensions, not marked "not to scale," must be brought to the Director's attention before proceeding with the Work affected by the discrepancy. D. Omissions from the Drawings and/or Specifications shall not relieve Contractor from the responsibility of furnishing, making, or installing all items required by law or code, or usually furnished, made or installed in a project of the scope and general character indicated by the Drawings and Specifications. E. For convenience, the Drawings and Specifications may be arranged in various trade subparagraphs, but such segregation shall not be considered as limiting the Work of any subcontract or trade. The Contractor shall be solely responsible for all subcontract arrangements of the Work regardless of the location or provision in the Drawings and Specifications. F. The City will furnish free of charge to Contractor, a maximum of six (6) sets of Contract Drawings and Specifications. Contractor shall pay for the costs of any additional sets or portions thereof. Contractor shall be responsible to see that all sets are the same as the up-to-date approved set. 1.10 PRECEDENCE OF CONTRACT DOCUMENTS A. In the event of conflict between any of the Contract Documents, the provisions placing a more stringent requirement on Contractor shall prevail. Contractor shall provide the better quality or greater quantity of Work and/or materials unless otherwise directed by City in writing. In the event none of the Contract Documents place a more stringent requirement or greater burden on Contractor, the controlling provision shall be that which is found in the document with higher precedence in accordance with the following order of precedence: 1. Governmental Approvals including, but not limited to,permits required for the Work 2. Modifications issued after execution of the Contract (including modifications to Drawings and Specifications) 3. The Contract, including all exhibits, attachments, appendices and Addenda, with later Addenda having precedence over earlier Addenda a. Special Conditions, if any 5. General Conditions ARTICLE 1 GC-7 of 90 6. Specifications 7. Drawings 8. Bidding Requirements B. With reference to the Drawings,the order of precedence is as follows: t. Change Order Drawings 2. Addenda Drawings 3. Contract Drawings 4. Project Drawings 5. Standard Drawings 6. Detail Drawings 7. General Drawings B. Figures 9. Scaled dimensions C. Within the Specifications,the order of precedence is as follows: 1. Change Orders 2. Special Conditions 3. Project Technical Specifications 4. Standard Specifications, if any 5. Applicable Trade Association Specifications 1.11 NOTICE OF CONFLICTS If Contractor, in the course of the Work, becomes aware of any claimed conflicts, errors or omissions in the Contract Documents or in the City's fieldwork or work of City's separate contractors, Contractor shall immediately notify Director in writing. Director shall promptly review the matter, and if Director finds a conflict, error or omission, Director shall determine the corrective actions and advise Contractor accordingly. If the correction associated with a conflict, error or omission increases or decreases the amount of Work called for in the Contract, the City shall issue an appropriate Change Order in accordance with the Contract Documents. After discovery of an error or omission by Contractor, any related additional work performed by Contractor shall be done at Contractor's risk unless authorized by the Director. ARTICLE 1 GC-8 of 90 1.12 REPORTS A. Daily Construction Reports: Contractor shall prepare a daily construction report recording the following information concerning events at Project site: 1. List of Subcontractors at Project site. 2. List of other contractors at Project site. 3. Approximate count of personnel at Project site. 4. Equipment at Project site. 5. Material deliveries. 6. High and low temperatures and general weather conditions, including presence of rain or snow. 7. Accidents. 8. Meetings and significant decisions. 9. Unusual events. 10. Stoppages,delays, shortages,and losses. 11. Meter readings and similar recordings. 12. Emergency procedures. 13. Orders and requests of authorities having jurisdiction. 14. Change Orders received and implemented. 15. Construction Change Directives received and implemented. 16. Services connected and disconnected. 17. Equipment or system tests and startups. 18. Partial completions and occupancies. 19. Substantial Completions authorized. 20. List of visitors to Project Site. 21. List of personnel at Project Site including names and job classifications. 22. Description of Work for the day including locations,quantities and related bid items. Immediately upon discovery of a difference between field conditions and the Contract Documents, Contractor shall prepare and submit a detailed report through a Request for Information (RFI). Include a detailed description of the differing conditions,together with recommendations for a remedy. The Daily Construction Report must be: signed by Contractor's Superintendent, submitted within 24 hours (next Working Day)to the Director,and shall be made available to others as directed by City. 1.13 LINES,GRADES,AND MEASUREMENTS A. All lines and grades will be established by Contractor. Contractors shall carefully preserve all survey stakes and reference points as far as possible. Should any stakes or points be removed or destroyed unnecessarily by any act of Contractor or his/her employees, they must be reset to the satisfaction of the Director,at Contractor's expense. B. Contractor shall inform the Director 4B hours (two Work Days) in advance of the times and places at which he/she intends to Work in order that inspection may be provided, and that necessary measurements for records and payments may be made with minimum inconvenience. C. No direct payment will be made for the cost to Contractor of any of the Work or delay occasioned by giving lines and grades,by making other necessary measurements,or by inspection. ARTICLE 1 GC-9 of 90 1.14 RIGHT OF WAY A. The site for the installation of equipment or the right of way for the Work to be constructed under this Contract will be provided by the City. B. The City will provide the appropriate rights of way and property for pipelines and structures. Upon approval by the Director, Contractor may, without cost, use portions of any of the City's rights of way or property which may be suitable for working space and for storage of equipment and materials. Contractor will be held responsible for any damage to structures, streets, and roads, trees and landscaping, and for any damage that may result from his/her use of City property. C. In case areas additional to those available on the City's rights of way or property are required by Contractor for his/her operations, he/she shall make arrangements with the property owners for the use of such additional areas at his/her own expense. 1.15 CONTRACTOR'S OPERATIONS/STORAGE YARD In the event Contractor requires space for the storage and/or staging of construction materials, supplies, equipment, stockpiling of debris, or any other needs required for construction operations, he/she shall acquire at his/her own expense such areas as he/she may desire. For properties within the City,the staging area must be enclosed at Contractor's expense with construction fencing covered with a mesh screen to limit visibility to the site. Private property used for storage of construction material or debris shall be restored to a legal condition with regard to appearance and maintenance upon conclusion of the project. Property should be graded and free of weeds and debris when project is completed. [END OF ARTICLE] ARTICLE 1 GC-10 of 90 ARTICLE 2-PERFORMANCE OF THE WORK 2.01 PERFORMANCE OF WORK-GENERAL Contractor shall, at its own cost and expense, furnish all necessary materials, labor, transportation, and equipment for doing and performing said Work and the materials used shall comply with the requirements of the Contract Documents. All Work shall be performed and completed as required in the Contract Documents, and subject to the approval of the Director, or his/her designated assistant. 2.02 NO ASSIGNMENT OR DELEGATION Contractor shall not assign or delegate the duties or obligations under this Contract or his/her interest therein in whole or in part without the prior written consent of the City which may be withheld at the City's sole discretion. 2.03 STANDARD OF PERFORMANCE Contractor agrees that all services performed hereunder shall be provided in a manner commensurate with the highest professional standards and shall be performed by qualified and experienced personnel; that any Work performed by Contractor under the Contract will be performed in the best manner; that any material furnished shall be subject to the approval of the Director; and that both Work and materials will meet fully the requirements of the Contract Documents. Any work deemed unacceptable by the Director,whether a cause is determined or not shall be repaired or replaced by Contractor at Contractor's expense. Contractor shall be responsible for the final product and shall make any quality control, adjustments and corrections necessary to obtain the final product accepted by the City Engineer. Contractor shall perform process and quality control sampling and testing and exercise management control the work of his/her subcontractors, technicians and workers to ensure that the milling, transporting, recycling, spreading, compaction, and finishing processes conform to these Specifications. The proficiency of testing laboratories and sampling and testing personnel shall be reviewed and approved by the City Engineer prior to providing services to the project.The City Engineer shall have unrestricted access to the laboratory, sampling,testing sites, and all information resulting from mix design and quality control activities. All Quality Control testing results shall be submitted to the City Engineer on a daily basis. 2.04 DEFECTIVE WORK Within the time periods that the City specifies, Contractor shall correct all deficient, improperly executed, or unsatisfactory Work determined by the City. Contractor shall remove and shall repair or replace, at his/her own expense any part of the Work that is deficient, improperly executed, or unsatisfactorily executed, even though it has been included in the monthly estimates. If he/she refuses or neglects to remove, repair, or replace such defective Work, prior to the City's acceptance of the Work, it may be replaced by the City at the expense of Contractor, plus 15% for overhead expenses, and his/her sureties shall be liable therefor. (See Paragraph 2.15 for curing defects after acceptance of the Work.) ARTICLE 2 PAGE-11 of 90 2.05 CITY'S RIGHT TO CARRY OUT THE WORK A. Notwithstanding other remedies available to the City, if Contractor defaults, fails to perform Work required by the Contract Documents, or otherwise neglects to carry out the Work in accordance with the Contract Documents and fails within a 48 hour period after receipt of written notice from the City to commence and correct such default, failure to perform, or neglect with diligence and promptness, the City, at its sole discretion and without obligation, may, with its own or outside forces, perform the Work Contractor has failed to perform and/or replace or correct deficiencies in the Work. In such case, a Change Order or Construction Change Directive shall be issued deducting from payments then or thereafter due to Contractor the cost of completion, replacement or correction of such deficiencies, including compensation for additional services by the City's project management staff, the Architect, and their respective consultants made necessary by such default, failure to perform, or neglect, plus 15% for City's overhead expenses. If payments then or thereafter due Contractor are not sufficient to cover such amounts,Contractor shall pay the difference to the City immediately. This remedy is cumulative. B. The City also has the right, but not the obligation, to self-perform or have outside forces perform portions of the Work previously assigned to Contractor. In such case a Change Order or Construction Change Directive shall be issued, reducing the Contract Sum by the Unit Price(s) applicable to such deleted Work or, in the absence of Unit Prices, an amount that reflects the reasonable cost of performing such deleted Work and the Allowable Mark-Up applicable to such deleted Work. 2.06 COMMUNICATIONS AND NOTICES REGARDING THE WORK A. Notices under the Contract Documents shall be in writing and (a) delivered personally, (b) sent by certified mail, return receipt requested, (c) sent by a recognized overnight mail or courier service, with delivery receipt requested, or(d)sent by facsimile communication followed by a hard copy and with receipt confirmed by telephone, to the following addresses (or to such other address as may from time to time be specified in writing by such Person): All correspondence with Contractor shall be sent to the following address: Attention: Phone: Facsimile: ARTICLE 2 PAGE-12 of 90 All communications shall be copied to City and shall be delivered to City's Director at the address set forth below,with copies to such additional persons as may be directed by City's Director. City of Vernon Department of Public Works,Water&Development Services 4305 Santa Fe Avenue Vernon, CA 90058 Attention: Vince Rodriguez Phone: (323) 583-8811 ext.220 Facsimile: (323)826-1435 E-mail: vrodrigu�ernon.ca.us B. Notices shall be deemed received when actually received in the office of the addressee (or by the addressee if personally delivered) or when delivery is refused, as shown on the receipt of the U. S. Postal Service, private carrier or other Person making the delivery. Notwithstanding the foregoing, notices sent by facsimile after 4:00 p.m. Pacific Standard or Daylight Time (as applicable) and all other notices received after 5:00 p.m. shall be deemed received on the first Working Day following delivery(that is, in order for a fax to be deemed received on the same day, at least the first page of the fax must have been received before 4:00 p.m.). Any technical or other communications pertaining to the Work shall be conducted by Contractor's Project Manager and technical representatives designated by City. Contractor's representatives shall be available at all reasonable times for consultation, and shall be authorized to act on behalf of Contractor in matters concerning the Work. C. Contractor shall copy City on all written correspondence pertaining to the Contract between Contractor and any Person other than Contractor's Subcontractors,consultants and attorneys. D. Notification of Affected Residents/Businesses—Contractor shall be responsible for distribution of the general information letter of the project to all affected residents and businesses. A project general information letter and sufficient copies thereof will be prepared by City staff for Contractor distribution to all residents, business establishments, and institutions fronting on or directly affected by the project. Contractor shall be responsible for distribution of said letter in handout form to all the appropriate residences and buildings in the subject area. Distribution shall be accomplished in a manner acceptable to the City Engineer and shall be five (5) Working Days prior to the beginning of construction operations in the immediate vicinity. In addition to the above, Contractor shall be fully responsible for such other notifications as may be required related to necessary closures of streets, alleys, driveways, etc., or to unavoidable access or parking restrictions. These notifications shall apply where the closures and access or parking restrictions required in the performance of any work under this contract preclude any resident, tenant, or property owner from utilizing the premises or conducting business thereon in a reasonable and customary manner. Additional notification to the affected businesses and residents shall be prepared by the City and distributed by Contractor for roadway and driveway closures five (5) Working Days in advance of any construction work. No removal or excavation work is allowed until the additional notification has been distributed to the affected residents and businesses. ARTICLE 2 PAGE-13 of 90 If a Contractor is unable to adhere to his schedule as indicated on his written notification,then all the affected residents and places of business shall be re-notified of the revised schedule, in writing, as indicated above. Contractor costs for all of the above notifications shall be considered as included in the appropriate items of the Bid Proposal. E. Notification of Utilities—The provisions of Section 5 entitled "Utilities" of the "Greenbook" Standard Specifications shall apply. Contractor shall contact the Underground Service Alert of Southern California(U.S.A.)at least two(2)Working Days in advance of the construction work 2.07 INDEPENDENT CONTRACTOR Contractor in the performance of the Work hereunder will be acting in an independent capacity and not as an agent,employee, partner,or joint venture of the City. 2.08 EMERGENCY WORK A. During Working Hours: In case of an emergency which threatens loss or injury of property,and/or safety of life during working hours,Contractor shall act,without previous instructions from the City,as the situation may warrant. He/she shall notify the Director of the emergency and the action taken immediately thereafter. Any compensation claimed by Contractor, together with substantiating documents in regard to expense, shall be submitted to the Director within 15 calendar days after the emergency. Compensation, if allowed,will be paid for as Extra Work. B. Outside of Working Hours: Whenever, in the opinion of the City, there shall arise outside of the regular Working hours on the Contract Work of an emergency nature which threatens loss or injury of property, or danger to public safety, Contractor shall act, without previous instructions from the City as the situation may warrant. He/she shall notify the Director of the emergency and the action taken immediately thereafter. Any compensation claimed by Contractor, together with substantiating documents in regard to expense, shall be submitted to the Director within 15 calendar days after the emergency. Compensation, if allowed, will be paid for as Extra Work. Contractor is to use every effort to relieve the emergency condition. As a last resort, in order to alleviate the emergency condition only and in the event Contractor is not able to respond to an emergency outside of regular working hours,the City's forces will handle such emergency work. If such emergency arises out of or is the result of operations by Contractor, the cost of the corrective measures will be billed to Contractor and deducted from his/her payment as provided in the Contract Documents. The performance of emergency Work by City forces will not relieve Contractor of any of his/her responsibilities, obligations, or liabilities under the Contract. 2.09 SUBCONTRACTORS A. Each subcontract shall contain a reference to the Contract between the City and the principal Contractor, and the terms of the Contract and all parts thereof shall be made part of each subcontract insofar as applicable to the Work covered thereby. If, in the Director's opinion,the Subcontractor fails to comply with the requirements of the principal Contract insofar as the same may be applicable to the Subcontractor's Work,the Director may disqualify the Subcontractor. ARTICLE 2 PAGE-14 of 90 B. Nothing contained in these Contract Documents shall be construed as creating any contractual relationship between any Subcontractor and the City. C. Contractor shall be considered the employer of the Subcontractors and shall be fully responsible to the City for the acts and omissions of Subcontractors and of persons employed by them as the Contractor is for the acts and omissions of persons directly employed by him/her. D. Contractor shall be responsible for the coordination of the trades, Subcontractors, and material suppliers engaged upon the Work. It shall be Contractors duty to see that all of his/her Subcontractors commence their Work at the proper time and carry it on with due diligence so that they do not delay or injure either the Work or materials; and that all damage caused by them or their workers is made good at his/her expense. E. The City will not undertake to settle differences between Contractor and his/her Subcontractors or between subcontractors. F. Contractor shall utilize the services of specialty Subcontractors, without additional expense to the City,on those parts of the Work which are specified to be performed by specialty contractors. 2.10 USE OF FACILITIES PRIOR TO COMPLETION OF CONTRACT A. Whenever in the opinion of the Director any Work under the Contract,or any portion(s)thereof, is in a condition suitable for use by the City, the City may, after written notice and designation from the Director to Contractor, use(which includes,but is not limited to,taking over or placing into service) any portion(s)designated by the Director. B. The use of any portion(s) by the City shall not be construed as, and will not constitute acceptance in any sense, of any portion(s) of the Work of Contractor nor will such use trigger the running of any warranty and/or guarantee periods. C. All necessary repairs, renewals,changes, or modifications in the Work or any portion thereof so used, not due to ordinary wear and tear, but due to defective materials or workmanship, the operations of Contractor,or any other cause,shall be made at the expense of Contractor. D. The use of any portion(s) by the City shall not relieve Contractor of any of his/her responsibilities or liabilities under the Contract nor constitute a waiver by the City of any of the conditions thereof. Said use shall not cancel liquidated damages as of the first date of use, or any continuance thereof, nor impair, reduce, or change the amount of liquidated damages. 2.11 COOPERATION WITH OTHER WORK FORCES A, City reserves the right to perform other Work at or near the site at any time by the use of its own forces or other contractors. B. Other contractors, other utilities and public agencies or their contractors, other City contractors, and City personnel may be working in the vicinity during the project construction period. There may be some interference between these activities and the Work under the Contract Documents. The Contractor shall cooperate and coordinate his/her Work with that of other Work forces to assure timely Contract completion. ARTICLE Z PAGE-15 of 90 2.12 AGREEMENTS WITH PROPERTY OWNERS Agreements with property owners for storing excavated material, storing any other materials, or for any other purpose related to the Work shall be made in writing and a copy submitted to the Director for his/her information. All storage charges shall be at Contractor's sole expense. 2.13 PROTECTION OF PROPERTY All public and private property, pavement or improvement, shall be safely guarded from damage or loss in connection with this Contract by Contractor at all times. Should any facility, structure, or property be damaged during operations of Contractor, he/she shall immediately notify the property owners or authorities. All damages and losses incurred shall be paid by Contractor. 2.14 CONTRACTOR'S RESPONSIBILITIES FOR LOSSES OR LIABILITIES A. Risk of Loss Contractor shall bear all losses resulting to him/her on account of the amount or character of the Work, or from any unforeseen obstructions or difficulties which may be encountered, or from any encumbrances on the line of the Work, or because the nature of the ground in or on which the Work is done is different from what is assumed. Contractor shall bear the risk for any City equipment, material,or supplies with which he/she has been entrusted. B. Materials and Facilities Contractor shall be responsible for materials and facilities as hereinafter provided and in the event of his/her failure to carry out said responsibilities, the same may be carried out by the City at the expense of Contractor: 1. Contractor shall be responsible for any materials so furnished and for the care of all Work until its completion and final acceptance, and he/she shall at his/her own expense replace damaged or lost materials and repair damaged parts of the Work. 2. Contractor shall protect City facilities from damage resulting from his/her Work. City facilities damaged by,or as a result of, Contractor's Work under this Contract shall be repaired or replaced,as directed by the Director,at Contractor's expense. 3. Contractor shall remove from the vicinity of the completed Work all buildings, rubbish, unused material,concrete fors,and other materials belonging or used under his/her direction during construction. If Contractor fails to completely remove such items within a reasonable time the City may do so at Contractors expense. C. Laws and Regulations t. Contractor shall obey all laws, ordinances, and regulations in any manner affecting those engaged or employed on the Work, or the materials used in the Work, or in any way affecting the conduct of the Work, and of all court orders and decrees having any jurisdiction or authority over the same. If any discrepancy or inconsistency should be discovered in this Contract, or in the Drawings or Specifications herein referred to, in relation to any such law, ordinance, regulation, order, or decree, he/she shall immediately report the same in writing to the Director. ARTICLE 2 PAGE-16 of 90 2. Contractor shalf, at all times, cause all his/her agents and employees to observe and comply with all such applicable laws, ordinances, regulations, orders, and decrees in effect or which may become effective before Final Completion of this Contract. 3_ Nothing in the Contract Documents shall be construed to permit Work not conforming to such laws, ordinances, and regulations. If Contractor ascertains at any time that any requirement of this Contract is at variance with such applicable law requirement, he/she shall immediately notify the Director. 4 If such applicable law requirement was not in effect on the date of submission of bids, any necessary adjustment of the Contract price shall be made as provided in Article 6 herein. If such applicable law requirement was in effect on said date of bid submission, no adjustment of Contract price will be considered. 5. Contractor, at hismer own expense, shall pay all taxes properly assessed against his/her equipment, materials,or property used or required in connection with the Work. 2.15 WARRANTY AND CORRECTIONS A. Warranty 1. Warran . Contractor warrants to the City that: (i)materials and equipment furnished under the Contract will be of good quality and new unless otherwise required or permitted by the Contract Documents; (ii)the Work will be of good quality and free from defects; (iii)the Work will conform to the requirements of the Contract Documents; and (iv) Contractor will deliver the Project free of stop notice claims. Work not conforming to these requirements, including substitutions not accepted by the City, will be deemed defective. Contractor's warranty excludes improper or insufficient maintenance, improper operation, or normal wear and tear and nonnal usage. If required by the City, th Contractor shall furnish satisfactory evidence as to the kind and quality of materials and equipment. This warranty is not limited by the correction obligation of Paragraph 2.04 herein. 2. Overlap. Where any warranties provided under the Contract Documents overlap,conflict, or are duplicative,Contractor will be bound by the more stringent requirements. 3. Procurement and Assignment of Warranties: Contractor shall obtain in the name of City, or transfer or assign to City or City's designee prior to the time of Final Completion of the Work, any and all warranties or guarantees which Contractor is required to obtain pursuant to the contract Documents and which Contractor obtained from any other person or entity other than Contractor including, but not limited to, Subcontractors and manufacturers, and further agrees to perform the Work in such a manner so as to preserve any and all such warranties. Contractor shall secure written warranties from all Subcontractors. Contractor and its Subcontractors shall offer any warranty upgrades or extensions that are offered by manufacturers of any equipment or system installed in the Work to the City. Contractor shall deliver to City all warranty and guarantee documents and policies. 4. Survival of Warranties: The provisions of this paragraph 2.15 will survive Contractor's completion of the Work or termination of Contractor's performance of the Work. S. Correction of Work ARTICLE 2 PAGE-17 of 90 1. Before or After Final Completion. Contractor shall promptly correct Work rejected by the City or City's designee, as failing to conform to the requirements of the Contract Documents, whether discovered before or after Final Completion and whether or not fabricated, installed, or completed. Costs of correcting such rejected Work, including additional testing, inspections, and compensation for the C4's services and expenses made necessary thereby, will be at Contractor's expense within the Contract Price. 2. After Final Completion. (a) In addition to Contractor's warranty obligations under Paragraph 2.15-A, if, within one (1) year after the date of Final Completion of the Work or within the time period established by any applicable special warranty required by the Contract Documents, any of the Work is found to be not in accordance with the requirements of the Contract Documents, Contractor shall commence correction or replacement of such Work within forty-eight (48) hours after receipt of written notice from the City to do so. Contractor shall perform such corrective work without charge or cost to the City after Final Completion of the Work. The City shall give such notice promptly after discovery of the condition. (b) If Contractor fails to commence correction or replacement of non-conforming Work within forty-eight (48) hours after receipt of written notice, the City will proceed to have defects repaired or replaced at the expense of Contractor and its Performance Bond surety, plus fifteen percent (15%) for the City's overhead and administrative expense. The City may charge such costs against any payment due Contractor. If, in the opinion of the City, defective work creates a dangerous or hazardous condition or requires immediate correction or attention to prevent further loss to the City or to prevent interruption of operations of the City, the City may take immediate action, give notice, make such correction, or provide such attention and the cost of such correction or attention will be charged against Contractor. Such action by the City will not relieve Contractor of the warranties provided in this Article or elsewhere in the Contract Documents. 3. Reiplacement or Removal of Defective or Unauthorized Work. Contractor shall remove from the Site and replace those portions of the Work which are not in accordance with the requirements of the Contract Documents in a manner acceptable to and as ordered by the Director. No compensation shall be allowed for such removal or replacement. Director shall have authority to cause defective work to be remedied, removed or replaced and to deduct the costs from monies due or to become due to Contractor. 4. Destruction or Damage. In the event Contractor destroys or damages any construction of the City or another contractor while correcting or removing Work which is not in accordance with the requirements of these Contract Documents, Contractor shall bear the cost of repairing or reconstructing that other construction as well. 5. No Limitation. Nothing contained in Paragraph 2.15-B will be construed to establish a period of limitation with respect to other obligations which Contractor might have under the Contract Documents. Establishment of the one-year period for correction of Work as described in Paragraph 2.15-B relates only to the specific obligation of Contractor to correct the Work, and has no relationship to the limitations periods established by statute for any construction defect or other causes of action. ARTICLE 2 PAGE-18 of 90 2.16 CLEANING AND ENVIRONMENTAL CONTROLS Contractor, Subcontractors and employees shall comply with ail litter and pollution laws and it shall be the responsibility of Contractor to ensure compliance. Contractor shall do all of the following: A. Maintain the Site free of waste materials, debris, and rubbish and in a clean and orderiy condition; and Remove waste materials,debris and rubbish from site and dispose off-site legally. B. Maintain at his/her disposal any and all equipment necessary to prevent and remediate any sanitary sewer overflow arising out of the Work. Contractor shall furnish and operate a self-loading motor sweeper with spray nozzles, as directed by the Director,to maintain the affected areas in a condition of cleanliness acceptable to the City at all locations affected by Contractor's operations. For purposes of this Paragraph, the affected areas include the project Site as well as all haul routes to and from the project Site and ail areas of construction and restoration which have not been completed. C. Contractor shall take appropriate action to ensure that no dust originates from the project Site. D. Any equipment or vehicles driven and/or operated within or adjacent to a street gutter, storm drain, runoff conveyance or ocean shall be checked and maintained daily to prevent leaks of materials that if introduced to water could be deleterious to aquatic life. E. No debris,soil,silt,sand, bark,trash,sawdust, rubbish,cement or concrete or washings thereof,oil or petroleum products or other organic or earthen material from any construction, or associated activity or whatever nature shall be allowed to enter into or placed where same 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. 2.17 WATER POLLUTION CONTROL A. Contractor shall comply with the requirements of Vernon Municipal Code Chapter 21, Article 5 regarding Storm Water controls. B. Water Quality Protection Requirements for Construction Projects with Less than One (1) Acre of Disturbed Soil. All construction projects, regardless of size, will be required to implement best management practices (BMPs) necessary to reduce pollutants to the Maximum Extent Practicable (MEP) to meet the minimum water quality protection requirements as defined in Table 2-1. Table 2-1 Minimum Water Quality Protection Requirements for Construction Projects Category Minimum Requirements BMPs 1. Sediment Control Sediments generated on the project site shall be retained Sediment Control using adequate Treatment Control or Structural BMPs. 2. Construction Materials Construction-related materials,wastes, spills or residues Site Management; Control shall be retained at the project site to avoid discharge to Material and Waste streets,drainage facilities, receiving waters,or adjacent Management ARTICLE 2 PAGE-19 of 90 properties by wind or runoff. Non-storm water runoff from equipment and vehicle washing and anv_other activity shall be contained at the project sites. 3. Erosion Control Erosion from slopes and channels shall be controlled by Erosion Control implementing an effective combination of BMPs, such as the limiting of grading scheduled during the wet season; inspecting graded areas during rain events; planting and maintenance of vegetation on slopes; and covering erosion susceptible slopes. Please refer to the California Stormwater Quality Association's Construction Handbook(available on their website: www.cabm handbooks.com)for further information regarding the BMPs listed in Table 2-1. C. Water Quality Protection Requirements for Construction Projects with One (1) Acre (or greater) of Disturbed Soil. In addition to the minimum BMPs required in Paragraph A, all construction projects where at least one (1) acre of soil will be disturbed, construction activity that results in land surface disturbances of less than one acre if the activity is part of a larger common plan of development, or the sale of one or more acres of disturbed land surface requires the latest version of the Construction Activities Storm Water General Permit. Prior to commencement of construction activities, the Permit Registration Documents (PRDs) must be submitted electronically in the Storm Water Multi-Application Report Tracking System (SMARTS) (htto:rlsmarts.waterboards.ca.govismartslfa S Srnartr>Ain.' . PRDs consist of the Notice of Intent, Risk Assessment, Post-Construction Calculations, a Site Map, the Storm Water Pollution Prevention Plan (SWPPP), a signed certification statement by the Legally Responsible Person (LRP), and the first annual fee. See: http;l,+www.swrcb.ca.gM1wa1e� issueslprogramsJstormwatericonstwion_shtml for more information. A Waste Discharger Identification (WDID) will be emailed to the LRP after the PRDs have been submitted and are deemed complete. Construction activities cannot begin until a WDID is issued by the State Water Resources Control Board. Contractor shall bear the costs of any delays to the Project caused by a delay in obtaining its WDID. The SWPPP shall include: 1. The name, location, period of construction, and a brief description of the project; 2. Contact information for the owner and contractor; 3. The building permit number for the project; 4. The grading permit number for the project(where applicable); 5. A list of major construction materials, wastes, and activities at the project site; 6. A list of best management practices to be used to control pollutant discharges from major construction materials, wastes, and activities; 7. A site plan (construction plans may be used) indicating the selection of BMPs and their location where appropriate; 8. Non-storm water discharges, their locations, and the BMPs necessary to prevent the discharge; 9. A maintenance and self-inspection schedule of the BMPs to determine the effectiveness and necessary repairs of the BMPs; and 10. A certification statement that all required and selected BMPs will be effectively implemented. ARTICLE 2 PAGE-20 of 90 Within seven (7) days after the City awards the Contract, Contractor shall submit seven 7 copies of the proposed SWPPP to the City. The City shall review the SWPPP within 14 days of receipt of the plan. If revisions are required, Contractor shall revise and re-submit the document within seven (7) days of its receipt of the City's comments. The City shall then have seven (7) days to consider the revisions made by Contractor and approve the SWPPP. Contractor shall maintain a minimum of two (2) readily accessible copies of the SWPPP at the Project site. The SWPPP shall be made available upon request of a representative of the Los Angeles Regional Water Quality Control Board (LARWQCB) or the U.S. Environmental Protection Agency (U.S. EPA). Requests by environmental groups and the public shall be directed to the City. D. Best Management Practices The objective of the SWPPP is to identify potential sources of pollution that may reasonably affect the quality of storm water discharge associated with construction activities. The plan will describe and ensure the implementation of Best Management Practices (BMPs) which will be used to reduce pollutants in the storm water discharges from the construction site. A Best Management Practice is defined as any program, technology, process, operating method, measure, or device that controls, prevents, removes, or reduces pollution. Contractor shall select appropriate BMPs from the California Stormwater BMP Handbook, Municipal, Industrial, New Development, and Construction Volumes (www.cabmphandbooks.com] in conjunction with all activities and construction operations. Copies of the California Stormwater BMP Handbooks may be obtained from: California Stormwater Quality Association Cashier P.O. Box 2105, Los Angeles County DPW Menlo Park, CA 94026-2105 900 South Fremont Avenue Phone: (650)366-1042 Alhambra, CA 91803 E-mail: info@casga.org Tel. No. (626)458-6959 www.cabmphandbooks.com E. Implementation Contractor will be responsible throughout the duration of the Project for the installation, monitoring, inspection and maintenance of the BMPs included in the SWPPP and for removing and disposing of temporary BMPs. Contractor may be required to implement additional BMPs as a result of changes in actual field conditions,contractor's activities, or construction operations. Contractor shall demonstrate the ability and preparedness to fully deploy these SWPPP control measures to protect soil-disturbed areas of the project site before the onset of precipitation and shall maintain a detailed plan for the mobilization of sufficient labor and equipment to fully deploy these control measures. Throughout the winter season, active soil-disturbed areas of the project site shall be fully protected at the end of each day with these control measures unless fair weather is predicted through the following day. Contractor shall monitor daily weather forecasts. If precipitation is predicted prior to the end of the following Work Day, construction scheduling shall be modified, as required, and Contractor shall deploy functioning control measures prior to the onset of the precipitation. The City may order the suspension of construction operations which are creating water pollution if Contractor fails to conform to the requirements of this Paragraph 2.17. Unless otherwise directed ARTICLE 2 PAGE-21 of 90 by the City, Contractor's responsibility for SWPPP implementation shall continue throughout any temporary suspension of the Work. F. Sewage Spill Prevention. Contractor's attention is directed to the sewer bypass operation required during any sewer construction pursuant to the 2012 edition of the "Greenbook" Standard Specifications for Public Works Construction, Section 500.1.2.4 or as that section is subsequently amended. Contractor shall exercise extraordinary care to prevent the cause of events that may lead to a sewage spill. In the event of a sewage spill, Contractor shall make arrangements for an emergency response unit comprised of emergency response equipment and trained personnel to be immediately dispatched to the project site. Contractor shall be fully responsible for preventing and containing sewage spills as well as recovering and properly disposing of raw sewage. In addition, Contractor is responsible for any fines, penalties and liabilities arising from negligently causing a sewage spill. Any utility that is damaged by contractor shall be immediately repaired at Contractor's expense. The Contractor shall take all measures necessary to prevent further damage or service interruption and to contain and clean up the sewage spills. G. Sewage Spill Telephone Notification Should a sewage spill occur, Contractor shall immediately report the incident to either one of these two City Departments: Sewer Maintenance Services City of Vernon Control Center (323) 826-1461 Fire Department Dispatch Center 911 Contractor is encouraged to obtain telephone numbers, pager numbers and cellular telephone numbers of City representatives such as Project Managers and Inspectors. However, if these City representatives are not available,then Contractor shall immediately call: Vince Rodriquez, Project Manager (323)855-2292 H. Sewage Spill Written Notification Contractor shall prepare and submit a written report to the Director within three (3) Working Days from the occurrence of a spill to the City. This report shall describe all of the following: 1. The exact location on the Thomas Guide map 2. The nature and volume 3. The date,time and duration 4. The cause 5. The type of remedial and/or cleanup measures taken and date and time implemented 6. The corrective and preventive action taken,and ARTICLE 2 PAGE-22 of 90 7. The water body impacted and results of necessary monitoring I. Enforcement The City is subject to enforcement actions by the LARWQCB, U.S. EPA, environmental groups and private citizens. Contractor shall indemnity, defend and hold City, its officers, agents and employees harmless from Contractor's failure to comply and/or fulfill the requirements set forth in this Paragraph 2.17. Contractor shall be responsible for all costs and liabilities imposed by law as result of Contractor's failure to comply and/or fulfill the requirements set forth in this Paragraph 2.17. The costs and liabilities include, but are not limited to fines, penalties and damages whether assessed against the City or Contractor. In addition to any remedy authorized by law, any money due to Contractor under this contract shall be retained by the City until all costs and liabilities imposed by law against the City or Contractor have been satisfied. J. Maintenance Contractor shall ensure the proper implementation and functioning of BMP control measures and shall regularly inspect and maintain the construction site for the BMPs identified in the SWPPP. Contractor shall identify corrective actions and time frames in order to properly address any damaged measure, or reinitiate any BMPs that have been discontinued. If the City identifies a deficiency in the deployment or functioning of identified control measures,the deficiency shall be corrected by Contractor immediately or by a later date and time if agreed to by Director and if requested in writing, but not later than the onset of the subsequent precipitation events. The correction of deficiencies shall be at no additional cost to the City. K. Payment All costs involved in the implementation of the SWPPP, including furnishing all labor, materials, tools, equipment and all incidentals; and for doing all the work involved in installing,constructing, maintaining, removing, and disposing of control measures,except those that were installed as a part of another structure, shall be included in the unit prices bid for the various related items of work and no additional compensation will be made therefor. 2.18 SOLID WASTE DISPOSAL AND DIVERSION Contractor shall submit to the Director the following summary of solid waste generated by the Work, disposed in Class Ili landfills, or diverted from disposal through recycling. Report disposal in inert fill separately. This form must be accompanied by legible copies of weight tickets, receipts, or invoices that specifically identify the project generating the material. Said documents must be from recyclers and/or disposal site operators that are acceptable to the Director. Further, the documents must be submitted to the Director with each application for progress payment. Failure to submit the form and its supporting documentation will render the application for progress payment incomplete and delay progress payments. ARTICLE 2 PAGE-23 of 90 SUMMARY OF SOLID WASTE DISPOSAL AND DIVERSION Project Title: _ _ Specification No. Type of Material (a) (b) (c) (d) Disposed in Class III Landfills Diverted from Class III [Leave This Column Blank] Disposed in Inert Fills Landfills by Recycling Tons/CY Tons/CY Tons/CY Tons/CY Asphalt Concrete Metal Other Segregated Materials (Describe): Miscellaneous Construction Waste Total Form to be submitted to the City SIGNATURE: TITLE: DATE: 2.19 RECYCLED, REUSABLE AND RECYCLABLE PRODUCTS Contractor is encouraged to propose recycled, reusable and recyclable products for use by the City. Those items should be clearly identified. The City may require further information or documentation to ascertain the suitability/appropriateness of a proposed product. [END OF ARTICLE] ARTICLE 2 PAGE-24 of 90 ARTICLE 3 -TIME OF COMMENCEMENT AND COMPLETION 3.01 COMMENCEMENT PROSECUTION AND COMPLETION OF WORK A. Notice to Proceed Contractor is not authorized to perform any Work the Contract Documents until he/she has received from the City an official notification to commence Work. The date on which the notification is received by Contractor is herein referred to as the Notice to Proceed. Contractor shall commence Work on the Date of Commencement established in the Notice to Proceed is issued. The Notice to Proceed shall be issued after the Contract is properly executed, bonds are fumished and approved, and insurance has been submitted and approved. B. Prosecution of the Work Work shall be continued at all times with such force and equipment as will be sufficient to complete it within the specified time. Contractor expressly proposes that he/she has taken into consideration and made allowances for all ordinary delays and hindrances to the Work to be performed and that he/she will complete the Work within the specified time. C. Required Contract Completion Time is of the essence in the completion of this Contract. The Work shall be completed in its entirety and made ready for service within 365 calendar days following the Date of Commencement established in the Notice to Proceed ("Contract Time"). By executing the Contract, Contractor confirms that the Contract Time is a reasonable period for performing the Work. 3.02 CITY'S DISCRETION TO EXTEND CONTRACT TIME In the event the Work required hereunder is not satisfactorily completed in all parts and in compliance with the Contract Documents,City shall have the right, in its sole discretion,to increase the number of Working Days or not, as may seem best to serve the interest of City. A change order extending the Contract Time only will be issued by the City should the City decide to increase the number of Working Days. 3.03 SUBSTANTIAL COMPLETION A. Contractor Request for Inspection and Punch List When Contractor considers that it has achieved Substantial Completion of the Work, or designated portion thereof, Contractor shall prepare and submit to the Director a request for inspection and a comprehensive punch list of items to be completed or corrected prior to Final Payment. Failure to include an item on such punch list does not alter the responsibility of Contractor to complete all Work in accordance with the Contract Documents. B. City Inspection Upon receipt of Contractor's punch list, the Director will make an inspection to determine whether the Work or designated portion thereof is Substantially Complete. If the inspection discloses any item, whether or not included on Contractor's punch list, which is not sufficiently complete in accordance with the Contract Documents so that the City can occupy or utilize the Work or ARTICLE 3 PAGE-25 of 90 designated portion thereof for its intended use, Contractor shall, before City's issuance of the Certificate of Substantial Completion, complete or correct such item upon notification by City. Contractor shall then submit a request for another inspection by City to determine Substantial Completion. C. Certificate of Substantial Completion When the Work or designated portion thereof is substantially complete, the Director will prepare a Certificate of Substantial Completion which shall establish the date of Substantial Completion, shall establish responsibilities of the City and Contractor for security, maintenance, utilities, damage to the Work, and insurance, and shall fix the time within which Contractor shall finish all items on Contractor's punch list accompanying the Certificate. Warranties required by the Contract Documents shall commence on the date of Substantial Completion of the Work. Contractor shall deliver to City all warranty and guarantee documents and policies. 3.04 DELAYS AND EXTENSIONS OF TIME FOR CONTRACTOR A. Contractor shall take reasonable precautions to foresee and prevent delays to the Work. In the event of any delay to the Work, Contractor shall revise his/her sequence of operations, to the extent possible under the terms of the Contract,to offset the delay. B. If any delay to the Work is caused by circumstances within Contractor's control, it is not excusable and not compensable, and Contractor will not be entitled to any extension of time or to any other compensation for damages resulting directly or indirectly therefrom. C. If any delay having a direct effect on the Work is caused by circumstances beyond the control of Contractor except for causes of delay specified in Paragraph 3.04-D., such delay may be excusable and may entitle Contractor to an equivalent extension of time, but not to any other compensation. Excusable but not compensable causes include but are not limited to labor disputes, weather conditions unfavorable for prosecution of the Work, and force majeure. D. If any delay having a direct effect on the Work is caused by failure of the City to provide information as specified, or necessary instructions for carrying on the Work, or to provide the necessary right of way or site for installation, or failure of a utility to remove or relocate an existing facility such delay may be compensable and may entitle Contractor to an equivalent extension of time, and to compensation for damages resulting directly from any of the causes of delay specified in this paragraph. E. Contractor shall notify the Director in writing of any delay having a direct effect on the Work and the causes thereof within 15 days from the beginning of such delay. F. Any claim for an extension of time or for compensation for damages resulting from delay shall be made in writing to the Director not more than 30 days after the ending of such delay. Contractor shall provide a written report evaluating the impact of the delay which shall include, at a minimum, all of the following; 1. a narrative description of the delay and its impact on the critical path to Substantial Completion of the Work or a portion of the Work designated by City; 2. a detailed breakdown of the Allowable Costs, if any,sought by Contractor due to the delay; ARTICLE 3 PAGE-26 of 90 3. the number of days of extension sought by Contractor as an adjustment to the Contract time; 4. a statement that Contractor has complied with the requirements of the General Conditions for written notice of delays,along with the dates and copies of such notices; 5. the measures taken by Contractor and Subcontractors to prevent or minimize the delay;and 6. the Contactor's recommendations for reordering or re-sequencing the Work to avoid or minimize further delay. No extension of time or compensation for damages resulting from delay will be granted unless the delay affects the timely completion of the overall Work under the Contract or the timely completion of a portion of the Work for which a time of completion is specified. G. The Director will investigate the facts and ascertain the extent of the delay, and his/her findings thereon shall be final and conclusive. H. Failure of Contractor to give written notice of a delay, or to submit or document a claim for an extension of time or for damages resulting from delay in the manner and within the times stated above shall constitute a waiver of all claims thereto. I. When a Contractor experiences two concurrent delays, one compensable and the other excusable, no compensation other than an extension of time will be allowed. J. An extension of time must be approved by the Director to be effective, but an extension of time whether with or without consent of the sureties, shall not release the sureties from their obligations, which shall remain in full force until the discharge of the Contract. 3.05 CLIMATIC CONDITIONS A. The Director may suspend the Work whenever weather conditions or conditions resulting from inclement weather are unfavorable for the prosecution of the Work. The delay caused by such suspension may entitle Contractor to an extension of time but not to any other compensation. B. If Contractor believes that Work should be suspended under this Paragraph 3.05, he/she may request such suspension. The delay caused by such suspension may entitle Contractor to an extension of time but not to any other compensation. C. No extension of time will be granted for suspension of Work unless the suspension affects the timely completion of all Work under the Contract or the timely completion of a portion of the Work for which a time of completion is specified. Determination that the suspension for inclement weather conditions or conditions resulting from inclement weather affects timely completion and entitles Contractor to an extension of time shall be made and agreed to in writing by the Director and Contractor on each day that Work is suspended. In the event of failure to agree, Contractor may protest under the provisions of Paragraph 7.07. D. If Work is suspended and an extension of time is granted under this Paragraph 3.05, Contractor will be entitled to a one day extension of time for each day that he/she is unable to Work at least one-half of his/her current normal Work Day; and if the Work is suspended at the regular starting time on any Work Day and Contractor's Workforce is dismissed as a result thereof, then he/she will ARTICLE 3 PAGE-27 of 90 be entitled to a one Work Day extension of time whether or not conditions change thereafter and the major portion of the day is suitable for Work. 3.06 COMPLETION AND ACCEPTANCE A. Upon request by Contractor, the Director shall conduct a final inspection of the Work. If, in the Director's opinion, Final Completion has been achieved,the Director will accept the Work by issuing a "Notice of Completion" of the Work to Contractor. Upon the issuance of the Notice of Completion, Contractor will be relieved from responsibility to protect the Work. B. Within 15 calendar days after issuing the Notice of Completion, the Director will record the Notice of Completion with the County Recorder. 3.07 LIQUIDATED DAMAGES A. Contractor and City agree to liquidate damages in the amount of five hundred dollars ($500) per day, with respect to Contractor's non-completion of the monthly Routine Maintenance-Inspection and Cleaning work for each day past the first seven (7) working days of each month. In addition, the Contractor shall pay to the City,or have withheld from monies due it,the sum of$100.00 for each hour late when responding to emergency situations. The Parties intend for the liquidated damages set forth herein to apply to this Contract as set forth in Government Code Section 53069.85. Contractor acknowledges and agrees that the liquidated damages are intended to compensate City solely for Contractor's failure to meet the deadline for Substantial Completion and shall not excuse Contractor from liability from any other breach, including any failure of the Work to conform to the requirements of the Contract Documents. B. In the event that Contractor fails to achieve Substantial Completion of the Work within the Contract Time, Contractor agrees to pay City the amount specified in the Contract form for each calendar day that Substantial Completion is delayed. C. Contractor and City acknowledge and agree that the foregoing liquidated damages have been set based on an evaluation of damages that the City will incur in the event of late completion of the Work. Contractor and City acknowledge and agree that the amount of such damages are impossible to ascertain as of the effective date hereof and have agreed to such liquidated damages to fix City's damages and to avoid later disputes. It is understood and agreed by Contractor that liquidated damages payable pursuant to this Agreement are not a penalty and that such amount are not manifestly unreasonable under the circumstances existing as of the effective date of this Agreement. D. It is further mutually agreed that City shall have the right to deduct liquidated damages against progress payments or retainage and that the City will issue a Construction Change Directive and reduce the Contract Sum accordingly. In the event the remaining unpaid Contract Sum is insufficient to cover the full amount of liquidated damages. Contractor shall pay the difference to City. [END OF ARTICLE] ARTICLE 3 PAGE-28 of 90 ARTICLE 4-CONSTRUCTION SCHEDULES 4.01 BASELINE PROJECT SCHEDULE Contractor shall submit his/her work Baseline Project Schedule, in electronic as well as hard-copy format, to the Director at the pre-construction meeting showing in detail how Contractor plans to execute and coordinate the Work. The construction schedule shall show the sequence of work, critical path and estimated time for completion of each segment of work. This schedule must be reviewed and accepted by the Director before Contractor will be permitted to begin work. In addition, Contractor shall submit a detailed schedule forecasting two (2) weeks of work describing each day's work. This schedule shall be updated and submitted to the City every other Monday during the construction period. Contractor shall give 48 hours notice to the City Engineer prior to the start of the work. A. Format 1. At a minimum,the Baseline Project Schedule activities shall be coded on a work discipline basis and by geographic area or location on the Project. The Baseline Project Schedule shall include a detailed description of each activity code. The Baseline Project Schedule shall be based on and incorporate contract milestone and completion dates specified in the Contract Documents. It shall depict events, jobs, and their interrelationships and shall recognize the progress that must be made on one task before subsequent tasks can begin. The schedule shall be comprehensive and shall include all logical interdependencies and interactions required to perform the Work of the Project. 2. Overall time of completion and time of completion for each milestone shown on the Schedule shall adhere to the specified Contract Time, unless an earlier (advanced) time of completion is requested by Contractor,agreed to by the City and formalized by Change Order. 3. Contractor shall use the latest version of Microsoft Project or equivalent software agreed to by the parties. 4. City will review the submitted Baseline Project Schedule for conformance with these scheduling requirements. Within fourteen (14)calendar days after receipt, the City will accept the proposed Baseline Project Schedule or will return it with comments. If the proposed Baseline Project Schedule is accepted by the City, it shall be deemed part of the Contract Documents. If the Baseline Project Schedule is not accepted by City, Contractor shall revise the Baseline Project Schedule, in accordance with the recommendations of the City, and re-submit same for acceptance, no later than seven(7)calendar days after receipt of said recommendation. 5. Acceptance of Baseline Project Schedule by City, failure to include an element of work, or inaccuracy in Baseline Project Schedule shall not relieve Contractor from the responsibility for accomplishing the Work in accordance with the Contract Documents. B. Float 1. Critical Work activities are defined as Work activities which, if delayed or extended, will delay the scheduled completion of the milestones and/or time of completion. All other Work activities are defined as non-critical Work activities and are considered to have float. Float is defined as the time that a non-critical Work activity can be delayed or extended without delaying the scheduled completion of the milestones and/or time of completion. Float is considered a Project resource ARTICLE 4 GC-29 of 90 available to either party or both parties as needed. Once identified, Contractor shall monitor, account for,and maintain float in accordance with Critical Path Methodoiogy. 2. Delays of any non-critical Work shall not be the basis for an extension of Contract Time until the delays consume all float associated with that non-critical Work activity and cause the Work activity to become critical. 3. It is acknowledged that City-caused time savings (i.e., critical path submittal reviews returned in less time than allowed by the Contract Documents, approval of substitution requests which result in a savings of time for Contractor, etc.) create shared float. Accordingly, City-caused delays may be offset by City-caused time savings. C. Early Completion While Contractor may schedule completion of the Project earlier than the date established by the Contract Documents, no additional compensation shall become due Contractor for the use of float time between Contractor's projected early completion date and the date for Substantial Completion established by the Contract Documents, unless an earlier(advanced)time of completion is requested by Contractor,agreed to by the City,and formalized by Change Order. 4.02 SCHEDULE UPDATES A. With each Application for Payment submitted by Contractor (other than the final Application for Payment), Contractor shall submit to the City an updated Project Schedule revised to indicate the Work completed, status of Work in progress, all progress slippages, corrective actions taken, or slippage carry-over, for all anticipated delays or difficulties, and all other information required to accurately present the actual status of the progress of the Work as of the dale of the Application for Payment. If Contractor does not submit an updated Project Schedule with an Application for Payment, City may withhold payment, in whole or in part, until the updated Project Schedule is submitted. In the event that an update to the Project Schedule indicates a delay to the Contract Time Contractor shall propose an affirmative plan to correct each such delay, including overtime and/or additional labor, it necessary. In no event shall any Project Schedule update constitute an adjustment in the Contract Time, any deadline, or the Contract Sum unless any such adjustment is agreed to by the City and authorized pursuant to Change Order or Work Directive. B. At no time shall historical data contained within the updated Project Schedule (i.e. completed activities)be removed and/or altered in any way. This historical data is to be preserved within each of the updated Project Schedules and submitted with the final schedule update to reflect the actual start and finish dates for each activity within the Schedule. C. Any work stoppages within individual work activities that exceed seven (7) calendar days in duration shall be clearly indicated within the updated Project Schedule. In cases where unplanned activity work stoppages exceed seven (7) calendar days activities shall be added to the Project Schedule to clearly indicate the work stoppage period and identify forecasted resumption and completion of the activity where work has stopped. Contractor shall clearly note all schedule revisions when Project Schedule updates are submitted, as required in this Paragraph 4.02 above. 4.03 NONCOMPENSABLE EXTRAORDINARY MEASURES A Should the City determine, in its sole judgment, that the performance of the Work has not progressed to the level of completion required by the Contract Documents, City shall have the right to order ARTICLE 4 GC-30 of 90 Contractor to take corrective measures to expedite the progress of construction, at no additional cost to the City,including,without limitation,the following: 1. Working additional shifts of overtime. 2. Supplying additional manpower,equipment,and/or facilities. 3. Reschedule activities to maximize practical concurrence of accomplishment of activities. 4. Submitting a Recovery Schedule discussed above,for resequencing performance of the Work or other similar measures. 5. Any other actions that may be necessary to mitigate delays. B. Such Extraordinary Measures shall continue until the progress of the Work is no longer behind schedule and/or reaches the stage of completion required by the Contract Documents. Contractor shall not be entitled to an adjustment in the Contract Sum in connection with the performance of any such Extraordinary Measures required by the City under this Paragraph. The City may exercise the rights furnished the City pursuant to this Paragraph as frequently as the City deems necessary to ensure that Contractor's performance of the Work will comply with the Contract Time or interim completion dates set forth in the Contract Documents. If Contractor or its Subcontractors fail to implement or commence Extraordinary Measures within ten (10) calendar days of City's written demand, City may, without prejudice to other remedies, take corrective action at the expense of Contractor which shall reduce the Contract Sum accordingly. 4.04 CONDITION OF PAYMENT Compliance by Contractor with the requirements of the Contract Documents pertaining to preparation, submission, revising and updating of the Schedule is a condition precedent to City's obligation to make payment to Contractor of any or all sums that might otherwise be due to Contractor in the absence of such noncompliance. Payment by City under circumstances in which City, for any reason, fails or elects not to assert its right to withhold payment for noncompliance with this Paragraph shall not be construed as a waiver of the right to withhold future payments on account of such noncompliance or any other noncompliance. [END OF ARTICLE] ARTICLE 4 GC-31 of 90 ARTICLE 5 -SUSPENSION OR TERMINATION OF CONTRACT 5.01 TERMINATION BY CONTRACTOR A. Contractor shall have the right to terminate its performance of the Contract only upon the occurrence of one of the following: 1. The Work is stopped for a period of ninety (90) consecutive days through no act or fault of Contractor, any Subcontractor, Sub-subcontractor, their agents or employees, or any other persons or entities performing portions of the Work under direct or indirect contract with Contractor,due to: a. the issuance of an order of a court or other public authority having jurisdiction; or b. an act of government, such as a declaration of national emergency making material unavailable; and Contractor has given City written notice within ten (10) Working Days of the occurrence of such ground for termination, then Contractor may, upon thirty (30) additional calendar days written notice to City, unless the reason has theretofore been cured,terminate its performance of the Work. 2. The Work is stopped for a period of 120 consecutive days through no act or fault of Contractor, any Subcontractor, Sub-subcontractor, their agents or employees, or any other persons or entities performing portions of the Work under direct or indirect contract with Contractor, because the City has persistently failed to perform any material obligation under the Contract Documents and fails to cure such default within ninety (90) days after the receipt of notice from Contractor stating the nature of such default. B. If Contractor terminates its performance of the Contract in accordance with this Paragraph 5.01, the City shall pay Contractor for the Work executed through the date of termination as set forth in Paragraph 5.04-C below. 5.02 TERMINATION BY THE CITY FOR CAUSE A. Grounds City shall have the right to terminate Contractor's performance of the Contract, in whole or in part, without liability to City if: 1. Contractor fails promptly to begin the Work under the Contract Documents;or 2. Contractor refuses or fails to supply enough properly skilled workers or proper materials; or 3. Contractor fails to perform the Work in accordance with the Contract Documents, including conforming to applicable standards set forth therein in constructing the Project, or refuses to remove and replace rejected materials or unacceptable Work;or 4. Contractor discontinues the prosecution of the Work (exclusive of work stoppage: (a) due to termination by City; or (b) due to and during the continuance of a Force Majeure event or suspension by City);or ARTICLE 5 GC-32 of 90 5. Contractor fails to resume performance of Work which has been suspended or stopped, within a reasonable time after receipt of notice from City to do so or(if applicable) after cessation of the event preventing performance;or 6. Any representation or warranty made by Contractor in the Contract Documents or any certificate, schedule, instrument, or other document delivered by Contractor pursuant to the Contract Documents shall have been false or materially misleading when made;or 7. Contractor fails to make payment to Subcontractors or Material Suppliers for materials or labor in accordance with the respective Contract Documents and applicable law;or B. Contractor disregards laws, ordinances, or rules, regulations, or orders of a public authority having jurisdiction;or 9. Contractor is guilty of breach of a provision of the Contract Documents;or 10. Contractor becomes insolvent, is adjudicated bankrupt, or makes a general assignment for the benefit of creditors and fails to provide City with adequate assurances of Contractor's ability to satisfy its contractual obligations. A receiver, trustee, or other judicial officer shall not have any right, title, or interest in or to the Contract. Upon that person's appointment, City has, at its option and sole discretion, the right to immediately cancel the Contract and declare it null and void. B. City's Rights. When any of the reasons specified in Paragraph 5.02-A exist, City may, in addition to and without prejudice to any other rights or remedies of the City,and after giving Contractor five(5)Working Days written notice,terminate Contractor's performance of the Work,in whole or in part,and may: 1. Take possession of the site and all materials, equipment, tools, construction equipment, and machinery thereon owned by Contractor; 2. Withhold from Contractor amounts unpaid hereunder and to offset such amounts against damages or losses incurred by City; 3. Accept assignment of subcontracts from Contractor, at the sole discretion of City,and 4. Finish the Work by whatever reasonable method the City may deem expedient. Upon request of Contractor, the City shall furnish to Contractor a detailed accounting of the costs incurred by the City in finishing the Work. C. Costs If City's costs to complete and damages incurred due to Contractor's default exceed the unpaid Contract balance,Contractor shall pay the difference to the City. D. Wrongful Termination If it has been adjudicated or otherwise determined that City has wrongfully terminated Contractor for cause, then said termination shall be deemed converted to a termination for convenience as set forth ARTICLE 5 GC-33 of 90 in Paragraph 5.04 and Contractor's remedy for wrongful termination in such event shall be limited to the recovery of the payments permitted for termination for convenience as set forth in Paragraph 5.04. 5.03 PARTIAL DELETION OR SUSPENSION OF WORK BY THE CITY A. Contractor agrees that the City may determine whether any or all of the Work described in the Contract Documents shall be deleted or performance suspended without electing to terminate Contractor's performance under the Contract and without any penalty being incurred by the City. B. Any such partial deletion or suspension of the Work shall in no way void or invalidate the Contract nor shall it provide Contractor with any basis for seeking payment from City for Work deleted or suspended except to the extent such Work has already been performed and is otherwise compensable under the Contract. C. City shall have the right to later have any such suspended or deleted Work performed by Contractor or others without any penalty to the City. D. In the event of any partial or complete deletion or suspension of Work, the City shall furnish Contractor with prompt written notice thereof, and the City shall be entitled to take possession of and have as its property all Record Documents, Accounting Records, and other data prepared by Contractor or its Subcontractors. E. Suspension for Convenience. 1. City may at any time and from time to time, without cause, order Contractor, in writing, to suspend, delay, or interrupt the Work in whole or in part for such period of time as the City may determine. Such order shall be specifically identified as a 'Work Suspension Directive" under this Section. 2. Upon receipt of a Work Suspension Directive, Contractor shall, at the City's expense, comply with its terms and take all reasonable steps to minimize costs allocable to the Work covered by the Work Suspension Directive during the period of Work stoppage. 3. Within the period of suspension,or such extension to that period as is agreed upon by Contractor and the City, the City shall either cancel the Work Suspension Directive or delete the Work covered by such Work Suspension Directive by issuing a Change Order or Construction Change Directive. 4. if a Work Suspension Directive is cancelled or expires, Contractor shall continue the Work. A Change Order or Construction Change Directive will be issued to cover any adjustments of the Contract Sum and Contract Time necessarily caused by such suspension. No adjustment shall be made to the extent: (a) That performance is, was, or would have been so suspended, delayed, or interrupted by another cause for which Contractor is responsible;or (b) That an equitable adjustment is made or denied under another provision of the Contract. ARTICLE 5 GC-34 of 90 F. Suspensions for Cause City has the authority by written order to suspend the Work, in whole or in part, without liability to City for Contractor's failure to: 1. Correct conditions unsafe for the Project personnel or general public,or 2. Carry out the Contract;or 3. Carry out orders of City. G. Responsibilities of Contractor During Suspension Periods During periods that Work is suspended, Contractor shall continue to be responsible for the Work and shail prevent damage or injury to the Project, provide for drainage, and shall erect necessary temporary structures,signs or other facilities required to maintain the Project and continue to perform according to the Contract Documents. 5.04 TERMINATION BY THE CITY FOR CONVENIENCE A. Grounds Without limiting any rights which City may have by reason of any default by Contractor hereunder, City may terminate Contractor's performance of the Contract, in whole or in part, at any time, for convenience upon fifteen(15)Working Days written notice to Contractor. B. Contractor Actions Upon receipt of such notice, Contractor shall perform the duties required by Paragraph 5.05 below. At the election of and as directed by the City, any or all of the subcontracts and purchase orders entered in to by Contractor prior to the effective date of termination shall be terminated or shall be assigned to City. C. Compensation 1. If the Parties are unable to agree on the amount of a termination settlement, the City shall pay Contractor the following amounts: a. For Work performed before the effective date of termination, the total (without duplication of any items)of: i. The cost of the Work;and ii. A sum, as overhead and profit on the cost of the Work, determined by the City to be fair and reasonable. In no event shall Contractor be entitled to recover overhead or profit on Work not performed. b. The reasonable costs of settlement of the Work terminated,including: i. Accounting, clerical, and other expenses reasonably necessary for the preparation of termination settlement proposals and supporting data, it any;and ARTICLE 5 GC-35 of 90 ii. Storage,transportation, and other costs reasonably necessary for the preservation, protection,or disposition of inventory. 2. Such payment shall be Contractor's exclusive remedy for termination for convenience and will be due and payable on the same conditions as set forth for final payment to the extent applicable. Upon receipt of such payment,Contractor and City shall have no further obligations to each other except for Contractor's obligations with respect to warranties, representations, indemnity, maintenance of insurance, and other obligations that survive termination or Final Completion as provided for herein. 3. It is understood and agreed that no fee, anticipated profit, compensation for lost opportunity costs, or other compensation or payment of any kind or character shall be due or payable for unperformed Work regardless of the basis of termination and the inclusion of this provision within this subparagraph shall in no way limit its application to termination under this Paragraph. 4. Contractor agrees that each of its subcontracts will reserve for Contractor the same right of termination for convenience provided by this Paragraph 5.04. D. No Consequential Damages Under no circumstances shall Contractor be entitled to anticipatory or unearned profits or consequential or other damages as a result of a termination or partial termination under this Article 5. The payment to Contractor determined in accordance with this Article constitutes Contractor's exclusive remedy for a termination hereunder. 5.05 CONTRACTOR'S DUTIES UPON TERMINATION FOR CAUSE OR CONVENIENCE If City terminates Contractor's performance of Worts under the Contract, for cause or convenience or if Contractor terminates a Subcontractor with the City's approval,Contractor shall: (1)cease performance of the Work to the extent specified in the notice; (2)take actions necessary or that the City may direct,for the protection and preservation of the Work; (3)settle outstanding liabilities,as directed by City; (4)transfer title and deliver to City Work in progress,specialized equipment necessary to perform the Work; (5) submit all Record Documents, Accounting Records and other data prepared pursuant to the Contract by Contractor and/or its Subcontractors, as applicable, to the City with fifteen (15) calendar days after the City's notice of termination in an organized, usable form, in both hard copy and electronic/digital form, with all items properly labeled to the degree of detail specified by the City;and, (6) except for Work directed by City to be performed prior to the effective date of termination stated in the notice,incur no further costs or expenses and enter into no further subcontracts and purchase orders. No compensation shall be due Contractor, if any, until Contractor complies with the requirements of this Paragraph. [END OF ARTICLE] ARTICLE 5 GC-36 of 90 ARTICLE 6-CHANGES 6.01 CITY'S RIGHT TO ORDER CHANGES City, without invalidating the Contract, may authorize changes in the Work consisting of additions, deletions, or other revisions, with the Contract Sum and Contract Time being adjusted accordingly, it necessary. All such changes in the Work shall be authorized by Change Order or Construction Change Directive and Contractor shall perform such changes in the Work according to the applicable requirements of the Contract Documents. 6.02 APPLICABLE PROVISIONS Changes in the Work shall be performed under applicable provisions of the Contract Documents. Contractor shall proceed promptly and diligently with the change, unless otherwise provided in the Change Order or Construction Change Directive. It is of the essence to this Contract that all scope changes in the Work that form the basis of an adjustment of the Contract Sum or Contract Time must be authorized in advance in writing through either a Change Order or Construction Change Directive. A change in the Contract Sum or the Contract Time shall be accomplished only by Change Order or Construction Change Directive. Accordingly, no verbal directions, course of conduct or dealings between the Parties, express or implied acceptance of alterations or additions to the Work, or claim that the Contract has been abandoned or the City has been unjustly enriched by any alteration or addition to the Work shall be the basis of any claim for an increase in any amounts due under the Contract Documents or a change in any time period provided in the Contract Documents. 6.03 NOTICE OF SCOPE CHANGE Contractor shall submit written notice of any change in scope to the Director if, in Contractors opinion, any instruction, request, Drawings, Specifications, action, condition, omission, default, or other situation occurs that Contractor believes constitutes a scope change or other matter resulting in Extra Work, for which Contractor believes it is entitled to an adjustment of the Contract Sum or Contract Time. Such notice shall be provided prior to performance of the Work affected by such occurrence and within seven (7) Working Days after the discovery date of the circumstances of such scope change or other matters. The written notice shall state the date, circumstances, extent of adjustment to the Contact Sum or the Contract Time, if any, requested. The mere presentation of such notice shall not establish the existence of any right by Contractor to adjustment of the Contract Sum or Contract Time. Failure to provide such timely written notice described herein shall constitute a waiver by Contractor of the right to any adjustment to the Contract Sum or Contract Time on account thereof. 6.04 CHANGE ORDERS A. Computation Methods used in determining adjustments to the Contract Sum by Change Order may include those listed in Paragraph 6.06 below. B. Accord and Satisfaction Agreement on any Change Order shall be a full compromise and settlement of all adjustments to Contract Time and Contract Sum, and compensation for any and all delay, extended or additional field and home office overhead, disruption, acceleration, inefficiencies, lost labor or equipment ARTICLE 6 GC-37 of 90 productivity, differing Site conditions, construction interferences and other extraordinary or consequential damages (hereinafter called "Impacts"), including any ripple or cumulative effects of said Impacts on the overall Work under the Contract arising directly or indirectly from the performance of Work described in the Change Order. By execution of any Change Order, Contractor agrees that the Change Order constitutes a complete accord and satisfaction with respect to all claims for schedule extension, Impacts, or any costs of whatever nature, character or kind arising out of or incidental to the Change Order. No action, conduct, omission, product failure or course of dealing by the City shall act to waive, modify, change, or alter the requirement that (i) Change Order's must be in writing, signed by the City and Contractor and; (ii) that such written Change Orders are the exclusive method for effectuating any change to the Contract Sum and/or Contract Time. 6.05 CONSTRUCTION CHANGE DIRECTIVE FIELD DIRECTIVE A. A Construction Change Directive shall be used in the absence of total agreement on the terms of a Change Order. The City may by Construction Change Directive, without invalidating the Contract, order changes in the Work within the general scope of the Contract consisting of additions, deletion, or other revisions,the Contract Sum and Contract Time being adjusted accordingly. B. If the Construction Change Directive provides for an adjustment to the Contract Sum, the adjustment shall be calculated in accordance with Paragraph 6.06 herein (Pricing Changes in the Work). C. Upon receipt of the Construction Change Directive, Contractor shall promptly proceed with the change in the Work involved and advise the City of Contractor's agreement or disagreement with the method, if any, provided in the Construction Change Directive, for determining the proposed adjustment in the Contract Sum or Contract Time. D. If Contractor believes a Construction Change Directive constitutes a basis for adjustment to the Contract Sum or Contract Time, then Contractor shall give a Notice of Scope Change provided in Paragraph 6.03, followed by a submission of a Change Order Request as required by Paragraph 6.08. Contractor shall, if requested by City in such Construction Change Directive or in a subsequent Construction Change Directive, proceed with the performance of the Work as described in the Construction Change Directive. Failure of Contractor to proceed with the performance of Work, as described in the Construction Change Directive shall give the City the right to carry out the Work,as set forth in Paragraph 2.05. E. A Construction Change Directive signed by Contractor indicates Contractor's agreement therewith, including adjustment in Contract Sum and Contract Time or the method for determining them. Such agreement shall be effective immediately and shall be recorded as a Change Order. F. If Contractor does not respond promptly or disagrees with the method for adjustment in the Contract Sum, the method and the adjustment shall be determined by the City on the basis of reasonable expenditures and savings of those performing the Work attributable to the change, including, in the case of an increase in the Contract Sum, Allowable Mark-Ups in accordance with Paragraph 6.06(E) herein. ARTICLE 6 GC-38 of 90 6.06 PRICING CHANGES IN THE WORK A. Alternative Methods of Pricing The amount of any adjustment by Change Order or Construction Change Directive increasing or decreasing the Contract Sum shall be determined by the Director using one or a combination of the following methods. (Sections 3-2.2.2 and 3-2.2.3 of the Standard Specifications for Public Works Construction ("Greenbook")shall not be applied to this Contract) 1. Lump Sum. By mutual acceptance of a lump sum proposal from Contractor properly itemized and supported by sufficient substantiating data to permit evaluation. Such proposal shall be based solely on Allowable Costs, as defined in Subparagraph 6.06-C, and Allowable Mark- Ups, as defined in Subparagraph 6.06-E, and shall not include any costs or expense that is not permitted by the terms of any provision of the Contract Documents. 2. Unit Prices. By unit prices contained in Contractor's original Bid and incorporated in the Contract Documents or fixed by subsequent agreement between City and Contractor. Unless otherwise stated in the Bidding Documents, unit prices stated in the Contract Documents or agreed upon by the County and Contractor shall be deemed to include and encompass all Allowable Markups. 3. Time and Materials. By calculating the actual Allowable Costs directly incurred, plus a sum for Allowable Mark-Ups on such Allowable Costs. 4. Deletion of Work. The calculation when using the Schedule of Values for the deletion of work consists of calculating the value of the decrease of the Contract Sum, less the value of any Work performed, plus a reasonable percentage of the decrease for Contractor's saved overhead (unless the Schedule of Values allocates general conditions costs to individual line items, in which case no percentage of the decrease shall be added). When a change consists of both addition and deletion of Work, the added costs and deleted costs shall be calculated separately, and then added together, resulting in the net cost for the change. B. Contractor Maintenance of Daily Records for Changes 1. In the event that Contractor is directed to perform any Extra Work, or should Contractor encounter conditions which Contractor believes would obligate the City to adjust the Contract Sum and/or the Contract Time, Contractor shall maintain detailed records of the cost of such changes on a daily basis summarized in a daily report supplemented by back-up records. Such records shall include without limitation: a. Labor. At the close of each day on which such Extra Work is performed, Contractor shall submit an Extra Work labor report, on forms provided by Director, to Director that sets forth a list of the actual hours spent in performing the Extra Work, that clearly differentiates between the labor expended on the Extra Work and other Work, and the Allowable Costs for such Extra Work performed that day showing the names of workers,their classifications, hours worked and hourly rates. b. Materials, Equipment. A list of Allowable Costs of materials and equipment consumed in the performance of the Extra Work on the day on which such Extra Work is performed, together with copies of applicable delivery tickets and unit prices for all materials and for all equipment used the type of equipment, identification ARTICLE 6 GC-39 of 90 number, hours of operation (including loading and transportation) and hourly/daily rates involved for that day. C. Other Services or Expenditures. A list of other services and expenditures constituting Allowable Costs incurred in performance of the Extra Work on the day on which such Extra Work is performed, along with documentation verifying the amounts thereof in such detail as Director may require. 2. In the event that more than one change to the Work is performed by Contractor in a calendar day, Contractor shall maintain separate records of labor, construction equipment, materials, and equipment for each such change. In the event that any Subcontractor of any tier shall provide or perform any portion of any change to the Work, Contractor shall require that each such Subcontractor maintain records in accordance with this Section. 3. Each daily record maintained hereunder shall be signed by Contractor; such signature shall be deemed Contractor's representation and warranty that all information contained therein is true, accurate, complete, and relates only to the change referenced therein. All records maintained by Subcontractors of any tier, relating to the costs of a change in the Work shall be signed by such Subcontractor's authorized project manager or superintendent. All such records shall be forwarded to the Director on the day the Work is performed (same day) for independent verification. The Director shall attempt to review and reconcile costs for changes on a daily basis. Records not available on the day on which the Extra Work is performed, such as, but not limited to, material invoices, shall be submitted as soon as they are available but not later than five (5) calendar days after the earlier of the day of delivery or incorporation of the particular item of Extra Work at the Site. 4. The Director may additionally require authentication of all time and material tickets and invoices by persons designated by the Director for such purpose. In the event that Contractor shall fail or refuse, for any reason, to maintain or make available for inspection, review, and/or reproduction such records, adjustments to the Contract Sum or Contract Time, if any, on account of any change to the Work may be deemed waived for that day. Contractor's obligation to maintain back-up records hereunder is in addition to, and not in lieu of, any other Contractor obligation under the Contract Documents with respect to changes to the Work. 5. Waiver by Contractor. Failure to submit such records as are required by this Paragraph daily shall waive any rights for recovery of Allowable Costs incurred for Extra Work performed that day. The failure of Contractor to secure any required authentication shall, if the City elects in its sole discretion to treat it as such, constitute a waiver by Contractor of any right to adjustment of the Contract Sum for the Allowable Cost of all or that portion of the Extra Work covered by such non-authenticated ticket or invoice. C. Allowable Costs The term "Allowable Costs" shall mean in the case of Extra Work actual costs incurred by Contractor and/or any Subcontractor, regardless of tier, and necessarily involved in direct performance of the Extra Work, or in the case of deleted work the actual costs that would have been incurred in performing deleted work by Contractor and/or any Subcontractor, regardless of tier, and shall be limited to the following costs: ARTICLE 6 GC-40 of 90 1. Labor. Straight-time wages or salaries, and overtime wages and salaries specifically authorized by City in writing, for employees employed at the site, or at fabrication sites off the site, in the direct performance of the Extra Work or that would have been incurred in the direct performance of the deleted work, based on the actual cost for wages prevailing locally for each craft or type of workers at the time the Extra Work is done or the deleted work is ordered eliminated. Labor costs for equipment operators and helpers shall be reported only when such costs are not included in the invoice for equipment rental. The use of labor classification which would increase the Allowable Cost for Extra Work will not be permitted unless Contractor establishes the necessity for such additional costs. 2_ Benefits. Payroll taxes, insurance, health and welfare, pension, vacation, apprenticeship funds and benefits required by lawful collective bargaining agreements for employees on straight-time wages or salaries, and on overtime wages and salaries specifically authorized by City in writing, for employees employed at the site, or at fabrication sites off the site, in the direct performance of the Extra Work or that would have been incurred in the direct performance of the deleted work. 3. _Materials, Consumables. Costs of materials and consumable items which are furnished and incorporated into the Work, as approved by City, or that would have been incorporated into the Work in the case of deleted work shall be at the lowest price available to Contractor but in no event shall such costs exceed competitive wholesale prices obtainable from other Subcontractors, suppliers, manufacturers and distributors in the general vicinity of the site. If City determines, in its discretion, that the cost of materials is excessive, or if Contractor fails to furnish satisfactory evidence of the cost from the actual supplier thereof, then in either case the cost of the materials shall be deemed to be the lowest wholesale price at which similar materials are available in the quantities required at the time they were needed. The City reserves the right to furnish such materials as it deems advisable, and Contractor shall have no claim for costs or profits on materials so furnished. Material invoices must be included with the extra work report to obtain payment. 4. Taxes. Sales taxes on the costs of materials and consumable items described in Paragraph 5.04-C.3 above. 5 Tool, Equipment Rental. Rental charges for necessary machinery and equipment, whether owned or hired, as authorized in writing by City, exclusive of hand tools, used directly in the performance of the Extra Work or that would have been used in the direct performance of the deleted work. Regardless of ownership, such rental charges shall not exceed the hourly rate derived from the most recently published "Rental Rate Blue Book for Construction Equipment" or the"Rental Rate Blue Book for Older Construction Equipment,"as published by K-111, San Jose, California, which is in effect at the time of commencement of the changed work. Contractor shall attach a copy of the rate schedule to the daily reports required by Paragraph 6.06-B, above. The charges for any machinery and equipment shall cease when the use thereof is no longer necessary for the Extra Work or deleted work. No charge shall be allowed for use of equipment or tools which have a replacement value of$500 or less. The allowable rental rates shall include the cost of fuel, power oil, lubrication, supplies,small tools, necessary attachments, loading, transportation, repairs and maintenance of any kind, depreciation, storage, insurance, and all incidentals. Notwithstanding the provisions of Paragraph 6.06-E below, no mark-up shall be allowed for overhead, profit or bond premiums for use of equipment if the equipment is supplied by an equipment rental firm. If equipment is used intermittently and, when not in use, could be returned to its rental source at less expense to City than holding it at the Site, it shall be returned, unless Contractor elects to keep it at the ARTICLE 6 GC-41 of 90 Site at no expense to City. Costs incurred while equipment is inoperative due to breakdowns, regular maintenance, or for non-Working Days shall not be allowed. The rental time shall include the time required to move the equipment to the Work from the nearest available source for rental of such equipment and to return it to the source. If such equipment is not moved by its own power, then loading and transportation will be allowed. Neither moving time nor loading and transportation costs will be paid if the equipment is for use on the Project unrelated to the Extra Work. All equipment shall be acceptable to City, in good working condition, and suitable for the purpose for which it is to be used. 6. Royalties. Additional or saved costs of royalties due to the performance of the Extra Work or deleted work. 7. Insurance, Bonds. Additional or saved costs of insurance and bonds, provided, however,that for Extra Work such costs shall not exceed one percent(1%)of Items 1 through 6 above. D. Costs Not Allowed Allowable Costs shall not include any of the following: 1. Wages, salaries, fringe benefits and payroll taxes of Contractor's and all Subcontractor's non- craft labor(above a Foreman level); 2. Overhead in excess of Allowable Markup, as defined below(including home office overhead), administrative or general expenses of any kind including engineering, estimating, scheduling, drafting, detailing,etc.,incurred in connection with Extra Work; 3. Vehicles not dedicated solely for the performance of the extra of deleted work; 4. Small tools(replacement value not exceeding$500); 5. Office expenses, including secretarial and administrative staff, materials and supplies; 6. On-site and off-site trailer and storage rental and expenses; 7. Site fencing; 8. Utilities, including gas, electric, sewer, water,telephone, telefax,copier equipment; 9. Computer and data processing personnel,equipment and software; 10. Federal, state of local business income and franchise taxes; 11. Losses of efficiency or productivity; and 12. Costs and expenses of any kind or item not specifically and expressly included in Paragraph 6.06-C. E. Allowable Mark-Up 1. Extra Work by contractor (Markup): The following percentages shall be added to Contractor's costs and shall constitute the markup for all overhead and profits: r ., ARTICLE 6 GC-42 of 90 Materials 15% Equipment Rental 15% Other Items and Expenditures 15% 2. Extra Work by Subcontractor(Markup).When all or any part of the extra work is performed by a Subcontractor, the markup provided for Contractor in 6.06.E.1 shall apply to Subcontractor's actual costs.A markup of 10%up to and including the first$5,000 of the subcontracted portion of each extra work,and 5%on such extra work in excess of$5,000 may be added for Contractor. F. Net Allowable Costs If any one scope change involves both Extra Work and deleted work in the same portion of the Work and the additive allowable costs exceed the deductive allowable costs, the Allowable Markups on the Extra Work will be only the difference between the two amounts. 6,07 CITY ORIGINATED REQUEST FOR ITEMIZED CHANGE ORDER PROPOSAL REQUEST City may issue a Construction Change Directive or other written request to Contractor describing a proposed change to the Work and requesting Contractor submit an itemized change order proposal in a format acceptable to City within ten (10) calendar days after City issues the request. Contractor's change order proposal shall include an analysis of impacts to cost and time, if any, to perform additional work, change Work or delete Work, as applicable, including the effects and impacts, if any, on unchanged Work, estimates of costs (broken down by the cost categories listed in this Paragraph), and Contractor's proposed methods to minimize costs, delay, and disruption to the performance of the Work. If Contractor fails to submit a written change order proposal within such period of time, it shall be presumed that the change described in the City's original proposal request will not result in an increase to the Contract Sum or Contract Time and the change shall be performed by Contractor without additional compensation to Contractor. City's request for itemized change order proposal request does not authorize Contractor to commence performance of the change. It City desires that the proposed change be performed, the Work shall be authorized according to the Change Order or Construction Change Directive procedures set forth herein. 6.08 CONTRACTOR ORIGINATED CHANGE ORDER REQUEST(COR) If Contractor believes that instructions issued by the City after the effective date of the Contract will result in changes to the Contract Sum or Contract Time or if Contractor otherwise becomes aware of the need for or desirability of a change in the Work, Contractor may submit a written Change Order Request("COR")to the City in writing, in a format acceptable to City and in accordance with the notice provisions and other requirements of Article 7 below for Claims. The COR must specify the reasons for the proposed change, cost impacts and relevant circumstances and impacts on the Construction Schedule. The document shall be complete in its description of the Work, its material and labor quantities and detail, and must support and justify the costs and credits claimed by Contractor. A Critical Path Method schedule Fragnet is required to support and justify any additional time of performance requested by Contractor. The City will not review any COR which is incomplete. Contractor may request additional compensation and/or time through a COR but not for instances that occurred more than ten (10) calendar days prior to the notice date. Contractor's failure to initiate a COR within this ten-day period or to provide detailed back-up documentation to substantiate the COR within thirty (30) calendar days of the initial written notice shall be deemed a waiver of the right to adjustment of the Contract Sum or the Contract Time for the alleged change.Any COR that is approved by the City shall be incorporated in a Change Order or Construction Change Directive. If the COR is denied but Contractor believes that it does have merit, Contractor shall proceed with the disputed Work and may submit a Claim in accordance with the procedures set forth herein. ARTICLE 6 GC-43 of 90 6.09 ISSUANCE OF WORK DIRECTIVE(UNILATERAL). In the event of a dispute as to whether or not Extra Work is required, City shall have the right to unilaterally issue a Work Directive; Contractor shall continue performance of disputed Work pending resolution and shall maintain and submit to City all accounting and cost data necessary to substantiate Contractor's cost of such disputed Work. [END OF ARTICLE] ARTICLE 6 GC-44 of 90 ARTICLE 7 - CONTRACT PAYMENTS AND CLAIMS 7.01 GENERAL A. Payment will be made at the price for each item listed on the bidding form or as Extra Work as provided in the General Conditions. B. initial progress payment will not be made prior to approval by the Director of the Schedule of Values, the Construction Progress Schedule,and the Schedule of Submittals. C. No subsequent progress payment will be made prior to receipt by the Director of the monthly revision of the Construction Progress Schedule. 7.02 SCHEDULE OF VALUES FOR PAYMENTS A. Submission Upon City's request,the three(3) lowest bidders shall complete and submit a Preliminary Schedule of Values,within seven (7)calendar days. In addition, Contractor shall complete and furnish within seven (7)calendar days after receiving the Notice of Award of the Construction Contract a Final Schedule of Values giving a complete breakdown of the Contract Sum for each component of the Work. U Content The Schedule of Values shall be in sufficient detail as the Director may, in its discretion, deem necessary to evaluate progress at any point in the performance of the Work. Unless otherwise specified in the Contract Documents, the Schedule of Values shall include, without limitation, a breakdown of the general categories of Subcontractor work, direct overhead, profit and contingency, and a further breakdown of the general categories of Subcontractor work into separate trade line items of costs for Subcontractor services, labor and material, which is based on actual Subcontractor contract, subcontract, purchase order or vendor prices. It requested by Director, Contractor shall revise the Schedule of Values to allocate sums for Contractor overhead, profit and/or contingency among the individual line items for trade portions of the Work. No amounts shall be reflected in the Schedule of Values or Application for Payment for Extra Work or Deleted Work for which a Change Order has not been executed by Contractor and City or for which a Construction Change Directive has not been issued by City. Amounts that have been mutually agreed to by Change Order or unilaterally determined by City pursuant to a Construction Change Directive shall be segregated from the cost of the base Contract Work and separately listed by line item in the Schedule of Values. The Schedule of Values must be prepared in sufficient detail and supported by sufficient data to substantiate its accuracy as the Director may require. C. Applications for Payment The Schedule of Values, when approved by the Director, shall be used as a basis for Contractor's Applications for Payment and may be considered as fixing a basis for adjustments to the Contract Sum. ARTICLE 7 GC-45 of 90 D. Revisions It, at any time, it is determined that the Schedule of Values does not allocate the Contract Sum in a manner that reasonably and fairly reflects the actual costs anticipated to be progressively incurred by Contractor, it shall be revised and resubmitted for the Director's approval. 7.03 APPLICATIONS FOR PAYMENT A. Marked Schedule of Values Five (5) Days prior to the date set forth in Paragraph 7.03-B below for the monthly progress payment meeting, Contractor shall submit to Director a copy of the proposed Schedule of Values, marked to show the percentage of completion certified by Contractor for each line item in the Schedule of Values, including any stored materials approved for payment by City pursuant to Paragraph 7.03-D, below and any withholdings from Contractor proposed by Director. B. Monthly Review For the purpose of expediting the progress payment procedure, Contractor shall meet with the Director on or before the twentieth (20th) day of each month to review Contractor's marked Schedule of Values prepared in accordance with Paragraph 7.03-A, above. The Director shall revise as appropriate and sign the marked Schedule of Values to verify such review. If any item in the marked Schedule of Values submitted for payment is disputed during this review, Contractor agrees to use its best efforts to resolve the disputed items with the Director before submitting its Application for Payment. If the Director and Contractor cannot agree, then the percentage completion shall be established at such percentage as the Director, in good faith, determines is appropriate to the actual progress of the Work. No inaccuracy or error in the Director's good faith estimate shall operate to release Contractor or Surety from any responsibility or liability arising from or related to performance of the Work. The Director shall have the right subsequently to correct any error and dispute any item submitted in Contractor's Application for Payment, regardless of whether an item was identified as disputed in the review process provided for herein. C. Certification Each Application for Payment shall be signed and certified by Contractor under penalty of perjury to City that: 1. the data comprising the Application for Payment is accurate and the Work has progressed to the point indicated; 2. to the best of Contractor's knowledge, information and belief, the Work is in accordance with the Contract Documents; 3. Contractor is entitled to payment in the amount certified; and 4. all sums previously applied for by Contractor on account of Work performed by Subcontractors and that have been paid by City have been paid to the Subcontractors performing such Work, without any retention, withholding or backcharge by Contractor. ARTICLE 7 GC-46 of 90 D. Stored Materials Payments may be made by City, at its discretion, on account of materials or equipment not incorporated into the Work but delivered on the ground at the Site and suitably stored by Contractor or stored off-Site under the control of City. Such payments shall only be considered upon submission by Contractor of satisfactory evidence that it has acquired title to same, that the material or equipment will be utilized in the Work and that the material is satisfactorily stored, protected and insured, and that such other procedures are in place satisfactory to City to protect City's interests. To be considered for payment, materials or equipment stored off-Site shall, in addition to the above requirements and unless otherwise specifically approved by City in writing, be stored in a bonded warehouse, fully insured, and available to City for inspection. City shall have sole discretion to determine the amount of material and equipment that may be stored on the Site at any given time. 7.04 PROGRESS PAYMENTS A. Conditions to Progress Payments Contractor shall submit its Application for Payment to the Director, using such forms as required by City, once a month on or before the first (1st) Day of the month following the month in which the Work that is the subject of such Application for Payment was performed. Without limitation to any other provisions of the Contract Documents, the following shall be conditions precedent to a proper submission and to the Director approval of each Application for Payment: 1. submission of a Schedule of Values that reflects the percentages of completion either agreed to or determined by Director in accordance with Paragraph 7.03-B, above; 2. submission of Contractor's certification required by Paragraph 7.03-C,above; 3. submission of conditional releases of stop notice, if any, and bond rights upon progress payment, complying with California Civil Code Section 8132, for all Work performed during the time period covered by the current Application for Payment, signed by Contractor, its Subcontractors of every tier, and all material suppliers to each, and (2) forms of unconditional release of stop notice and bond rights upon progress payment, complying with California Civil Code Section 8134 for all Work performed during the time period covered by the previous Application for Payment, signed by Contractor, its Subcontractors of every tier and all material suppliers to each; 4. compliance by Contractor with its obligation for maintenance of As-Builts as required by the Contract Documents; 5. compliance by Contractor with its obligation for submission of monthly and daily reports as required by the Contract Documents; 6. compliance by Contractor with its obligations for submission of scheduling information and updating of the Construction Schedule as required by Article 4, above and other provisions of the Contract Documents pertaining to preparation or updating of schedule information; 7. submission of certified payroll records as required by the Contract Documents; ARTICLE 7 GC-47 of 90 8. submission of certifications by Contractor and each Subcontractor as required by applicable collective bargaining agreements certifying that all employee benefit contributions due and owing pursuant to any applicable collective bargaining agreement have been paid in full;and 9. compliance by Contractor with all of its other obligations for submission of documentation or performance of conditions which, by the terms of the Contract Documents, constitute conditions to Contractor's right to receive payment for Work performed. B. Payments by City Pursuant to California Public Contract Code Section 20104.50, City shall make progress payment of undisputed sums due within thirty (30) Days after receipt by Director of an undisputed and properly submitted Application for Payment, calculated on the basis of ninety-five percent (95%) of value determined pursuant to Paragraph 7.03-13 above of the following: 1. the portion of the Work permanently installed and in place; 2. plus,the value of materials delivered on the ground or in storage as approved by City pursuant to Paragraph 7.03-D, above, 3. less,the aggregate of previous payments, and 4. less,any other withholdings authorized by the Contract Documents. C. Rejection by City Any Application for Payment determined not to be undisputed, proper and suitable for payment shall be returned to Contractor as soon as practicable, but not later than seven (7) Days, after receipt by City accompanied by an written explanation of the reasons why the payment request was rejected. Failure by City or Director to either timely reject an Application for Payment or specify any grounds for rejection shall not constitute a waiver of any rights by City. Applications for Payment that are rejected shall be corrected and resubmitted within seven (7) Days after receipt by Contractor. D_ Interest If City fails to make a progress payment to Contractor as required by Paragraph 7.04-13, above, City shall pay interest to Contractor equivalent to the legal rate set forth in subdivision (a) of California Code of Civil Procedure Section 685.010. The number of Days available to City to make payment pursuant to Paragraph 7.04-13, above without incurring interest pursuant to this Paragraph shall be reduced by the number of Days by which City exceeds the seven (7) Day return requirement applicable to City as set forth in Paragraph 7.04-C, above. 7.05 FINAL PAYMENT A. Retention In addition to withholdings permitted by Paragraph 7.09 below, a sum equal to five percent (5%) of all sums otherwise due to Contractor as progress payments shall be withheld by city pursuant to Paragraph 7.04-8 from each progress payment (Retention") and retained until such time as it is due as described herein. A higher Retention amount may be approved by the City Council where project is deemed"substantially complex"by City Council. ARTICLE 7 GC-48 of 90 B. Conditions to Final Payment Contractor shall submit its Application for Final Payment, using such forms as required by Director, prior to requesting a final inspection of the Work in accordance with Paragraph 3.06 above. Such Application for Final Payment shall be accompanied by all the following: 1. an affidavit that payrolls, bills for materials and equipment, and other indebtedness connected with the Project for which City or City's property or funds might be liable have been paid or otherwise satisfied; 2. Contractor's certification as required by Paragraph 7.03-C, above; 3. consent of surety, if any,to Final Payment; 4. a certificate evidencing that the insurance required by the Contract Documents is in force; 5. Conditional Waiver and Release Upon Final Payment in the form required by California Civil Code Section 8136 executed by Contractor, all Subcontractors of every tier and by all material suppliers of each, covering the final payment period; 6. Unconditional Waiver and Release Upon Progress Payment in the form required by California Civil Code Section 8136 executed by Contractor, all Subcontractors of every tier and by all material suppliers of each, covering the previous payment period; 7. all Record Documents (including, without limitation, complete and accurate As-Built drawings which shall be kept up to date during the performance of the Work); 8. documentation that Contractor has inspected, tested, and adjusted performance if every system or facility of the Work to ensure that overall performance is in compliance with the terms of the Contract Documents; 9. four(4) copies of all warranties from vendors and Subcontractors, operation and maintenance manuals, instructions and related agreements, and equipment certifications and similar documents; 10. certifications by Contractor and each Subcontractor as required by applicable collective bargaining agreements that all employee benefit contributions due and owing pursuant to any applicable collective bargaining agreement have been paid in full; 11. releases of rights and claims relating to patents and trademarks, as required by the Contract Documents; and 12. any other documents or information required by the Contract Documents as a condition of Final Payment or Final Completion. C. Final Payment Pursuant to the Public Contract Code Section 7107, within sixty (60) Days after City issues the Notice of Completion to Contractor, the Final Payment, including Retention, shall be released to Contractor, subject to the City's right to withhold 150%of any disputed amounts. ARTICLE 7 GC-49 of 90 D. Disputed Amounts Pursuant to California Public Contract Code 7107, City may deduct and withhold from the Final Payment due under Paragraph 7.05-C, above, an amount up to 150% of any disputed amounts, including, without limitation, amounts to protect City against any loss caused or threatened as a result of Contractor's failing to fully perform all of those obligations that are required to be fulfilled by Contractor as a condition to Final Completion and Final Payment. Alternatively, City may elect, in its sole discretion, to accept the Work without correction or completion and adjust the Contract Sum pursuant to the Contract Documents. E. Acceptance of Final Payment Acceptance of Final Payment by Contractor shall constitute a waiver of all rights by Contractor against City for recovery of any loss, excepting only those Claims that have been submitted by Contractor in the manner required by the Contract Documents prior to or at the time of the Final Payment. 7.06 MISCELLANEOUS A. Joint Payment City shall have the right, if deemed necessary in its sole discretion, to issue joint checks made payable to Contractor and any Subcontractor(s) of any Tier. The joint check payees shall be solely responsible for the allocation and disbursement of funds included as part of any such joint payment. Endorsement on such check by a payee shall be conclusively presumed to constitute receipt of payment by such payee. In no event shall any joint check payment be construed to create any contract between City and a Subcontractor of any Tier, any obligation from City to such Subcontractor or any third party rights against City or Director. B. WithholdinglDuty to Proceed The payment, withholding or retention of all or any portion of any payment claimed to be due and owing to Contractor shall not operate in any way to relieve Contractor from its obligations under the Contract Documents. Contractor shall continue diligently to prosecute the Work without reference to the payment, withholding or retention of any payment. The partial payment, withholding or retention by City in good .faith of any disputed portion of a payment, whether ultimately determined to be correctly or incorrectly asserted, shall not constitute a breach by City of the Construction Contract and shall not be grounds for an adjustment of the Contract Sum or Contract Time. C. No Acceptance No payment by City or partial or entire use of the Work by City shall be construed as approval or acceptance of the Work,or any portion thereof. D. Contractor Payment Warranty Submission of an Application for Payment shall constitute a representation and warranty by Contractor that; 1. Title to Work covered by an Application for Payment will pass to City either by incorporation into the construction or upon receipt of payment by Contractor,whichever occurs first; and ARTICLE 7 GC-50 of 90 2. Work covered by previous Applications for Payment are free and clear of liens, stop notices, claims,security interests or encumbrances imposed by Contractor or any other person. E. Corrections No inaccuracy or error in any Application for Payment provided by Contractor shall operate to release Contractor from the error, or from losses arising from the Work, or from any obligation imposed by the Contract Documents. City retains the right to subsequently correct any error made in any previously approved Application for Payment, or progress payment issued, by adjustments to subsequent payments. 7.07 PAYMENTS BY CONTRACTOR Contractor shall not include in its Applications for Payment sums on account of any Subcontractor's portion of the Work that it does not intend to pay to such Subcontractor. Upon receipt of payment from City, Contractor shall pay the Subcontractor performing Work on the Project, out of the amount paid to Contractor on account of such Subcontractor's portion of the Work, the amount to which said Subcontractor is entitled in accordance with the terms of its contract with Contractor and applicable laws, including, without limitation, California Public Contract Code Section 7107. Contractor shall remain responsible notwithstanding a withholding by City pursuant to the terms of these Contract Documents, to promptly satisfy from its own funds sums due to all Subcontractors who have performed Work that is included in Contractor's Application for Payment. Contractor shall, by appropriate agreement, require each Subcontractor to make payments to its subcontractors and material suppliers in similar manner. City shall have no obligation to pay or be responsible in any way for payment to a Subcontractor of any tier or material supplier. 7.08 PAYMENTS WITHHELD A. Withholding by City In addition to any other amounts which City may have the right to retain under the Contract Documents, City may withhold a sufficient amount of any payment otherwise due to Contractor as City, in its sole discretion, may deem necessary to cover actual or threatened loss due to any of the following: 1. Third Party Claims. Third-party claims or stop notices filed or reasonable evidence indicating probable filing of such claims or stop notices. City shall promptly inform Contractor of any third parry claims related to this Contract; 2. Defective Work. Defective Work not remedied; 3. Nonpayment. Failure of Contractor to make proper payments to its Subcontractors for services, labor, materials or equipment; 4. Inability to Complete. Reasonable doubt that the Work can be completed for the then unpaid balance of the Contract Sum or within the Contract Time; 5. Violation of Applicable Laws. Failure of Contractor or its Subcontractors to comply with applicable laws or lawful orders of governmental authorities; ARTICLE 7 GC-51 of 90 6. Penafty. Any claim or penalty asserted against City by virtue of Contractor's failure to comply with applicable laws or lawful orders of governmental authorities (including, without limitation labor laws); 7. Failure to Meet Contract Time. Any damages which may accrue as a result of Contractor failing to meet the Construction Schedule or failing to perform within the Contract Time; 8. Setoff. Any reason specified elsewhere in the Contract Documents as grounds for a withholding offset or set off or that would legally entitle City to a set-off or recoupment; 9. Consultant Services. Additional professional,consultant or inspection services required due to Contractor's failure to comply with the Contract Documents. 10. Liquidated Damages. Liquidated damages assessed against Contractor 11. Materials. Materials ordered by City pursuant to the Contract Documents. 12. Damages. Loss caused by Contractor or Subcontractor to City, Separate Contractors or any other person or entity under contract to City. 13. Clean Up. Clean up performed by City and chargeable to Contractor pursuant to the Contract Documents. 14. Employee Benefits. Failure of Contractor to pay contributions due and owing to employee benefits funds pursuant to any applicable collective bargaining agreement or trust agreement. 15. Required Documents. Failure of Contractor to submit on a timely basis, proper and sufficient documentation required by the Contract Documents, including, without limitation, Construction Schedule updates, 'look ahead' schedules, Submittals, Schedules of Values, information on Subcontractors,Change Orders, certifications and other required reports or documentation. 16. Other Breach. A breach of any obligation or provision of the Contract Documents. S. Release of Withholding If and when City determines, in its sole discretion, that the above grounds for withholding have been removed and that all losses incurred or threatened have been paid, credited or otherwise satisfied, then payment shall be made for amounts withheld because of them. D. Application of Withholding City may apply sums withheld pursuant to Paragraph 7.08-A above, in payment of any loss or threatened loss as City determines, in its sole discretion, to be appropriate. Such payments may be made without a prior judicial determination of City's actual rights with respect to such loss. Contractor agrees and hereby designates City as its agent for such purposes, and agrees that such payments shall be considered as payments made under Construction Contract by City to Contractor. City shall not be liable to Contractor for such payments made in good faith. City shall submit to Contractor an accounting of such funds disbursed on behalf of Contractor. As an alternative to such payment, city may, in its sole discretion, elect to exercise its right to adjust the Contract Sum as provided in the Contract Documents. ARTICLE 7 GC-52 of 90 D. Continuous Performance Provided City pays the undisputed portion, if any, of funds withheld in good faith, Contractor shall maintain continuous and uninterrupted performance of the Work during the pendency of any disputes or disagreements with City. 7.09 SUBSTITUTION OF SECURITIES A. Public Contract Code Pursuant to the requirements of California Public Contract Code Section 22300, upon Contractor's request, City will make payment to Contractor of any funds withheld from payments to ensure performance under the Contract Documents if Contractor deposits with City, or in escrow with a California or federally chartered bank in California acceptable to City ("Escrow Agent"), securities eligible for the investment of State Funds under Government Code Section 16430,or bank or savings and loan certificates of deposit,interest-bearing demand deposit accounts,standby letters of credit,or any other security mutually agreed to by Contractor and the City, upon the following conditions: 1. Contractor shall be the beneficial owner or any securities substituted for monies withheld for the purpose of receiving any interest thereon. 2. All expenses relating to the substitution of securities under Public Contract Code Section 22300 and under this Paragraph 7.04, including, but not limited to City's overhead and administrative expenses, and expenses of Escrow Agent shall be the responsibility of Contractor. 3. Securities or certificates of deposit substituted for monies withheld shall be of a value of at least equivalent to the amounts of retention to be paid to Contractor pursuant to the Contract Documents. 4. If Contractor chooses to deposit securities in lieu of monies withheld with an Escrow Agent, Contractor, City and Escrow Agent shall, as a prerequisite to such deposit, enter into an escrow agreement, using the City's form, "Escrow Agreement for Deposit of Securities in Lieu of Retention." 5. Contactor shall obtain the written consent of Surety to such agreement. 6. Securities, it any, shall be returned to Contractor only upon satisfactory Final Completion of the Work. B. Substitute Security To minimize the expense caused by such substitution of securities, Contractor shall, prior to or at the time Contractor requests to substitute security, deposit sufficient security to cover the entire amount to be withheld. Should the current market value of such substituted security fall below the amount for which it was substituted, or any other amounts which the City withholds pursuant to the Contract Documents, Contractor shall immediately and at Contractor's expense and at no cost to City deposit additional security qualifying under Public Contract Code Section 22300 until the current market value of the total security deposited is no less than the amount subject to withholding under the Contract Documents. Securities shall be valued as often as conditions of the securities market warrant, but in no case less frequently than once per month. ARTICLE 7 GC-53 of 90 C. Deposit of Retentions Alternatively, subject to the conditions set forth in Paragraph 7.04-A above, upon request of Contractor, City shall make payment of retentions directly to Escrow Agent at the expense of Contractor, provided that Contractor, City and Escrow Agent shall,as a prerequisite such payment, enter into an escrow agreement in the same form as prescribed in Part 4 of Paragraph A, above. At the expense of Contractor and at no cost to City, Contractor may direct the investment of the payments into securities and interest bearing accounts, and Contractor shall receive the interest earned on the investments. Escrow Agent shall hold such direct payments by City under the same terms provided herein for securities deposited by Contractor. Upon satisfactory Final Completion of the Work, Contractor shall receive from Escrow Agent all securities, interest and payments received by Escrow Agent from City, less escrow fees and charges of the Escrow Account, according to the terms of Public Contract Code Section 22300 and the Contract Documents. D. rime for Election of Substitution of Securities Notwithstanding the provision of 7.04 A, B,and C above and California Public Contract Code Section 22300, the failure of Contractor to request the Substitution of eligible securities for monies to be withheld by City within ten (10) days of the award of Contract to Contractor shall be deemed to be a waiver of all such rights. 7.10 CLAIMS A. Arising of Claim. 1. Scope Change. When Contractor has a claim for an increase in the Contract Sum or Contract Time due to a scope change which has not yet become final, a"claim"will be deemed to arise once the Director has issued a decision denying, in whole or in part, Contractor's Change Order Request. 2. Other Claims. In the case of a Claim by Contractor that does not involve an adjustment to the Contract Sum or Contract Time due to a scope change and which has not become final, the Claim may be asserted if, and only if, Contractor gives written notice to City of intent to file the Claim within three (3) days of the date of discovery relative to such circumstances (even if Contractor has not yet been damaged or delayed). Such written notice of intent to file a Claim shall be valid if, and only if, it identifies the event or condition giving rise to the Claim, states its probable effect, if any with respect to Contractor's entitlement to an adjustment of the Contract Sum or Contract Time and complies with the requirements of Paragraph 7.11-B, below. For purposes of this Paragraph 7.11, a Claim for which such written notice is required and has been given by Contractor shall be deemed to arise on the date that such written notice is received by City. B. Content of Claim A Claim by Contractor must include all of the following: 1. A statement that it is a Claim and a request for a decision on the Claim; 2. A detailed description of the act, error, omission, unforeseen condition, event or other circumstance giving rise to the Claim. ARTICLE 7 GC-54 of 90 3_ If the Claim involves an adjustment to the Contract Sum or Contract Time due to a change in scope, a statement demonstrating that all requisite notices were provided, including, without limitation, timely written notice and a Change Order Request as required by Article 6 of these General Conditions and timely notice of delay and request for extension of time in accordance with Article 3. If the Claim does not involve an adjustment to the Contract Sum or Contract Time due to a change in scope, a statement demonstrating that a notice of intent to file the Claim was timely submitted as required by Paragraph 7.10-A.2, above; 4. A detailed justification for any remedy or relief sought by the Claim including without limitation, a detailed cost breakdown in the form' required for submittal of Change Order Requests and actual job cost records demonstrating that the costs have been incurred; 5. If the Claim involves a request for adjustment of the Contract Time, written documentation demonstrating that Contractor has complied with the requirements of the Contract Documents and written substantiation (including, without limitation, a Time Impact Analysis) demonstrating that Contractor is entitled to an extension of time under the Contract Documents; and 6. A written certification signed by a managing officer of Contractor's organization, who has the authority to sign contracts and purchase orders on behalf of Contractor and who has personally investigated and confirmed the truth and accuracy of the matters set forth in such certification, in the'following form: "I hereby certify under penalty of perjury that I am a managing officer of (Contractor's name) and that I have reviewed the Claim presented herewith on Contractor's behalf and/or on behalf of (Subcontractors name) and that, to the best of my knowledge after conducting a diligent inquiry into the facts of the Claim,the following statements are true and correct: The facts alleged in or that form the basis for the Claim are, to the best of my knowledge following diligent inquiry,true and accurate; and, (a) I do not know of any facts or circumstances, not alleged in the Claim, that by reason of their not being alleged render any fact or statement alleged in the Claim materially misleading;and, (b) I have, with respect to any request for money or damages alleged in or that forms the basis for the Claim, reviewed the job cost records (including those maintained by Contractor and by any Subcontractor, of any tier, that is asserting all or any portion of the Claim) and confirmed with reasonable certainty that the losses or damages suffered by Contractor and/or such Subcontractor were in fact suffered in the amounts and for the reasons alleged in the Claim; and, (c) I have, with respect to any request for extension of time or claim of delay, disruption, hindrance or interference alleged in or that forms the basis for the Claim, reviewed the job schedules(including those maintained by Contractor and the Subcontractor, of any tier, that is asserting all or any portion of the Claim) and confirmed on an event-by-event basis that the delays or disruption suffered by Contractor and/or such Subcontractor were in fact experienced for the durations, in the manner, and with the consequent effects on the time and/or sequence of performance of the Work, as alleged in the Claim; and, ARTICLE 7 GC-55 of 90 (d) I have not received payment from City for, nor has Contractor previously released City from, any portion of the Claim." Signature: Date: Name: Title: Company C. Noncompliance Failure to submit any of the information, documentation or certifications required by Paragraph 7.10-B, above,shall result in the Claim being returned to Contractor without any decision. D. Submission of Claims 1. Director. Claims shall be first submitted to the City for decision by the Director. 2. Continuous Work. Notwithstanding the making of any Claim or the existence of any dispute regarding any Claim, unless otherwise directed by City, Contractor shall not delay, slow or stop performance of the Work, but shall diligently proceed with performance in accordance with the Contract Documents and City will continue, to make undisputed payments as by the Contract Documents. 3. Time for Filing. All Claims and supporting documentation and certifications must be filed within thirty(30)days after the Claim arises. No Claims shall be filed after Final Payment. 4. Conditions Precedent. No Claim may be asserted unless Contractor has strictly complied with the requirements of this Paragraph 7.10-D, which shall be considered conditions precedent to Contractor's right to assert the Claim and to initiate the Dispute Resolution Process with respect to such Claim. E. Response to Claims,Meet and Confer 1. Claims less than $50,000. Claims less than $50,000 shall be responded to by City in writing within forty-five(45) days of receipt of the Claim, unless City requests additional information or documentation of the Claim within thirty (30) days of receipt of the Claim, in which case City shall respond to the Claim within fifteen (15) days after receipt of the further information or documentation or within a period of time no greater than that taken by Contractor in producing the additional information or documentation, whichever is greater. 2. Claims $50,000 or more. Claims $50,000 or more shall be responded to by City in writing within (60) days of receipt of the Claim, unless City requests additional information or documentation of the Claim within thirty (30) days of receipt of the Claim, in which case City shall respond to the Claim within thirty (30) days after receipt of the further information or documentation or within a period of time no greater than that taken by Contractor in producing the additional information or documentation,whichever is greater. ARTICLE 7 GC-56 of 90 3. Meet and Confer. If Contractor disputes City's response, or if City fails to respond within the prescribed time set forth in Paragraph 7.10-E.1 and 7.10-E.2, above, Contractor may so notify City, in writing, within fifteen (15) days of City's response, or within fifteen (15) days of City's response due date in the event of a failure to respond, and demand an informal conference to meet and confer for settlement of the issues in dispute. Upon such demand, City shall schedule a meet and confer conference within thirty (30)days of such demand, for discussion of settlement of the dispute. F. Finality of Decision If Contractor disputes the Director's decision under this Article, it shall commence the Dispute Resolution Process as set forth in Article 15 of these General Conditions by filing a Statement of Dispute within seven (7)days after receipt of the Director's response. G. Continuing Contract Performance/Duty to Proceed with Disputed Work Contractor shall not delay or postpone any Work pending resolution of any claims, disputes or disagreements. Pending final resolution of a claim, the Contactor shall proceed diligently with performance of the Contract and the City shall continue to make payments for undisputed Work in accordance with the Contract Documents. In the event of disputed Work, City shall have the right to unilaterally issue a Work Directive and Contractor shall continue performance pending resolution of the dispute and shall maintain the accounting and cost data to substantiate the cost of such disputed work. [END OF ARTICLE] ARTICLE 7 GC-57 of 90 ARTICLE 8- MATERIALS AND EQUIPMENT 8.01 GENERAL A. Contractor shall fumish all materials and equipment needed to complete the Work and installations required under the terms of this Contract, except those materials and equipment specified to be furnished by the City. B. Contractor shall submit satisfactory evidence that the materials and equipment to be fumished and used in the work are in compliance with the Specifications. Materials and equipment incorporated in the Work and not specifically covered in the Specifications shall be the best of their kind. Unless otherwise specified, all materials and equipment incorporated in the Work under the Contract shall be new. 8.02 QUALITY AND WORKMANSHIP All material and equipment furnished by Contractor shall be new, high grade, and free from defects and imperfections, unless otherwise hereinafter specified. Workmanship shall be in accordance with the best standard practices. All materials and equipment must be of the specified quality and equal to approved samples, if samples have been required. All Work shall be done and completed in a thorough, workmanlike manner, notwithstanding any omission from the Specifications or Drawings, and it shall be the duty of Contractor to call attention to apparent errors or omissions and request instructions before proceeding with the Work. Director may, by appropriate instructions, correct errors and supply omissions, which instructions shall be binding upon Contractor as though contained in the original Specifications or Drawings.All Work performed under the Specifications will be inspected by the Director as provided in Paragraph 8.04. Ali materials and equipment furnished and all Work done must be satisfactory to the Director.Work, material, or equipment not in accordance with the Specifications, in the opinion of the Director shall be made to conform thereto. Unsatisfactory materials and equipment will be rejected,and if so ordered by the Director, shall,at Contractor's expense,be immediately removed from the vicinity of the Work. 8.03 TRADE NAMES AND"OR APPROVED EQUAL" PROVISION Whenever in the Specifications or Drawings the name or brand of a manufactured article is used it is intended to indicate a measure of quality and utility or a standard. Except in those instances where the product is designated to match others in use on a particular improvement either completed or in the course of completion, Contractor may substitute any other brand or manufacture of equal appearance, quality, and utility on approval of the Director, provided the use of such brand or manufacture involves no additional cost to the City. 8,04 APPROVAL OF MATERIALS A. Contractor shall furnish without additional cost to the City such quantities of construction materials as may be required by the Director for test purposes. He/she shall place at the Director's disposal all available facilities for and cooperate with him in the sampling and testing of all materials and workmanship. Contractor shall prepay all shipping charges on samples. No samples are to be submitted with the bids unless otherwise specified. B. Each sample submitted shall be labeled. A letter, in duplicate, submitting each shipment of samples shall be mailed to Director by Contractor. Both the label on the sample and the letter of transmittal shall indicate the material represented, its place of origin, the names of the producer and Contractor, the Specifications number and title, and a reference to the applicable Drawings and Specifications paragraphs. ARTICLE 8 GC-58 of 90 C. Materials or equipment of which samples are required shall not be used on the Work until approval has been given by the Director in writing. Approval of any sample shall be only for the characteristics of the uses named in such approval and no other. No approval of a sample shall be taken in itself to change or modify any Contract requirement. D. Failure of any material to pass the specified tests, including life cycle maintenance data may be sufficient cause for refusal to consider under this Contract, any further sample of the same brand or make of that material. &05 ORDERING MATERIALS AND EQUIPMENT One copy of each of Contractor's purchase orders for materials and equipment forming a portion of the Work must be furnished to the Director, if requested. Each such purchase order shall contain a statement that the materials and equipment included in the order are subject to inspection by the City. Materials and equipment purchased locally will,at the City's discretion,be inspected at the point of manufacture or supply, and materials and equipment supplied from points outside the Los Angeles area will be inspected upon arrival at the job, except when other inspection requirements are provided for specific materials in other sections of the Contract Documents. 8.06 AUTHORITY Of THE DIRECTOR A. On all questions concerning the acceptability of materials or machinery,the classification of materials, the execution of the Work, and conflicting interests of Contractors performing related work, the decision of the Director shall be final and binding. B. The Director will make periodic observations of materials and completed work to observe their compliance with Drawings, Specifications, and design and planning concepts, but he/she is not responsible for the superintendence of construction processes, site conditions, operations, equipment, personnel, or the maintenance of a safe place to work or any safety in, on, or about the site of work. 8.07 INSPECTION All materials furnished and work done under this Contract will be subject to rigid inspection. Contractor shall furnish,without extra charge,the necessary test pieces and samples, including facilities and labor for obtaining them, as requested by the Director. The Director, or his/her authorized agent or agents, at all times shall have access to all parts of the shop and the works where such materials under his/her inspection is being manufactured or the work performed. Work or material that does not conform to the Specifications, although accepted through oversight, may be rejected at any stage of the Work. Whenever Contractor is permitted or directed to do night work or to vary the period during which work is carried on each day, he/she shall give the Director due notice, so that inspection may be provided. Such work shall be done under regulations to be furnished in writing by the Director. 8.08 INFRINGEMENT OF PATENTS Contractor shall hold and save the City, its officers, agents, servants, and employees harmless from and against all and every demand or demands, of any nature or kind, for or on account of the use of any patented invention, process, equipment, article, or appliance employed in the execution of the Work or included in the materials or supplies agreed to be furnished under this Contract, and should Contractor, his/her agents, servants, or employees, or any of them, be enjoined from furnishing or using any invention, process, equipment, article, materials, supplies or appliance supplied or required to be supplied or used under this ARTICLE 8 CC-59 of 90 Contract, Contractor shall promptly substitute other inventions, processes, equipment, articles, materials, supplies, or appliances in lieu thereof, of equal efficiency, quality, finish, suitability, and market value, and satisfactory in all respects to the Director. Or in the event that the Director elects, in lieu of such substitution,to have, supplied, and to retain and use, any such invention, process, equipment, article, materials, supplies, or appliances, as may by this Contract be required to be supplied and used, in that event Contractor shall at his/her expense pay such royalties and secure such valid licenses as may be requisite and necessary to enable the City, its officers, agents, servants, and employees, or any of them, to use such invention, process, equipment, article, materials, supplies, or appliances without being disturbed or in way interfered with by any proceeding in law or equity on account thereof. Should Contractor neglect or refuse promptly to make the substitution hereinbefore required, or to pay such royalties and secure such licenses as may be necessary and requisite for the purpose aforesaid, then in that event the Director shall have the right to make such substitution, or the City may pay such royalties and secure such licenses and charge the cost thereof against any money due Contractor from the City, or recover the amount thereof from him/her and his/her surety, notwithstanding final payment under this Contract may have been made. [END OF ARTICLE] ARTICLE 8 GC-60 of 90 ARTICLE 9- SUBMITTALS 9.01 GENERAL A. Contractor shall submit samples, drawings, and data for the Directors approval which demonstrate fully that the construction, and the materials and equipment to be furnished will comply with the provisions and intent of the Drawings and Specifications. B. Specific items to be covered by the submittals shall include,as a minimum,the following: 1. For structures, submit all shop, setting, equipment, miscellaneous iron and reinforcement drawings and schedules necessary. 2. For conduits, submit a detailed layout of the conduit with details of bends and fabricated specials and furnish any other details necessary. Show location of shop and field welds. I For equipment which requires electrical service, submit detailed information to show power supply requirements, wiring diagrams, control and protection schematics, shop test data, operation and maintenance procedures, outline drawings, and manufacturer's recommendation of the interface/interlock among the equipment. 4. For mechanical equipment submit all data pertinent to the installation and maintenance of the equipment including shop drawings, manufacturer's recommended installation procedure, detailed installation drawings, test data and curves, maintenance manuals, and other details necessary. 5. Samples 6. Colors 7. Substitutions 8. Manuals 9. As-built drawings 10. Safety plans required by Article 10 9.02 PRODUCT HANDLING A. Submittals shall be accompanied by a letter of transmittal and shall be in strict accordance with the provisions of this Article. B. Submit priority of processing when appropriate. 9.03 SCHEDULE OF SUBMITTALS A. Contractor shall prepare and submit a schedule of submittals. The schedule of submittals shall be in the form of a submittal log. Refer to Paragraph 9.12. ARTICLE 9 GC-61 of 90 9.04 SHOP DRAWINGS A. All shop drawings shall be produced to a scale sufficiently large to show all pertinent features of the item and its method of connection to the Work. B. All shop drawing prints shall be made in blue or black line on white background. Reproductions of City/Contract Drawings are not acceptable. C. The overall dimensions of each drawing submitted to the Director shall be equal to one of the City's standard sheet sizes as listed below. The title block shall be located in the lower right hand comer of each drawing and shall be clear of all line Work, dimensions, details,and notes. Sheet Sizes Height X Width 11"X 81/2" 11"X 17" 24"X 36" 30'X 42" 9.05 COLORS Unless the precise color and pattern are specified elsewhere, submit accurate color charts and pattern charts to the Director for his/her review and selection whenever a choice of color or pattern is available in a specified product. Label each chart naming the source,the proposed location of use on the project,and the project. 9.06 MANUFACTURERS' LITERATURE Where contents of submitted literature from manufacturers includes data not pertinent to the submittal, clearly show which portions of the contents are being submitted for review. 9.07 SUBSTITUTIONS A. The Contract is based on the materials, equipment, and methods described in the Contract Documents.Any Contractor proposed substitutions are subject to the Director's approval. Director will consider proposals for substitution of materials,equipment, and methods only when such proposals are accompanied by full and complete technical data, and all other information, including life cycle maintenance data, required by the Director to evaluate the proposed substitution. B. Any requests for substitutions by Contractor must be made within forty-five (45) calendar days from the Issuance Date on the Notice to Proceed. Otherwise,such requests will not be considered. C. Trade names and"or approved equal"provision as set forth in Paragraph 8.03. 9.08 MANUALS A. When manuals are required to be submitted covering items included in this Work,prepare and submit such manuals in approximately 8-1/2" X 11" format in durable plastic binders. In addition, manuals shall be submitted in electronic format. Manuals shall contain at least the following: 1. Identification on,or readable through,the front cover stating general nature of the manual. ARTICLE 9 GC-62 of 90 2. Neatly typewritten index near the front of the manual, furnishing immediate information as to location in the manual of all emergency data regarding the installation. 3. Complete instructions regarding operation and maintenance of all equipment involved. 4. Complete nomenclature of all replaceable parts, their part numbers,current cost, and name and address of nearest vendor of parts. 5. Copy of all guarantees and warranties issued. 6. Copy of drawings with all data concerning changes made during construction. B. Where contents of manuals include manufacturers' catalog pages, clearly indicate the precise items included in this installation and delete, or otherwise clearly indicate,all manufacturers'data with which this installation is not concerned. 9.09 AS-BUILT DRAWINGS A. Contractor shall modify the plan and/or timing sheet(s) in the traffic signal cabinet upon any addition, deletion, repair, or change in timing as soon as the work is completed. The legibility and contrast of each drawing submitted to the City shall be such that every line, number, letter, and character is clearly readable. B. Contractor shall notify the City of any and all changes to the plan and/or timing sheet(s). 9.10 SUBMITTALS QUANTITIES A. Submit seven(7)copies of all data and drawings unless specified otherwise. B. Submit all samples, unless specified otherwise, in the quantity to be returned, plus two, which will be retained by the Director. 9.11 IDENTIFICATION OF SUBMITTALS Completely identify each submittal and re-submittal by showing at least the following information: A. Name and address of submitter, plus name and telephone number of the individual who may be contacted for further information. B. Name of project as it appears in the Contract Documents and Contract No. C. Drawing number and Specifications section number other than this section to which the submittal applies. D. Whether this is an original submittal or re-submittal. E. For samples,indicate the source of the sample. 9.12 SCHEDULE OF SUBMITTALS A. Submit initial schedule of submittals within five(5)Working Days after the Issuance Date on Notice to Proceed. ARTICLE 9 CC-63 of 90 B. Submit revised schedule of submittals within five (5) Working Days after date of request from the Director. C. The Director will review schedule of submittals and will notify Contractor that schedule is acceptable or not acceptable within five(5)Working Days after receipt. 9.13 COORDINATION OF SUBMITTALS A. Prior to submittal for the Director's review, use all means necessary to fully coordinate all material, including the following procedures: 1. Determine and verify all field dimensions and conditions, materials,catalog numbers, and similar data. 2. Coordinate as required with all trades and with all public agencies involved. 3. Secure all necessary approvals from public agencies and others and signify by stamp, or other means,that they have been secured. 4. Clearly indicate all deviations from the Specifications. B. Unless otherwise specifically permitted by the Director, make all submittals in groups containing all associated items;the Director may reject partial submittals as not complying with the provisions of the Specifications. 9.14 TIMING FOR SUBMITTALS A. Make all submittals far enough in advance of scheduled dates of installation to provide all required time for reviews, for securing necessary approvals, for possible revision and re-submittal, and for placing orders and securing delivery. B. In scheduling, allow at least 15 Working Days for the Director's review, plus the transit time to and from the City office. C. Manuals shall be submitted prior to performing functional tests. 9.15 APPROVAL BY CITY A. Up to three (3) copies of each submittal, except manuals, schedule of costs for progress payments, and as-built drawings will be returned to Contractor marked "No Exceptions Taken," "Make Corrections Noted - Do Not Resubmit," or"Make Corrections Noted - Resubmit." Manuals, schedule of costs,and as-built drawings will be returned for re-submittal if incomplete or unacceptable. B. Submittals marked"Approved as Noted"need not be resubmitted, but the notes shall be followed. C. If submittal is returned for correction, it will be marked to indicate what is unsatisfactory. D. Resubmit revised drawings or data as indicated, in five(5)copies. E. Approval of each submittal by the Director will be general only and shall not be construed as: 1. Permitting any departures from the Specifications requirements. ARTICLE 9 GC-64 of 90 2. Relieving Contractor of the responsibility for any errors and omissions in details, dimensions, or of other nature that may exist. 3. Approving departures from additional details or instructions previously furnished by the Director. 9.16 CHANGES TO APPROVED SUBMITTALS A. A re-submittal is required for any proposed change to an approved submittal. Changes which require re-submittal include, but are not necessarily limited to, drawing revisions, changes in materials and equipment, installation procedures and test data. All re-submittals shall include an explanation of the necessity for the change. B. Minor corrections to an approved submittal may be accomplished by submitting a"Corrected Copy". [END OF ARTICLE] ARTICLE 9 GC-65 of 90 ARTICLE 10-SAFETY 10.01 PROTECTION OF PERSONS AND PROPERTY A Contractors Responsibility: Notwithstanding any other provision of the Contract Documents, Contractor shall be solely and completely responsible for conditions of the job site, including safety of all persons and property, during performance of the Work. This requirement will apply continuously and will not be limited to normal working hours. Safety and sanitary provisions shall conform to all applicable Federal, State, County, and local laws, regulations, ordinances, standards, and codes. Where any of these are in conflict,the more stringent requirement shall be followed. 8. Sanitary Facilities. Contractor shall furnish and maintain sanitary facilities by the worksites for the entire construction period. C. Protection of the Public. Contractor shall take such steps and precautions as his/her operations warrant to protect the public from danger, loss of life, loss of property or interruption of public services. Unforeseen conditions may arise which will require that immediate provisions be made to protect the public from danger or loss, or damage to life and property, due directly or indirectly to prosecution of work under this contract. Whenever, in the opinion of the Director, a condition exists which Contractor has not taken sufficient precaution of public safety, protection of utilities and/or protection of adjacent structures or property, the Director will order Contractor to provide a remedy for the condition. If Contractor fails to act on the situation within a reasonable lime period as determined by the Director, or in the event of an emergency situation, the Director may provide suitable protection by causing such work to be done and material to be furnished as, in the opinion of the Director, may seem reasonable and necessary. The cost and expense of all repairs(including labor and materials)as are deemed necessary, shall be bome by Contractor. All expenses incurred by the City for emergency repairs will be deducted from the final payment due to Contractor. 10.02 PROTECTION FROM HAZARDS A_ Trench Excavation Excavation for any trench four(4) feet or more in depth shall not begin until Contractor has received approval from the Director of Contractor's detailed plan for worker protection from the hazards of caving ground during the excavation of such trench. Such plan shall show the details of the design of shoring, bracing, sloping or other provisions to be made for worker protection during such excavation. No such plan shall allow the use of shoring, sloping or protective system less effective than that required by the Construction Safety Orders of the Division of Occupational Safety and health, and if such plan varies from the shoring system standards established by the Construction Safety Orders, the plan shall be prepared and signed by an engineer who is registered as a Civil or Structural Director in the State of California. 13_ Confined Spaces Contractor shall comply with all of the provisions of General Industry Safety Orders of the California Code of Regulations. Entry of a confined space shall not be allowed until Contractor has received approval from the Director of Contractor's program for confined space entry. Confined space means a space that (1) is large enough and so configured that an employee can bodily enter and perform assigned Work; and (2) Has limited or restricted means for entry or exit(for example, tanks,vessels, silos, storage bins, hoppers, vaults, and pits are spaces that may have limited means of entry); and ARTICLE 10 GC-66 of 90 (3) Is not designed for continuous employee occupancy. Failure to submit a confined space entry program may result in actions as provided in Article 5:'Suspension or Termination of Contract." C. Material Safety Data Sheet Contractor shall comply with all of the provisions of General Industry Safety Orders of the California Administrative Code. Contractor shall submit to the Director a Material Safety Data Sheet(MSDS)for each hazardous substance proposed to be used,ten (10)days prior to the delivery of such materials to the job site or use of such materials at a manufacturing plant where the Director is to perform an inspection. For materials which are to be tested in City laboratories, the MSDS shall be submitted with the sample(s). hazardous substance is defined as any substance included in the list(Director's List) of hazardous substances prepared by the Director, California Department of Industrial Relations, pursuant to Labor Code Section 6382. Failure to submit an MSDS for any hazardous substance may result in actions as provided in Article 5, "Suspension or Termination of Contract". 10.03 DIFFERING SITE CONDITIONS A. Differing Site Conditions Defined. Contractor shall promptly, and before such conditions are disturbed, notify the Director in writing of any Differing Site Conditions. Differing Site Conditions are those conditions, located at the project site or in existing improvements and not otherwise ascertainable by Contractor through the exercise of due diligence in the performance of its inspection obligations in the Contract Documents, encountered by Contractor in digging trenches or other excavations(s)that extend deeper than four feet below the surface of the ground that constitute: 1. Material that Contractor believes may be material that is hazardous waste as defined in Section 25117 of the Health and Safety Code, which is required to be removed to a Class I, Class ll, or Class III disposal site in accordance with provisions of existing law. 2. Subsurface or latent physical conditions at the site differing materially from those indicated in these Contract Documents. 3. Unknown physical conditions at the site, of any unusual nature, different materially from those ordinarily encountered and generally recognized as inherent in Work of the character provided for in these Contract Documents. B. Notice by Contractor. If Contractor encounters conditions it believes constitute Differing Site Conditions, then notice of such conditions shall, before such conditions are disturbed, be promptly reported to the Director followed within twenty-four (24) hours by a further written notice stating a detailed description of the conditions encountered. C. Director will promptly investigate the conditions and It he/she finds that such conditions do materially differ, or do involve hazardous waste, and do cause an increase or decrease in Contractor's cost of, or time required for, performance of any part of the Worts under this Contract, an equitable adjustment will be made,as determined by the Director. D. Change Order Request. If Contractor intends to seek an adjustment to the Contract Sum or Contract Time based upon Differing Site Conditions, it must, within ten (10) Days after the Discovery Date relative to such conditions, submit a Change Order Request setting forth a detailed cost breakdown and Time Impact Analysis, in the form required by Article 6 of these General Conditions, of the additional Allowable Costs and Excusable Delay resulting from such Differing Site Conditions. ARTICLE 10 (:C-67 of 90 E. Failure to Comply. Failure by Contractor to strictly comply with the requirements of this Paragraph 10.03 concerning the timing and content of any notice of Differing Site Conditions or request for adjustment in Contract Sum or Contract Time based on Differing Site Conditions shall be deemed waiver of any right by Contractor for an adjustment in the Contract Sum or Contract Time by reason of such conditions. F. Final Completion_. No claim by Contractor for additional compensation for Differing Site Conditions shall be allowed if asserted after Final Payment. G. In the event of disagreement between Contractor and the Director whether the conditions do materially differ or whether a hazardous waste is involved or whether the conditions cause an increase or decrease in Contractor's cost of, or time required for, performance of any part of the Work, Contractor shall not be excused from any completion date required by the Contract, but shall proceed with all Work to be performed under the Contract Documents. H. Contractor shall retain all rights provided by, and shall be subject to all requirements of,this Contract which pertain to the resolution of disputes and protests. I. Contractor Res onsibili . Except as otherwise provided in this Paragraph 10.03 for Differing Site Conditions, Contractor agrees to solely bear the risk of additional cost and Delay due to concealed or unknown conditions, surface or subsurface, at the Site or in Existing Improvements, without adjustment to the Contract Sum or Contract Time. 10.04 TRAFFIC REGULATION A. During the performance of the Work Contractor shall erect and maintain necessary temporary fences, bridges, railings, lights, signals, barriers, or other safeguards as shall be appropriate under the circumstance in his/her judgment for the prevention of accidents; and he/she shall take other precautions as necessary for public safety including, but not limited to, traffic control. Traffic control shall be conducted in accordance with the latest edition of the Manual of Uniform Traffic Control Devices("MUTCD") handbook and as directed and approved by the Director. B. Contractor shall submit at least ten (10)Working Days prior to Work a detailed traffic control plan,that is approved by all agencies having jurisdiction and that conforms to all requirements of the Specifications. C. No changes or deviations from the approved detailed traffic control plan shall be made, except temporary changes in emergency situations, without prior approval of the City Traffic and Transportation Administrator and all agencies having jurisdiction. Contractor shall immediately notify the Director, the City Traffic and Transportation Administrator and the agencies having jurisdiction of occurrences that necessitate modification of the approved traffic control plan. D. Contractor's failure to comply with this provision may result in actions as provided in Article 5: "Suspension or Termination of Contract"of these General Conditions. ARTICLE 10 GC-69 of 90 10.05 TRAFFIC CONTROL DEVICES A. Traffic signs, flashing lights, barricades and other traffic safety devices used to control traffic shall conform to the requirements of the MUTCD handbook or the manual of traffic control, whichever is more stringent,and as approved by the City Traffic and Transportation Administrator. 1. Portable signals shall not be used unless permission is given in writing by the agency having jurisdiction. 2. Warning signs used for nighttime conditions shall be reflectorized or illuminated. "Reflectorized signs" shall have a reflectorized background and shall conform to the current State of California Department of Transportation specification for reflective sheeting on highway signs. B. If Contractor fails to provide and install any of the signs or traffic control devices required herby or ordered by the City staff, staff may cause such signs or traffic control devices to be placed by others, charge the costs therefore against Contractor,and deduct the same from the next progress payment. 10.06 EXECUTION A. Except for an emergency call out, Contractor shall provide written notification to the Police Department at the address below: Police Chief Daniel Calleros Vernon Police Department 4305 Santa Fe Avenue Vernon CA,90058 Notification shall be sent at least two(2)weeks prior to the beginning of construction at any particular location. Notification will include the specific location, project dates,what lanes of the roadway will be closed and when. Also the construction project manager's name and business phone number and the construction inspector's name and business phone number. B. Contractor shall notify, by telephone, the Police Department, (323)587-5171 at the completion of any posting of temporary no parking signs. Notification will include the times, dates and locations of the posting. When vehicles must be towed for violation of temporary no parking signs, the person who actually posted the signs, or on-view supervisor of that posting, will be present to answer pertinent questions that may be asked by the parking enforcement officer or police officer towing the vehicles. C. Contractor shall notify the Vernon Fire Department, on a daily basis during the entire period that construction is in progress whenever roadways are reduced in width or blocked. Notification shall be made to the Fire Dispatch (323) 583-4821 and Contractor shall provide the information required to identify which roadways would have accessibility problems due to his/her operations. Contractor shall submit to Fire Department schedule of Work for their use and files. D. Roads subject to interference from the Work covered by this Contract shall be kept open, and the fences subject to interference shall be kept up by Contractor until the Work is finished. Except where public roads have been approved for closure, traffic shall be permitted to pass through designated traffic lanes with as little inconvenience and delay as possible. ARTICLE 10 GC-69 of 90 E. Where alternating one-way traffic has been authorized, the maximum time that traffic will be delayed shall be posted at each end of the one-way traffic section. The maximum delay time shall be approved by the agency having jurisdiction. F. Contractor shall install temporary traffic markings where required to direct the flow of traffic and shall maintain the traffic markings for the duration of need. Contractor shall remove the markings by abrasive blasting when no longer required. G. Convenient access to driveways and buildings in the vicinity of Work shall be maintained as much as possible. Temporary approaches to, and crossing of, intersecting traffic lanes shall be provided and kept in good condition. H. When leaving a Work area and entering a roadway carrying public traffic, Contractor's equipment, whether empty or loaded,shall in all cases yield to public traffic. 10.07 FLAGGING A. Contractor shall provide faggers to control traffic where required by the approved traffic control plan. 1. Flaggers shall perform their duties and shall be provided with the necessary equipment in accordance with the current 'Instructions to Flaggers" of the California Department of Transportation. 2. Flaggers shall be employed full time on traffic control and shall have no other duties. 10.08 PEDESTRIAN CANOPIES OR BARRICADE IMPROVEMENTS Refer to the City for requirements for building or access road safety improvements that Contractor shall construct during construction period. These devices or improvements, as the City deems necessary or prudent,shall be at the expense of Contractor. [END OF ARTICLE] ARTICLE 10 GC-70 of 90 ARTICLE 11 -INDEMNITY 11.01 INDEMNITY To the maximum extent permitted by law, Contractor shall fully indemnify, hold harmless, protect, and defend the City, its officers, employees, agents, representatives and their successors and assigns ("Indemnitees") from and against any and all demands, liability, loss, suit, claim, action, cause of action, damage, cost, judgment, settlement, decree, arbitration award, stop notice, penalty, loss of revenue, and expense (including any fees of accountants, attorneys, experts or other professionals, and costs of investigation, mediation, arbitration, litigation and appeal), in law or in equity, of every kind and nature whatsoever, arising out of or in connection with, resulting from or related to, or claimed to be arising out of the Work performed by Contractor, or any of its officers, agents, employees, Subcontractors, Sub-Subcontractors, design consultants or any person for whose acts any of them may be liable, regardless of whether such claim, suit or demand is caused, or alleged to be caused,in part,by an Indemnitee,including but not limited to: A. Bodily injury,emotional injury,sickness or disease,or death to any persons; B. Infringement of any patent rights, licenses, copyrights or intellectual property which may be brought against Contractor or City arising out of Contractor's Work,for which Contractor is responsible; C. Stop notices and claims for labor performed or materials used or furnished to be used in the Work, including all incidental or consequential damages resulting to City from such stop notices and claims; D. Failure of Contractor or its Subcontractors to comply with the provisions for insurance; E. Failure to comply with any Governmental Approval or similar authorization or order; F. Misrepresentation, misstatement,or omission with respect to any statement made in or any document fumished by Contractor in connection therewith; G. Breach of any duty, obligation,or requirement under the Contract Documents; H. Failure to provide notice to any Party as required under the Contract Documents; I. Failure to protect the property of any utility provider or adjacent property owner;or J. Failure to make payment of all employee benefits. This indemnity provision is effective regardless of any prior, concurrent, or subsequent active or passive negligence by Indemnitees, except that, to the limited extent mandated by Calffomia Civil Code Section 2782, Contractor shall not be responsible for liabilities which arise from the sole negligence or willful misconduct of Indemnitees or arise from the active negligence of City. 11.02 ENFORCEMENT Contractor's obligations under this Article extend to claims occurring after termination of Contractors performance of the Contract or Final Payment to Contractor. The obligations apply regardless of any actual or alleged negligent act or omission of Indemnitees. Contractor, however, shall not be obligated under this Agreement to indemnify an Indemnitee for claims arising from the sole active negligence or willful misconduct of the Indemnitee or independent contractors who are directly responsible to Indemnitees. Contractor's obligations under this Article are in addition to any other rights or remedies which the Indemnitees may have under the law or under the Contract Documents. In the event of any claim, suit or demand made against any ARTICLE I GC-71 of 90 Indemnitees,the City may in its sole discretion reserve, retain or apply any monies due to Contractor under the Contract for the purpose of resolving such claims; provided, however, that the City may release such funds if Contractor provides the City with reasonable assurance of protection of the City's interests. The City shall in its sole discretion determine whether such assurances are reasonable. 11.03 NO LIMITATIONS Contractor's indemnification and defense obligations set forth in this Article are separate and independent from the insurance provisions set forth in Article 12 herein; and do not limit, in any way, the applicability, scope, or obligations set forth in those insurance provisions. In claims, suits, or demands against any Indemnitee by an employee of Contractor, a Subcontractor, anyone directly or indirectly employed by them,or anyone for whose acts they may be liable, Contractor's indemnification and defense obligations shall not be limited by a limitation on amount or type of damages, compensation, or benefits payable by or for Contractor or a Subcontractor under workers'compensation acts,disability benefits acts,or other employee benefits acts. [END OF ARTICLE] ARTICLE 11 GC-72 of 90 ARTICLE 12-INSURANCE 12.01 CONDITION TO COMMENCEMENT Contractor shall not commence Work under this Contract until Contractor has obtained all insurance required hereunder from a company or companies acceptable to City, nor shall Contractor allow any Subcontractor to commence Work on a subcontract until all insurance required of said Subcontractor has been obtained. Proof of insurance including insurance certificates and endorsements as set forth in Exhibit"4"must be submitted by Contractor prior to the City's execution of the Contract. 12.02 MINIMUM COVERAGE AND LIMITS Contractor shall maintain the insurance coverage as set forth in Exhibit"4"throughout the term of the Contract. 12.03 CONDITIONS REGARDING INSURANCE COVERAGE AND LIMITS City and Contractor agree as follows: A. All insurance coverage and limits provided pursuant to the Contract Documents shall apply to the full extent of the policies involved, available or applicable. Nothing contained in the Contract Documents or any other agreement relating to City or its operations limits the application of such insurance coverage. B. None of the policies required by this Contract shall be in compliance with these requirements if they include any limiting endorsement that has not been first submitted to City and approved in writing by the City Attorney or City's Risk Manager. 12.04 INSURANCE OBLIGATION IS SEPARATE FROM INDEMNITY OBLIGATION This Agreement's insurance provisions: A. Are separate and independent from the indemnification and defense provisions in Article 12 of the Agreement;and B. Do not limit, in any way,the applicability,scope, or obligations of the indemnification and defense provisions in Article 12 of the Agreement. [END OF ARTICLE] ARTICLE 12 GC-73 of 90 ARTICLE 13- BONDS 13.01 REQUIRED BONDS A. Contractor shall furnish the following bonds: 1. A Performance Bond in an amount equal to one hundred percent (100%) of the total Contract price in the form shown in Exhibit"1"attached hereto. 2. A Payment Bond(Labor and Material)in an amount equal to one hundred percent(100%)of the total Contract price in the form shown in Exhibit"2"attached hereto. 3. A Maintenance Bond in an amount equal to ten percent (10%) of the total Contract price in the form shown in Exhibit"3"attached hereto. 13.02 POWER OF ATTORNEY All bonds shall be accompanied by a power of attorney from the surety company authorizing the person executing the bond to sign on behalf of the company. If the bonds are executed outside the State of California, all copies of the bonds must be countersigned by a California representative of the surety. The signature of the person executing the bond on behalf of Surety shall be acknowledged by a Notary Public as the signature of the person designated in the power of attorney. 13.03 APPROVED SURETY All bonds must be issued by a California admitted surety insurer with the minimum A.M Best Company Financial strength rating of "A: Vll", or better. Bonds issued by a Califomia admitted surety not listed on Treasury Circular 570 will be deemed accepted unless specifically rejected by the City. Bonds issued from admitted surety insurers not listed in Treasury Circular 570 must be accompanied by all documents enumerated in California Code of Civil Procedure Section 995.660. All such bonds must be accompanied by a power of attorney from the surety company authorizing the person executing the bond to sign on behalf of the company. If the bonds are executed outside the State of California, all copies of the bonds must be countersigned by a California representative of the surety. The signature of the person executing the bond on behalf of Surety must be acknowledged by a Notary Public as the signature of the person designated in the power of attorney. 13.04 REQUIRED PROVISIONS Every bond must display the surety's bond number and incorporate the Contract for construction of the Work by reference. The terms of the bonds shall provide that the surety agrees that no change, extension of time, alteration, or modification of the Contract Documents or the Work to be performed thereunder shall in any way affect its obligations and shall waive notice of any such change, extension of time, alteration, or modification of the Contract Documents. 13.05 NEW OR ADDITIONAL SURETIES If, during the continuance of the Contract, any of the sureties, in the opinion of the City, are or become non- responsible or otherwise unacceptable to City, City may require other new or additional sureties, which Contractor shall furnish to the satisfaction of City within ten (10) days after notice, and in default thereof the Contract may be suspended and the materials may be purchased or the Work completed as provided in Article 5 herein. ARTICLE 13 GC-74 of 90 13.06 WAIVER OF MODIFICATIONS AND ALTERATIONS No modifications or alterations made in the Work to be performed under the Contract or the time of performance shall operate to release any surety from liability on any bond or bonds required to be given herein. Notice of such events shall be waived by the surety. 13.07 APPROVAL OF BONDS The Contract will not be executed by City nor the Notice to Proceed issued until the required bonds have been received and approved by City. City's decision as to the acceptability of all sureties and bonds is final. No substitution of the form of the documents will be permitted without the prior written consent of City. [END OF ARTICLE] ARTICLE 13 GC-75 of 90 ARTICLE 14- LABOR PROVISIONS 14.01 WORKING HOURS A. Work or activity of any kind shall be limited to the hours from 7:00 a.m. to 7:00 p.m. No construction noise shall be permitted between the hours of 7:00 p.m.and 7:00 a.m.of the next day. B. Work in excess of eight (8) hours per day, on Saturdays, Sundays, or on City holidays requires prior consent of the Director and is subject to Cost of Overtime Construction Inspection. C. Night,Sunday and holiday Work. No Work shall be performed at night, Sunday,or the ten (10)legal holidays to wit: New Year's Day, Martin Luther King, Jr. Day, Washington's Birthday, Memorial Day, Independence Day, Labor Day, Veteran's Day, Thanksgiving Day, Friday following Thanksgiving Day, and Christmas Day, except Work pertaining to the public safety or with the permission of the Director, and accordance with such regulations as he/she shall furnish in writing. Before performing any Work at said times, except Work pertaining to the public safety, Contractor shall give written notice to the Director so that proper inspection may be provided. "Night"as used in this paragraph shall be deemed to include the hours from 7:00 P.M. to 7:00 A.M. of the next succeeding day. 14.02 COST OF OVERTIME CONSTRUCTION SERVICES AND INSPECTIONS A. Overtime construction Work performed at the option of, or for the convenience of, Contractor will be inspected by the City at the expense of Contractor. For any such overtime beyond the regular 8-hour day and for any time worked on Saturday, Sunday, or holidays the charges will be determined by the City,and submitted to Contractor for payment. B. Equipment, materials, or services provided by the City, in connection with Contractor-initiated overtime construction Work described in Paragraph 14.02(A), will also be at the expense of the Contractor. The charges will be determined by the City,and submitted to Contractor for payment. C. There will be no charges to Contractor for the inspection of overtime Work ordered by the Director or required by the Contract Documents. 14.03 COMPLIANCE WITH STATE LABOR CODE A. Contractor shall comply with the provisions of the Labor Code of the State of California and any amendments thereof. 1. The time of service of any worker employed upon the Work shall be limited and restricted to eight (8)hours during any one-calendar day,and 40 hours during any one-calendar week. 2. Work performed by employees of Contractor in excess of eight(8) hours per day, and 40 hours during any one calendar week, shall be permitted upon compensation for all hours worked in excess of eight(8)hours per day at not less than one and one-half times the basic rate of pay. 3. Contractor and every Subcontractor shall keep an accurate record showing the name of and the actual hours worked each calendar day and each calendar week by each worker employed by him/her in connection with the Work;the record shall be kept open at all reasonable hours to the inspection of the City and to the Division of Labor Standards Enforcement of the State of California. ARTICLE 14 GC-76 of 90 4. In the event City deems Contractor is in violation of this Paragraph 14.03, Contractor shall, as a penalty, forfeit Fifty Dollars ($50.00) for each worker employed in the execution of the Contract by Contractor or by any Subcontractor for each calendar day for which the employee was underpaid in addition to an amount sufficient to recover underpaid wages. For each subsequent violation, a (one hundred dollar) $100 penalty shall apply for each underpaid employee for each pay period for which the employee was underpaid in addition to an amount sufficient to cover underpaid wages.This subparagraph is effective to the extent it does not directly conflict with the overtime penalty provision of California Labor Code Section 558. In the event of such conflict, the California Labor Code governs over this Paragraph 14.03(A)(4). 5. Pursuant to SB 854, Contractor and any Subcontractors shall register and pay an annual fee to the Department of Industrial Relations. 14.04 WAGE RATES A. Prevailing Wages 1. Contractor shall comply with the general prevailing rates of per diem wages and the general prevailing rates for holiday and overtime Work in the locality in which the Work is to be performed, for each craft, classification, or type of worker needed to execute the Contract. The Director of the Department of Industrial Relations of the State of California (pursuant to California Labor Code) and the United States Secretary of Labor(pursuant to the Davis-Bacon Act) have determined the general prevailing rates of wages in the locality in which the Work is to be performed. The rates are available online at www.cir.ca.goov/DLSRIPM. To the extent that there are any differences in the federal and state prevailing wage rates for similar classifications of labor, Contractor and its Subcontractors shall pay the highest wage rate. 2. Contractor shall post a copy of the general prevailing rate of per diem wages at the job site. 3. Contractor and any Subcontractor under him/her shall pay not less than the specified prevailing rate of wages to all workers employed in the execution of the Contract. 4. The holidays upon which such rates shall be paid shall be all holidays recognized in the collective bargaining Contract applicable to the particular craft, classification, or type of worker employed on the project. 5_ Contractor shall, as a penalty to the State or the City, forfeit not more than Fifty Dollars ($50) for each calendar day,or portion thereof,for each worker paid less than the prevailing rates for the Work or craft in which the worker is employed under the Contract by Contractor or by any Subcontractor under him. The difference between the prevailing wage rates and the amount paid to each worker for each calendar day or portion thereof for which such worker was paid less than the stipulated prevailing wage rate shall be paid to such worker by Contractor. 6. The specified wage rates are minimum rates only and the City will not consider and shall not be liable for any claims for additional compensation made by Contractor because of payment by him/her of any wage rate in excess of the general prevailing rates. All disputes in regard to the payment of wages in excess of those specified herein shall be adjusted by Contractor at his/her own expense. ARTICLE 14 GC-77 of 90 B. Payroll Records 1. Pursuant to California Labor Code Section 1776, Contractor and each Subcontractor shall keep an accurate payroll record, showing the name, address, social security number, Work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker or other employee employed in connection with the Work. The payroll records shall be certified and shall be available for inspection. 2. Contractor shall inform the City of the location of the payroll records, including the street address,city and county,and shall, within five (5)Working Days, provide a notice of change in location and address. 3. Upon request by the Director, Contractor shall provide a copy of the certified payroll records along with a statement of compliance. 4. Pursuant to SB 854, Contractor and any Subcontractors shall furnish electronic certified payroll records directly to the Labor Commissioner(aka Division of Labor Standards Enforcement). 14.05 APPRENTICESHIP STANDARDS A. Compliance with Califomia Labor Code Section 1777.5 requires all public works contractors and subcontractors to: 1. Prior to commencing work on a public works contract, submit Contract Award information to the applicable joint apprenticeship committee, including an estimate of the journeyman hours to be performed under the Contract, the number of apprentices to be employed, and the approximate dates the apprentices will be employed. Use Form DAS-140 from the State Department of Industrial Relations. The City reserves the right to require Contractor and Subcontractors to submit a copy of said forms to the City. 2. Employ apprentices for the public work at a ratio of no less than one (1) hour or apprentice work for every five (5) hours or labor performed by a journeyman. To request dispatch of apprentices, use Form DAS-142 from the State Department of Industrial Relations. The City reserves the right to require Contractor and Subcontractors to submit a copy of said forms to the City. 3. Pay the apprentice rate on public woks projects only to those apprentices who are registered, as defined in Labor Code Section 3077. 4. Contribute to the training fund in the amount identified in the Prevailing Wage Rate publication for journeyman and apprentices. Contractors who choose not to contribute to the local training trust fund must make their contributions to the California Apprenticeship Council, P.O. Box 420603, San Francisco, CA 94142. B. Failing to comply with the provisions of California Labor Code Section 1777.5 may result in the loss of the right to bid on all public works projects for a period of one to three years and the imposition of a civil penalty of Fifty Thousand Dollars ($50,000) for each calendar day of noncompliance. Contractor should make a separate copy of this material for each of his/her Subcontractors. ARTICLE 14 GC-78 of 90 C. Payroll Records. Contractor and each Subcontractor shall keep an accurate payroll record, showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman apprentice, worker or other employee employed in connection with the work. The payroll records shall be certified and shall be submitted to the Project Manager every two weeks. D. Statement of Employer Fringe Benefit Payments. Within five (5) calendar days of signing the Contract or Subcontract, as applicable, the Statement of Employer Payments (DLSE Form PW 26 from the State Department of Industrial Relations) shall be completed for each Contractor and Subcontractor of any tier who pays benefits to a third party trust, plan or fund for health and welfare benefits, vacation funds or makes pension contributions. The form must contain, for each worker classification,the fund, plan or trust name, address, administrator, the amount per hour contributed and the frequency of contributions. Training fund contributions shall also be reported in this form. City reserves the right to require Contractors and Subcontractors to submit a copy of said forms to the City. 14.06 EMPLOYMENT OF APPRENTICES A. In the performance of this Contract, Contractor and any Subcontractor shall comply with the provisions concerning the employment of apprentices in the Labor Code of the State of California and any amendments thereof. B. In the event Contractor or any Subcontractor willfully fails to comply with the aforesaid provisions of the Labor Code, such Contractor or Subcontractor shall be subject to the penalties for noncompliance in the Labor Code of the State of California and any amendments thereof. 14.07 CHARACTER OF WORKERS Contractor shall not allow his/her agents or employees, Subcontractors, or any agent or employee thereof, to trespass on premises or lands in the vicinity of the Work. Only skilled foremen and workers shall be employed on Work requiring special qualifications, and when required by the Director, Contractor shall discharge any person who commits trespass, or in the opinion of the Director, acts in a disorderly, dangerous, insubordinate, incompetent, or otherwise objectionable manner. Any employee being intoxicated or bringing or having intoxicating liquors or controlled substances on the Work shall be discharged. Such discharge shall not be the basis of any claim for compensation of damages against the City or any of its officers,agents,and employees. 14.08 NO SMOKING—STATE LABOR CODE SECTION 6404.5 Contractor and its agents,employees, Subcontractors, representatives,and any person under Contractor's control, are prohibited from smoking in—or within a 20-foot distance from—the Site, which is a"place of employment" under California Labor Code§6404.5. [END OF ARTICLE] ARTICLE 14 GC-79 of 90 ARTICLE 15- DISPUTE RESOLUTION 15.01 SUBMISSION OF CLAIMS A. By Contractor Contractor's right to commence the Claims Dispute Resolution Process shall arise upon the Director's written response denying all or part of a Claim. Contractor shall submit a written Statement of Dispute to the Director within seven (7) Days after the Director rejects all or a portion of Contractor's Claim. Contractor's Statement of Dispute shall be signed under penalty of perjury and shall state with specificity the events or circumstances giving rise to the Claim, the dates of their occurrence and the effect, if any, on the compensation due or performance obligations of Contractor under the Construction Contract. Such Statement of Dispute shall include adequate supporting data to substantiate the disputed Claim. Adequate supporting data for a Claim relating to the adjustment of Contractor's obligations relative to time of performance shall include a detailed, event-by-event description of the impact of each delay on Contractor's time for performance. Adequate supporting data to a Statement of Dispute submitted by Contractor involving Contractor's compensation shall include a detailed cost breakdown and supporting cost data in such form and including such detailed information and other supporting data as required to demonstrate the grounds for, and precise amount of,the Claim. 13_ By City City's right to commence the Claims Dispute Resolution Process shall arise at any time following the City's actual discovery of the circumstances giving rise to the Claim. Nothing contained herein shall preclude City from asserting Claims in response to a Claim asserted by Contractor. A Statement of Dispute submitted by City shall state the events or circumstances giving rise to the Claim,the dates of their occurrence and the damages or other relief claimed by City as a result of such events. C. Claims Defined The term "claims" as used herein shall be as defined in California Public Contract Code § 20104(b)(2). 15.02 CLAIMS DISPUTE RESOLUTION PROCESS The parties shall utilize each of the following steps in the Claims Dispute Resolution Process in the sequence they appear below. Each party shall participate fully and in good faith in each step in the Claims Dispute Resolution Process, which good faith effort shall be a condition precedent to the right of each parry to proceed to the next step in the Claims Dispute Resolution Process. A. Direct Negotiations Designated representatives of City and Contractor shall meet as soon as possible (but not later than ten (10) Days after receipt of the Statement of Dispute) in a good faith effort to negotiate a resolution to the Claim. Each parry shall be represented in such negotiations by an authorized representative with full knowledge of the details of the Claim or defenses being asserted by such party, and with full authority to resolve such Claim then and there,subject only to City's right and obligation to obtain City Council [or other City official] approval of any agreed settlement or resolution. In the Claim involves the assertion of a right or claim by a Subcontractor against Contractor that is in turn being asserted by Contractor against City, then such Subcontractor shall also have a representative attend such ARTICLE 15 GC-80 of 90 negotiations, with the same authority and knowledge as just described. Upon completion of the meeting, if the Claim is not resolved, the parties may either continue the negotiations or either parry may declare negotiations ended. All discussions that occur during such negotiations and all documents prepared solely for the purpose of such negotiations shall be confidential and privileged pursuant to California Evidence Code Sections 1119 and 1152. B. Deferral of Claims Following the completion of the negotiations required by Paragraph 15.02-A., all unresolved Claims, except those that do not involve parties other than Contractor and City, shall be deferred pending Final Completion of the Work,subject to City's right, in its sole and absolute discretion,to require that the claims Dispute Resolution Process proceed prior to Final Completion. In the event that City does not elect to proceed with the Claims Dispute Resolution Process prior to Final Completion of the Work, all Claims that have been deferred until such Final Completion shall be consolidated within a reasonable time after such Final Completion and thereafter pursued to resolution pursuant to the Claims Dispute Resolution Process. Nothing contained in this Article 15 shall be interpreted as limiting the parties' rights to continue informal negotiations of Claims that have been deferred until such Final Completion; provided, however, that such informal negotiations shall not be interpreted as altering the provisions of this Article 15 deferring final determination and resolution of unresolved Claims until after Final Completion of the Work. C. Legal Proceedings If the Claim is not resolved by direct negotiations then the parry wishing to further pursue resolution or determination of the Claim shall submit the Claim for determination by commencing legal proceedings in a court of competent jurisdiction. 15.03 NO WAIVER Participation in the Claims Dispute Resolution Process shall not constitute a waiver, release or compromise of any defense of either parry, including, without limitation, any defense based on the assertion that the rights of Contractor that are the basis of a Claim were previously waived by Contractor due to failure to comply with the Contract Documents, including, without limitation, Contractor's failure to comply with any time periods for providing notices or for submission or supporting documentation of Claims. [END OF ARTICLE] ARTICLE 15 GC-81 of 90 ARTICLE 16-ACCOUNTING RECORDS 16.01 MAINTENANCE OF RECORDS Contractor shall keep, and shall include in its contracts with its Subcontractors, provisions requiring its Subcontractors to keep full and detailed books and records in accordance with the requirements of the Contract Documents, including the following: all information, materials and data of every kind and character (hard copy, as well as computer readable data if it exists), that have any bearing on or pertain to any matters, rights, duties or obligations relating to the Project or the performance of the Work, including,without limitation, agreements, purchase orders, leases, contracts, commitments, arrangements, notes, change orders, change order requests, estimates, field orders, schedules, diaries, logs, reports, shop drawings, samples, exemplars, Drawings, Specifications, invoices, delivery tickets, receipts, vouchers, cancelled checks, memoranda; accounting records; job cost reports; job cost files (including complete documentation covering negotiated settlements); backcharge; general ledgers; documentation of cash and trade discounts earned; insurance rebates and dividends, and other documents relating in way to Claims or Change Orders, Construction Change Directives, Work Directives, or other claims for payment related to the Project asserted by Contractor or any Subcontractor ("Accounting Records"). Contractor shall exercise such controls as may be necessary for proper financial management of the Work. Such accounting and control systems shall comply with prevailing custom and practice for similar projects, be satisfactory to City and shall include preservation of such records for a period of five (5) years after approval of the Notice of Completion and Acceptance by City, or for such longer period as may be required by applicable laws. 16.02 ACCESS TO RECORDS Contractor shall allow, and shall include in its contracts with its Subcontractors provisions requiring its Subcontractors to allow, City and its authorized representative(s), auditors, attorneys and accountants, upon twenty-four(24) hours notice to Contractor, full access to inspect and copy all books and records relating to the Project that Contractor is required to maintain pursuant to Paragraph 16.01,above. 16.03 CONTRACTOR NONCOMPLIANCE,WITHHOLDING Contractor's compliance with Paragraphs 16.01 and 16.02, above, shall be a condition precedent to maintenance of any legal action or arbitration by Contractor against City. In addition to and without limitation upon City's other rights and remedies for breach, including any other provisions for withholding set forth in the Contract Documents, City shall have the right, exercised in its sole discretion, to withhold from any payment to Contractor due under a current Application for Payment an additional sum of up to ten percent (10%) of the total amount set forth in such Application for Payment, until Contractor and its Subcontractors have complied with any outstanding and unsatisfied request by City under this Article 16. Upon such compliance with this Article 16, any additional monies withheld pursuant to this Paragraph 16.03 shall be released to Contractor. 16.04 SPECIFIC ENFORCEMENT BY CITY Contractor agrees that any failure by Contractor or any Subcontractor to provide access to its books and records as required by this Article 16 shall be specifically enforceable, by issuance of a preliminary and/or permanent mandatory injunction by a court of competent jurisdiction based on affidavits submitted to such court and without the necessity of oral testimony, to compel Contractor to permit access, inspection, audits and/or reproduction of such books and records or to require delivery of such books and records to City for inspection, audit and/or reproduction. [END OF ARTICLE] ARTICLE 16 GC-82 of 90 ARTICLE 17-MISCELLANEOUS PROVISIONS 17.01 COMPLIANCE WITH APPLICABLE LAWS A. Notices,Compliance Contractor shall give all notices required by governmental authorities and comply with all applicable laws and lawful orders of governmental authorities,including but not limited to the provisions of the California Code of Regulations applicable to contractors performing construction and all laws, ordinances, rules, regulations and lawful orders relating to safety, prevailing wage and equal employment opportunities. B. Taxes,Employee Benefits Contractor shall pay at its own expense, at no cost to the City and without adjustment to the Contract Sum, all local, state and federal taxes, including, without limitation all sales, consumer, business license, use and similar taxes on materials, labor or other items furnished for the Work or portions thereof provided by Contractor or Subcontractors, all taxes arising out of its operations under the Contract Documents and all benefits, insurance, taxes and contributions for social security and unemployment insurance which are measured by wages,salaries or other remuneration paid to Contractor's employees. If under federal excise tax law any transaction hereunder constitutes a sale on which a federal excise tax is imposed and the sale is exempt from such excise tax because it is a sale to meat for its exclusive use, then City, upon request, will execute documents necessary to show that is a political subdivision of the State for the purposes of such exemption and that the sale is for the exclusive use of the City, in which case no excise tax for such materials shall be included in the Bid or Contract Sum. C. Notice of Violations Contractor shall immediately notify the City and Director in writing of any instruction received from the City, Director, Architect or other person or entity that, if implemented, would cause a violation of any applicable law or lawful order of a governmental authority. If Contractor fails to provide such notice,then Director and Architect shall be entitled to assume that such instruction is in compliance with applicable laws and lawful orders of governmental authorities. If Contractor observes that any portion of the Drawings and Specifications or Work are at variance with applicable laws or lawful orders of governmental authorities, or should Contractor become aware of conditions not covered by the Contract Documents which will result in Work being at variance therewith, Contractor shall promptly notify Director in writing. If, without such notice to Director, Contractor or any Subcontractor performs any Work which it knew, or through the exercise of reasonable care should have known, was contrary to lawful orders of governmental authorities or applicable laws, then Contractor shall bear all resulting losses at its own expense, at no cost to City and without adjustment to the Contract Sum. 17.02 OWNERSHIP OF DESIGN DOCUMENTS A. Property of City All Design Documents, Contract Documents and Submittals (including, without limitation, all copies thereof) and all designs and building designs depicted therein are and shall remain the sole and exclusive properly of the City and the City shall solely and exclusively hold all copyrights thereto.Without derogation the City's rights under this Paragraph,Contractor and ARTICLE 17 GC-83 of 87 Subcontractors are granted a limited, non-exclusive license, revocable at will of City, to use and reproduce applicable portions of the Contract Documents and Submittals as appropriate to and for use in the execution of the Work and for no other purpose. B. Documents on Site Contractor shall keep on the Project site,at all times and for use by City, Director, Inspectors of Record and City's Consultants, a complete set of the Contract Documents that have been approved by applicable Governmental Authorities. C. Delivery to City All Design Documents, Contract Documents and Submittals in the possession of Contractor or Subcontractors shall be returned to the City upon the earlier of Final Completion or termination of the Construction Contract; provided, however, that Contractor and each Subcontractor shall have the right to retain one (1) copy of the Contract Documents and Submittals for its permanent records D. Subcontractors Contractor shall take all necessary steps to assure that a provision is included in all subcontracts with Subcontractors, of every tier, who perform Work on the Project establishing,protecting and preserving the,City's rights set forth in this Paragraph. 17.03 AMENDMENTS Contract Documents may be amended only by a written instrument duly executed by the parties or their respective successors or assigns. 17.04 WAIVER Either parry's waiver of any breach or failure to enforce any of the terms, covenants, conditions or other provisions of the Contract Documents at any time shall not in any way limit or waive that parry's right thereafter to enforce or compel strict compliance with every term, covenant, condition or other provision, any course of dealing or custom of the trade notwithstanding. Furthermore, if the parties make and implement any interpretation of the Contract Documents without documenting such interpretation by an instrument in writing signed by both parties, such interpretation and implementation thereof will not be binding in the event of any future disputes. 17.05 INDEPENDENT CONTRACTOR Contractor is an independent contractor,and nothing contained in the Contract Documents shall be construed as constituting any relationship with City other than that of Project owner and independent contractor. In no event shall the relationship between City and Contractor be construed as creating any relationship whatsoever between City and Contractor's employees. Neither Contractor nor any of its employees is or shall be deemed to be an employee of City. Except as otherwise specified in the Contract Documents, Contractor has sole authority and responsibility to employ, discharge and otherwise control its employees and has complete and sole responsibility as a principal for its agents, for all Subcontractors and for all other Persons that Contractor or any Subcontractor hires to perform or assist in performing the Work. ARTICLE 17 GC-84 of 87 17.06 SUCCESSORS AND ASSIGNS Contract Documents shall be binding upon and inure to the benefit of City and Contractor and their permitted successors, assigns and legal representatives. A. City may assign all or part of its right, title and interest in and to any Contract Documents, including rights with respect to the Payment and Performance Bonds, to (a) any other governmental person as permitted by governmental rules, provided that the successor or assignee has assumed all of City's obligations, duties and liabilities under the Contract Document then in effect; and (b) any other Person with the prior written approval of Contractor. B. Contractor may collaterally assign its rights to receive payment under the Contract Documents. Contractor may not delegate any of its duties hereunder, except to Subcontractors as expressly otherwise permitted in the Contract Documents. Contractor's assignment or delegation of any of its Work under the Contract Documents shall be ineffective to relieve Contractor of its responsibility for the Work assigned or delegated, unless City,in its sole discretion, has approved such relief from responsibility. Any assignment of money shall be subject to all proper set-offs and withholdings in favor of City and to all deductions provided for in the Contract. All money withheld, whether assigned or not, shall be subject to being used by City for completion of the Work, should Contractor be in default. C. Except for the limited circumstances set forth in Paragraph 17.06-8, above, Contractor may not, without the prior written consent of City in its sole discretion, voluntarily or involuntarily assign, convey, transfer, pledge, mortgage or otherwise encumber its rights or interests under the Contract Documents. No partner, joint venturer, member or shareholder of Contractor may assign, convey, transfer, pledge, mortgage or otherwise encumber its ownership interest in Contractor without the prior written consent of City, in City's sole discretion. 17.07 SURVIVAL Contractor's representations and warranties, the dispute resolution provisions contained in Article 15, and all other provisions which by their inherent character should survive termination of the Contract and/or Final Acceptance, shall survive the termination of the Contract and the Final Acceptance Date. 17.08 LIMITATION ON THIRD PARTY BENEFICIARIES It is not intended by any of the provisions of the Contract Documents to create any third party beneficiary hereunder or to authorize anyone not a party hereto to maintain a suit for personal injury or property damage pursuant to the terms or provisions hereof, except to the extent that specific provisions (such as the warranty and indemnity provisions) identify third parties and state that they are entitled to benefits hereunder. The duties, obligations and responsibilities of the parties to the Contract Documents with respect to such third parties shall remain as imposed by law. The Contract Documents shall not be construed to create a contractual relationship of any kind between City and a Subcontractor or any other Person except Contractor. 17.09 PERSONAL LIABILITY OF CITY EMPLOYEES City's authorized representatives are acting solely as agents and representatives of City when carrying out the provisions of or exercising the power or authority granted to them under the ARTICLE 17 GC-85 of 87 Contract. They shall not be liable either personally or as employees of City for actions in their ordinary course of employment. No agent, consultant, Council member, officer or authorized employee of City, shall be personally responsible for any liability arising under the Contract. 17.10 NO ESTOPPEL City shall not, nor shall any officer thereof, be precluded or estopped by any measurement, estimate or certificate made or given by the City representative or other officer, agent, or employee of City under any provisions of the Contract from at any time (either before or after the final completion and acceptance of the Work and payment therefor) pursuant to any such measurement, estimate or certificate showing the true and correct amount and character of the work done, and materials furnished by Contractor or any person under the Contract or from showing at any time that any such measurement, estimate or certificate is untrue and incorrect, or improperly made in any particular, or that the work and materials, or any part thereof, do not in fact conform to the Contract Documents. Notwithstanding any such measurement, estimate or certificate, or payment made in accordance therewith, City shall not be precluded or estopped from recovering from Contractor and its Sureties such damages as City may sustain by reason of Contractor's failure to comply or to have complied with the Contract Documents. 17.11 GOVERNING LAW The laws of the State of California govem the construction and interpretation of the Contract Documents, without regard to conflict of law principles. Unless the Contract Documents provide otherwise, any reference to laws, ordinances, rules, or regulations include their later amendment, modifications, and successor legislation. If Contractor or City brings a lawsuit to enforce or interpret one or more provisions of the Contract Documents, jurisdiction is in the Superior Court of the County of Los Angeles, Califomia, or where otherwise appropriate, in the United States District Court, Central District of California. Contractor and City acknowledge that the Contract Documents were negotiated, entered into, and executed—and the Work was performed—in the City of Vernon, California. 17.12 FURTHER ASSURANCES Contractor shall promptly execute and deliver to City all such instruments and other documents and assurances as are reasonably requested by City to further evidence the obligations of Contractor hereunder, including assurances regarding assignments of Subcontractors contained herein. 17.13 SEVERABILITY If any clause, provision, section, paragraph or part of the Contract is ruled invalid by a court having proper jurisdiction, then the parties shall: (a) promptly meet and negotiate a substitute for such clause, provision, section, paragraph or part, which shall, to the greatest extent legally permissible, effect the original intent of the parties, including an equitable adjustment to the Contract Price to account for any change in the Work resulting from such invalidated portion; and (b) if necessary or desirable, apply to the court or other decision maker (as applicable) which declared such invalidity for an interpretation of the invalidated portion to guide the negotiations. The invalidity or unenforceability of any such clause, provision, section, paragraph or part shall not affect the validity or enforceability of the balance of the Contract, which shall be construed and enforced as if the Contract did not contain such invalid or unenforceable clause, provision,section, paragraph or part. ARTICLE 17 GC-86 of 87 17.14 HEADINGS The captions of the sections of the Contract are for convenience only and shall not be deemed part of the Contract or considered in construing the Contract. 17.15 ENTIRE AGREEMENT Contract Documents contain the entire understanding of the parties with respect to the subject matter hereof and supersede all prior agreements, understandings, statements, representations and negotiations between the parties with respect to its subject matter. 17.16 COUNTERPARTS This instrument may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. [END OF ARTICLE] ARTICLE 17 GC-87 of 87 EXHIBIT 1 Bond No.: Premium Amount:$ Bond's Effective Date: PERFORMANCE BOND RECITALS: 1. The City of Vernon,California("City"),has awarded to (Name,address,and telephone of Contractor) ("Principal"), a Contract(the"Contract")for the Work described as follows: Contract No. Project in Vernon,CA. 2. Principal is required under the terms of the Contract— and all contract documents referenced in it ("Contract Documents")—to furnish a bond guaranteeing Principal's faithful performance of the Work. 3. The Contract and Contract Documents, including all their amendments and supplements, are incorporated into this Bond and made a part of it by this reference. OBLIGATION: THEREFORE,for value received,We, Principal and (Name,address,and telephone of Surety) ("Surety"), a duly admitted surety insurer under California's laws,agree as follows: By this Bond,We jointly and severally obligate and bind ourselves, and our respective heirs,executors,administrators, successors,and assigns to pay City the penal sum of Dollars($ ) ("the Bonded Sum"), this amount comprising not less than the total Contract Sum,in lawful money of the United States of America. The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No. THE CONDITION OF THIS BOND'S OBLIGATION IS THAT,if Principal promptly and faithfully performs the undertakings, terms, covenants, conditions, and agreements in the Contract and Contract Documents(including all their amendments and supplements), all within the time and in the manner that those documents specify, then this obligation becomes null and void. Otherwise,this Bond remains in full force and effect,and the following terms and conditions apply to this Bond: 1. This Bond specifically guarantees Principal's performance of each obligation and all obligations under the Contract and Contract Documents,as they may be amended and supplemented—including,but not limited to,Principal's liability for liquidated damages,Warranties,Guarantees,Correction,and Maintenance obligations as specified in the Contract and Contract Documents—except that Surety's total obligation,as described here,will not exceed the Bonded Sum. 2. For those obligations of Principal that survive Final Completion of the Work described in the Contract and Contract Documents,the guarantees in this Bond also survive Final Completion of the Work. 3. When City declares that Principal is in default under the Contract, or Contract Documents, or both, Surety shall promptly: (a)remedy the default;(b)complete the Project according to the Contract Documents'terms and conditions then in effect;or(c)using a procurement methodology approved by City,select a contractor or contractors—acceptable to City—to complete all of the Work, and arrange for a contract between contractor(s) and City. Surety shall make available,as the Work progresses, sufficient funds to pay the cost of completion less the balance of the Contract Sum, and to pay and perform all obligations of Principal under the Contract and Contract Documents—including other costs and damages for which Surety is liable under this Bond—except that Surety's total obligation, as described here, will not exceed the Bonded Sum. EXHIBIT 1 - PERFORMANCE BOND-1 of 3 4. An alteration, modification, change, addition, deletion, omission, agreement, or supplement to the Contract, Contract Documents, or the nature of the Work performed under the Contract or Contract Documents— including, without limitation, an extension of time for performance— does not, in any way, affect Surety's obligations under this Bond. Surety waives any notice of alteration, modification, change, addition, deletion, omission, agreement, supplement, or extension of time. 5. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's guaranteeing Principal's faithful performance of the Work. 6. No right of action accrues on this Bond to any entity other than City or its successors and assigns. 7. If an action at law or in equity is necessary to enforce or interpret this Bond's terms,Surety must pay—in addition to the Bonded Sum—City's reasonable attorneys'fees and litigation costs,in an amount the court fixes. B. Surety shall mail City written notice at least 30 days before: (a) the effective date on which the Surety will cancel, terminate,or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing below and signed by its representative(s)under the authority of its governing body. Date. PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By: By; (Name) (Name) Its: _ its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: FCORPORATE SEAL CORPORATE SEAL 1 • THIS BOND MUST BE EXECUTED IN TRIPLICATE ■ EVIDENCE MUST BE ATTACHED OF THE AUTHORff Y OF ANY PERSON SIGNING AS ATTORNEYdN-FACT. • THEATTORNEY4*FACT'SSIGMATURE MUST BENOTARIZED. • A CORPORATE SEAL MUST BE IMPRESSED ON THIS FORM WHEN THE PRINCIPAL, OR THE SURETY, OR BOTH,AREA CORPORATION. APPROVED AS TO SURETY AND APPROVED AS TO FORM: AMOUNT OF BONDED SUM: By By Director of Public Works,Water& Development Services City Attorney EXHIB[T l - PERFORMANCE BOND-2 of 3 BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ) ss. COUNTY OF ) On this day of 20 , before me, (name), a Notary Public for said County, personally appeared (name),who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of and acknowledged to me that he/she subscribed the name of thereto as principal, and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Notary Public SEAL EXHIBIT I - PERFORMANCE BOND-3 of 3 EXHIBIT 2 Bond No.: Premium Amount;$ Bond's Effective Date: PAYMENT BOND (LABOR AND MATERIALS) RECITALS: 1. The City of Vernon,California("City"),has awarded to (Name,address,and telephone of Design-Buiider) a Contract(the"Contract"}for the Work described as follows: ("Principal"), Contract No. Project in Vernon,CA. 2. Principal is required under California Civil Code Sections 3247-3248 and the terms of the Contract— and all contract documents referenced in it("Contract Documents")—to furnish a bond guaranteeing Principal's paying claims, demands, liens, or suits for any work, labor, services, materials, or equipment furnished or used in the Work. 3. The Contract and Contract Documents, including all their amendments and supplements, are incorporated into this Bond and made a part of it by this reference. OBLIGATION: THEREFORE,for value received,We, Principal and (Name,address,and telephone of Su±ary} _("Surety"), a duly admitted surety insurer under California's laws,agree as follows: By this Bond,We jointly and severally obligate and bind ourselves, and our respective heirs, executors,administrators, successors,and assigns to pay City the penal sum of Dollars(S_ j("the Bonded Sum"), this arnourQ Comprising not less than the total Contract Sure,in lawful money of the United States of America- The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No. THE CONDITION OF THIS BOND'S OBLIGATION IS THAT, if Principal or a subcontractor fails to pay (a) any person named in California Civil Code Section 3181, or any successor legislation; (b) any amount due under California's Unemployment Insurance Code, or any successor legislation, for work or labor performed under the Contract or Contract Documents; or (c) any amount under Unemployment Insurance Code Section 13020, or any successor legislation, that Principal or a subcontractor must deduct, withhold, and pay over to the Employment Development Department from the wages of its employees, for work or labor performed under the Contract or Contract Documents, then Surety shall pay for the same in an amount not-to-exceed the Bonded Sum. Otherwise,this obligation becomes null and void. While this Bond remains in full force and effect,the following terms and conditions apply to this Bond: 1. This Bond inures to the benefit of any of the persons named in California Civil Code Section 3181, or any successor legislation,giving those persons or their assigns a right of action in any suit brought upon this Bond,unless California Civil Code Section 3267,or any successor legislation,applies. '— EXHIBIT 2-PAYMENT BOND-1 of 3 2. An alteration, modification, change, addition, deletion, omission, agreement, or supplement to the Contract, Contract Documents, or the nature of the Work performed under the Contract or Contract Documents—including, without limitation, an extension of time for performance—does not, in any way, affect Surety's obligations under this Bond. Surety waives any notice of alteration, modification, change, addition, deletion, omission, agreement, supplement,or extension of time. 3. Surety's obligations under this Band are separate, independent from, and not contingent upon any other surety's paying claims,demands, liens,or suits for any work, labor, services, materials,or equipment furnished or used in the Work. 4. If an action at law or in equity is necessary to enforce or interpret this Bond's terms, Surety must pay—in addition to the Bonded Sum—City's reasonable attorneys'fees and litigation costs,in an amount the court fixes. 5. Surety shall mail City written notice at least 30 days before: (a)the effective date on which the Surety will cancel, terminate,or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing below and signed by its representative(s)under the authority of its governing body. Date: PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By: By: — (Name) (Name) Its: Its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: CORPORATE SEAL CORPORATE SEAL I ■ THIS BOND MUST 8E EXECUTED IN TRIPLICATE ■ EVIDENCE MUST BE ATTACHED OF THE AUTHORITY OF ANY PERSON SIGNING AS ATTORNEY4N-FACT. ■ THE ATTORNEY4*FACT'S SIGNATURE MUST BE NOTARIZED. ■ A CORPORATE SEAL MUST BE fiWPRESSED ON THIS FORM WHEN THE PRINCIPAL, OR THE SURETY, OR BOTH,AREA CORPORATION. APPROVED AS TO SURETY AND APPROVED AS TO FORM: AMOUNT OF BONDED SUM: By By Director of Public Works,Water&Development Services City Attorney EXHIBIT 2-PAYMENT BOND-2 of 3 BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ) ss. COUNTY OF ) On this day of .20 , before me, (name), a Notary Public for said County, personally appeared (name),who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of and acknowledged to me that he/she subscribed the name of thereto as principal, and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Notary Public SEAL EXHIBIT 2-PAYMENT BOND-3 of 3 _EXHIBIT 3 Bond No.: Premium Amount:$ Bond's Effective Date: MAINTENANCE BOND RECITALS: 1. The City of Vernon,California("City"),has awarded to (Name,address,and telephone of Contractor) ('Principal"), a Contract(the Contract")for the Work described as follows: Contract No. _ Proiect in Vernon,CA. 2. Principal is required under the terms of the Contract— and all contract documents referenced in it ("Contract Documents")—after completion of the Work and before the filing and recordation of a Notice of Completion for the Work, to furnish a bond to secure claims for Maintenance equal to ten percent(10%)of the total amount of the Contract Which shall hold good for a period of one (1) year from the date the City's Notice of Completion and Acceptance of the Work is filed with the County Recorder,to protect the City against the result of faulty material or workmanship during that time. 3. The Contract and Contract Documents, including all their amendments and supplements, are incorporated into this Bond and made a part of it by this reference. OBLIGATION: THEREFORE,for value received,We,Principal and (Name,address,and telephone of Surety) ("Surety"), a duly admitted surety insurer under California's laws,agree as follows: By this Bond,We jointly and severally obligate and bind ourselves, and our respWive heirs, executors, administratorsr successors,and assigns to pay City the penal sum of Dollars J ("the Bonded Sum'), this amount comprising not less than the total Contract Sum,in lawful money of the United States of America. The California Licensed Resident Agent for Surety is: (Name,address,and telephone) Registered Agent's California Department of Insurance License No, THE CONDITION OF THIS BOND'S OBLIGATION IS THAT if the said Principal or any of his or her or its subcontractors, or the heirs, executors,administrators,successors,or assigns or assigns of any,ail,or either of them,shall fail to execute within a reasonable amount of time,or fail W respond whin seven M days witb a written schedule acceptable to the City for same,repair or replacement of any&W all Work,together with any other adjacent Worts which may be displaced by so doing, fftat proves to be detective in its workmanship or material for the period 0 cane (t) year (except when otherwise required in the Contract to be for a $anger period) from the date the City's Notice of Completion and Acceptance, or equivalent, is filed with the County Recorder,ordinary wear and tear and unusual abuse or neglect excepted with respect to such Work and labor, the Surety herein shall pay for the same, in an amount not exceeding the sum specified in this Bond. 1. When City declares that Principal is in default under the Contract, or Contract Documents, or both, Surety shall promptly remedy the default using a procurement methodology approved by City, select a contractor or contractors— acceptable to City to oomplele all of the Work.acid arrange for a contract between contractors)and City. Surety shall make available sufficient funds to pay the cost of repair or replacement of any and all Work and to pay and perform all obligations of Principal undef the Contract and Contract Documents— inducting other costs and damages for which Surety is liable under this Bond except that Surety's total obligation, as described here, will not exceed the Bonded Sum. EXHIBIT 3—MAINTENACE BOND-1 of 3 2. Should the condition of this bond be tully performed,then this obligation shall become null and void,otherwise it shall be and remain in full force and effect. 3. Surety, for value received, hereby stipulates and agrees that no change, extension of time, alteration,or addition to the terms of said Contract or to the Work to be performed thereunder or the specifications accompanying the same shall in any manner affect its obligations on this bond,and it does hereby waive notice of any such change,extension,alteration, or addition. 4. Surety's obligations under this Bond are separate, independent from, and not contingent upon any other surety's guaranteeing Principal's faithful performance of the Work. 5. No right of action accrues on this Bond to any entity other than City or its successors and assigns. 6. If an action at law or in equity is necessary to enforce or interpret this Bond's terms,Surety must pay,in addition to the Bonded Sum,City's reasonable attomeys'fees and litigation costs,in an amount the court fixes. 7. Surety shall mail City written notice at least 30 days before: (a) the effective date on which the Surety will cancel, terminate,or withdraw from this Bond;or(b)this Bond becomes void or unenforceable for any reason. 8. Death of the Principal shall not relieve Surety of its obligations hereunder. On the date set forth below, Principal and Surety duly executed this Bond, with the name of each party appearing below and signed by its representative(s)under the authority of its governing body. Date: PRINCIPAL: SURETY: (Company Name) (Company Name) (Signature) (Signature) By:_ By: (Name) (Name) Its:_ Its: (Title) (Title) Address for Serving Notices or Other Documents: Address for Serving Notices or Other Documents: F--CORPORATE SEAL F CORPORATE SEAL ■ THIS BOND MUST BE EXECUTED IN TRIPLICATE ■ EMDENCE MUST BE ATTACHED OF THE AUTHORITY OF ANYPERSON SGIVNG AS ATTORNEYWFACT ■ THE ATTORNEYWFACTSSIGNATUREMUSTBE NOTARIZED . ■ A CORPORATE SEAL MUST BE IMPRESSED ON TM FORM WHEN THE PRINCIPAL, OR THE SURETY, OR BOTH,ARE A CORPORATM APPROVED AS TO SURETY&AMOUNT OF BONDED SUM: APPROVED AS TO FORM: By By Director of Public Works,Water&Development Services City Attorney EXHIBIT 3-MAINTENACE BOND-2 of 3 BOND ACKNOWLEDGMENT FOR SURETY'S ATTORNEY-IN-FACT STATE OF CALIFORNIA ) ss. COUNTY OF ) On this day of . 20 , before me, (name), a Notary Public for said County, personally appeared (name),who proved to me on the basis of satisfactory evidence to be the person whose name is subscribed to this instrument as the attorney in fact of and acknowledged to me that he/she subscribed the name of thereto as principal, and his/he own name as attorney in fact. I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct. Notary Public SEAL EXHIBIT 3—MAINTENACE BOND-3 of 3 EXHIBIT 4 INSURANCE REQUIREMENTS 1.0 REQUIRED INSURANCE POLICIES At its own expense,Contractor shall obtain,pay for,and maintain—and shall require each of its Subcontractors to obtain and maintain—for the duration of the Agreement, policies of insurance meeting the following requirements: A. Workers'Compensation/Employer's Liability Insurance shall provide workers'compensation statutory benefits as required by law. 1. Employer's Liability insurance shall be in an amount not less than: (a) ONE MILLION DOLLARS 1 000 000 per accident for bodily injury or disease; (b) ONE MILLION DOLLARS($1 000 000)per employee for bodily injury or disease; and (c) ONE MILLION DOLLARS($1 000 000)policy limit. B. Commercial General Liability("CGL")(primary).City and its employees and agents shall be added as additional insureds,not limiting coverage for the additional insured to"ongoing operations"or in any way excluding coverage for completed operations. Coverage shall apply on a primary,non-contributing basis in relation to any other insurance or self-insurance,primary or excess,tEvailable to City or any employee, representative or agent of City. Coverage shall not be limited to the vicarious liability or supervisory role of any additional insured. Coverage shall contain no contractors'limitation or other endorsement limiting the scope of coverage for liability arising from explosion, collapse,or underground property damage. 1. CGL insurance must not be written for less than the limits of liability specified as follows: (a) ONE MILLION DOLLARS 1 000 000 per occurrence for bodily injury(including accidental death)to any one person; (b) ONE MILLION DOLLARS($1,000 000)per occurrence for personal and advertising injury to any one person; (c) ONE MILLION DOLLARS( 1 000 000)per occurrence for property damage;and (d) TWO MILLION DOLLARS($2,000.000)general aggregate limit. 2. CGL insurance must include all major divisions of coverage and must cover: (a) Premises Operations(including Explosion,Collapse,and Underground["X,C,Ul coverages as applicable); (b) Independent Contractors Protective; (c) Independent Contractors; EXHIBIT 4-INSURANCE REQUIREMENTS- I of 6 (d) Products and Completed Operations(maintain same limits as above until five(5) years after recordation of Notice of Completion) (e) Personal and Advertising Injury(with Employee's Liability Exclusion deleted); (f) Contractual Liability(including specified provision for Contractor's obligation under Article 11 of the General Conditions);and (g) Broad Form Property Damage. 3. Umbrella or Excess Liability Insurance(over primary),if provided,shall be at least as broad as any underlying coverage. Coverage shall be provided on a"pay on behalf basis,with defense costs payable in addition to policy limits. There shall be no cross liability exclusion and no contractors limitation endorsement. The policy shall have starting and ending dates concurrent with the underlying coverages. The Named Insured may determine the layering of primary and excess liability insurance provided that if such layering differs from that described here,the actual coverage program meets the minimum total required limits and complies with ail other requirements listed here. C. Business Automobile Liability Insurance 1. Business Automobile Liability Insurance must coverall vehicles,whether rented, leased, hired,scheduled,owned or non-owned. If Contractor does not own any vehicles,this requirement may be satisfied by a non-owned vehicle endorsement to the general and umbrella liability policies. Business Automobile Liability Insurance coverage amounts shall not be less than the following: (a) ONE MILLION DOLLARS($1,000 000) per occurrence for bodily injury(including accidental death)to any one person; and (b) ONE MILLION DOLLARS($1,000 000) per occurrence for property damage;or (c) ONE MILLION DOLLARS 1 000 000 combined single limit. D. Contractors Pollution Liability Insurance(CPL)IF REQUIRED 1. Contractor or Subcontractor shall obtain, pay for, and maintain for the duration of the Contract Contractors Pollution Liability insurance that provides coverage for liability caused by pollution conditions arising out of the operations of Contractor. Coverage shall be included on behalf of the insured for covered claims arising out of the actions of independent contractors. If the insured is using Subcontractors,the policy must include work performed "by or on behalf"of the insured. 2. The policy limit shall provide coverage of no less than one million dollars($1,000,000) per claim and in the aggregate. Coverage shall apply to bodily injury;property damage, including loss of use of damaged property or of property that has not been physically inured; cleanup costs; and costs of defense, including costs and expenses incurred in the investigation,defense,or settlement of claims. EXHIBIT 4—INSURANCE REQUIREMENTS-2 of 6 3. All activities contemplated in the Contract shall be specifically scheduled on the CPL policy as"covered operations." In addition,the policy shall provide coverage for the hauling of waste from the Project site to the final disposal location,including non-owned disposal sites. 4. The policy shall specifically provide for a duty to defend on the part of the insurer. City, its officers,employees and agents shall be added to the policy as additional insureds by endorsement. E. Builder's Risk-IF REQUIRED 1. Builder's Risk Insurance covering all real and personal property for"all risks"of loss or "comprehensive perils"coverage including but not limited to the perils of earth movement including earthquake and flood for all buildings,structures,fixtures,materials,supplies, machinery and equipment to be used in or incidental to the construction at the site,off site, or in transit,for the full replacement value of such properties. Coverage shall be included for property of others in the care,custody or control of the insured for which any insured may be liable. The City will purchase a builder's risk policy for the Project instead of a contractor purchased policy. Bidder should not include cost for this coverage in histher bid. 2.0 GENERAL REQUIREMENTS—ALL POLICIES A. Qualifications of Insurer. At all times during the term of this Contract, Contractor's insurance company must meet all of the following requirements- 1. "Admitted"insurer by the State of California Department of Insurance or be listed on the California Department of Insurance's"List of Surplus Line Insurers"("LESLI"); 2. Domiciled within, and organized under the laws of, a State of the United States; and 3. Carry an A.M. Best&Company minimum rating of"A:VII". B. Continuation Coverage. For insurance coverages that are required to remain in force after the Final Payment, and if reasonably available,Contractor shall submit to City, with the final Application for Payment, all certificates and additional insured endorsements evidencing the continuation of such coverage. C. Deductibles or Self-Insured Retentions. All deductibles or self-insured retentions are subject to City's review and approval, in its sole discretion. D. Commercial General Liability and Business Automobile insurance policies must be written on an "occurrence"basis and must add the City of Vernon and its officers,agents,employees and representatives as additional insureds. E. Contractor's Insurance Primary. Other insurance(whether primary,excess,contingent or self- insurance, or any other basis)available to City,or its representatives, or both, is excess over Contractor's insurance. City's insurance, or self-insurance, or both,will not contribute with Contractor's insurance policy. F. Waiver of Subrogation. Contractor and Contractor's insurance company waive—and shall not exercise—any right of recovery or subrogation that Contractor or the insurer may have against City, or its representatives, or both. EXHIBIT 4—INSURANCE REQUIREMENTS-3 of 6 G. Separation of Insureds. Contractor's insurance policy applies separately to each insured or additional insured who is seeking coverage, or against whom a claim is made or suit is brought, except that the naming of multiple insureds will not increase an insurance company's limits of liability. H. Claims by Other Insureds. Contractor's insurance policy applies to a claim or suit brought by an additional insured against a Named Insured or other insured, arising out of bodily injury, personal injury, advertising injury, or property damage. I. Premiums. City is not liable for a premium payment or another expense under Contractor's policy J. At any time during the duration of this Contract,City may do any one or more of the following: 1. Review this Agreement's insurance coverage requirements; 2. Require that Contractor obtain, pay for,and maintain more insurance depending on City's assessment of any one or more of the following factors: (a) City's risk of liability or exposure arising out of, or in any way connected with,the services of Contractor under this Agreement; (b) The nature or number of accidents,claims, or lawsuits arising out of, or in any way connected with,the services of Contractor under this Agreement;or (c) The availability, or affordability, or both,of increased liability insurance coverage. 3. Obtain, pay for, or maintain a bond(as a replacement for an insurance coverage)from a California corporate surety, guaranteeing payment to City for liability,or costs, or both, that City incurs during City's investigation,administration, or defense of a claim or a suit arising out of this Agreement; or K. Contractor shall maintain the insurance policy without interruption,from the Project's commencement date to the Final Payment date, or until a date that City specifies for any coverage that Contractor must maintain after the Final Payment. L. Contractor shall not allow any insurance to expire, cancel,terminate, lapse, or non-renew. Contractor's insurance company shall mail City written notice at least thirty(30)days in advance of the policy's cancellation,termination, non-renewal, or reduction in coverage and ten(10)days before its insurance policy's expiration, cancellation,termination, or non-renewal,Contractor shalt deliver to City evidence of the required coverage as proof that Contractor's insurance policy has been renewed or replaced with another insurance policy which,during the duration of this Agreement, meets all of this Agreement's insurance requirements. M. At any time, upon City's request, Contractor shall furnish satisfactory proof of each type of insurance coverage required—including a certified copy of the insurance policy or policies;certificates,endorsements, renewals, or replacements; and documents comprising Contractor's self-insurance program—all in a form and content acceptable to the City Attorney or City's Risk Manager. N. If Contractor hires, employs,or uses one or more Subcontractor(s)to perform work, services, operations, or activities on Contractor's behalf, Contractor shall ensure that the Subcontractor complies with the following. 1. Meets,and fully complies with,this Agreement's insurance requirements; and EXHIBIT 4—INSURANCE REQUIREMENTS-4 of 6 2. Furnishes City at any time upon its request,with a complete copy of the Subcontractor's insurance policy or policies for City's review, or approval, or both. Failure of City to request copies of such documents shall not impose any liability on City,or its employees. 0. Contractor's failure to comply with an insurance provision in this Agreement constitutes a material breach upon which City may immediately terminate or suspend Contractor's performance of this Agreement, or invoke another remedy that this Agreement or the law allows. At its discretion and without waiving any other rights it may have pursuant to law,City has the right but not a duty to obtain or renew the insurance and pay all or part of the premiums. Upon demand, Contractor shall repay City for all sums or monies that City paid to obtain, renew, or reinstate the insurance, or City may offset the cost of the premium against any sums or monies that City may owe Contractor. 3.0 CONTRACTOR'S SUBMITTAL OF CERTIFICATES AND ENDORSEMENTS A. Contractor shall have its insurance carder(s)or self-insurance administrator(s)complete and execute the following insurance documents and shall deliver said documents at the same time Contractor delivers this Agreement to City. City will neither sign this Agreement nor issue a"Notice to Proceed"until the City Attorney or City's Risk Manager has reviewed and approved all insurance documents. City's decision as to the acceptability of all insurance documents is final. Sample insurance documents in the City's approved format are set forth in this 4. B. Required Submittals for Commercial General Liability and Business Automobile Insurance and Contractor's Pollution Liability Insurance.The following submittals must be on forms satisfactory to the City Attorney or City's Risk Manager,and signed by the insurance carrier or its authorized representative—which fully meet the requirements of,and contain provisions entirely consistent with, all of the insurance requirements set forth herein. 1. "Certificate of Insurance" 2. "Additional Insured Endorsement' 3. Subrogation Endorsement:'Waiver of Transfer to Rights of Recover Against Others" Both Certificates of Insurance and Additional Insured Endorsements must read as follows:`The City of Vernon, and its officers, agents, employees and representatives are included as additional insureds under the policy(s). This insurance is primary to all other insurance of the City. The City's insurance and self-insurance will apply in excess of, and will not contribute with this insurance. This insurance applies separately to each insured or additional insured who is seeking coverage,or against whom a claim is made or a suit is brought. The issuing company shall mail thirty(30) days advance notice to the City for any policy cancellation,termination, non-renewal, or reduction in coverage.„ C. Required Submittals for Workers'Compensation Insurance. Contractor shall provide City with a certificate of insurance and a subrogation endorsement on forms satisfactory to the City Attorney or City's Risk Manager, and signed by the insurance carrier or its authorized representative—which fully meet the requirements of, and contain provisions entirely consistent with,this Contract's workers compensation insurance requirements. If Contractor is self-insured for workers'compensation, a copy of the"Certificate of Consent to Self-insure"from the State of California is required; or if Contractor is lawfully exempt from workers'compensation laws, an"Affirmation of Exemption from Labor Code§3700"form is required. D. Required Evidence of Builder's Risk Coverage. City will provide a certificate of insurance and a declarations page on a form satisfactory to the City Attorney or CWs Risk Manager, and signed by the insurance carrier or its authorized representative. The policy terms must fully meet the requirements of, and contain provisions entirely consistent with,all of the insurance requirements set forth herein, The City shall be named as a loss payee on the insurance policy for the full replacement value of all buildings,structures,fixtures and materials to be constructed, maintained, repaired or supplied pursuant to this Contract. EXHIBIT 4—INSURANCE REQUIREMENTS-5 of 6 E. Contractor agrees to monitor and review all such coverage and assumes all responsibility for ensuring that all required coverage is provided. Contractor agrees to obtain certificates evidencing such coverage. F. Contractor agrees to provide immediate notice to City of any claim or loss against Contractor that includes City or any other indemnitee as a defendant. City assumes no obligation or liability by such notice,but has the right(but not the duty)to monitor the handling of any such claim or claims if they are likely to involve City. G. No liability policy shall contain any provision or definition that would serve to eliminate so-called"third party action over"claims, including any exclusion for bodily injury to an employee of the insured or of any contractor or subcontractor. H. Any"self-insured retention"must be declared and approved by City. City reserves the right to require the self-insured retention to be eliminated or replaced by a deductible. Self-funding,policy fronting or other mechanisms to avoid risk transfer are not acceptable. If Contractor has such a program,Contractor must fully disclose such program to City. EXHIBIT 4—INSURANCE REQUIREMENTS-6 of 6 EXHIBIT B SPECIAL PROVISIONS SPECIFIC FOR THIS PROJECT EXHIBIT C LIVING WAGE PROVISIONS Minimum Living Wages: A requirement that Employers pay qualifying employees a wage of no less than$10.30 per hour with health benefits, or$11.55 per hour without health benefits. Paid and Unpaid Days Oft: Employers provide qualifying employees at least twelve compensated days off per year for sick leave,vacation,or personal necessity, and an additional ten days a year of uncompensated time for sick leave. No Retaliation: A prohibition on employer retaliation against employees complaining to the City with regard to the employees compliance with the living wage ordinance. Employees may bring an action in Superior Court against an employer for back pay,treble damages for willful violations,and attorney's fees,or to compel City officials to terminate the service contract of violating employers. EXHIBIT D EQUAL EMPLOYMENT OPPORTUNITY PRACTICES PROVISIONS A. Contractor certifies and represents that,during the performance of this Agreement,Contractor and each Subcontractor shall adhere to equal opportunity employment practices to assure that applicants and employees are treated equally and are not discriminated against because of their race, religious creed,color, national origin, ancestry, handicap,sex, or age. Contractor further certifies that it will not maintain any segregated facilities. B. Contractor agrees that it shall, in all solicitations or advertisements for applicants for employment placed by or on behalf of Contractor,state that it is an"Equal Opportunity Employer"or that all qualified applicants will receive consideration for employment without regard to their race, religious creed,color, national origin, ancestry, handicap, sex or age. C. Contractor agrees that it shall, if requested to do so by the City, certify that it has not, in the performance of this Agreement,discriminated against applicants or employees because of their membership in a protected class. D. Contractor agrees to provide the City with access to, and, if requested to do so by City,through its awarding authority, provide copies of all of its records pertaining or relating to its employment practices, except to the extent such records or portions of such records are confidential or privileged under state or federal law. E. Nothing contained in this Agreement shall be construed in any manner as to require or permit any act which is prohibited by law. EXHIBIT B SPECIAL PROVISIONS - SPECIFIC FOR THIS PROJECT CITYWIDE TRAFFIC SIGNAL MAINTENANCE, CONTRACT NO. CS-0541 GENERAL B-1.01 Scope of Work—The proposed project will consist of ongoing and regular field preventative maintenance and repair of traffic signal equipment, as further described in this special provision and Attachment"C" -Monthly Preventative Maintenance Tasks, and other related equipment by truly trained and qualified personnel. In addition, the Contractor shall provide and maintain Emergency Service response of the City's forty-one (41) signalized intersections on a 24-hour a day, 7 days per week basis, including all holidays. B-1.02 Contract Plans — The location map for City of Vernon Contract CS-0541 are shown on Attachment "A". The written locations for the 41 signalized intersections for this project are shown on Attachment `B". B-1.03 Specifications — Traffic Signal, street lighting and materials shall conform to the "GREENBOOK" STANDARD SPECIFICATIONS FOR PUBLIC WORKS CONSTRUCTION (2012 Edition), State of California Department of Transportation (Caltrans) Standard Plans (2010 Edition) and the State of California Department of Transportation (Caltrans) Standard Specifications (2010 Edition). B-1.04 Length of Contract — This shall be a three year contract beginning upon City Council approval. B-1.05 Delays and Extensions of Time—The provisions of Section 6-6 entitled "Delays and Extensions of Time" of the Standard Specifications shall apply except as modified and supplemented below. The second paragraph of subsection 6-6.1 is hereby deleted and the following paragraph shall be inserted in its place: No extension of time will be granted for a delay caused by the inability of the Contractor to obtain materials, equipment and labor, except as authorized by the City Engineer. The length of contract time stipulated includes any time which may be required to obtain materials, equipment and labor, and the Contractor in submitting a bid shall be deemed to have ascertained the availability of materials, equipment and labor and considered same in his proposed construction schedule. B-1.06 Quality of Work—The provisions of Section 4-1.1 entitled "Materials and Workmanship" of the Standard Specifications (2012) shall apply. In addition, any work deemed unacceptable by the City Engineer, whether a cause is determined or not shall be repaired or replaced by the Contractor at his expense. CS-0541 1 of 9 EXHIBIT B-SPECIAL PROVISIONS B-1.07 Liquidated Damages — As stated in Section 3.07 in Exhibit A — General Conditions, the Contractor shall pay the sum of $500.00 for each day past the first seven (7) working days of each month for non-completion of the Routine Maintenance-Inspection and Cleaning work. Contractor shall pay to the City, or have withheld from monies due it, the sum of$100.00 for each hour late when responding to emergency situations. B-1.08 Unit Prices - All costs not covered by specific unit prices but required for a complete job in place, shall be included in the items most related to the work. B-2.01 Scheduling of Work — The Contractor shall submit his preventative maintenance work schedule to the City Engineer at the pre-construction meeting. This schedule must be reviewed and accepted by the City Engineer before the Contractor will be permitted to begin work. The Contractor shall give 48 hours' notice to the City Engineer prior to the start of the work. B-2.02 Working Days—All preventative maintenance work shall occur Monday thru Thursday between the hours of 7am-3:30pm, excluding emergency work. The Contractor shall perform said Monthly Maintenance during the first seven(7)working days of each month. B-3.01 Traffic Requirements - General — Before any partial or total closure of any street, the Contractor shall be required to obtain the approval of the City Engineer. The Contractor shall comply with Section 7-10 of the Standard Specifications and provide safe and continuous passage for pedestrian and vehicular traffic at all times, unless previously approved by the City Engineer. The contractor shall provide and maintain all necessary flagmen, barricades, delineators, signs, flashers and any other safety equipment as set forth in the latest publication of the State of California, Division of Highways, Traffic Manual or as required by the City Engineer to insure safe passage of traffic. In addition to the requirements of the "MUTCD" handbook, the City Engineer may require flatter traffic tapers, additional traffic control devices, barricading, and other signing in order to ensure driver awareness and safety in the construction area. Further, the Contractor shall provide Type II or Type III barricades and delineators at locations as determined by the City Engineer. The Contractor shall maintain continuous access to all businesses within the project limits. Any closed access or drive approach shall be immediately restored when the construction operation that necessitated such closure is completed. The following is a partial list of factors required to comply with this access requirement: a. Where a business or residence has more than one two-way drive, continuous access to at least one two-way drive shall be maintained at all times. b. In addition to the above, the Contractor shall be required to place trench plates over the excavated areas to allow temporary access to businesses when necessary. B-3.02 Traffic Requirements — Specific for this Project — In addition to the general specific requirements of Section B-3.01 of these Specifications, the following provisions shall apply unless otherwise directed by the City Engineer. a. Except for emergency work, the Contractor shall submit detour plans to the City Engineer for approval at least (10) ten calendar days prior to any proposed shutdowns CS-0541 2 of 9 EXHIBIT B-SPECIAL PROVISIONS where traffic flow has to be diverted. This will not apply for emergency responses. The posting of "NO PARKING" signs within the construction limits is permitted with the approval of the City Engineer. "NO PARKING" signs shall contain a "TOW AWAY" warning. These signs shall be furnished and maintained by the Contractor and shall be of the type approved by the City Engineer. Each sign posted shall have the date and time indicating the duration of the "NO PARKING" prohibition printed clearly in a manner acceptable to the City Engineer. New signs shall be posted when changes occur in the parking prohibitions indicated on the previously posted signs. Signs must be posted at least 72 hours in advance of construction or they are invalid. Signs shall not be attached to trees or taped to street light or traffic signal poles. The signs shall be effective for no more than three (3) calendar days and shall be removed within 24 hours after the work is complete. All signs, lights and other warning devices used shall be in accordance with State of California Business and Transportation City Department of Public Works Manual of Warning Signs, Lights and Devices for Use in Performance of Work on Highways. Contractor's costs for all the above signs shall be considered as included in the appropriate items and no extra compensation will be paid. B-4.01 Extra Work — In the event the City and the Contractor are unable to negotiate an agreed price for extra work, which is acceptable to both parties, payment shall be made based on time and materials as follows: a. Work by the Contractor: The following percentages shall be added to the Contractor's cost 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% b. Work by the Subcontractor - When all or any part of the extra work is performed by a subcontractor, the above markups shall apply to the aggregate sum of the extra work, regardless of the number of tiers of subcontractors used. In addition, a markup of 10-percent on the first $5,000 of extra work and 5-percent on work in excess of$5,000 may be added by the Contractor. B-4.02 Compliance with Laws. Regulations. and Safe Practices — The Contractor shall perform all work in a safe, competent manner and in accordance with all federal, state, and local statues, regulations, ordinances, rules, and governmental orders. The Contractor will be solely and completely responsible for the conditions of the job site, including safety of all persons and property during performance of the work. This requirement will apply continuously and not be limited to normal working hours. Inspection of the Contractor's performance by the City, its agents, or employees is not intended to include review of the adequacy of the Contractor's safety measures in or near the job site. CS-0541 3 of 9 EXHIBIT B-SPECIAL PROVISIONS B-5.01 Construction Order of Work — Work shall be scheduled so as to lessen the impact upon businesses. Requirements—General: 1. All construction shall conform to Sections 6-1 and 6-2 of the latest edition of the Standard Specifications for Public Works Construction and shall proceed in a smooth, efficient, timely and continuous manner. As such, once construction is started in a work area, the Contractor will be required to work continuously in that work area until construction has been completed and the work area is open and accessible to both vehicular and pedestrian traffic in a manner approved by the City Engineer before the next stage of work will be allowed to begin. 2. Once construction is started in a work area, the Contractor shall not withdraw manpower or equipment from that work area in order to start construction in another work area if doing so, in the opinion of the City Engineer, delays the completion of the work presently under construction. 3. The Contractor shall maintain continuous access to all residents and businesses within the project limits, including drive approaches, unless the Contractor has obtained the approval of the City Engineer to close either such access or drive approach. 4. No stockpiling of material and construction equipment on public streets or sidewalks will be permitted on this project unless approved by the City Engineer. Material and equipment placed on public streets, sidewalks and on the construction areas shall be used the same day. B-8.01 Character of Workers — If any subcontractor or person employed by the Contractor shall appear to the City Engineer to be incompetent, intemperate, troublesome, or acts in a disorderly or otherwise objectionable manner, he shall be immediately discharge from the project on the requisition of the City Engineer, and such person shall not be reemployed on the work. If said individual has an ownership interest in the contracting entity, the City Engineer will serve written notice upon the Contractor and the Surety providing the faithful performance bond, in accordance with Section 6-4, "Default by Contractor," of the Standard Specifications, demanding complete and satisfactory compliance with the Contract. B-9.01 Examination of the Site — The Contractor is required to examine the site and judge for themselves the location, physical conditions, substructures, and surroundings of the proposed work. B-9.02 Mobilization — The cost of all preparatory work and operations for the multiple movements of personnel, equipment, supplies, and incidentals to the project site must be included in the various bid items, and no extra compensation will be paid to the Contractor. B-9.03 Dust Control — Throughout all phases of construction, including suspension of work, and until final acceptance of the project, the Contractor shall abate dust nuisance by cleaning, sweeping and sprinkling water, or other means as necessary when requested by the City. Failure of the Contractor to comply with the City Engineer's cleanup orders may result in an order to suspend work until the condition is corrected. No additional compensation nor extension of CS-0541 4 of 9 EXHIBIT B-SPECIAL PROVISIONS contract completion time will be allowed as a result of such suspension. The cost of furnishing and operating dust control during the construction project must be included in the various bid items, and no extra compensation will be paid to the Contractor. B-9.04 Temporary Water Meter — If necessary, the Contractor shall obtain a temporary water meter from the City of Vernon Water Department by placing a deposit of$1000.00. Contractor shall pay for all water used. Contractor shall not relocate the service. The Contractor shall call the City of Vernon Water Department to relocate the service and will be charged $50.00 for each relocation. B-9.05 Cleaning of Site During Construction — During construction, all existing improvements adjacent to the work area shall be swept free from soils, gravel, dirt or debris on a daily basis. The Contractor will be responsible for such cleaning. B-9.06 Final Cleaning of Site and Restoration—The Contractor shall be responsible for cleaning and restoration of all damaged existing improvements such as sidewalk, driveway, curb and gutter, and private property at no cost to the City. The Contractor shall remove all loose aggregates by sweeping all the sidewalks and gutters. The cost of furnishing and operating such sweeping after the construction of the project must be included in the various bid items, and no extra compensation will be paid to the Contractor. B-10.01 Best Management Practices (BMP's) —The Contractor shall submit a copy of their Best Management Practices (BMPs) to the City Engineer for review ten (10) days prior to the beginning of any work. The Contractor is hereby notified that specific construction practices in the Standard Specifications, Section 7-8.6.2, "Best Management Practices (BMPs)" are considered to be Best Management Practices. The Contractor shall implement and maintain such BMP's as are relevant to the work, and as are specifically required by the Plans or Special Provisions. The Contractor shall not commence activity until the BMP submittal has been reviewed and approved. B-11.01 Protection of the Public — The Contractor shall take such steps and precautions as his/her operations warrant to protect the public from danger, loss of life, loss of property or interruption of public services. Unforeseen conditions may arise which will require that immediate provisions be made to protect the public from danger or loss, or damage to life and property, due directly or indirectly to prosecution of work under this contract. Whenever, in the opinion of the City Engineer, a condition exists in which the Contractor has not taken sufficient precaution of public safety, protection of utilities, and/or protection of adjacent structures or property, the City Engineer will order the Contractor to provide a remedy for the condition. If the Contractor fails to act on the situation within a reasonable time period as determined by the City Engineer, or in the event of an emergency situation, the City Engineer may provide suitable protection by causing such work to be done and material to be furnished as, in the opinion of the City Engineer, may seem reasonable and necessary. CS-0541 5 of 9 EXHIBIT B-SPECIAL PROVISIONS The cost and expense of all repairs (including labor and materials) as are deemed necessary, shall be borne by the Contractor. All expenses incurred by the City for emergency repairs will be deducted from the final payment due to the Contractor. ROUTINE MAINTENANCE The Contractor shall enact a continuing comprehensive maintenance program designed to eliminate or reduce any incidence of malfunctions, complaints, and extension of the useful life of the City's traffic signal equipment. The program shall include at a minimum the following: B-12.01 Monthly and Annual Preventative Maintenance—The Contractor shall provide monthly and annual preventative maintenance on the forty-one (41) signalized intersections per the list of tasks in Attachment"C". The Contractor shall complete Monthly Preventative Maintenance Checks per the list for each maintenance inspection and shall indicate the minimum work required for each item. The contractor shall maintain a record of all service calls and work performed upon the signal equipment, listing dates, hour of day and description of service work performed. A copy of such record shall be maintained at all times within the controller cabinet at each signal location. A log sheet giving a brief description of all routine and extraordinary maintenance activities shall be attached to each monthly invoice. A monthly report of activities for each intersection's events, sorted by time, is to be included in the reports requested by the City. This is to be accompanied by a report of all activities sorted by time as well. The Contractor shall maintain electronic records of the completed checklist form for each intersection in the Contractor's MMS throughout the term of this contract. The Contractor is encouraged to make available via a web interface electronic records of the completed monthly preventative maintenance checks as well as activity reports in real time. The Contractor shall maintain two separate logs at each signalized intersection under this contract. One log shall detail each monthly and preventative maintenance inspection by the Contractor. The Contractor shall complete at a minimum on this log, the inspection date, arrival time, departure time, type of inspection, any findings or repairs, and the Contractor's employee name or ID. The other log shall detail any extraordinary repairs or service calls for the intersection. This log shall detail the nature of the emergency/service call, the Contractor's findings, the repair made, Repair Order number, if applicable, arrival time at the intersection, departure time, and the Contractor's employee name or ID. All information must be collected and submitted with the monthly invoice. B-12.02 Traffic Signal Control Equipment—The Contractor shall repair, replace or otherwise render in good working order any and all defective parts of all traffic signal control equipment. Whenever the Contractor replaces any defective parts on either a temporary and/or permanent basis, the Contractor shall identify the parts being replaced by manufacture's make and model. Furthermore, the Contractor shall only use new parts for permanent replacement. Exceptions to this requirement shall only occur on an individual basis upon advance written approval from the City. No permanent changes of traffic signal control devices shall be done without prior written approval from the City. In addition, any changes shall also be indicated on the maintenance or repair log within the traffic signal controller cabinet. The Contractor agrees to notify the City in CS-0541 6 of 9 EXHIBIT B-SPECIAL PROVISIONS advance of any planned or scheduled traffic signal turn-offs/turn-ons only upon prior written approval by the City. B-12.03 New Installation or Deletions- The Contractor shall maintain any new traffic signal equipment and any other related devices, which are installed for or by the City throughout the term of the contract. These devices will be deemed to be added to the existing signalized intersections listed on Attachment"B"when the City notifies the Contractor of the installation thereof. These added devices, regardless of the complexity and technology shall be maintained in the same manner and for the same flat rate as those devices already covered by the contract. Should responsibility for the maintenance of any current or future traffic signal device cease to be the City's, the City will notify the Contractor in writing of the last date to perform maintenance. EXTRAORDINARY MAINTENANCE B-13.01 Definitions-Extraordinary maintenance shall consist of but not be limited to the following: a. Repair or replacement of failed or malfunctioning parts of the signal system if caused by vehicle collision, vandalism, civil disorder,windstorm,natural disasters, street construction, or excavation. b. Minor upgrading or installations as directed by the City. c. Replacement of detector loops including saw cut lead-ins as required. d. Replacement of pedestrian indications. e. Installation of complete new pedestrian heads. f. Installation or replacement of pedestrian push buttons. g. Installation of new traffic signal heads. h. Installation of Light Emitting Diodes ( LED's) as directed by the City representative. B-13.02 Notification- The Contractor shall contact the Public Works Director or his representative regarding any extraordinary maintenance work except emergency repairs and seek his/her prior approval in writing before the work is scheduled. The Contractor shall notify the City representative by telephone at least twenty-four(24)hours in advance before any work is commenced, except in emergencies where injury or property damage may result without prompt response. B-13.03 Emergencies- The contractor shall respond immediately to emergency calls such as a total blackout, when directed by the City, and dispatch the qualified personnel and equipment to reach the site within two (2)hours under normal circumstances. For the emergency repair of a signal,which is totally blacked out, the following procedure of traffic control shall apply: a. The Contractor shall dispatch qualified personnel and equipment to reach the site within two (2)hours under normal conditions. The Contractor's vehicles shall carry traffic cones, flashing arrow boards, traffic warning signs, etc.,which shall be used when directing traffic during an emergency and/or when deemed necessary by the signal technician, the City Engineer or his representative. b. If no police officer is present and temporary stop signs have been set up when the contractor arrives at the site, the Contractor shall set up more traffic warning and CS-0541 7 of 9 EXHIBIT B-SPECIAL PROVISIONS control devices, if deemed necessary, and proceed to repair the signal. After the signal is back in operation, the Contractor shall set the intersection in flash, remove all of the temporary traffic control devices and place those devices owned by the City off to the side of the road and then switch the intersection back to normal operation. c. If a police officer is still at the site when the Contractor arrives, the Contractor shall quickly examine the signal, evaluate the situation and discuss it with the police officer. If the repair will take only a few minutes, the police officer may stay to continue to direct traffic while the contractor repairs the signal. If the repair will take longer than the officer can wait, the Contractor shall immediately set up necessary traffic control devices and other necessary warning devices and relieve the police officer. B-13.04- Method of Payment-Upon receipt of an itemized invoice within thirty(30) days of completion of the work, City shall compensate Contractor for such repairs required beyond the scope of routine maintenance as follows: a. Materials- The city shall pay the Contractor for materials used in extraordinary maintenance per the bid items on the Bidder's Proposal plus the percentage markup specified in this agreement NOT TO EXCEED 15%. All materials and parts shall be new or have the approval of the City Engineer, if otherwise. The City has the right to inspect the Contractor's records to verify any material costs used in extraordinary maintenance. b. Direct Labor- The Contractor shall present with their monthly invoice with a record of hours spent in extraordinary maintenance of traffic signals and appurtenances per intersection. City shall pay the Contractor for such hours of extraordinary maintenance at the rates specified in this agreement. Said hourly rates shall be the total cost to the City. Rates shall include all compensation for wages,profit, overhead, any fringe benefits such as employer payments to, or on behalf of workmen for health and welfare, insurance worker's compensation,pension, vacation, sick leave or any local, State, Federal or union tax or assessment. c. Equipment- The City shall pay Contractor for equipment used in extraordinary maintenance on a per trip basis as specified in this agreement. The listing of per trip equipment rates shall constitute total rates to be paid by City when specified equipment is used.No additional payments of any kind shall be paid for equipment except as specified in this agreement of per trip rates as stated. No additional compensation shall be paid for transporting the equipment to or from the job site. B-14.01-Rewire-Rewire of any intersection will be charged on a time and material basis. Prior to any work of this type, a written proposal will be submitted by Contractor and approved by the Director of Public Works before any work commences. B-15.01- Knockdowns- All knockdowns (except for a Type I-A pole)will be charged on a time and material basis. A written proposal will be submitted by Contractor and approved by the Director of Public Works for the replacement of any damaged poles or mast arms before the order is placed. CS-0541 8 of 9 EXHIBIT B-SPECIAL PROVISIONS 1. GENERAL MISCELLANEOUS RECORDS The contractor shall maintain a record of all service calls and work performed upon the signal equipment, listing dates, hour of day and description of service work performed. A copy of such record shall be maintained at all times within the controller cabinet at each signal location. A log sheet giving a brief description of all routine and extraordinary maintenance activities shall be attached to each monthly invoice. A monthly report of activities for each intersection's events, sorted by time, is to be included in the reports requested by the City. This is to be accompanied by a report of all activities sorted by time as well. NOTIFICATION The Contractor shall notify by telephone, the Public Works Director or his authorized representative,within 24 hours of the alteration of the operation of any signal or the installation or removal of any substitute controller or component. SHUTDOWNS The Contractor shall notify the Vernon Police Department and the Public Works Director or his authorized representative of any signal turn-offs or turn-ons necessitated by his operations and shall not make said turn-offs or turn-ons until a police officer is present or unless given permission to proceed without police control by the City Engineer or his authorized representative. COMPENSATION FOR ROUTINE MAINTENANCE The City will compensate Contractor at the agreed price per signalized intersection per month. Said compensation shall include all services rendered, labor, materials, equipment, overhead and profit. Delays due to Contractor are subject to liquidated damages as specified in the specifications (Section B-1.07). ADDITIONS TO SYSTEM The Contractor shall maintain, at the same unit price, additional traffic signals and appurtenant devices as they are installed, or become a part of the maintenance requirements of the City. In the event that notification is made of a new installation at the together than the beginning of a monthly period, the unit cost of routine maintenance will be prorated from the day the Contractor is notified. TYPES OF SIGNALS The agreed upon prices for both routine and extraordinary maintenance shall apply to all types of signal controllers, accessories and systems as may exist in the City now or that may be installed during the life of the contract. CS-0541 9 of 9 a6o _Q fl =1 t Z k s 7 L ► Q o ► 4��f - �v ,-— _ ► r W t w . r + + r C] + � I rn I r • it �. I — I N Ll E E e ATTACHMENT "B" VERNON SIGNALIZED INTERSECTIONS 1. 26TH STREET @ BONNIE BEACH PLACE 2. 37TH STREET @ SEVILLE AVENUE 3. ALCOA AVENUE @ FRUITLAND AVENUE 4. ALCOA AVENUE @ LEONIS BOULEVARD 5. ATLANTIC BOULEVARD @ 3030 ATLANTIC 6. ATLANTIC BOULEVARD @ BANDINI BOULEVARD 7. ATLANTIC BOULEVARD @ DISTRICT BOULEVARD 8. BANDINI BOULEVARD @ I-710 OFF-RAMP 9. BANDINI BOULEVARD @ BONNIE BEACH PLACE 10. BANDINI BOULEVARD @ PENNINGTON WAY 11. BANDINI BOULEVARD @ SIERRA PINE AVENUE 12. BANDINI BOULEVARD @ SUNOL/AYERS 13. BOYLE AVENUE @ FRUITLAND AVENUE 14. BOYLE AVENUE @ LEONIS BOULEVARD 15. BOYLE AVENUE @ RANDOLPH STREET 16. DISTRICT BOULEVARD @ LOMA VISTA AVENUE 17. DOWNEY ROAD @ DISTRICT/LEONIS BOULEVARD 18. DOWNEY ROAD @ FRUITLAND AVENUE 19. DOWNEY ROAD @ VERNON AVENUE 20. PACIFIC BOULEVARD @ FRUITLAND AVENUE 21. PACIFIC BOULEVARD @ LEONIS BOULEVARD 22. SANTA FE AVENUE @ 25TH/26TH STREET 23. SANTA FE AVENUE @ 27TH STREET 24. SANTA FE AVENUE @ 28TH STREET 25. SANTA FE AVENUE @ 37TH STREET 26. SANTA FE AVENUE @ 38TH STREET 27. SANTA FE AVENUE @ VERNON AVENUE 28. SANTA FE AVENUE @ PACIFIC BOULEVARD/VERNON AVENUE 29. SANTA FE AVENUE @ 48TH STREET 30. SANTA FE AVENUE @ FRUITLAND AVENUE/51 ST STREET 31. SANTA FE AVENUE @ 55TH STREET 32. SLAUSON AVENUE @ ALCOA AVENUE 33. SLAUSON AVENUE @ BOYLE AVENUE 34. SOTO STREET @ 26TH STREET 35. SOTO STREET @ FIRE STATION #3 36. SOTO STREET @ 37TH STREET/BANDINI BOULEVARD 37. SOTO STREET @ FARMER JOHN DRIVEWAY 38. SOTO STREET @ FRUITLAND AVENUE 39. SOTO STREET @ LEONIS BOULEVARD 40. SOTO STREET @ VERNON AVENUE 41. WASHINGTON BOULEVARD @ HOBART YARD DRIVEWAY ATTACHMENT "C" MONTHLY PREVENTATIVE MAINTENANCE TASKS I. ROUTINE MONTHLY MAINTENANCE GENERAL: It is the intent of the City of Vernon that the City's 41 traffic signals are maintained so as to provide the motoring public with a minimum of inconvenience caused by the failure of any signal components, and to present a well-kept signal installation. All traffic signal work: shall be performed in accordance with the current Standard Plans and Section 86. "Signals, Lighting, and Electrical Systems" of the Standard Specifications for the State of California, Department of Transportation and the current City Standard Traffic Details. This maintenance shall be extended to include future signal installations at the proposed unit prices. The following is a list of tasks to be completed for each intersection on a monthly basis. CONTROLLER CABINET: CONTROLLER CABINET MOUNTING: Check the snugness of the nuts on the cabinet anchor bolts, tighten, if necessary, being sure not to distort the cabinet door opening by over tightening. CONTROLLER CABINET FOUNDATION SEAL: If standing water or evidence of water is present inside the bottom of the cabinet, check the seal between the bottom of the cabinet and the foundation for deterioration; report the need for a reseal, as necessary. DOOR GASKETS: Check all door gaskets on the controller cabinet, service cabinet and any other enclosures for evidence of moisture or deterioration. Report the need to completely replace any gaskets showing signs of leaking or deterioration. CABINET VENTS: Check the vents in both the cabinet door and above the door, or at the top of the cabinet to ensure that they are free of any foreign material. AIR FILTER: Vacuum or knock the dust out of filters. Filters shall be changed every 6 months unless damaged. For any permanent filters, vacuum,wash or knock the dust out of the filter. Permanent filters require no replacing unless damaged. CABINET FAN: Verify that the cabinet fan operates properly with a minimum of noise. CS-0541 Attachment C-MONTHLY PREVENTATIVE MAINTENANCE TASKS 1 of 5 THERMOSTAT: Verify that the cabinet fan thermostat is set at 100 degrees. INTERIOR LIGHT: Verify the proper operation of the cabinet's interior light. If a manual light is installed, check for proper operation. DOOR PANEL HARNESSES: Check the harnesses leading from the main panel to the police and auxiliary panels on the cabinet door to ensure they are not being pinched and do not bind against the cabinet door. Adjust, if necessary. HINGES AND LOCKS: Check for free movement of all doors, latching assemblies and locks on the controller cabinet, service cabinet and any other enclosures. Use a minimum of oil or spray lubricant and remove any excess. City will specify the oil for this purpose which does not attract dirt or leave residue. VACUUM CABINET: Blow or brush off shelves, terminal blocks and components and thoroughly vacuum the interior of the cabinet, including the police panel. INSECT INFESTATION: Check for any signs of ants,wasps or other insects within the cabinet and report any positive findings for the City to take the necessary steps for extermination and prevention. CABINET GROUNDING: Using appropriate equipment, check during the 1 st month of the contract and then annually the resistance between AC and Ground. SERVICE CONNECTIONS: Verify that the neutral, ground and power connections are secure in the controller and service cabinets. PLUG-IN COMPONENTS: Check that each plug-in component Crack mount detectors,relays, load switches, etc.) fits tightly and securely. TERMINAL CONNECTIONS: Test during the 191 month of this contract and then semi-annually or following any wiring repair, each terminal screw by backing off slightly then retightening to confirm that it is secure. GROUND FAULT RECEPTACLE: Verify the proper operation of"Test" and "Reset" buttons on GFI type outlets. INTERSECTION RECORDS: CS-0541 Attachment C-MONTHLY PREVENTATIVE MAINTENANCE TASKS 2 of 5 Ensure that all intersection cabinet wiring diagrams are present Notify City representative if updates are required. Note all work, routine and extraordinary, in the log in the cabinet as to the reason for the call/work and results or work accomplished by date and time. CONTROLLER OPERATION: Manually place vehicle and pedestrian calls on each phase through the cabinet test switches or the controller key pad, to verify controller servicing of each active phase. Check controller logs for any faults that may have occurred and take notes for the file. CONFLICT MONITORIMALFUNCTION MANAGEMENT UNIT: Verify time and dates are correct in any CMU/MMU with an internal clock and for proper operation of the unit. DETECTOR OPERATION: Verify the detection zones for each detector by observing the turn-on of the appropriate detector indicator as a vehicle passes over the detector loop(s) or detection zone. Check also that a call is placed on the correct controller phase. Verify detection zone vertically above loops whenever a problem has occurred. EQUIPMENT DISPLAYS AND INDICATORS: Verify that all video, LED and LCD displays and indications on all cabinet equipment are working properly. SYSTEM TELEMETRY: Check operation of telemetry on controller display and modem, if equipped, located in the cabinet. Report any malfunction immediately. EMERGENCY VEHICLE PREEMPTION (EVP): Verify that the EVP is operating with the use of a strobe light. Report any malfunction immediately. INTERSECTION WALK-AROUND: GENERAL: Remove any easily removed, unauthorized signs and posters and report all graffiti existing on signal poles or equipment. SIGNAL HEADS: Verify that all vehicle and pedestrian signal heads properly display all indications and the signals are not damaged. Verify the alignment of all heads to the intended direction. Also verify that all backplates, visors and doors are visibly secure. PEDESTRIAN EQUIPMENT: CS-0541 Attachment C-MONTHLY PREVENTATIVE MAINTENANCE TASKS 3 of 5 Check all pedestrian push buttons and signals by band to ensure that they are securely mounted and operating properly. Contractor will maintain a supply of ADA push buttons, as these are to be repaired immediately on discovery and reported to City staff. MISCELLANEOUS: Check operation of safety lighting using the manual test switch located in the service cabinet Visibly check all signal-mounted signs and advance warning signsibeacons for deterioration, proper mounting, alignment and operation; Verify that all pullbox covers, hand hole covers, etc. are secured and not damaged or missing. Check all detector loops for sealant deterioration, exposed wire, etc. Record any problems or irregularities and take corrective action as soon as possible, for contractor provided services. Visibly check pullboxes for evidence of ants and gophers. Report any positive findings. LAMPS AND LIGHTING: When a vehicle or pedestrian indication is found to be out and the lamp and module is damaged, defective or past its useful life, the lamps/module shall be replaced without charge for labor or equipment using Dialight LED Ball Signal Modules (8 inch and 12 inch) and shall be fully compliant to the ITE VTCSH LED Circular Supplement specifications dated and adopted June 27, 2005. All Countdown Pedestrian Signals shall be replaced when needed with Dialight (16x18), part number 430-6479-00IX. Contractor shall replace internally Illuminated Street Name Sign lamps as they become dim or inoperative. ISNS lamps shall be F72T2 Cool White Fluorescent lamps meeting the requirements of ANSI STD. C78. The Contractor shall during the 1 st of this month clean and polish all lenses and reflectors including illuminated street name signs and safety lights. The contractor shall replace burned out lamps as they occur under extra work charges. ANNUAL CONFLICT MONITOR TESTING: Replace conflict monitor's (CMU's, MMU's)with a spare unit and submit the monitors for testing and certification. It is suggested that ten (10) monitors be replaced and the originals be submitted for testing and certification on a rotating basis over 11 months. Printed certification is to be provided for each conflict monitor/malfunction management unit. The contractor will have available 6 spare MMU's and 4 spare CMU's for rotation use in testing. Testing of conflict monitors shall be included in price proposal for routine maintenance. PAINTING: Contractor shall repaint all metal standards, signal heads,back plates, visors, and controller housing (if already painted) on an annual basis, unless directed otherwise by the City. Repainting shall be completed in March each year and shall be conducted by spray painting methods. Colors as specified by the City. For those controller cabinets that have metal finishes, the Contractor shall wipe clean controller with detergent and shall apply clear protective coating. Detergent and coating per manufacturer's requirements. CS-0541 Attachment C-MONTHLY PREVENTATIVE MAINTENANCE TASKS 4 of 5 ROUTINE EMERGENCY SERVICES: The Contractor shall maintain a twenty-four(24) hour per day emergency service for the replacement of burned-out signal and safety lamps, adjustment of turned heads, repair of controller malfunctions or any damage creating a public hazard. The Contractor shall repair parts, replace parts and lamps, and otherwise keep the traffic signals in good working condition. This telephone number is to be made available to all persons designated by the City. The Contractor shall make immediate service calls on an emergency basis, responding within two (2) hours in the event of malfunctions of the controller or signal system or turned head. The replacement of burned-out signal lamps, internally illuminated street name sign lamps, or safety lights need not be on an emergency basis provided that there are at least two (2) indications still operative for each direction of travel. Such replacements shall be handled as soon as possible but in no case more than 48 hours. All labor, materials, equipment, travel, and parts for routine emergency service shall be included in the routine maintenance proposal price per signalized intersection per month, and no additional compensation will be allowed. CS-0541 Attachment C-MONTHLY PREVENTATIVE MAINTENANCE TASKS 5 of 5