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Resolution - 2023-R0074 - Contract 16922 with GKS Commercial dba Foster Construction - Airport 2.14.23
Resolution No. 2023-R0074 Item No. 5.25 February 14, 2023 RESOLUTION BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK: THAT the Mayor of the City of Lubbock is hereby authorized and directed to execute for and on behalf of the City of Lubbock, a Public Works Contract per ITB 23-16922-TF, by and between the City of Lubbock and GKS Commercial, Inc. DBA Forster Construction for LBB Warehouse 720 Roof Replacement at the Lubbock Preston Smith International Airport, consistent with the terms of the bid submittal attached hereto and incorporated herein, and related documents. Passed by the City Council on ATTEST: (Al Re ecca Garza, Ck Sec tary '3 a %t --� 64��c W Bill Howerton, Deputy City Manager February 14, 2023 TRAY—PAXNV-,MAYOR APPROV A TO FORM: Mitch tterwhite, First Assistant City Attorney ccdocs/RES.Bid Award-GKS Commercial, Inc. January 25, 2023 BID SUBMITTAL FORM LUMP SUM PRICE BID CONTRACT DATE: f — q — 23 PROJECT NUMBER: ITB 23-16922-TF LBB Warehouse 720 Roof Replacement Bid of _ ��S Ca"wwf4P (.uZ _ L t '�w ("4St(uz (hereinafter called Bidder) To the Honorable Mayor and City Council City of Lubbock, Texas (hereinafter called Owner) Ladies and Gentlemen: The Bidder, in compliance with your Invitation to Bid for the construction of the referenced project, having carefully examined the plans, specifications, instructions to bidders, notice to bidders and all other related contract documents and the site of the intended work, and being familiar with all of the conditions surrounding the construction of the intended project including the availability of materials and labor, hereby intends to furnish all labor, materials, and supplies; and to construct the project in accordance with the plans, specifications and contract documents, within the time set forth therein and at the price stated. The bidder binds himself on acceptance of his bid to execute a contract and any required bonds, according to the accompanying forms, for performing and completing the said work within the time stated and for the prices stated. Bidder hereby agrees to commence the work on the above project on a date to be specified in a written "Notice to Proceed" of the Owner and to substantially complete the project within 30 consecutive calendar days with final completion of the project within 35 consecutive calendar days as stipulated in the specification and other contract documents. Bidder hereby further agrees to pay to Owner as liquidated damages in the sum of $25 for each consecutive calendar day after substantial completion and liquidated damages in the sum of $25 for each consecutive calendar day after final completion set forth herein above for completion of this project, all as more fully set forth in the General Conditions of the Agreement. Bidder understands and agrees that this bid submittal shall be completed and submitted in accordance with instruction number 29 of the General Instructions to Bidders. Bidder understands that the Owner reserves the right to reject any or all bids and to waive any formality in the bidding. The Bidder agrees that this bid shall be good and may not be withdrawn for a period of 60 calendar days after the scheduled closing time for receiving bids. The undersigned Bidder hereby declares that he has visited the site of the work and has carefully examined the plans, specifications and contract documents pertaining to the work covered by this bid, and he further agrees to commence work on or before the date specified in the written notice to proceed, and to substantially complete the work on which he has bid; as provided in the contract documents. Bidders are required, whether or not a payment or performance bond is required, to submit a cashier's check or certified check issued by a bank satisfactory to the City of Lubbock, or a bid bond from a reliable surety company, payable without recourse to the order of the City of Lubbock in an amount not less than five percent (5%) of the total amount of the bid submitted as a guarantee that bidder will enter into a contract, obtain all required insurance policies, and execute all necessary bonds (if required) within 10 business days after notice of award of the contract to him. City of Lubbock, TX Airport ITB 23-16922-TF LBB Warehouse 720 Roof Replacement GKS Commercial, Inc. DBA Forster Construction of Lubbock, TX Items Base Bid QTY Unit Extended +/- U/M Price Cost #1-1 Base Bid Item 1: LBB Warehouse 720 Roof 1 LS $165,000.00 $165,000.00 Replacement Enclosed with this bid is a Cashier's Check or Certified Check for Dollars ($ or a Bid Bond in the sum of Dollars ($ r c, ), which it is agreed shall be collected and retained by the Owner as liquidated damages in the event the bid is accepted by the Owner and the undersigned fails to execute the necessary contract documents, insurance certificates, and the required bond (if any) with the Owner within 10 business days after the date of receipt of written notification of acceptance of said bid; otherwise, said check or bond shall be returned to the undersigned upon demand. Bidder understands and agrees that the contract to be executed by Bidder shall be bound and include all contract documents made available to him for his inspection in accordance with the Notice to Bidders. (Seal- if Bidder is a Corporation) ATT Wcrgrary Bidder acknowledges receipt of the following addenda: Addenda No. ; Date Addenda No. T Date Addenda No. Date Addenda No. Date Date: 5 cov- 6dz—_ Autho zed Si ature (Printed or Typed Name) Company Ae Salle ID/ Address' / City, County LpC ��ntP State �� - ode Telephone Fax: - D FEDERAL TAX ID or SOCIAL SECURITY No. ZZ— 2 EMAIL: ' Z3 M/WBE Woman EsiaCK American attve lftinunUtu Firm: tspamc Asian Pacific Other pect American t American CERTIFICATE OF INTERESTED PARTIES FORM 1295 1 of 1 Complete Nos. 1 - 4 and 6 if there are interested parties. OFFICE USE ONLY Complete Nos. 1, 2, 3, 5, and 6 if there are no interested parties. CERTIFICATION OF FILING Certificate Number: 1 Name of business entity filing form, and the city, state and country of the business entity's place of business. 2023-978412 GKS Commercial Lubbock, TX United States Date Filed: 02/01/2023 2 Name of governmental entity or state agency that is a party to the contract for which the form is being filed. City of Lubbock Date Acknowledged: 02/01/2023 g Provide the identification number used by the governmental entity or state agency to track or identify the contract, and provide a description of the services, goods, or other property to be provided under the contract. 16922 LBB Warehouse 720 Roof Replacement 4 Name of Interested Party City, State, Country (place of business) Nature of interest (check applicable) Controlling Intermediary Cook, Stephen Scott Lubock, TX United States X Forster, Stephen Kyle Lubbock, TX United States X Forster, Andrea Lubbock, TX United States X 5 Check only if there is NO Interested Party. ❑ 6 UNSWORN DECLARATION My name is and my date of birth is My address is (street) (city) (state) (zip code) (country) I declare under penalty of perjury that the foregoing is true and correct. Executed in County, State of on the day of , 20 (month) (year) Signature of authorized agent of contracting business entity (Declarant) Forms provided by Texas Ethics Commission www.ethics.state.tx.us Version V3.5.1.3ac88bc0 CERTIFICATE OF INTERESTED PARTIES FORM 1295 1of1 Complete Nos. 1- 4 and 6 if there are interested parties. OFFICE USE ONLY Complete Nos. 1, 2, 3, 5, and 6 if there are no interested parties. CERTIFICATION OF FILING Certificate Number: 2023-978412 1 Name of business entity filing form, and the city, state and country of the business entity's place of business. GKS Commercial Lubbock, TX United States Date Filed: 02/01/2023 2 Name of governmental entity or state agency that is a party to the contract for which the form is being filed. City of Lubbock Date Acknowledged: 3 Provide the identification number used by the governmental entity or state agency to track or identify the contract, and provide a description of the services, goods, or other property to be provided under the contract. 16922 LBB Warehouse 720 Roof Replacement 4 Name of Interested Party City, State, Country (place of business) Nature of interest (check applicable) Controlling Intermediary Cook, Stephen Scott Lubock, TX United States X Forster, Stephen Kyle Lubbock, TX United States X Forster, Andrea Lubbock, TX United States X 5 Check only if there is NO Interested Party. ❑ 6 UNSWORN DECLARATION My name is S � _ , and my date of birth is /% My address is CX_1S_ +_ ✓ L �_ u L__7�-� K L= (street) (city) (state) (zip code) (country) I declare under penalty of perjury that the foregoing is true and correct. �t Executed in �� ��` County, State of 1 e2a�, on the l day of 1-7f ` j 20 (month) (year) Sign lure of authorized agent of contracting business entity (Declarant) Forms provided by Texas Fthirc rnmmieci— " VVV. 1J° 0•aLCLLU A.ua Version V3.5.1.3ac88bc0 BOND CHECK BEST RATING LICENSED IN TEXAS DATE BY: CONTRACT AWARD DATE: February 14, 2023 CITY OF LUBBOCK SPECIFICATIONS FOR LBB Warehouse 720 Roof Replacement ITB 23-16922-TF CONTRACT 16922 PROJECT NUMBER: 9251.30000 Plans & Specifications may be obtained from https:Hci-lubbock-tx.bonfirehub.com/ City of 1 ' bb o cn TEXAS CITY OF LUBBOCK Lubbock, Texas Page Intentionally Left Blank INDEX 1. NOTICE TO BIDDERS 2. GENERAL INSTRUCTIONS TO BIDDERS 3. BID SUBMITTAL — (must be submitted by published due date & time) 3-1. UNIT PRICE BID SUBMITTAL FORM 3-2. CITY OF LUBBOCK REFERENCE FORM 3-3. CONTRACTOR'S STATEMENT OF QUALIFICATIONS 3-4. SAFETY RECORD QUESTIONNAIRE 4. EEO EMPLOYEE INFORMATION CERTIFICATION 5. BUY AMERICAN CERTIFICATION 6. DAVIS-BACON CERTIFICATION OF ELIGIBILITY 7. CERTIFICATION OF NONSEGREGATED FACILITIES 8. TRADE RESTRICTION CLAUSE 9. DBE CONTRACTING REQUIREMENT 10. LIST OF SUB -CONTRACTORS 11. PAYMENT BOND 12. PERFORMANCE BOND 13. CERTIFICATE OF INSURANCE 14. CONTRACT 15. CONFLICT OF INTEREST QUESTIONNAIRE CHAPTER 176 16. CHAPTER 46. DISCLOSURE OF INTERESTED PARTIES 17. GENERAL CONDITIONS OF THE AGREEMENT 18. SPECIAL CONDITIONS (IF APPLICABLE) 19. SPECIFICATIONS 3 Page Intentionally Left Blank NOTICE TO BIDDERS Page Intentionally Left Blank City of Lubbock TEXAS ITB 23-16922-TF LBB Warehouse 720 Roof Replacement 1. NOTICE TO BIDDERS 1.1. Bidders may submit responses electronically by uploading required documents at the City of Lubbock's partner website, Bonfire. This Invitation to Bid is for your convenience in submitting a bid for the specified project. If submitting electronically, do not submit paper documents. If you choose to submit in hard copy, submit one original paper copy of your submittal to the office of the Director of Purchasing and Contract Management: Physical: Marta Alvarez, Director of Purchasing and Contract Management City of Lubbock 13 14 Avenue K, 9th Floor Lubbock, Texas 79401 Mailing: Marta Alvarez, Director of Purchasing and Contract Management City of Lubbock P.O. Box 2000 Lubbock, Texas 79457 MARK ENVELOPE WITH THE SOLICITATION NUMBER, TITLE, AND DUE DATE/TIME 1.2. Bids will be opened in the office of the Director of Purchasing and Contract Management, Citizens Tower, 1314 Avenue K, Floor 9, Lubbock, Texas, 79401, and via teleconference as shown below at 2:00 PM on January 5, 2023, or as changed by the issuance of formal addenda to all planholders, to furnish all labor and materials and perform all work for the construction of the above referenced. 1.3. After the expiration of the time and date above first written, said sealed bids will be opened in the office of the Director of Purchasing and Contract Management and publicly read aloud. Bids will be opened via teleconference if date/time stamped on or before the deadline stated at the office listed above. The Zoom meeting information is as follows: Website: https:Hzoom.us/j/9759171012?pwd=bkFtRTN1cXV 1 SkhWdkZiMDk4MXh2dzO9 Meeting ID: 975 917 1012 Passcode: 1314 1.4. It is the sole responsibility of the bidder to ensure that his bid is actually received by the office of the Director of Purchasing and Contract Management for the City of Lubbock, before the expiration of the date above first written. Any bid received after the date and hour specified will be rejected and returned unopened to the bidder. 1.5. Mailing of a bid does not ensure that the bid will be delivered on time or delivered at all. If bidder does not hand deliver bid, we suggest that he/she use some sort of delivery service that provides a receipt. The City of Lubbock assumes no responsibility for errant delivery of bids, including those relegated to a courier agent who fails to deliver in accordance with the time and receiving point specified. 1.6. Although bids may be submitted electronically, hard copy bids will be accepted in person, by United States Mail, by United Parcel Service, or by private courier service. THE CITY WILL NOT ACCEPT FAX BIDS. 1.7. Bids may be withdrawn prior to the above scheduled time set for closing. Alteration made before ITB opening must be initialed by bidder guaranteeing authenticity. 1.8. Bids are due at 2:00 PM on January 5, 2023, and the City of Lubbock Council members will consider the bids on January 24, 2021 at the Citizens Tower, 1314 Avenue K, Lubbock, Texas, or as soon thereafter as may be reasonably convenient, subject to the right to reject any or all bids and waive any formalities. The successful bidder will be required to furnish a performance bond in accordance with Chapter 2253, Government Code, in the amount of 100% of the total contract price in the event that said contract price exceeds $100,000 and the successful bidder will be required to furnish a payment bond in accordance with Chapter 2253, Government Code, in the amount of 100% of the total contract price in the event that said contract price exceeds $50,000. Said statutory bonds shall be issued by a company carrying a current Best Rating of "A" or better. THE BONDS MUST BE IN A FORM ACCEPTABLE TO THE CITY ATTORNEY. NO WORK ON THE CONTRACT SHOULD COMMENCE BEFORE THE BONDS ARE PROVIDED AND APPROVED. 1.9 NOTICE TO PROCEED WILL BE ISSUED 30 DAYS FOLLOWING THE AWARD OF THE CONTRACT BY THE LUBBOCK CITY COUNCIL. 1.10. Please allow time to upload required documentation. 24hrs in advance is recommended. 1.11. Bidders are required, whether or not a payment or performance bond is required, to submit a cashier's or certified check issued by a bank satisfactory to the City of Lubbock, or a proposal bond from a reliable surety company, payable without recourse to the order of the City of Lubbock in an amount not less than 5% of the total amount of the proposal submitted as a guarantee that bidder will enter into a contract and execute all necessary bonds within ten (10) business days after notice of award of the contract to the bidder. FAILURE OF THE BIDDER TO INCLUDE BID SECURITY WITH THE BID SUBMITTAL SHALL CONSTITUTE A NONRESPONSIVE BID AND RESULT IN DISQUALIFICATION OF THE BID SUBMITTAL. 1.12. Copies of plans and specifications may be obtained at bidder's expense from the City of Lubbock Purchasing and Contract Management office. Plans and specifications can be viewed online and downloaded from https://ci-lbbock-tx.bonfirehub.com/portal/ at no cost. In the event of a large file size, please be patient when downloading or viewing. BUSINESSES WITHOUT INTERNET ACCESS may use computers available at most public libraries. 1.13. It shall be each bidder's sole responsibility to inspect the site of the work and to inform bidder regarding all local conditions under which the work is to be done. It shall be understood and agreed that all such factors have been thoroughly investigated and considered in the preparation of the bid submitted. 2. PRE -BID MEETING 2.1. For the purpose of familiarizing bidders with the requirements, answering questions, and issuing addenda as needed for the clarification of the Invitation to Bid (ITB) documents, a non -mandatory pre -bid meeting will be held December 20, 2022, at 10:00 a.m., via teleconference. The Zoom meeting information is as follows: Website: https://zoom.us/j/9759171012?pwd=bkFtRTN1cXV 1 SkhWdkZiMDk4MXh2dz09 Meeting ID: 975 917 1012 Passcode: 1314 2.2. All persons attending the meeting will be asked to identify themselves and the prospective bidder they represent. 2.3. It is the bidder's responsibility to attend the pre -bid meeting though the meeting is not mandatory. The City will not be responsible for providing information discussed at the pre -bid meeting to bidders who do not attend the pre -bid meeting. 3. Attention of each bidder is particularly called to the schedule of general prevailing rate of per diem wages included in the contract documents on file in the office of the Purchasing and Contract Management Office of the City of Lubbock, which document is specifically referred to in this notice to bidders. Each bidders attention is further directed to Texas Government Code, Chapter 2258, Prevailing Wage Rates, and the requirements contained therein concerning the above wage scale and payment by the contractor of the prevailing rates of wages as heretofore established by owner in said wage scale. 4. The City of Lubbock hereby notifies all bidders that in regard to any contract entered into pursuant to this advertisement, minority and women business enterprises will be afforded equal opportunities to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, sex, disability, or national origin in consideration for an award. 5. The City of Lubbock hereby notifies all bidders that in regard to any contract entered into pursuant to this advertisement, it is the policy of the Department of Transportation (DOT) that disadvantaged business enterprises as defined in 49 CFR Part 26 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with federal funds. All bidders shall make good faith efforts, as defined in Appendix A of 49 CFR Part 26 to subcontract 3.75% of the dollar value of the prime contract to small business concerns owned and controlled by socially and economically disadvantaged individuals (DBE). Details of such requirement are contained in the specifications. 49 CFR Part 26 provides that each contract the owner signs with a contractor (and each subcontract the prime contractor signs with a subcontractor) shall include the following assurance: 6. The contractor, sub -recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of Department of Transportation (DOT) assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate. 7. The proposed contract is subject to the Buy American provision under Section 9129 of the Aviation Safety and Capacity Act of 1990. Details of such requirement are contained in the specifications. 8. The Proposed contract is under and subject to Executive Order 11246 and the Equal Opportunity Clause. The bidder's attention is called to the Equal Opportunity Clause and the Standard Federal Equal Employment Opportunity Construction Contract Specifications, and the Notice of Requirement of Affirmative Action to Ensure Equal Employment Opportunity set forth in the specifications. 9. The successful bidder will be required to submit a Certification of Nonsegregated Facilities prior to award of the contract and to notify prospective subcontractors of the requirement. The certification is contained in the specifications. 10. The City of Lubbock does not discriminate against persons with disabilities. City of Lubbock pre -proposal meetings and proposal openings are available to all persons regardless of disability. If you require special assistance, please contact the Purchasing and Contract Management Office at (806) 775-2572 write to Post Office Box 2000, Lubbock, Texas 79457 at least 48 hours in advance of the meeting. CITY OF LUBBOCK, Marta Alvarez DIRECTOR OF PURCHASING & CONTRACT MANAGEMENT GENERAL INSTRUCTIONS TO BIDDERS Page Intentionally Left Blank GENERAL INSTRUCTIONS TO BIDDERS 1. BIDDER INQUIRIES AND CLARIFICATION OF REQUIREMENTS 1.1 It is the intent and purpose of the City of Lubbock that this request permit competitive bids. It shall be the bidder's responsibility to advise the Purchasing and Contract Management Office if any language, requirements, etc., or any combinations thereof, inadvertently restricts or limits the requirements stated in this ITB to a single source. Such notification must be submitted in writing and must be received by the City of Lubbock Purchasing and Contract Management Office no later than five (5) calendar days before the bid closing date. A review of such notifications will be made. 1.2 NO BIDDER SHALL REQUEST ANY INFORMATION VERBALLY. ALL REQUESTS FOR ADDITIONAL INFORMATION OR CLARIFICATION CONCERNING THIS INVITATION TO BID (ITB) MUST BE SUBMITTED IN WRITING NO LATER THAN FIVE (5) CALENDAR DAYS PRIOR TO THE BID CLOSING DATE AND ADDRESSED TO: Teofilo Flores, Asst. Director City of Lubbock Purchasing and Contract Management Office 1314 Avenue K, Floor 9 Lubbock, Texas 79401 Fax: 806-775-2164 2. TIME AND ORDER FOR COMPLETION 2.1 The construction covered by the contract documents shall be substantially completed within 30 Consecutive Calendar Days from the date specified in the Notice to Proceed issued by the City of Lubbock to the successful bidder. 2.2 The Contractor will be permitted to prosecute the work in the order of his own choosing, provided, however, the City reserves the right to require the Contractor to submit a progress schedule of the work contemplated by the contract documents. In the event the City requires a progress schedule to be submitted, and it is determined by the City that the progress of the work is not in accordance with the progress schedule so submitted, the City may direct the Contractor to take such action as the City deems necessary to ensure completion of the project within the time specified. 2.3 Upon receipt of notice to proceed, and upon commencement of the work, the Contractor shall ensure daily prosecution of the work is conducted every business day until the work is completed, regardless if the work will be substantially or finally complete ahead of specified deadlines in the agreement, unless the City determines time off from said prosecution is necessary or reasonable and Contractor received said determination in writing from the City. Additionally, inclement weather shall be the only other reason consistent, daily prosecution of the work may not take place on those inclement weather days. 3. GUARANTEES 3.1 All equipment and materials incorporated in the project and all construction shall be guaranteed against defective materials and workmanship. Prior to final acceptance, the Contractor shall furnish to the Owner, a written general guarantee which shall provide that the Contractor shall remedy any defects in the work, and pay for any and all damages of any nature whatsoever resulting in such defects, when such defects appear within ONE year from date of final acceptance of the work as a result of defective materials or workmanship, at no cost to the Owner (City of Lubbock). 3.2 Notwithstanding any provisions contained in the contractual agreement, the Contractor represents and warrants fault -free performance and fault -free result in the processing date and date -related data (including, but not limited to calculating, comparing and sequencing) of all hardware, software and firmware products delivered and services provided under this Contract, individually or in combination, as the case may be from the effective date of this Contract. Also, the Contractor warrants calculations will be recognized and accommodated and will not, in any way, result in hardware, software or firmware failure. The City of Lubbock, at its sole option, may require the Contractor, at any time, to demonstrate the procedures it intends to follow in order to comply with all the obligations contained herein. 3.3 The obligations contained herein apply to products and services provided by the Contractor, its sub- contractor or any third party involved in the creation or development of the products and services to be delivered to the City of Lubbock under this Contract. Failure to comply with any of the obligations contained herein, may result in the City of Lubbock availing itself of any of its rights under the law and under this Contract including, but not limited to, its right pertaining to termination or default. 3.4 The warranties contained herein are separate and discrete from any other warranties specified in this Contract, and are not subject to any disclaimer of warranty, implied or expressed, or limitation to the Contractor's liability which may be specified in this Contract, its appendices, its schedules, its annexes or any document incorporated in this Contract by reference. 4. BID AWARD 4.1 The City of Lubbock reserves the right to reject any or all bids, reject any particular item on a bid, and to waive immaterial formalities and to accept the offer most advantageous to the City of Lubbock in its sole discretion. Unless otherwise specified herein, the City shall award the bid based on the total bid for Bid Items plus the sum of any Alternate Bids or Options the City may select. 4.2 All bids are evaluated for compliance with specifications before the bid price is considered. Response to specifications is primary in determining the best low bid. Failure to comply with the specifications may result in disqualification of the bid. 4.3 In case of tie bids, preference will be given to local bidders. Consistent and continued tie bidding may be cause for rejection of bids by the City of Lubbock and/or investigation by the Attorney General to determine possible Anti -Trust violations. 4.4 Before the City may award a bid to a nonresident bidder, the nonresident bidder's bid must be lower than lowest bid submitted by a responsible Texas bidder by the same margin or amount that a Texas bidder would be required to underbid the nonresident bidder in the nonresident bidders' home state. 4.5 Any contract made, or purchase order issued, as a result of this Invitation to Bid, shall be entered into the State of Texas and under the laws of the State of Texas. In connection with the performance of work, the Bidder agrees to comply with the Fair Labor Standard Act, Equal Opportunity Employment Act, and all other applicable Federal, State, and Local laws, regulations, and executive orders to the extent that the same may be applicable. 4.6 NO INDIVIDUAL OF ANY USING DEPARTMENT HAS THE AUTHORITY TO LEGALLY AND/OR FINANCIALLY COMMIT THE CITY TO ANY CONTRACT, AGREEMENT OR PURCHASE ORDER FOR GOODS OR SERVICES, UNLESS SPECIFICALLY SANCTIONED BY THE REQUIREMENTS OF THIS INVITATION TO BID. GENERAL INSTRUCTIONS TO BIDDERS (Continued) 5. ADDENDA & MODIFICATIONS 5.1 Any changes, additions, or clarifications to the ITB are made by ADDENDA information available over the Internet at https:Hci-lubbock-tx.bonfirehub.com/portal/. We strongly suggest that you check for any addenda a minimum of forty-eight hours in advance of the response deadline. BUSINESSES WITHOUT INTERNET ACCESS may use computers available at most public libraries. 5.2 Any bidder in doubt as to the true meaning of any part of the specifications or other documents may request an interpretation thereof from the Purchasing and Contract Management Office. At the request of the bidder, or in the event the Purchasing and Contract Management Office deems the interpretation to be substantive, the interpretation will be made by written addendum issued by the Purchasing and Contract Management Office. Such addenda issued by the Purchasing and Contract Management Office will be available over the Internet at hops://ci-lubbock-tx.bonfirehub.com/portal/ and will become part of the bid package having the same binding effect as provisions of the original ITB. NO VERBAL EXPLANATIONS OR INTERPRETATIONS WILL BE BINDING. In order to have a request for interpretation considered, the request must be submitted in writing and must be received by the City of Lubbock Purchasing and Contract Management Office no later than five (5) calendar days before the bid closing date. 5.3 All addenda, amendments, and interpretations of this solicitation shall be in writing. The City of Lubbock shall not be legally bound by any amendment or interpretation that is not in writing. Only information supplied by the City of Lubbock Purchasing and Contract Management Office in writing or in this ITB should be used in preparing bid responses. All contacts that a bidder may have had before or after receipt of this ITB with any individuals, employees, or representatives of the City and any information that may have been read in any news media or seen or heard in any communication facility regarding this bid should be disregarded in preparing responses. 5.4 The City does not assume responsibility for the receipt of any addendum sent to bidders. 6. EXAMINATION OF DOCUMENTS AND REQUIREMENTS 6.1 Each bidder shall carefully examine all ITB documents and thoroughly familiarize itself with all requirements before submitting a bid to ensure that their bid meets the intent of these specifications. 6.2 Before submitting a bid, each bidder shall be responsible for making all investigations and examinations that are necessary to ascertain conditions and requirements affecting the requirements of this Invitation to Bid. Failure to make such investigations and examinations shall not relieve the bidder from obligation to comply, in every detail, with all provisions and requirements of the Invitation to Bid. 6.3 Notices of any discrepancies or omissions in these plans, specifications, or contract documents, shall be given to the Purchasing and Contract Management Office and a clarification obtained before the bids are received, and if no such notice is received by the Purchasing and Contract Management Office prior to the opening of bids, then it shall be deemed that the bidder fully understands the work to be included and has provided sufficient sums in its bid to complete the work in accordance with these plans and specifications. If bidder does not notify Purchasing and Contract Management Office before bidding of any discrepancies or omissions, then it shall be deemed for all purposes that the plans and specifications are sufficient and adequate for completion of the project. It is further agreed that any request for clarification must be submitted no later than five (5) calendar days prior to the bid closing date. 7. BID PREPARATION COSTS 7.1 Issuance of this ITB does not commit the City of Lubbock, in any way, to pay any costs incurred in the preparation and submission of a bid. 7.2 The issuance of this ITB does not obligate the City of Lubbock to enter into contract for any services or equipment. 7.3 All costs related to the preparation and submission of a bid shall be paid by the bidder. 8. TRADE SECRETS, CONFIDENTIAL INFORMATION AND THE TEXAS PUBLIC INFORMATION ACT 8.1 If you consider any portion of your bid to be privileged or confidential by statute or judicial decision, including trade secrets and commercial or financial information, clearly identify those portions. 8.2 The City of Lubbock will honor your notations of trade secrets and confidential information and decline to release such information initially, but please note that the final determination of whether a particular portion of your bid is in fact a trade secret or commercial or financial information that may be withheld from public inspection will be made by the Texas Attorney General or a court of competent jurisdiction. In the event a public information request is received for a portion of your bid that you have marked as being confidential information, you will be notified of such request and you will be required to justify your legal position in writing to the Texas Attorney General pursuant to Section 552.305 of the Government Code. In the event that it is determined by opinion or order of the Texas Attorney General or a court of competent jurisdiction that such information is in fact not privileged and confidential under Section 552.110 of the Government Code and Section 252.049 of the Local Government Code, then such information will be made available to the requester. 8.3 Marking your entire bid CONFIDENTIAL/PROPRIETARY is not in conformance with the Texas Open Records Act. 8.4 Pursuant to Section 552.234(c) of the Texas Government Code, submit your open records request using the link provided below. https:Hlubbocktx.govqa.us/WEBAPP/_rs/(S(quiyirflbtihahjny^ cegwpcs))/SLapportHome.aspx 8.5 For more information, please see the City of Lubbock Public Information Act website at: https://ci.lubbock.tx.us/pages/public-information-act 9. LICENSES, PERMITS, TAXES 9.1 The price or prices for the work shall include full compensation for all taxes, permits, etc. that the bidder is or may be required to pay. 10. UTILIZATION OF LOCAL BUSINESS RESOURCES 10.1 Prospective bidders are strongly encouraged to explore and implement methods for the utilization of local resources, and to outline in their bid submittal how they would utilize local resources. 11. CONFLICT OF INTEREST 11.1 The bidder shall not offer or accept gifts or anything of value nor enter into any business arrangement with any employee, official or agent of the City of Lubbock. 11.2 By signing and executing this bid, the bidder certifies and represents to the City the bidder has not offered, conferred or agreed to confer any pecuniary benefit or other thing of value for the receipt of special treatment, advantage, information, recipient's decision, opinion, recommendation, vote or any other exercise of discretion concerning this bid. 11.3 It is not necessary to fill out the CIQ Form unless you have a business relationship that might cause a conflict of interest with the City of Lubbock 11.4 Effective January 1, 2006, Chapter 176 of the Texas Local Government Code requires that any vendor or person considering doing business with a local government entity disclose in the Questionnaire, Form CIQ, the vendor or person's affiliation or business relationship that might cause a conflict of interest with a local government entity. By law, the questionnaire must be fled with the records administrator of the City of Lubbock not later than the Seventh business day after the date the person becomes aware of the facts that require the statement to be filed. The questionnaire can be found at: s://www.ethics.state.tx.us/forms/conflict/ For the City of Lubbock, these forms should be filed with the City Secretary's Office, P.O. Box 2000, Lubbock, Texas, 79457 See Section 176.006, Local Government Code: http://www.statutes.legis.state.tx.us/SOTWDocs/LG/htm/LG. 176.htm. A person commits an offense if the person violates Section 176.006, Local Government Code. An offense under this section is a Class C misdemeanor. 12. CONTRACT DOCUMENTS 12.1 All work covered by the contract shall be done in accordance with contract documents described in the General Conditions. 12.2 All bidders shall be thoroughly familiar with all of the requirements set forth on the contract documents for the construction of this project and shall be responsible for the satisfactory completion of all work contemplated by said contract documents. 13. CERTIFICATE OF INTERESTED PARTIES 13.1 Effective January 1, 2016, Section 2252.908, as amended, of Chapter 2252 of the Texas Government Code requires certain business entities to submit an electronic disclosure form to the Texas Ethics Commission before entering into a contract with a local government entity when any of the following apply: 1) Contract requires an action or vote by the City Council (governing body); OR 2) Contract value is $1 Million or greater; OR 3) Contract is for services that would require a person to register as a lobbyist under Chapter 305 of the Government Code. This must be done before executing the contract. The disclosure form may be found at hops://www.ethics.state.tx.us/whatsnew/elf_ info_forml295.htm. You must log in and create an account the first time you fill out the form. Tutorial videos on how to log in for the first time and how to fill out the form can be found through the link above. After you electronically submit the disclosure form, a screen will come up confirming the submission and assigning a certificate number. Then, you must print the form, have an authorized agent complete the declaration and sign, and provide it to the City (scanned email copy is acceptable). 14. PLANS FOR USE BY BIDDERS 14.1 It is the intent of the City of Lubbock that all parties with an interest in submitting a bid on the project covered by the contract documents be given a reasonable opportunity to examine the documents and prepare a bid without charge or forfeiture of deposit. The contract documents may be examined without charge as noted in the Notice to Bidders. 15. PAYMENT 15.1 All payments due to Contractor shall be made in accordance with the provisions of the General Conditions of the contract documents. 16. AFFIDAVITS OF BILLS PAID 16.1 The City of Lubbock reserves the right, prior to final acceptance of this project to require the Contractor to execute an affidavit that all bills for labor, materials and incidentals incurred in the construction of the improvements contemplated by the contract documents have been paid in full and that there are no claims pending, of which the Contractor has been notified. 17. MATERIALS AND WORKMANSHIP 17.1 The intent of these contract documents is that only materials and workmanship of the best quality and grade will be furnished. The fact that the specifications may fail to be sufficiently complete in some detail will not relieve the Contractor of full responsibility for providing materials of high quality and for protecting them adequately until incorporated into the project. The presence or absence of a representative of the City on the site will not relieve the Contractor of full responsibility of complying with this provision. The specifications for materials and methods set forth in the contract documents provide minimum standards of quality, which the Owner believes necessary to procure a satisfactory project. 18. PLANS FOR THE CONTRACTOR 18.1 The contractor will, upon written request, be furnished up to five sets of plans and specifications and related contract documents for use during construction. Plans and specifications for use during construction will only be furnished directly to the Contractor. The Contractor shall then distribute copies of plans and specifications to suppliers, subcontractors or others, as required for proper prosecution of the work contemplated by the Contractor. 19. PROTECTION OF THE WORK 19.1 The Contractor shall be responsible for the care, preservation, conservation, and protection of all materials, supplies, machinery, equipment, tools, apparatus, accessories, facilities, and all means of construction, and any and all parts of the work whether the Contractor has been paid, partially paid, or not paid for such work, until the date the City issues its certificate of completion to Contractor. The City reserves the right, after the bids have been opened and before the contract has been awarded, to require of a bidder the following information: 19.1.1 The experience record of the bidder showing completed jobs of a similar nature to the one covered by the intended contract and all work in progress with bond amounts and percentage completed. 19.1.2 A sworn statement of the current financial condition of the bidder. 19.1.3 Equipment schedule. 20. TEXAS STATE SALES TAX 20.1 This contract is issued by an organization which qualifies for exemption provisions pursuant to provisions of Article 20.04 of the Texas Limited Sales, Excise and Use Tax Act. 20.2 The Contractor must obtain a limited sales, excise and use tax permit which shall enable him to buy the materials to be incorporated into the work without paying the tax at the time of purchase. 21. PROTECTION OF SUBSURFACE LINES AND STRUCTURES 21.1 It shall be the Contractor's responsibility to prosecute the work contemplated by the contract documents in such a way as to exercise due care to locate and prevent damage to all underground pipelines, utility lines, conduits or other underground structures which might or could be damaged by Contractor during the construction of the project contemplated by these contract documents. The City of Lubbock agrees that it will furnish Contractor the location of all such underground lines and utilities of which it has knowledge. However, such fact shall not relieve the Contractor of his responsibilities aforementioned. All such underground lines or structures cut or damaged by Contractor during the prosecution of the work contemplated by this contract shall be repaired immediately by Contractor to the satisfaction of the City of Lubbock, Texas, at Contractor's expense. 22. BARRICADES AND SAFETY MEASURES 22.1 The contractor shall, at his own expense, furnish and erect such barricades, fences, lights and danger signals, and shall take such other precautionary measures for the protection of persons, property and the work as may be necessary. The Contractor will be held responsible for all damage to the work due to failure of barricades, signs, and lights to protect it, and when damage is incurred, the damaged portion shall be immediately removed and replaced by Contractor at his own cost and expense. The Contractor's responsibility for maintenance of barricades, signs, and lights shall not cease until the date of issuance to Contractor of City's certificate of acceptance of the project. 23. EXPLOSIVES 23.1 The use of explosives will not be permitted unless written permission to do so is obtained by the Contractor from the City. In all cases where written permission is obtained for the use of explosives, the Contractor shall assume full responsibility for all damage, which may occur as a direct or indirect result of the blasting. In addition, in all cases where explosives are authorized to be used, the Contractor shall use utmost care so as not to endanger life or property and the Contractor shall further use only such methods as are currently utilized by persons, firms, or corporations engaged in similar type of construction activity. 23.2 Explosive materials shall not be stored or kept at the construction site by the Contractor. 23.3 In all cases where explosives are to be used during the construction of the project contemplated by this contract, it shall be the duty of the Contractor to notify each utility company having structures (above or below the ground) in proximity to the site of the work of Contractor's intention to use explosives, and such notice shall be given sufficiently in advance to enable the companies to take such steps as they may deem necessary to protect their property from injury. Such notice, however, shall not relieve the Contractor of responsibility for any damage resulting from his blasting operations. 24. CONTRACTOR'S REPRESENTATIVE 24.1 The successful bidder shall be required to have a responsible local representative available at all times while the work is in progress under this contract. The successful bidder shall be required to furnish the name, address and telephone number where such local representative may be reached during the time that the work contemplated by this contract is in progress. 25. INSURANCE 25.1 The Contractor shall not commence work under this contract until he has obtained all insurance as required in the General Conditions of the contract documents, from an underwriter authorized to do business in the State of Texas and satisfactory to the City. Proof of coverage shall be furnished to the City and written notice of cancellation or any material change will be provided ten (10) days in advance of cancellation or change. All policies shall contain an agreement on the part of the insurer waiving the right to subrogation. The Contractor shall procure and carry at his sole cost and expense through the life of this contract, insurance protection as hereinafter specified. Coverage in excess of that specified herein also shall be acceptable. Such insurance shall be carried with an insurance company authorized to transact business in the State of Texas and shall cover all operations in connection with this contract, whether performed by the Contractor or a subcontractor, or separate policies shall be provided covering the operation of each subcontractor. A certificate of insurance specifying each and all coverages shall be submitted before contract execution. 25.2 PROOF OF COVERAGE SHALL BE FURNISHED TO THE CITY OF LUBBOCK IN THE FORM OF A CERTIFICATE OF INSURANCE. THE INSURANCE CERTIFICATES FURNISHED SHALL NAME THE CITY OF LUBBOCK AS ADDITIONAL INSURED ON AUTO/GENERAL LIABILITY ON A PRIMARY AND NON-CONTRIBUTORY BASIS TO INCLUDE PRODUCTS OF COMPLETE OPERATIONS. PROVIDE A WAIVER OF SUBROGATION IN FAVOR OF THE CITY OF LUBBOCK. IT SHALL BE THE CONTRACTOR'S RESPONSIBILITY TO PROVIDE TO THE OWNER ALL PROOF OF COVERAGE INSURANCE DOCUMENTS INCLUDING WORKERS COMPENSATION COVERAGE FOR EACH SUBCONTRACTOR. COPIES OF THE ENDORSEMENTS ARE REQUIRED. 26. LABOR AND WORKING HOURS 26.1 Attention of each bidder is particularly called to the schedule of general prevailing rate of per diem wages included in these contract documents. The wage rate that must be paid on this project shall not be less than specified in the schedule of general prevailing rates of per diem wages as above mentioned. The bidders' attention is further directed to the requirements of Texas Government Code, Chapter 2258, Prevailing Wage Rates providing for the payment of the wage schedules above mentioned and the bidder's obligations thereunder. The inclusion of the schedule of general prevailing rate of per diem wages in the contract documents does not release the Contractor from compliance with any wage law that may be applicable. Construction work under the contract requiring an inspector shall not be performed on weekends or holidays unless the following conditions exist: 26.1.1 The project being constructed is essential to the City of Lubbock's ability to provide the necessary service to its citizens. 26.1.2 Delays in construction are due to factors outside the control of the Contractor. The Contractor is approaching the penalty provisions of the contract and Contractor can show he has made a diligent effort to complete the contract within the allotted time. 26.1.3 Before construction work requiring an inspector is to be performed on Sunday or holidays, the Contractor must notify the Owner's Representative not less than three full working days prior to the weekend or holiday he desires to do work and obtain written permission from the Owner's Representative to do such work. The final decision on whether to allow construction work requiring an inspector on Sunday or holidays will be made by the Owner's Representative. 26.2In any event, if a condition should occur or arise at the site of this project or from the work being done under this contract which is hazardous or dangerous to property or life, the Contractor shall immediately commence work, regardless of the day of the week or the time of day, to correct or alleviate such condition so that it is no longer dangerous to property or life. 27. PAYMENT OF EMPLOYEES AND FILING OF PAYROLLS 27.1 The contractor and each of his subcontractors shall pay each of his employees engaged in work on the project under this contract in full (less mandatory legal deductions) in cash, or by check readily cashable without discount, not less often than once each week. The Contractor and each of his subcontractors shall keep a record showing the name and occupation of each worker employed by the Contractor or subcontractor in the construction of the public work and the actual per diem wages paid to each worker. This record shall be open at all reasonable hours to inspection by the officers and agents of the City. The Contractor must classify employees according to one of the classifications set forth in the schedule of general prevailing rate of per diem wages, which schedule is included in the contract documents. The Contractor shall forfeit as a penalty to the City of Lubbock on whose behalf this contract is made, sixty dollars ($60) for each laborer, workman, or mechanic employed for each calendar day, or portion thereof, such laborer, workman or mechanic is paid less than the wages assigned to his particular classification as set forth in the schedule of general prevailing rate of per diem wages included in these contract documents. 28. PROVISIONS CONCERNING ESCALATION CLAUSES 28.1 Bids submitted containing any conditions which provide for changes in the stated bid price due to increases or decreases in the cost of materials, labor or other items required for the project will be rejected and returned to the bidder without being considered. 29. PREPARATION FOR BID 29.1 The bidder shall submit his bid on forms furnished by the City, and all blank spaces in the form shall be correctly filled in, stating the price in numerals for which he intends to do the work contemplated or furnish the materials required. Such prices shall be written in ink, distinctly and legibly, or typewritten. In case of discrepancy between the unit price and the extended total for a bid item, the unit price will be taken. A bid that has been opened may not be changed for the purpose of correcting an error in the bid price. BIDDER'S BID SUBMITTAL MUST INCLUDE THE FOLLOWING: • Bid Submittal Form • Safety Record Questionnaire • Certification regarding Employee Information Report EEO-1 • Buy American Certification • Davis- Bacon Certification of Eligibility • Certification of Nonsegregated Facilities • Trade Restriction Clause • DBE Utilization Form • DBE Letter of Intent • DBE Bidder's List • Bid Bond 29.2 If the bid is submitted by an individual, his name must be signed by him or his duly authorized agent. If a bid is submitted by a firm, association, or partnership, the name and address of each member must be given and the bid signed by a member of the firm, association or partnership, or person duly authorized. If the bid is submitted by a company or corporation, the company or corporate name and business address must be given, and the bid signed by an official or duly authorized agent. Powers of attorney authorizing agents or others to sign bids must be properly certified and must be in writing and submitted with the bid. 29.3 Pursuant to Texas Local Government Code 252.043(g), a competitive sealed bid that has been opened may not be changed for the purpose of correcting an error in the bid price. THEREFORE, ANY CORRECTIONS TO THE BID PRICE MUST BE MADE ON THE BID SUBMITTAL FORM PRIOR TO BID OPENING. 29.4 Bid submittals may be withdrawn and resubmitted at any time before the time set for opening of the bids, but no bid may be withdrawn or altered thereafter. 30. BOUND COPY OF CONTRACT DOCUMENTS 3 0. 1 Bidder understands and agrees that the contract to be executed by bidder shall be bound and will include the following: (a) Notice to Bidders (b) General Instructions to Bidders (c) Bid Submittal Form (d) Debarment Certification (e) EEO Certification (f) Buy America Certification (g) Davis- Bacon Certification (h) Nonsegregated Facilities Certification (i) Trade Restriction Clause 0) DBE Contracting Requirement (k) Safety record Questionnaire (1) Statutory Payment and Performance Bonds (m) Insurance Certificates for Prime Contractor and all Subcontractors (n) Contract (o) General Conditions of the Agreement (p) FAA Mandatory Contract Provisions (q) FAA General Provisions (r) Special Provisions (s) Technical Specifications (t) All other documents made available to bidder for his inspection in accordance with the Notice to Bidders 30.1 If Plans and Specifications are too bulky or cumbersome to be physically bound, they are to be considered incorporated by reference into the aforementioned contract documents. 31. 31 DISADVANTAGED BUSINESS ENTERPRISE (DBE) REQUIREMENTS 31.1 The City of Lubbock hereby notifies all bidders that in regard to any contract entered into pursuant to this ITB, Disadvantaged Business Enterprises (DBE's) will be afforded equal opportunities to submit bids and will not be discriminated against on the grounds of race, color, sex, disability, or national origin in consideration of an award. 31.2 A DBE is defined as a small business concern which is at least 51 % owned and controlled by one or more socially and economically disadvantaged individuals, or in the case of any publicly owned business, at least 51 % of the stock of which is owned by one or more socially and economically disadvantaged individuals. Socially and economically disadvantaged include Women, Black Americans, Hispanic Americans, Native Americans, Asian -Pacific Americans, and Asian -Indian Americans. 31.3 Good Faith Efforts (Information to be submitted) 31.1.1 City of Lubbock treats bidders' compliance with good faith efforts requirements as a matter of responsiveness. 31.1.2 Each solicitation for which a contract goal has been established will require the bidders to submit the following information with its bid as a condition of responsiveness: 1. DBE Utilization form 2. DBE Letter of Intent; 3. DBE Bidder's List 4. If the goal is not met, evidence of good faith efforts 31.4 Demonstration of good faith efforts 31.4.1 The obligation of the bidder is to make good faith efforts. The bidder can demonstrate that it has done so either by meeting the contract goal or documenting good faith efforts. The Disadvantage Business Enterprise Program has been uploaded. 31.4.2 The following personnel are responsible for determining whether a bidder who has not met the contract goal has documented sufficient good faith efforts to be regarded as responsive: Persons assigned to evaluate bids or proposals as specified on the City's "Request to Solicit Competitive Bids or Proposals — Procurement Document Submittal Form." 31.4.3 We will ensure that all information is complete and accurate and adequately documents and bidder's good faith efforts before we commit to the performance of the contract by the bidder. 31.5 Administrative reconsideration 31.5.1 Within 10 days of being informed by City of Lubbock that it is not responsive because it has not documented sufficient good faith efforts, a bidder may request administrative reconsideration. Bidders should make this request in writing to the following reconsideration official: Marta Alvarez, Director of Purchasing and Contract Management, City of Lubbock, P.O. Box 2000, Lubbock, Texas 79457. The reconsideration official will not have played any role in the original determination that the bidder did not make/document sufficient good faith efforts. 31.5.2 As part of this reconsideration, the bidder will have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The bidder will have the opportunity to meet in person with our reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. We will send the bidder a written decision on reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or make adequate good faith efforts to do so. The result of the reconsideration process is not administratively appealable to the Department of Transportation. 31.6 Good Faith Efforts when a DBE is replaced on a contract 31.6.1 City of Lubbock will require a contractor to make good faith efforts to replace a DBE that is terminated or has otherwise failed to complete its work on a contract with another certified DBE, to the extent needed to meet the contract goal. The City will require the prime contractor to notify the DBE Liaison Officer (DBELO) immediately of the DBE's inability or unwillingness to perform and provide reasonable documentation. 31.6.2 In this situation, we will require the prime contractor to obtain our prior approval of the substitute DBE and to provide copies of new or amended subcontracts, or documentation of good faith efforts. If the contractor fails or refuses to comply in the time specified, our contracting office will issue an order stopping all or part of payment/work until satisfactory action has been taken. If the contractor still fails to comply, the contracting officer may issue a termination for default proceeding. 31.7 Certification 31.7.1 The DEBLO will submit any request for certification and/or information regarding certification to TxDOT. TxDOT serves as the regional Unified Certification Program Administrator for Lubbock. For information about the certification process or to apply for certification, firms should contact: Karen Williams, Deputy Director — Administration, Lubbock Preston Smith International Airport, Rt. 3 Box 389, Lubbock, Texas 79403, (806) 775-3127, Kwilliamsgmylubbock.us. 31.8 Certification Appeals 31.8.1 Any firm or complainant may appeal the City's decision in a certification matter to DOT. Such appeals may be sent to: Department of Transportation Office of Civil Rights Certification Appeals Branch, 400 7th St., SW, Room 2104, Washington, DC 20590. 31.8.2 The City will promptly implement any DOT certification appeal decision affecting the eligibility of DBEs for all DOT -assisted contracting (e.g., certify a firm if DOT has determined that our denial of its application was erroneous). 31.9 "Recertifications" 31.9.1 The City will review the eligibility of DBEs that the City might have certified under former part 23, to make sure that they meet the standards of Subpart D of part 26. In order to comply with requirements of re -certification each currently certified DBE the airport works with will be required to comply with the requirements of the UCP. For firms that the City has certified or reviewed and found eligible under part 26, the City will review their eligibility every five years following the date of their certification in accordance with UCP rules and regulations. 3 1. 10 Bidders List 31.10.1The City of Lubbock will create a bidders list, consisting of information about all DBE and non -DBE firms that bid or quote on DOT -assisted contracts. The purpose of this requirement is to allow use of the bidder's list approach to calculating overall goals. The bidders list will include the name, address, DBE/non-DBE status, age, and annual gross receipts of firms. 31.10.2The City will collect this information in the following ways: a notice in all solicitations and direct request to firms quoting on subcontracts to report information directly to the DBELO. The City of Lubbock will work closely with all prime bidders in order to collect necessary information of all firms who quote to them on contracts. 31.11 Monitoring Payments to DBEs 31.11.1 The City will require prime contractors to maintain records and documents of payments to DBEs for three years following the performance of the contract. These records will be made available for inspection upon request by any authorized representative of the City of Lubbock or DOT. This reporting requirement also extends to any certified DBE subcontractor. 31.11.2The City will keep a running tally of actual payments to DBE firms for work committed to them at the time of contract award. 31.11.3The City will perform interim audits of contract payments to DBEs. The audit will review payments to DBE subcontractors to ensure that the actual amount paid to DBE subcontractors equals or exceeds the dollar amounts stated in the schedule of DBE participation. 32 VETERAN'S PREFERENCE 32.1 The City shall include in all contracts for work on any project funded under the grant agreement which involve labor, such provisions as are necessary to insure that, in the employment of labor (except in executive, administrative, and supervisory positions), preference shall be given to Veterans of the Vietnam era and disabled veterans as defined in Section 47112 of Title 49, United States Code. However, this preference shall apply only where the individuals are available and qualified to perform the work to which the employment relates. 33 CONFIDENTIALITY 33.1 The City will safeguard from disclosure to third parties information that may reasonably be regarded as confidential business information, consistent with Federal, state, and local law. The City of Lubbock will maintain efforts to be consistent with the law as set forth in: the Freedom of Information Act under USC: Title 5. The relevant text is found in § 552(b)(2) and (4). The City of Lubbock will interpret these parts as policy to refuse the release of and access to, any information deemed to be related solely to the internal personnel rules and practices of an agency; or as trade secrets and commercial or financial information obtained from a person and privileged or confidential. 33.2 Further, in compliance with USC: Title 18 § 1905 concerning the disclosure of confidential information: The City of Lubbock will not publish, divulge, disclose or make known in any manner or to any extent not authorized by law any information coming to us in the course of employment or official duties or by reason of any examination or investigation made by, or return, report or record made to or filed with the City of Lubbock, which information concerns or relates to the trade secrets, processes, operations, style of work, or apparatus, or to the identity, confidential statistical data, amount or source of any income, profits, losses, or expenditures of any person, firm, partnership, corporation, or association; or permits any income return or copy thereof or any book containing any abstract or particulars thereof to be seen or examined by any person except as provided by law. 33.3 Notwithstanding any contrary provisions of state or local law, we will not release personal financial information submitted in response to the personal net worth requirement to a third party (other than DOT) without the written consent of the submitter. 34 NON DISCRIMINATION CLAUSE 34.1 The contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy, as the recipient deems appropriate. 35 PROMPT PAYMENT 35.1 The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 30 days from the receipt of each payment the prime contractor receives from City of Lubbock. The prime contractor agrees further to return retainage payments to each subcontractor within 30 days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the City of Lubbock. This clause applies to both DBE and non -DBE subcontractors. The City of Lubbock will require that all contractors comply with the Texas Government Code 2251.022. Chapter 2251 of the Texas Government Code generally defines past due dates and provides for payments for goods and services to vendors, general contractors, and subcontractors. Failure to comply with the provisions of Texas Government Code Chapter 2251 include the right to charge interest on overdue accounts and right to collect attorney's fees in the event of formal administrative or judicial action to collect an invoice payment or interest due. A copy of Texas Government Code 2251.022 is attached as Attachment 8 in the Airport's Disadvantaged Business Enterprise Plan. 36 MONITORING AND ENFORCEMENT MECHANISMS 36.1 The City will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules) provided in 26.109. The City also will consider similar action under our own legal authorities, including responsibility determinations in future contracts. 36.2 The City of Lubbock WILL REQUIRE CERTIFICATION that work contracted with a DBE is actually performed by the DBE. We may follow up this certification by conducting on -site evaluations to monitor the performance obligated in the contract. 36.3 In the event of non-compliance with the DBE regulation by any participant in our procurement activities, the City of Lubbock shall be entitled to pursue any and all remedies allowed by the laws of the State of Texas and the Federal Government. Such remedies may include, but not necessarily be limited to, the following: a. Civil action, in a court appropriate jurisdiction, for breach of the contract. Such damages may be set forth in the contract as predetermined damages, consequential damages arising out of the breach and/or specific performance. b. Criminal prosecution may result from the commission of fraud or other criminal activity on the part of a party to the contract. In the event that a crime is perceived to have occurred, the city may refer the case to the appropriate law enforcement or prosecutorial authority for further action. In such event the city anticipates cooperating with such agency in the investigation and prosecution of a criminal case 37 BREACH OF CONTRACT TERMS 37.1 Any violation or breach of terms of this contract on the part of the contractor or their subcontractors may result in the suspension or termination of this contract or such other action that may be necessary to enforce the rights of the parties of this agreement. The duties and obligations imposed by the Contract Documents and the rights and remedies available thereunder shall be in addition to and not a limitation of any duties, obligations, rights and remedies otherwise imposed or available by law. 38 OUALIFICATIONS OF BIDDERS 38.1 The bidder may be required before the award of any contract to show to the complete satisfaction of the City of Lubbock that it has the necessary facilities, ability, and financial resources to provide the service specified therein in a satisfactory manner. The bidder may also be required to give a past history and references in order to satisfy the City of Lubbock about the bidder's qualifications. The City of Lubbock may make reasonable investigations deemed necessary and proper to determine the ability of the bidder to perform the work, and the bidder shall furnish to the City of Lubbock all information for this purpose that may be requested. The bidder's bid may be deemed not to meet specifications or the bid maybe rejected if the evidence submitted by, or investigation of, the bidder fails to satisfy the City of Lubbock that the bidder is properly qualified to carry out the obligations of the contract and to complete the work described therein. Evaluation of the bidder's qualifications shall include: (a) The ability, capacity, skill, and financial resources to perform the work or provide the service required. (b) The ability of the bidder to perform the work or provide the service promptly or within the time specified, without delay or interference. (c) The character, integrity, reputation, judgment, experience, and efficiency of the bidder. (c) The quality of performance of previous contracts or services. (d) The safety record of the Contractor and proposed Sub -Contractors 38.2 Before contract award, the recommended contractor for this project may be required to show that he has experience with similar projects that require the Contractor to plan his work efforts and equipment needs with City of Lubbock specifications in mind. Demonstration of experience shall include a complete list of ALL similar municipal and similar non -municipal current and completed projects for the past three (3) years for review. This list shall include the names of supervisors and type of equipment used to perform work on these projects. In addition, the Contractor may be required to provide the name(s) of supervisor(s) that will be used to perform work on this project in compliance with City of Lubbock specifications herein. 39 PLANS FOR THE CONTRACTOR 39.1 The contractor will, upon written request, be furnished up to five sets of plans and specifications and related contract documents for use during construction. Plans and specifications for use during construction will only be furnished directly to the Contractor. The Contractor shall then distribute copies of plans and specifications to suppliers, subcontractors or others, as required for proper prosecution of the work contemplated by the Contractor. 40 ANTI -LOBBYING PROVISION 40.1 DURING THE PERIOD BETWEEN THE BID CLOSE DATE AND THE CONTRACT AWARD, BIDDERS, INCLUDING THEIR AGENTS AND REPRESENTATIVES, SHALL NOT DIRECTLY DISCUSS OR PROMOTE THEIR BID WITH ANY MEMBER OF THE LUBBOCK CITY COUNCIL OR CITY STAFF EXCEPT IN THE COURSE OF CITY -SPONSORED INQUIRIES, BRIEFINGS, INTERVIEWS, OR PRESENTATIONS, UNLESS REQUESTED BY THE CITY. 40.2 This provision is not meant to preclude bidders from discussing other matters with City Council members or City staff. This policy is intended to create a level playing field for all potential bidders, assure that contract decisions are made in public, and to protect the integrity of the bid process. Violation of this provision may result in rejection of the bidder's bid. 41 PREVAILING WAGE RATES 41.1 Bidders are required to comply with Texas Government Code, Chapter 2258, Prevailing Wage Rates, with respect to the payment of prevailing wage rates for the construction of a public work, including a building, highway, road, excavation, and repair work or other project development or improvement, paid for in whole or in part from public funds, without regard to whether the work is done under public supervision or direction. A worker is employed on a public work if the worker is employed by the contractor or any subcontractor in the execution of the contract for the project 41.2 A worker employed on a public work by or on behalf of the City of Lubbock shall be paid not less than the general prevailing rate of per diem wages for the work of a similar character in the locality in which the work is performed, and not less than the general prevailing rate of per diem wages for legal holiday and overtime work. 41.3 The State of Texas has adopted the Federal Davis -Bacon wage rates for use in Texas pursuant to and in accordance with the Texas Government Code, Section 2258.022. Bidders may access the U. S. Department of Labor web site at the following web address to obtain the rates to be used in Lubbock County: http://www.gpo.gov/davisbacon/allstates.html 41.4 It shall be the responsibility of the successful bidder to obtain the proper wage rates from the web site for the type of work defined in the bid specifications. 41.5 A contractor or subcontractor who violates Texas Government Code Section 2258.023 shall pay to the City of Lubbock $60 for each worker employed for each calendar day or part of the day that the worker is paid less than the wage rates stipulated in the contract. 42 PROTEST 42.1 All protests regarding the ITB process must be submitted in writing to the City Director of Purchasing and Contract Management within 5 working days after the protesting party knows of the occurrence of the action which is protested relating to advertising of notices deadlines, proposal opening and all other related procedures under the Local Government Code, as well as any protest relating to alleged improprieties with the ITB process. This limitation does not include protests relating to staff recommendations as to award of contract. Protests relating to staff recommendations may be directed to the City Manager. All staff recommendations will be made available for public review prior to consideration by the City Council as allowed by law. 42.2 FAILURE TO PROTEST WITHIN THE TIME ALLOTTED SHALL CONSTITUTE A WAIVER OF ANY PROTEST. BID SUBMITTAL FORM Page Intentionally Left Blank BID SUBMITTAL FORM LUMP SUM PRICE BID CONTRACT DATE: / — q - 23 PROJECT NUMBER: ITB 23-16922-TF LBB Warehouse 720 Roof Replacement Bid of cy! AAZ- 1& l ,, Js (WS` C(I& ^y (hereinafter called Bidder) To the Honorable Mayor and City Council City of Lubbock, Texas (hereinafter called Owner) Ladies and Gentlemen: The Bidder, in compliance with your Invitation to Bid for the construction of the referenced project, having carefully examined the plans, specifications, instructions to bidders, notice to bidders and all other related contract documents and the site of the intended work, and being familiar with all of the conditions surrounding the construction of the intended project including the availability of materials and labor, hereby intends to furnish all labor, materials, and supplies; and to construct the project in accordance with the plans, specifications and contract documents, within the time set forth therein and at the price stated. The bidder binds himself on acceptance of his bid to execute a contract and any required bonds, according to the accompanying forms, for performing and completing the said work within the time stated and for the prices stated. Bidder hereby agrees to commence the work on the above project on a date to be specified in a written "Notice to Proceed" of the Owner and to substantially complete the project within 30 consecutive calendar days with final completion of the project within 35 consecutive calendar days as stipulated in the specification and other contract documents. Bidder hereby further agrees to pay to Owner as liquidated damages in the sum of $25 for each consecutive calendar day after substantial completion and liquidated damages in the sum of $25 for each consecutive calendar day after final completion set forth herein above for completion of this project, all as more fully set forth in the General Conditions of the Agreement. Bidder understands and agrees that this bid submittal shall be completed and submitted in accordance with instruction number 29 of the General Instructions to Bidders. Bidder understands that the Owner reserves the right to reject any or all bids and to waive any formality in the bidding. The Bidder agrees that this bid shall be good and may not be withdrawn for a period of 60 calendar days after the scheduled closing time for receiving bids. The undersigned Bidder hereby declares that he has visited the site of the work and has carefully examined the plans, specifications and contract documents pertaining to the work covered by this bid, and he further agrees to commence work on or before the date specified in the written notice to proceed, and to substantially complete the work on which he has bid; as provided in the contract documents. Bidders are required, whether or not a payment or performance bond is required, to submit a cashier's check or certified check issued by a bank satisfactory to the City of Lubbock, or a bid bond from a reliable surety company, payable without recourse to the order of the City of Lubbock in an amount not less than five percent (5%) of the total amount of the bid submitted as a guarantee that bidder will enter into a contract, obtain all required insurance policies, and execute all necessary bonds (if required) within 10 business days after notice of award of the contract to him. City of Lubbock, TX Airport ITB 23-16922-TF LBB Warehouse 720 Roof Replacement GKS Commercial, Inc. DBA Forster Construction of Lubbock, TX Items Base Bid QTY Unit Extended +/- U/M Price Cost #1-1 Base Bid Item l: LBB Warehouse 720 Roof 1 LS $165,000.00 $165,000.00 Replacement Enclosed with this bid is a Cashier's Check or Certified Check for Dollars ($ or a Bid Bond in the sum of U1� Dollars ' L ), which it is agreed shall be collected and retained by the Owner as liquidated damages in the event the bid is accepted by the Owner and the undersigned fails to execute the necessary contract documents, insurance certificates, and the required bond (if any) with the Owner within 10 business days after the date of receipt of written notification of acceptance of said bid; otherwise, said check or bond shall be returned to the undersigned upon demand. Bidder understands and agrees that the contract to be executed by Bidder shall be bound and include all contract documents made available to him for his inspection in accordance with the Notice to Bidders. I Tlata• - I(- z-� Pursuant to Texas Local Government Code 252.043(g), a competitive sealed bid that has been opened may not be changed for the purpose of correcting an error in the bid price. THEREFORE, ANY CORRECTIONS TO THE BID PRICE MUST BE MADE ON THE BID SUBMITTAL FORM PRIOR TO BID OPENING. (Seal if Bidder is a Corporation) ATT T: c ary Bidder acknowledges receipt of the following addenda: Addenda No. Date 14- Addenda No. Date Addenda No. Date Addenda No. Date 11 Autho 'zed Si ature (Printed or Typed Name) Y(ySl.V ((ylS��c�uM Company A�d�d�r�esssst % G , lhy City, + County ek- ) -:7)5� State so(D Zip Code Telephone: Fax: S66 - 7k3-�l FEDERAL TAX ID or SOCIAL SECURITY No. ZZ_ 3 2,W EMAIL: 1 C 23 MIWBE Woman Black Amencan Native American Firm: I I i ispamc scan aci is Other (Specify) American American INSURANCE REQUIREMENTS I, the undersigned Bidder certify that the insurance requirements contained in this bid document have been reviewed by me and my Insurance Agent/Broker. If I am awarded this contract by the City of Lubbock, I will be able to, within ten (10) business days after being notified of such award by the City of Lubbock, furnish a valid insurance certificate to the City meeting all of the requirements defined in this bid. If the time requirement specified above is not met, the City has the right to reject this proposal and award the contract to another contractor. If you have any questions concerning these requirements, please contact the Director of Purchasing & Contract Management for the City of Lubbock at (806) 775-2572. SUSPENSION AND DEBARMENT CERTIFICATION Federal Law (A-102 Common Rule and OMB Circular A-110) prohibits non -Federal entities from contracting with or making sub -awards under covered transactions to parties that are suspended or debarred or whose principals are suspended or debarred. Covered transactions include procurement contracts for goods or services equal to or in excess of $25,000 and all non -procurement transactions (e.g., sub -awards to sub - recipients). Contractors receiving individual awards of $25,000 or more and all sub -recipients must certify that their organization and its principals are not suspended or debarred by a Federal agency. Before an award of $25,000 or more can be made to your firm, you must certify that your organization and its principals are not suspended or debarred by a Federal agency. I, the undersigned agent for the firm named below, certify that neither this firm nor its principals are suspended or debarred by a Federal agency. TEXAS GOVERNMENT CODE SECTION 2252.152 The undersigned representative of the undersigned company or business, being an adult over the age of eighteen (18) years of age, pursuant to Texas Government Code, Chapter 2252, Section 2252.152, certify that the company named above is not listed on the website of the Comptroller of the State of Texas concerning the listing of companies that are identified under Section 806.051, Section 807.051 or Section 2253.153. I further certify that should the above -named company enter into a contract that is on said listing of companies on the website of the Comptroller of the State of Texas, which do business with Iran, Sudan or any Foreign Terrorist Organization, I will immediately notify the City of Lubbock Purchasing and Contract Department. TEXAS GOVERNMENT CODE SECTION 2271.002 Company hereby certifies the following: 1. Company does not boycott Israel; and 2. Company will not boycott Israel during the term of the contract. The following definitions apply to this state statute: (1) 'Boycott Israel" means refusing to deal with, terminating business activities with, or otherwise taking any action that is intended to penalize, inflict economic harm on, or limit commercial relations specifically with Israel, or with a person or entity doing business in Israel or in an Israeli -controlled territory, but does not include an action made for ordinary business purposes; and (2) "Company" means an organization, association, corporation, partnership, joint venture, limited partnership, limited liability partnership, or limited liability company, including a wholly owned subsidiary, majority -owned subsidiary, parent company, or affiliate of those entities or business associations that exists to make a profit. This Certification is required from a Company if the Company has 10 or more full-time employees and the contract for goods or services (which includes contracts formed through purchase orders) has a value of $100,000 or more that is to be paid wholly or partly from public funds of the governmental entity. TEXAS GOVERNMENT CODE 2274 By entering into this Agreement, Contractor verifies that: (1) it does not, and will not for the duration of the contract, have a practice, policy, guidance, or directive that discriminates against a firearm entity or firearm trade association or (2) the verification required by Section 2274.002 of the Texas Government Code does not apply to the contract. If Contractor is a company with 10 or more full-time employees and if this Agreement has a value of at least $100,000 or more, Contractor verifies that, pursuant to Texas Government Code Chapter 2274, it does not have a practice, policy, guidance, or directive that discriminates against a firearm entity or firearm trade association; and will not discriminate during the term of the contract against a firearm entity or firearm trade association. Contractor represents and warrants that: (1) it does not, and will not for the duration of the contract, boycott energy companies or (2) the verification required by Section 2274.002 of the Texas Government Code does not apply to the contract. If Contractor is a company with 10 or more full-time employees and if this Agreement has a value of at least $100,000 or more, Contractor verifies that, pursuant to Texas Government Code Chapter 2274, it does not boycott energy companies; and will not boycott energy companies during the term of the Agreement. This verification is not required for an agreement where a governmental entity determines that these requirements are inconsistent with the governmental entity's constitutional or statutory duties related to the issuance, incurrence, or management of debt obligations or the deposit, custody, management, borrowing, or investment of funds. Agreement Example Review This sample Agreement has been reviewed and (d) is acceptable ( ) is acceptable as noted Contractor Acknowledgement In compliance with this solicitation, the undersigned bidder, having examined the bid documents, instructions to bidders, documents associated with the invitation to bid, and being familiar with the conditions to be met has reviewed the above information regarding: • Insurance Requirements • Suspension and Debarment Certification • Texas Government Code Section 2252.152 • Texas Government Code Section 2271.002 • Texas Government Code 2274 An individual authorized to bind the company must sign the following section. Failure to execute this portion may result in bid rejection. By signing below, the terms stated have been reviewed and approved. Company Name: Signed By: Print Name and Title: SC cd+ t/onn/L Date: Bid Bond Surety Department KNOW ALL MEN BY THESE PRESENTS, That we, GKS Commercial, Inc., as Principal, hereinafter called the Principal, and the SureTec Insurance Company, a Corporation created and existing under the laws of the State of Texas, whose principal office is in Houston, TX, as Surety, hereinafter called the Surety, are held and firmly bound unto the City of Lubbock, Texas, as Obligee, hereinafter called the Obligee, in the sum of Five Percent (5%) of the amount bid Dollars ($---------), for the payment of which sum, well and truly to be made, the said Principal and the said Surety, bind ourselves, our heirs, executors, administrators, successors and assigns, jointly and severally, firmly by these presents. Whereas, the Principal has submitted a bid for ITB 23—16922-TF LBB Warehouse 720 Roof Replacement NOW THEREFORE, if the Obligee shall accept the bid of the Principal and the Principal shall enter into a contract with the Obligee in accordance with the terms of such bid, and give such bond or bonds as may be specified in the bidding or contract documents with good and sufficient surety for the faithful performance of such contract and for the prompt payment of labor and material furnished in the prosecution thereof, or in the event of the failure of the Principal to enter such contract and give such bond or bonds, if the Principal shall pay to the Obligee the difference not to exceed the penalty hereof between the amount specified in said bid and such larger amount for which the Obligee may in good faith contract with another party to perform the work covered by said bid, then this obligation shall be null and void, otherwise to remain in full force and effect. Signed and sealed this 5th day of Janua , A.D. 20— Witness: GKS Commercial, Inc. _ (Principal) B y(SEAL) By: y Witness: SureTec Insurance Company By Tracy Tuc r, Attorney -in -Fact (SEAL) Form S-3266-4 Printed in U.S.A. 12-70 POA# 4221092 JOINT LIMITED POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS: That SureTec Insurance Company, a Corporation duly organized and existing under the laws of the State of Texas and having its principal office in the County of Harris, Texas and Markel Insurance Company (the "Company"), a corporation duly organized and existing under the laws of the state of Illinois, and having its principal administrative office In Glen Allen, Virginia, does by these presents make, constitute and appoint: Tracy Tucker, W. Lawrence Brown, Steven M. Tucker, Kevin J. Dunn, Tanner Langston, Bennett Brown Their true and lawful agent(s) and attorneys) -in -fact, each in their separate capacity if more than one is named above, to make, execute, seal and deliver for and on their own behalf, individually as a surety or jointly, as co -sureties, and as their act and deed any and all bonds and other undertaking in suretyship provided, however, that the penal sum of any one such instrument executed hereunder shall not exceed the sum of: Ten Million and 00/100 Dollars ($10,000,000.00) This Power of Attorney is granted and is signed and sealed under and by the authority of the following Resolutions adopted by the Board of Directors of SureTec Insurance Company and Markel Insurance Company: "RESOLVED, That the President, any Senior Vice President, Vice President, Assistant Vice President, Secretary, Assistant Secreta ry,Treasurer or Ass istantTreasurer and each of them hereby is authorized to execute powers of attorney, and such authority can be executed by use of facsimile signature, which may be attested or acknowledged by any officer or attorney, of the company, qualifying the attorney or attorneys named in the given power of attorney, to execute in behalf of, and acknowledge as the act and deed of the SureTec Insurance Company and Markel Insurance Company, as the case may be, all bond undertakings and contracts of suretyship, and to affix the corporate seal thereto." IN WITNESS WHEREOF, Markel Insurance Company and SureTec Insurance Company have caused their official seal to be hereunto affixed and these presents to be signed by their duly authorized officers on the 25th day of May , 2021 /` SureTec Insurance Company 6URAfVCR ``ssSVRgHC1,,�� ark Insurance mpany V�✓ X t1��4 O 9.. � / Wr ;b Y SEAL �y 1 G.�- "' S ' '� By: By: 7� j c .,q4,; �r?� ndey Jennir�g f Vice President Michael C. Keimig, Pres dent r � Y State of Texas County of Harris: On this 25th day of May , 2021 A. D., before me, a Notary Public ofthe State of Texas, in and for the County of Harris, duly commissioned and qualified, came THE ABOVE OFFICERS OF THE COMPANIES, to me personally known to be the individuals and officers described in, who executed the preceding instrument, and they d being by me duly sworn, disposed and said that they are the officers ofthe said companies aforesaid, and that the seals acknowledged the execution of same, an affixed to the proceeding instrument are the Corporate Seals of said Companies, and the said Corporate Seals and their signatures as officers were duty affixed and subscribed to the said instrument by the authority and direction ofthe said companies, and that Resolutions adopted by the Board of Directors of said Companies referred to in the preceding instrument is now in force. IN TESTIMONY WHEREOF, I have hereunto set my hand, and affixed my Official Seal atthe County of Harris, the day and year first above written. XENIA'CMAVEZ l Not2ty Public, State of Texas t +i •€ Notary ID# 12911765.9 !IF By: M CortilniisionExpires X is havez, Notary Public `SEPTEMBE4 10, 2024 y ommission expires 9/l0/2024 We, the undersigned Officers of SureTec Insurance Company and Markel Insurance Company do herby certify that the original POWER OF ATTORNEY of which the foregoing is a full, true and correct copy is still in full force and effect and has not been revoked. 93 IN WITNESS WHEREOF, we have hereunto set our hands, and affixed the Seals of said Companies, on the 5th day of January . �0 RrcBy Ma ellnsuranceCompany ndrew Marquis, AssistantSec i ry Any Instrument Issued inexcessof the penalty stated above is totally void and without anyvalidity. 4221092 For verification of the authority of this Power you may call (713)812-0800onany busiressday between 8:30 AM and 5,00 PM CST. Contractors Statement of Qualifications Individual contractors and joint ventures submitting a bid must complete the following evaluation information for the Project. Joint ventures shall be composed of not more than two firms and each firm must complete separate evaluations. Evaluation information must be submitted at time of bid submittal. Failure to submit the following Bidder Evaluation information may result in the OWNER considering the bid non -responsive and result in rejection of the bid by the OWNER. Bidders are to provide any additional information requested by the OWNER. In evaluating a firm's qualifications, the following major factors will be considered: A. FINANCIAL CAPABILITY: Ifl For this project, the CONTRACTOR'S financial capability to undertake the project will be determined by the CONTRACTOR'S ability to secure bonding satisfactory to the OWNER. Do the organization and key personnel have appropriate technical experience on similar projects'? C. SAFETY: Does the organization stress and support safety as an important function of the work process? D. QUALITY OF WORK: (1) Does the organization have a commitment to quality in every facet of their work - the process as well as the product? (2) Does the organization have a written quality philosophy and/or principles that exemplifies their work? If so, submit as Attachment "A". (3) Has this organization ever received an award or been recognized for doing "quality" work on a project? If so, give details under Attachment "A". E. CONFORMANCE TO CONTRACT DOCUMENTS: (1) Does the organization have a commitment and philosophy to construct projects as designed and as defined in the Contract Documents? The OWNER reserves the right to waive irregularities in determining the firm's qualifications and reserves the right to require the submission of additional information. The qualifications of a firm shall not deprive the OWNER of the right to accept a bid, which in its judgement is the lowest and best bid, to reject any and all bids, to waive irregularities in the bids, or to reject nonconforming, non- responsive, or conditional bids. In addition, the OWNER reserves the right to reject any bid where circumstances and developments have in the opinion of the OWNER changed the qualifications or responsibility of the firm. Material misstatements on the qualifications forms may be grounds for rejection of the firm's bid on this project. Any such misstatement, if discovered after award of the contract to such firm, may be grounds for immediate termination of the contract. Additionally, the firm will be liable to the OWNER for any additional costs or damages to the OWNER resulting from such misstatements, including costs and attorney's fees for collecting such costs and damages. Complete the following information for your organization: Contractor's General Information Organization Doing Business As K S C om m e_r6 Li Business Address of Principle Office g cG v 2 Aslj Ave, ( —iX -- M () Telephone Numbers Main Number $OCR - 1 q 14 — S(oc o Fax Number Web Site Address l U lj . OtrSter LrXI oct- c)n . C o0n Form of Business (Check One) If a Corporation Date of Incorporation A Corporation A Partnership An Individual 2CXD 2 State of Incorporation T�XQ S Chief Executive Officer's Name President's Name Vice President's Name(s) Secretary's Name ILY 1 Fo r s-fi e►� Treasurer's Name If a Partnership Date of Organization cct+ c:_ © State whether partnership is general or limited If an Individual Name Business Address Identifv all individuals not previously c organization Indicators of Organization Size Average Number of Current Full Time Q Average Estimate of Revenue for the Employees I Current Year 3� Z�' Contractor's Organizational Experience Organization Doing Business As 6KS LE) rn m rGl Business Address of Regional Office 6(o02 A—skk Ave. L-VL6Z-- _1X -12 Name of Regional Office Manager S C c)-[L+- L_ Telephone Numbers p(.p - --7q'- f _ 5CoC C Main Number Fax Number Web Site Address UJUJtU • ►-CA61 Organization History List of names that this organization currently, has or anticipates operating under over the history of the organization, including the names of related companies presently doing business: Names of Organization From Date To Date Or Co u c�-i cam- Z 2 20 2 List of companies, firms or organizations that own any part of the organization. Name of companies, firms or organization Percent Ownership Construction Experience Years experience in projects similar to the proposed project: As a General Contractor 1 2-1 1 As a Joint Venture Partner Has this or a predecessor organization ever defaulted on a project or failed to complete any work awarded to it? n D If yes provide full details in a separate attachment. See attachment No. Has this or a predecessor organization been released from a bid or proposal in the past ten years? n O If yes provide full details in a separate attachment. See attachment No. Has this or a predecessor organization ever been disqualification as a bidder or proposer by any local, state, or federal agency within the last five ears? O If yes provide full details in a separate attachment. See attachment No. Is this organization or your proposed surety currently in any litigation or contemplating litigation? YIO If yes provide full details in a separate attachment. See attachment No. Has this or a predecessor organization ever refused to construct or refused to provide materials defined in the contract documents? Q If yes provide full details in a separate attachment. See attachment No. Contractor's Proposed Key Personnel Organization Doing Business As Proposed Project Organization Provide a brief description of the managerial structure of the organization and illustrate with an organizational cart. Include the title and names of key personnel. Include this chart at an attachment to this description. See attachment No. .�.� � +-�, -:-gin e ex �- � sarn t p�. rce►'�-I--u9 � a� c�wne►��h.►P. f A-rnc! ✓P a_ _NS+-✓ Provide a brief description of the managerial structure proposed for this project and illustrate with an organizational cart. Include the title and names of proposed key personnel and alternates. Include this chart at an attachment to this description. See attachment No. S&EA+ L� � '�S �4 Vl e Corn me r ca a- (� av e✓s�� Doti n n'/ Cc�r✓ -� e Slt pe v� s oz . 5��+� covlL [a r✓ G✓P vV Experience of Kev Personnel Provide information on the key personnel proposed for this project that will provide the following key functions. Provide information for candidates for each of these positions on the pages for each of these key personnel. Also provide biographical information for each primary and alternate candidate as an attachment. The biographical information must include the following as a minimum: technical experience, managerial experience, education and formal training, work history which describes project experience, including the roles and responsibilities for each assignment, and primary language. Additional information highlighting experience which makes them the best candidate for the assignment should also be included. Role Primary Candidate Alternate Candidate Project Manager C-10c1 (a�k— V—Yl e ✓S+ Project Superintendent J vhnn r < d� VC , Project Safety Officer Quality Control Manager o�� ��✓ If key personnel are to fulfill more than one of the roles listed above, provide a written narrative describing how much time will be devoted to each function, their qualifications to fulfill each role and the percentage of their time that will be devoted to each role. If the individual is not to be devoted solely to this project, indicate how time it to be divided between this project and their other assignments. Proposed Project Managers Organization Doing Business As Primary Candidate Name of Individual K �o rn rn Years of Experience as Project Manager 2-1 Years of Experience with this organization 2-1 Number of similar projects as Project Manager 10 Number of similar projects in other positions Q Current Project Assignments Name of Assignment Percent of Time Used for this Project Estimated Project Completion Date C 1 a C c� z44::'r-i ? ZOZ Reference Contact Information(listing names indicates ap roval to contactingthe names individuals as a reference Name 2Y e 1'Y1o/ Name e-vT rn -3- Title/ Position 6vi Oe Y4 Title/ Position- -Organization A S Organization i Telephone LC- 2`i ► - `i -� Telephone �_� �-F� E-mail hill®has ha.-nrneYUot{ c-brr, E-mail � QD26LC r�Vi� cts.re} Project -) CrOi f1 Project CD4; y Candidate role on Pro ect Alternate Candidate Name of Individual P�oj>°C �'? �� e �' Candidates role y7� �� on Project i< J C �✓S� Years of Experience as Project Manager Z Years of Experience with this organization 2- Number of similar projects as Project Manager Number of similar projects in other positions 8 Current Project Assignments Name of Assignment Percent of Time Used for this Project Estimated Project Completion Date Q Pace{ 20Z Name _P 12 rn'i ✓19 Name Jew m 1 Title/ Position Or anization P r- {= I erri i 'In { n vnS-6-ner-& Title/ Position Or anization C�w n Telephone E-mail Project ' SOCP - 54 S-Z pv S C�Avld 4em'j49lrnV. ca`'n 1-o0-F S Telephone E-mail Project (p- 2 H 1 - Q 11aSUocorr�mer�tglc Candidate role on Project I Jr-c+-r'an`LO1P'' Candidate role on Project Qv'c�yf CA- mQ_► O_OgA_, Proposed Project Superintendent Organization Doing Business As S �� rn �CY U Qd Primary Candidate Name of Individual Sa h ►-, n Ca K- ►,— Years of Experience as Project Superintendent 15—] Years of Experience with this organization ;-7 c0 Number of similar projects as Superintendent Number of similar projects in other positions Current Project Assignments Name of Assignment Percent of Time Used for Estimated Project this Project Completion Date 74p J I Reference Contact Information(listing names indicates ap roval to contacting the names individuals as a reference Name e Name ey} Title/ Position Title/ Position C-- Or anization MSM Organization -Telephone - y _ Telephone .-7 Q p E-mail hill Y ' �. (pm E-mail Project Project Candidate role on Project SuPier�rrknde, Candidate role on S�,r1�nC�Pn�- Pro i ect Alteniate Candidate Name of Individual Years of Experience as Project Superintendent I 1p Years of Experience with this organization Number of similar projects as Superintendent a Number of similar projects in other positions 8 Current Project Assignments Name of Assignment Percent of Time Used for Estimated Project �Cl F tct C this Project �7 Completion Date Y1 I Name Title/ Position E/-+ -}- ,�� i, 4e -+— Name Title/ Position Organization C.1 Gj Organization Telephone E-mail v Lo - 1 ,5 p _ O&j '� Telephone Project e v ©m aCrLl . c p E-mail Candidate role on Project Sk(�r� v�e�.��,'TI Project Doi Candidate role on Project Proposed Project Safety Officer Organization Doing Business As Name of Individual S me YU Years of Experience as Project Safety Officer Z_ Years of Experience with this organization Z 11 Number of similar projects as Safety Officer Number of similar projects in other positions (� Current Project Assignments Name of Assignment Percent of Time Used for this Project Estimated Project Completion Date a Ae 7:1el c-2-, Sa Reference Contact Information(listing names indicates ap roval to contactingthe names individuals as a reference Name Y L Name ✓f Title/ Position Title/ Position Organization Organization Telephone Telephone E-mail e L� E-mail Project Project Candidate role on Project Alternate Catididate Name of Individual Candidate role on Project i Years of Experience as Project Safety Officer Z Years of Experience with this organization Z� Number of similar projects as Safety Officer S Number of similar projects in other positions Current Project Assignments Name of Assignment Percent of Time Used for this Project Estimated Project Completion Date S la c' e .� z -f— I'Y tTi�'It'_ Name Title/ Position Organization Organization Telephone E-mail E-mail Project `P Q C Project Candidate role on Project Candidate role on Project Proposed Project Quality Control Manager Organization Doing Business As Primary Candidate Name of Individual Years of Experience as Quality Control Manager 2-1 Years of Experience with this organization 2 Number of similar projects as Quality Manager / Number of similar projects in other positions / 0 Current Project Assignments Name of Assignment Percent of Time Used for this Project Estimated Project Completion Date Reference Contact Information(listing names indicates ap roval to contactingthe names individuals as a reference Name Name Title/ Position Title/ Position Organization Organization Telephone Se7 P v1 d U__S Telephone Vj E-mail E-mail Project Project Candidate role on Project Name of Individual Candidate role on Project Years of Experience as Quality Control Manager Z Years of Experience with this organization-" Number of similar projects as Quality Manager S— Number of similar projects in other positions Current Project Assignments Name of Assignment Percent of Time Used for this Project Estimated Project Completion Date Name y ' �Mllmi NMI Name Title/ Position Title/ Position Or anization Organization Telephone ✓e' Lij' u f Telephone ?le e L E-mail E-mail Project Project Candidate role on Project Candidate role on Project Contractor's Project Experience and Resources Organization Doing Business As may) Provide a list of major projects that are currently underway, or have been completed within the last ten years on Attachment A Provide a description of your organizations approach to completing this project to provide best value for the Owner. Including a description of your approach in the following areas: 1. Contract administration 2. Management of subcontractor and suppliers 3. Time management 4. Cost control 5. Quality management 6. Project site safety 7. Managing changes to the project 8. Managing equipment 9. Meeting HUB / MWBE Participation Goal Provide a list of major equipment ro osed for use on this project. Attach Additional Information if necessary Equipment Item r� Primary Use on Project Own Will Buy Lease Y What work will the organization complete using its own resources? 11 !aZ9 621::1 What work does the organization propose to subcontract on thisproject? 12012e, n% Contractor's Subcontractors and Vendors Organization Doing Business As Project• • Provide a list of subcontractors that will provide more than 10 percent of the work (based on contract amounts Name Work to be Provided Est. Percent of Contract HUB/MWBE Firm [ex ovide information on the proposed key personnel, project experience and a description of past relationship and work erience for each subcontractor listed above us'n the Project Information Forms. Equipment Vendol's Provide a list of major a ui went to osed for use on this ro'ect. Attach Additional Information if necessary Vendor Name Equipment / Material Provided Furnish Only Furnish and Install HUB/M WBE Firm III Current Projects and Project Completed within the last 10 Years Attachment A Project Owner i�%O �� Project Name EX ` the Bad General Description of Project: �� Project Cost / //� Date Project Completed Key Project Personnel Project Manager Project Superintendent Safety Officer Quality Control Name Manager Reference Contact Information (listing names indicates approval to contacting the names individuals as a reference) Name Title/ Position Organization Telephone E-mail Owner Designer Construction Manager Project Owner 777;; ` ��l L'�.6e �C11a'd Project NameGeneral Description of Project: Project Cost �/�fS� � Date Project Completed �� u 20 Key Project Personnel Project Manager Project Superintendent Safety Officer Quality Control Name Manager GmAc'_ cm yrI Sc/-- - Reference Contact Information (listing names indicates approval to contacting the names individuals as a reference) ;Name Title/ Position Organization Telephone E-mail Owner� Designer o� Construction Manager Project Owner �p�SQ /S ZD Project Name General Description of Project: 6e/j :L Project Cost Date Project Completed /gbh � �d ZZ� Key Project Personnel Project Manager Project Superintendent Safety Officer Quality Control Name Manager A Reference Contact Information (listing names indicates approval to contacting the names individuals as a reference) Name Title/ Position Organization Telephone E-mail Owner Designer Construction Manager 6 14eZ f f r��d 7� �/3Z- !oG`/— zZg rdd raid 7��i'bfrri� /u �l toen 'ro'ect Information Project Owner (�� j Q �� Project Name General Description of Project Budget History Schedule Performance Amount % of Bid Amount Bid /67E7� Notice to Proceed Change Orders Contract Substantial Completion Date at Notice to Proceed Owner Enhancements (p /s Contract Final Completion Date at Notice to Proceed Unforeseen Conditions Change Order Authorized Substantial Completion Date Design Issues Change Order Authorized Final Completion Date Total p G Actual / Estimated Substantial Completion Date Final Cost Actual / Estimated Final Completion Date ProjectKey • Project Manager Project Sup Safety Officer Name 117' L"dOK— 12i7 Percentage of Time Devoted to the Project Proposed for this Project _0 L, to 5-C) ?e" 5 �U ✓ P� Did Individual Start and Complete the Project'? 6,,e P S If not, who started or completed the project in their place. Reason for change Name Owner Designer Construction M h'7d 7 t /--,/i Title/ Position eC-/[ C Number of Issues Total Amount involved in Resolved Resolved Issues C� Organization Telephone Date Attachment B Days t 1 Z � a Z Quality Control Manager y� s �..5 E-mail eview Boards Number of Issues Total Amount involved in Pending Resolved Issues City of Lubbock, TX Purchasing and Contract Management Safety Record Questionnaire The City of Lubbock City Council desires to avail itself of the benefits of Section 252.0435 of the Local Government Code, and consider the safety records of potential contractors prior to awarding proposals on City contracts. Pursuant to Section 252.0435 of the Local Government Code, City of Lubbock has adopted the following written definition and criteria for accurately determining the safety record of a proposer prior to awarding proposals on City contracts. The definition and criteria for determining the safety record of a proposer for this consideration shall be: The City of Lubbock shall consider the safety record of the offerors in determining the responsibility thereof. The City may consider any incidence involving worker safety or safety of the citizens of the City of Lubbock, be it related or caused by environmental, mechanical, operational, supervision or any other cause or factor. Specifically, the City may consider, among other things: a. Complaints to, or final orders entered by, the Occupational Safety and Health Review Commission (OSHRC), against the proposer for violations of OSHA regulations within the past three (3) years. b. Citations (as defined below) from an Environmental Protection Agency (as defined below) for violations within the past five (5) years. Environmental Protection Agencies include, but are not necessarily limited to, the U.S. Army Corps of Engineers (USACOE), the U.S. Fish and Wildlife Service (USFWS), the Environmental Protection Agency (EPA), the Texas Commission on Environmental Quality (TCEQ), the Texas Natural Resource Conservation Commission (TNRCC) (predecessor to the TCEQ), the Texas Department of State Health Services (DSHS), the Texas Parks and Wildlife Department (TPWD), the Structural Pest Control Board (SPCB), agencies of local governments responsible for enforcing environmental protection or worker safety related laws or regulations, and similar regulatory agencies of other states of the United States. Citations include notices of violation, notices of enforcement, suspension/revocations of state or federal licenses or registrations, fines assessed, pending criminal complaints, indictments, or convictions, administrative orders, draft orders, final orders, and judicial final judgments. C. Convictions of a criminal offense within the past ten (10) years, which resulted in bodily harm or death. d. Any other safety related matter deemed by the City Council to be material in determining the responsibility of the offeror and his or her ability to perform the services or goods required by the proposal documents in a safe environment, both for the workers and other employees of offeror and the citizens of the City of Lubbock. In order to obtain proper information from offerors so that City of Lubbock may consider the safety records of potential contractors prior to awarding proposals on City contracts, City of Lubbock requires that offerors answer the following four (4) questions and submit them with their proposals: QUESTION ONE Has the offeror, or the firm., corporation, partnership, or institution represented by the offeror, or anyone acting for such firm, corporation, partnership or institution, received citations for violations of OSHA within the past three (3) years? YES NO If the offeror has indicated YES for question number one above, the offeror must provide to City of Lubbock, with its proposal submission, the following information with respect to each such citation: Date of offense, location of establishment inspected, category of offense, final disposition of offense, if any, and penalty assessed. QUESTION TWO Has the offeror, or the firm, corporation, partnership, or institution represented by the offeror, or anyone acting for such firm, corporation, partnership or institution, received citations for violations of environmental protection laws or regulations, of any kind or type, within the past five years? Citations include notice of violation, notice of enforcement, suspension/revocations of state or federal licenses, or registrations, fines assessed, pending criminal complaints, indictments, or convictions, administrative orders, draft orders, final orders, and judicial final judgments. YES NO If the offeror has indicated YES for question number two above, the offeror must provide to City of Lubbock, with its proposal submission, the following information with respect to each such conviction: Date of offense or occurrence, location where offense occurred, type of offense, final disposition of offense, if any, and penalty assessed. QUESTION THREE Has the offeror, or the firm, corporation, partnership, or institution represented by offeror, or anyone acting for such firm, corporation, partnership, or institution, ever been convicted, within the past ten (10) years, of a criminal offense which resulted in serious bodily injury or death?. / YES NO If the offeror has indicated YES for question number three above, the offeror must provide to City of Lubbock, with its proposal submission, the following information with respect to each such conviction: Date of offense, location where offense occurred, type of offense, final disposition of offense, in any, and penalty assessed. QUESTION FOUR Provide your co T pany's Experience Modification Rate and supporting information: ACKNOWLEDGEMENT THE STATE OF TEXAS COUNTY OF LUBBOCK I certify that I have made no willful misrepresentations in this Questionnaire nor have I withheld information in my statements and answers to questions. I am aware that the information given by me in this questionno sal to be will be investigated, with my full permission, and that any misrepresentations or omissions may cause my p p rejected. 5�'� 6J1, Signature Title CERTIFICATION REGARDING EMPLOYEE INFORMATION REPORT EEO-1 (Standard Form 100) Section 60-1.7 (b) of the Regulations of the Secretary of Labor requires each bidder or prospective prime contractor and proposed subcontractor, where appropriate, to state in the bid or at the outset of negotiations for the contract whether it has participated in any previous contract subject to the equal opportunity clause; and if so, whether it has filed with the Joint Reporting Committee, the Director, an agency, or the former President's Committee on Equal Employment Opportunity all reports due under the applicable filing requirements. In any case in which a bidder or prospective prime contractor or proposed subcontractor which participated in a previous contract subject to Executive Order 10925, 11114, or 11246 has not filed a report due under the applicable filing documents, no contract or subcontract shall be awarded unless such contractor submits a report covering the delinquent period or such other period specified by the FAA or the Director, OFCCP. Bid Form. To effectuate the foregoing requirements, the sponsor is required to include in the bid form a statement substantially as follows: The bidder shall complete the following sZ atement by checking the appropriate space. The bidder (proposer) has _ has not !participated in a previous contract subject to the equal opportunity clause prescribed by Executive Order 10925, or Executive Order 11114, or Executive Order 11246. The bidder has _ has not /submitted all compliance reports in connection with any such contract due under the applicable filing requirements; and that representations indicating submission of required compliance reports signed by proposed subcontractors will be obtained prior to award of subcontracts. If the bidder has participated in a previous contract subject to the equal opportunity clause and has not submitted compliance reports due under applicable filing requirements, the Bidder shall submit a compliance report on Standard Form 100, "Employee Information Report EEO-l" prior to the award of contract. Standard Form 100 is normally furnished contractors annually, based on a mailing list currently maintained by the Joint Reporting Committee. In the event a contractor has not received the form, he may obtain it by writing to the following address: Joint Reporting Committee 1800 G. Street Washington, DC 20506 37 Page Intentionally Left Blank BUY AMERICAN PREFERENCES (a) The Aviation Safety and Capacity Expansion Act of 1990 provides that preference be given to steel and manufactured products produced in the United States when funds are expended pursuant to a grant issued under the Airport Improvement Program. The following terms apply: 1. Steel and manufactured products. As used in this clause, steel and manufactured products include (1) steel produced in the United States or (2) a manufactured product produced in the United States, if the cost of its components mined, produced or manufactured in the United States exceeds 60 percent of the cost of all its components and final assembly has taken place in the United States. Components of foreign origin of the same class or kind as the products referred to in subparagraphs b. (1) or (2) shall be treated as domestic. 2. Components. As used in this clause, components means those articles, materials, and supplies incorporated directly into steel and manufactured products. Cost of Components. This means the costs for production of the components, exclusive of final assembly labor cost. (b) The successful bidder will be required to assure that only domestic steel and manufactured products will be used by the Contractor, subcontractor, materialmen and suppliers in the performance of this contract, except those: 1. that the US Department of Transportation has determined, under the Aviation Safety and Capacity Expansion Act of 1990, are not produced in the United States is sufficient and reasonably available quantities and of a satisfactory quality: 2. that the US Department of Transportation has determined, under the Aviation Safety and Capacity Expansion Act of 1990, that domestic preference would be inconsistent with the public interest; or 3. that inclusion of domestic material will increase the cost of the overall project contract by more than 25 percent. BUY AMERICAN CERTIFICATE By submitting a bid under this solicitation, except for those items listed by the bidder below or on a separate and clearly identified attachment to this bid, the bidder certifies that steel and each manufactured product, are produced in the United States, as defined in the clause (Buy American - Steel and Manufactured Products for Construction Contracts) and that components of unknown origin are considered to have been produced or manufactured outside the United States. Bidder s may obtain from the owners a listing of articles, materials and supplies excepted from this provision. Product Country of Origin L COMPANY NAME: l5� � µSG ``Q tXZ-- l7(3l� �011�n/ (�JiYISf �h� FEDERAL TAX ID or SOCIAL SECURITY NO. 22-- J' (rVo Z J S- Si afore of Company WON Printed Name of Company Official Signing above: c''�t Co- L - Date Signed: 1-14- 13 38 Page Intentionally Left Blank DAVIS-BACON CERTIFICATION OF ELIGIBILITY 1. By entering into this contract, the contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3 (a) of the Davis -Bacon Act or 29 CFR 5.12 (a)(1). 2. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3 (a) of the Davis -Bacon Act or 29 CFR 5.12 (a)(1). 3. The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. COMPANY NAME: ks Ltarn�2rc . ' tvtx: ,�- � �- (aq yu�" FEDERAL TAX ID OR SOCIAL SECURITY NO. Signature or Company Official: �� Lb� Printed name of company official signing above: s (,, cif C c5 Date Signed: 1— 41- 2-3 39 Page Intentionally Left Blank CERTIFICATION OF NONSEGREGATED FACILITIES — 41 CFR PART 60-1.8 Notice to Prospective Federally Assisted Construction CONTRACTORS A Certification of Non -segregated Facilities shall be submitted prior to the award of a federally -assisted construction contract exceeding $10,000 which is not exempt from the provisions of the Equal Opportunity Clause. 2. Contractors receiving federally -assisted construction contract awards exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity Clause will be required to provide for the forwarding of the following notice to prospective subcontractors for supplies and construction contracts where the subcontracts exceed $10,000 and are not exempt from the provisions of the Equal Opportunity Clause. NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. Notice to Prospective SUBCONTRACTORS of Requirements for Certification of Non -Segregated Facilities A Certification ofNon-segregated Facilities shall be submitted prior to the award of a subcontract exceeding $10,000, which is not exempt from the provisions of the Equal Opportunity Clause. 2. Contractors receiving subcontract awards exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity Clause will be required to provide for the forwarding of this notice to prospective subcontractors for supplies and construction contracts where the subcontracts exceed $10,000 and are not exempt from the provisions of the Equal Opportunity Clause. NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. CERTIFICATION OF NONSEGREGATED FACILITIES The federally -assisted construction contractor certifies that she or he does not maintain or provide, for his employees, any segregated facilities at any of his establishments and that she or he does not permit his employees to perform their services at any location, under his control, where segregated facilities are maintained. The federally - assisted construction contractor certifies that she or he will not maintain or provide, for his employees, segregated facilities at any of his establishments and that she or he will not permit his employees to perform their services at any location under his control where segregated facilities are maintained. The federally -assisted construction contractor agrees that a breach of this certification is a violation of the Equal Opportunity Clause in this contract. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms, and washrooms, restaurants and other eating areas, time clocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directives or are, in fact, segregated on the basis of race, color, religion, or national origin because of habit, local custom, or any other reason. The federally -assisted construction contractor agrees that (except where she or he has obtained identical certifications from proposed subcontractors for specific time periods) she or he will obtain identical certifications from proposed subcontractors prior to the award of subcontracts exceeding $10,000 which are not exempt from the provisions of the Equal Opportunity Clause and that she or he will retain such certifications in his files. COMPANY NAME: CAS Cb ,W l wc, C' Frs�.X Cpn.wu c k" FEDERAL TAX ID OR SOCIAL SECURITY NO. Signature or Company Official: Printed name of company official signing above: C L0J� Date Signed: (" ( — Z3 40 Page Intentionally Left Blank TRADE RESTRICTION CLAUSE The contractor or subcontractor, by submission of an offer and /or execution of a contract, certifies that it: a. is not owned or controlled by one or more citizens of a foreign country included in the list of countries that discriminate against U.S. firms published by the Office of the United States Trade Representative (USTR); b. has not knowingly entered into any contract or subcontract for this project with a person that is a citizen or national of a foreign country on said list, or is owned or controlled directly or indirectly by one or more citizens or nationals of a foreign country on said list; has not procured any product nor subcontracted for the supply of any product for use on the project that is produced in a foreign country on said list. Unless the restrictions of this clause are waived by the Secretary of Transportation in accordance with 49 CFR 30.17, no contract shall be awarded to a contractor or subcontractor who is unable to certify to the above. If the contractor knowingly procures or subcontracts for the supply of any product or service of a foreign country on said list for use on the project, the Federal Aviation Administration may direct through the Sponsor cancellation of the contract at no cost to the Government. Further, the contractor agrees that, if awarded a contract resulting from this solicitation, it will incorporate this provision for certification without modification in each contract and in all lower tier subcontracts. The contractor may rely on the certification of a prospective subcontractor unless it has knowledge that the certification is erroneous. The contractor shall provide immediate written notice to the sponsor if the contractor learns that its certification or that of a subcontractor was erroneous when submitted or has become erroneous by reason of changed circumstances. The subcontractor agrees to provide written notice to the contractor if at any time it learns that its certification was erroneous by reason of changed circumstances. This certification is a material representation of fact upon which reliance was placed when making the award. If it is later determined that the contractor or subcontractor knowingly rendered an erroneous certification, the Federal Aviation Administration may direct through the Sponsor cancellation of the contract or subcontract for default at no cost to the Government. 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 provision. The knowledge and information of a contractor is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. This certification concerns a matter within the jurisdiction of an agency of the United States of America and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under Title 18, United/States Code, Section 1001. COMPANY NAME: ( S C,L�naw c- 1 U >� �� 6� f '(M c FEDERAL TAX ID OR SOCIAL SECURITY NO. '- -7- - 3 WG 27g Signature or Company Official: Printed name of company official signing above: S C'C:' LPL, Date Signed: i - `� __ -�- 41 Page Intentionally Left Blank DBE CONTRACTING REQUIREMENT AND FORMS Instructions to Bidders Part A provides information about the requirement. Part B establishes the City of Lubbock's goal for DBE participation for this prime contract and provides the basis for the bidder to demonstrate how the goal will be met. • DBE Utilization form — indicates if bidder intends to meet the City's DBE participation goal or not. If not, then the bidder is required to demonstrate what good faith efforts were used in setting a goal. Bidders list provides a summary of all subcontractors who bid on the project. Letter of Intent provides the required information the City needs on the proposed subcontractors that the prime proposes to use on the contract whether they are small businesses, minority owned, and women owned, or are certified DBEs DISADVANTAGED BUSINESS ENTERPRISE CONTRACT PROVISIONS (49 CFR PART 26) PART A Policy. It is the policy of the Department of Transportation (DOT) that disadvantaged business enterprises as defined in 49 CFR Part 26 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under this agreement. Consequently, the DBE requirements of 49 CFR Part 26 apply to this agreement. DBE Obligation. The contractor agrees to ensure that disadvantaged business enterprises as defined in 49 CFR 26 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds provided under this agreement. In this regard all contractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 26 to ensure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. Contractors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of DOT -assisted contracts. Compliance. All bidders, potential contractors or subcontractors for this DOT -assisted contract are hereby notified that failure to carry out the DOT policy and the obligation, as set forth above, shall constitute a breach of contract which may result in termination of the contract or such other remedy as deemed appropriate by the owner. Subcontract Clauses. All bidders and potential contractors hereby assure that they will include the above clauses in all subcontracts which offers further subcontracting opportunities. Prompt Payment: The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than 30 days from the receipt of each payment the prime contractor receives from the recipient. The prime contractor agrees further to return retainage payments to each subcontractor within 30 days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the recipient. This clause applies to both DBE and non -DBE subcontractor. PART B It is further understood and a rg eed: The award procedure for this solicitation will include the selection criteria of 49 CFR Part 26 (i) to ensure that prime contracts are awarded to competitors that meet Disadvantaged Business Enterprise (DBE) goals. Notification is hereby given that DBE goals are established for this prime contract. The goal for firms owned and controlled by socially and economically disadvantaged individuals is 3.75 percent of the dollar value of this contract. As a matter of RESPONSIVENESS to the City's bid submittal process, each bidder shall submit, along with their bid, the names and addresses of the DBE firms that will participate in the contract along with a description of the work to be performed by each named firm and the dollar value for each contract (subcontract), the age of the firm and the firm's annual gross receipts. If the responses do not clearly show DBE participation will meet the goals above, the bidder must provide documentation clearly demonstrating, to the satisfaction of the airport sponsor, that it made good faith efforts in attempting to do so and that meeting said goals is not reasonably possible. A bid that fails to meet these requirements will be considered non -responsive. In order to demonstrate how the bidder will meet the goal, bidder shall submit with the bid submittal the following: 1. DBE Utilization form 2 Letter of Intent 3. Bidder's List Good Faith Effort. (Note: This clause is only required if contract goals are used). The following actions, by the bidder/offeror, are generally considered a sign of good faith effort. This list is not exclusive or exhaustive, but should be used as a guide in determining good faith effort. Attendance at pre -bid meetings scheduled to inform DBE's of the project. 2. Advertisement in a newspaper of general circulation, trade association and minority focus media concerning subcontracting opportunities. Written notice to DBE's allowing sufficient time for reply. 4. Follow up of initial solicitation. Selection of portions of the work likely to be performed by DBE's. 6. Provide interested DBE's adequate information for bidding. 7. Negotiation with interested DBE's. 8. Assist interested DBE's with bonding, insurance and credit. 9. Use of minority contractors' groups and minority business assistance offices. Agreements between bidder and a DBE in which the DBE promises not to provide sub -contracting quotations to other bidders are prohibited. All bidders and proposers shall make a good faith effort to replace a DBE subcontractor that is unable to perform successfully with another DBE subcontractor. The bidder shall establish and maintain records and submit regular reports, as required, which will identify and assess progress in achieving DBE subcontract goals and other DBE affirmative action efforts. DISADVANTAGED BUSINESS ENTERPRISE UTILIZATION ITB 23-16922-TF TITLE: LBB Warehouse 720 Roof Replacement The undersigned has satisfied the requirements of the specifications in the following manner (please check the appropriate space): ❑ The bidder is committed to minimum of (City of Lubbock's goal) 3.75% DBE utilization on this project. If The bidder (if unable to meet the City's goal of 3.75% DBE) is committed to a minimum of 0 % DBE utilization on this project and has submitted documentation showing good faith effort. �r we kavf- oL,�,- o OSY1 roo �� e,,,_ I `p/,�e J Contractor & Ls (,©vv► L-4 ( � By Su--7� l k-1- _ S ►` r (Signature) (Title) Address 'T�L► ,1� ��`+� !,✓� j City: (% �L(�.�/✓J�I`' State: � Zip Code: � `t Telephone (including area code): U `'n — -7 1 `C— q CUD Federal Tax ID/SSN: ?-2'— 3 K6 2" T LETTER OF INTENT ITB 23-16922-TF TITLE: LBB Warehouse 720 Roof Replacement Name of Bidders" Firm: 6kS CCYI ` qe IJU'Ll Bidder's Address: (5Z !q' City: bkb� State: felo Zip: Telephone (with area code): ` -7gq"ShW Name of Subcontractor/DBE Firm: Address: City: /J/-�— State /U�_ Zip: Telephone (including area code): M- Descri tion of work to be performed by DBE firm: VV 1 A KuSt ,J`C W!S Bidder intends to utilize the above -named subcontractor/DBE firm for the work described above. The estimated amount of work is valued at $ /U- If the above -named bidder is not determined to be the successful bidder, the Letter of Intent shall be null and void. Complete and submit this form for each subcontractor You propose to use on this proiect: (Copy this page for each subcontractor)/DBE firm) Contractor: C-- D6W F-CxS{- — C,-vc>Xlue&Date: 2'� BIDDERS LIST ITB 23-16922-TF TITLE: LBB Warehouse 720 Roof Replacement All firms bidding or quoting on subcontracts for this DOT -assisted project are listed below. Firm Name Address Certified DBE (y or N) Age of Firm GRS 6 V 17� o ka Lxo ul- f',,L � a�u e.--6j ! Note: This form is not necessary if the recipient establishes a bidders list using another methodology (e.g., statistically sound survey of firms, widely disseminated request of firms to report information to the recipient, etc.) as defined in the recipient's DBE plan. *GRS — Annual Gross Receipts Enter 1 for less than $1 million Enter 2 for more than $1 million, less than $5 million Enter 3 for more than $5 million, less than $10 million Enter 4 for more than $10 million, less than $15 million Enter 5 for more than $15 million 1. 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. 14. 15. 16. PROPOSED LIST OF SUB -CONTRACTORS Minority Owned Company Name Location Services Provided Yes No ❑ ❑ ❑ ❑ ❑ ❑ ❑ ❑ THIS FORM SHALL BE COMPLETED AND RETURNED ALONG WITH YOUR RESPONSE IF NO SUB -CONTRACTORS WILL BE USED PLEASE INDICATE SO SUBMITTED BY: r_7_�s (PRINT NAME OF COMPANY) Page Intentionally Left Blank PROPOSED LIST OF SUB -CONTRACTORS Minority Owned Company Name Location Services Provided Yes No We 6)o c�et (x�un r �� e ME�II �7°� ❑ ❑ 2. ❑ ❑ 3. 4. ❑ ❑ 5. ° ° 6. ° ° 7. ° ° 8. ° ° 9. ° ° 10. ° ° 11. ° ° 12. ° ° 13. ° ° 14. D ° 15. ° ° 16. ° ° THIS FORM SHALL BE COMPLETED AND RETURNED ALONG WITH YOUR RESPONSE IF NO SUB -CONTRACTORS WILL BE USED PLEASE INDICATE SO SUBMITTED BY: r-7-�.S CU14�c•u�' (ONE =FcgCtNAfufcL,-, PRINT NAME OF CO MPANY) Page Intentionally Left Blank PAYMENT BOND Page Intentionally Left Blank STATUTORY PAYMENT BOND PURSUANT TO SECTION 2253.021(a) OF THE TEXAS GOVERNMENT CODE (CONTRACTS MORE THAN $50,000) KNOW ALL MEN BY THESE PRESENTS, that GKS Commercial, Inc. DBA Forster Construction (hereinafter called the Principal(s), as Principal(s), and (hereinafter called the Surety(s), as Surety(s), are held and firmly bound unto the City of Lubbock (hereinafter called the Obligee), in the amount of One Hundred Sixty -Five Thousand Dollars ($165,000.00) lawful money of the United States for the payment whereof, the said Principal and Surety bind themselves, and their heirs, administrators, executors, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, the Principal has entered into a certain written contract with the Obligee, dated 1411 day of January, 2023, to ITB 23-16922-TF LBB Warehouse 720 Roof Replacement and said Principal under the law is required before commencing the work provided for in said contract to execute a bond in the amount of said contract which contract is hereby referred to and made a part hereof as fully and to the same extent as if copied at length herein. NOW, THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH, that if the said Principal shall pay all claimants supplying labor and material to him or a subcontractor in the prosecution of the work provided for in said contract, then, this obligation shall be void; otherwise to remain in full force and effect; PROVIDED, HOWEVER, that this bond is executed pursuant to the provisions of Section 2253.021(a) of the Texas Government Code, and all liabilities on this bond shall be determined in accordance with the provisions of said Article to the same extent as if it were copied at length herein. IN WITNESS WHEREOF, the said Principal (s) and Surety (s) have signed and sealed this instrument this day of 2023. Surety *By: (Title) (Company Name) By: (Printed Name) (Signature) (Title) Page Intentionally Left Blank The undersigned surety company represents that it is duly qualified to do business in Texas, and hereby designates an agent resident in Lubbock County to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship. Surety * By: Approved as to form: City of Lubbock By: City Attorney (Title) * Note: If signed by an officer of the Surety Company there must be on file a certified extract from the by-laws showing that this person has authority to sign such obligation. If signed by an Attorney in Fact, we must have copy of power of attorney for our files. 2 Page Intentionally Left Blank PERFORMANCE BOND Pate Intentionally Left Blank STATUTORY PERFORMANCE BOND PURSUANT TO SECTION 2253.021(a) OF THE TEXAS GOVERNMENT CODE (CONTRACTS MORE THAN $100,000) KNOW ALL MEN BY THESE PRESENTS, that GKS Commercial, Inc. DBA Forster Construction (hereinafter called the Principal(s), as Principal(s), and (hereinafter called the Surety(s), as Surety(s), are held and firmly bound unto the City of Lubbock (hereinafter called the Obligee), in the amount of One Hundred Sixty -Five Thousand Dollars ($165,000.00) lawful money of the United States for the payment whereof, the said Principal and Surety bind themselves, and their heirs, administrators, executors, successors and assigns, jointly and severally, firmly by these presents. WHEREAS, the Principal has entered into a certain written contract with the Obligee, dated 14tb day of January, 2023, to ITB 23-16922-TF LBB Warehouse 720 Roof Replacement and said principal under the law is required before commencing the work provided for in said contract to execute a bond in the amount of said contract which contract is hereby referred to and made a part hereof as fully and to the same extent as if copied at length herein. NOW, THEREFORE, THE CONDITION OF THIS OBLIGATION IS SUCH, that if the said Principal shall faithfully perform the work in accordance with the plans, specifications and contract documents, then this obligation shall be void; otherwise to remain in full force and effect. PROVIDED, HOWEVER, that this bond is executed pursuant to the provisions of Section 2253.021(a) of the Texas Government Code, and all liabilities on this bond shall be determined in accordance with the provisions of said article to the same extent as if it were copied at length herein. IN WITNESS WHEREOF, the said Principal (s) and Surety (s) have signed and sealed this instrument this day of , 2023. Surety * By: (Title) (Company Name) By: (Printed Name) (Signature) (Title) Page Intentionally Left Blank The undersigned surety company represents that it is duly qualified to do business in Texas, and hereby designates an agent resident in Lubbock County to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship. Surety *By: (Title) Approved as to Form City of Lubbock By: City Attorney * Note: If signed by an officer of the Surety Company, there must be on file a certified extract from the by-laws showing that this person has authority to sign such obligation. If signed by an Attorney in Fact, we must have copy of power of attorney for our files. 2 Pate Intentionally Left Blank CERTIFICATE OF INSURANCE TO: CITY OF LUBBOCK DATE: P.O. BOX 2000, Floor 9 LUBBOCK, TX 79457 TYPE OF PROJECT: THIS IS TO CERTIFY THAT (Name and Address of Insured) is, at the date of this certificate, insured by this Company with respect to the business operations hereinafter described, for the typed of insurance and in accordance with the provisions of the standard policies used by this company, the further hereinafter described. Exceptions to standard policy noted hereon. TYPE OF INSURANCE POLICY NUMBER EFFECTIVE EFFECTIVE LIMITS DATE DATE GENERAL LIABILITY ❑ Commercial General Liability General Aggregate $ ❑ Claims Made Products-Comp/Op AGG $ ❑ Occurrence Personal & Adv. Injury $ ❑ Owner's & Contractors Protective Each Occurrence $ ❑ Fire Damage (Any one Fire) $ $ Med Exp (Any one Person) AUTOMOTIVE LIABILITY ❑ Any Auto Combined Single Limit $ ❑ All Owned Autos Bodily Injury (Per Person) $ ❑ Scheduled Autos Bodily Injury (Per Accident) $ ❑ Hired Autos Property Damage $ ❑ Non -Owned Autos 11 GARAGE LIABILITY ❑ Any Auto Auto Only - Each Accident $ ❑ Other than Auto Only: Each Accident $ Aggregate $ ❑ BUILDER'SRISK ❑ 100% of the Total Contract Price $ ❑ INSTALLATIONFLOATER $ EXCESS LIABILITY ❑ Umbrella Form Each Occurrence $ Aggregate $ ❑ Other Than Umbrella Form $ WORKERS COMPENSATION AND EMPLOYERS' LIABILITY The Proprietor/ ❑ Included Statutory Limits Partners/Executive ❑ Excluded Each Accident $ Offices are: Disease Policy Limit $ Disease -Each Employee $ OTHER The above policies either in the body thereof or by appropriate endorsement provide that they may not be changed or canceled by the insurer in less than the legal time required after the insured has received written notice of such change or cancellation, or in case there is no legal requirement, in less than five days in advance of cancellation. FIVE COPIES OF THE CERTIFICATE OF INSURANCE MUST BE SENT TO THE CITY OF LUBBOCK (Name of Insurer) By: Title: The Insurance Certificates Furnished shall name the City of Lubbock as Additional Insured on Auto /General Liability and provide a Waiver of Subrogation in favor of the City of Lubbock. THE ADDITIONAL INSURED ENDORSEMENT SHALL INCLUDE PRODUCTS AND COMPLETE OPERATIONS. Page Intentionally Left Blank CONTRACTORCHECKLIST A CONTRACTOR SHALL: (1) provide coverage for its employees providing services on a project, for the duration of the project based on proper reporting of classification codes and payroll amounts and filling of any coverage agreements; (2) provide a certificate of coverage showing workers' compensation coverage to the governmental entity prior to beginning work on the project; (3) provide the governmental entity, prior to the end of the coverage period, a new certificate of coverage showing extension of coverage, if the coverage period shown on the contractor's current certificate of coverage ends during the duration of the project; (4) obtain from each person providing services on a project, and provide to the governmental entity: (A) a certificate of coverage, prior to that person beginning work on the project, so the governmental entity will have on file certificates of coverage showing coverage for all persons providing services on the project; and (B) no later than seven days after receipt by the contractor, a new certificate of coverage showing extension of coverage, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (5) retain all required certificates of coverage on file for the duration of the project and for one year thereafter; (6) notify the governmental entity in writing by certified mail or personal delivery, within ten (10) days after the contractor knew or should have known, of any change that materially affects the provision of coverage of any person providing services on the project; (7) post a notice on each project site informing all persons providing services on the project that they are required to be covered, and stating how a person may verify current coverage and report failure to provide coverage. This notice does not satisfy other posting requirements imposed by the Act or other commission rules. This notice must be printed in at least 19-point normal type, and shall be in both English and Spanish and any other language common to the worker population. The text for the notices shall be the following text provided by the commission on the sample notice, without any additional words or changes: PROOF OF COVERAGE SHALL BE FURNISHED TO THE CITY OF LUBBOCK IN THE FORM OF A CERTIFICATE OF INSURANCE. THE INSURANCE CERTIFICATES FURNISHED SHALL NAME THE CITY OF LUBBOCK AS ADDITIONAL INSURED ON AUTO/GENERAL LIABILITY ON A PRIMARY AND NON- CONTRIBUTORY BASIS TO INCLUDE PRODUCTS OF COMPLETE OPERATIONS. PROVIDE A WAIVER OF SUBROGATION IN FAVOR OF THE CITY OF LUBBOCK. IT SHALL BE THE CONTRACTOR'S RESPONSIBILITY TO PROVIDE TO THE OWNER ALL PROOF OF COVERAGE INSURANCE DOCUMENTS INCLUDING WORKERS COMPENSATION COVERAGE FOR EACH SUBCONTRACTOR. COPIES OF THE ENDORSEMENTS ARE REQUIRED. REQUIRED WORKERS' COMPENSATION COVERAGE "The law requires that each person working on this site or providing services related to this construction project must (see reverse) be covered by workers' compensation insurance. This includes persons providing, hauling, or delivering equipment and materials, or providing labor or transportation or other service related to the project, regardless of the identity of their employer or status as an employee." "Call the Texas Workers' Compensation Commission at 512-305-7238 to receive information on the legal requirement for coverage, to verify whether your employer has provided the required coverage, or to report an employer's failure to provide coverage." and (8) contractually require each person with whom it contracts to provide services on a project, to: (A) provide coverage based on proper reporting of classification codes and payroll amounts and filing of any coverage agreements for all of its employees providing services on the project, for the duration of the project; (B) provide a certificate of coverage to the contractor prior to that person beginning work on the project; (C) include in all contracts to provide services on the project the language in subsection (e) (3) of this rule; (D) provide the contractor, prior to the end of the coverage period, a new certificate of coverage showing extension of coverage, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (E) obtain from each other person with whom it contracts, and provide to the contractor: (i) a certificate of coverage, prior to the other person beginning work on the project; and (ii) prior to the end of the coverage period, a new certificate of coverage showing extension of the coverage period, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (F) retain all required certificates of coverage on file for the duration of the project and for one year thereafter; (G) notify the governmental entity in writing by certified mail or personal delivery, within (ten) 10 days after the person knew or should have known, of any change that materially affects the provision of coverage of any person providing services on the project; and (H) contractually require each other person with whom it contracts, to perform as required by paragraphs (A) - (H), with the certificate of coverage to be provided to the person for whom they are providing services. CONTRACT Pate Intentionally Left Blank Contract 16922 I I STATE OF TEXAS COUNTY OF LUBBOCK THIS AGREEMENT, made and entered into this 14" day of February, 2023 by and between the City of Lubbock, County of Lubbock, State of Texas, acting by and through the Mayor, City of Lubbock, thereunto authorized to do so, hereinafter referred to as OWNER, and GKS Commercial, Inc. DBA Forster Construction of the City of Lubbock, County of Lubbock and the State of Texas hereinafter termed CONTRACTOR. WITNESSETH: That for and in consideration of the payments and agreements hereinafter mentioned, to be made and performed by the OWNER and under the conditions expressed in the bond bearing even date herewith (if any) the CONTRACTOR hereby agrees with OWNER to commence and complete, the construction of certain improvements described as follows: ITB 23-16922-TF LBB Warehouse 720 Roof Replacement and all extra work in connection therewith, under the terms as stated in the contract documents and at his (or their) own proper cost and expense to furnish all materials, supplies, machinery, equipment, tools, superintendence, labor, insurance and other accessories and services necessary to complete the said construction in accordance with the contract documents as defined in the General Condition of Agreement. GKS Commercial, Inc. DBA Forster Construction's bid dated January 4.2023, is incorporated into and made a part of this agreement. The CONTRACTOR hereby agrees to commence work within ten days after the date written notice to do so shall have been given to him and to substantially complete same within the time specified in the contract documents. The OWNER agrees to pay the CONTRACTOR in current funds for the performance of the contract in accordance with the bid submitted therefore, subject to additions and deductions, as provided in the contract documents and to make payment on account thereof as provided therein. IN WITNESS WHEREOF, the parties to these presents have executed this agreement in Lubbock, Lubbock County, Texas in the year and day first above written. CONTRACTOR: GKS Commercial, Inc. DBA Forster Construction By:� _ �a ■ _r COMPLETE ADDRESS: GKS Commercial, Inc. DBA Forster Construction - 8602 Ash Ave Suite D1 Lubbock, TX 79406 ATTEST: A f- Corporate Sec ary CITY OF L K, TEXAS (OWNER): By: Tray Payn , Mayor fTTEST- � ba'-�S, (I ,/ Y R ecca Garza, Cit Secre ary ,,APPROVED ASTCONTENT:rportepresentative �,a 't, Name ( rinted Date FORM: City Attorney 4 GENERAL CONDITIONS OF THE AGREEMENT GENERAL CONDITIONS OF THE AGREEMENT 1. OWNER Whenever the word Owner, or First Party, are used in this contract, it shall be understood as referring to the City of Lubbock, Texas. 2. CONTRACTOR Whenever the word Contractor, or Second Party, is used, it shall be understood to mean the person, persons, co -partnership or corporation, to wit GKS Commercial, Inc. DBA Forster Construction who has agreed to perform the work embraced in this contract, or their legal representative. 3. OWNER'S REPRESENTATIVE Whenever the word Owner's Representative or representative is used in this contract, it shall be understood as referring to, City of Lubbock, or its representative Charles Farina, Deputy Director of Operations & Safety, so designated who will inspect constructions; or to such other representatives, supervisors, architects, engineers, or inspectors as may be authorized by said Owner to act in any particular under this agreement. Engineers, supervisors or inspectors will act for the Owner under the direction of Owner's Representative, but shall not directly supervise the Contractor or persons acting on behalf of the Contractor. 4. CONTRACT DOCUMENTS The contract's documents shall consist of the Notice to Bidders, General Instructions to Bidders, Response, Signed Agreement, Statutory Bonds (if required), General Conditions of the Agreement, Special Conditions of the Agreement (if any), Specifications, Plans, Insurance Certificates, and all other documents made available to Bidder for inspection in accordance with the Notice to Bidders. The above described materials are sometimes referred to herein as the "contract" or "contract documents". 5. INTERPRETATION OF PHRASES Whenever the words "Directed," "Permitted," "Designated," "Required," "Considered Necessary," "Prescribed," or words of like import are used, it shall be understood that the direction, requirement, permission, order, designation or prescription of the Owner's Representative is intended; and similarly, the words "Approved," "Acceptable," "Satisfactory," or words of like import shall mean approved by or acceptable or satisfactory to the Owner's Representative. 6. SUBCONTRACTOR The term Subcontractor, as employed herein, includes only those having a direct contract with the Contractor for performance of work on the project contemplated by these contract documents. Owner shall have no responsibility to any Subcontractor employed by Contractor for performance of work on the project contemplated by these contract documents, but said Subcontractors will look exclusively to Contractor for any payments due Subcontractor. The City reserves the right to approve or disapprove the selection of any subcontractor(s). 7. WRITTEN NOTICE Written notice shall be deemed to have been duly served if delivered in person to the individual or to a member of the firm or to an officer of the corporation for whom it is intended, or if delivered at or sent certified mail to the last business address known to the party who gives the notice. 8. CONTRACTOR'S RESPONSIBILITIES Unless otherwise stipulated, the Contractor shall provide and pay for all materials, supplies, machinery, equipment, tools, superintendence, labor, insurance, and all water, light, power, fuel, transportation and all other facilities necessary for the execution and completion of the work covered by the contract documents. Unless otherwise specified, all materials shall be new and both workmanship and materials shall be of a good quality. The Contractor shall, if required, furnish satisfactory evidence as to the kind and quality of materials. Materials or work described in words which so applied have well known, technical or trade meaning shall be held to refer such recognized standards. All work shall be done and all materials furnished in strict conformity with the contract documents. 9. SUBSTANTIALLY COMPLETED The term "Substantially Completed" is meant that the structure or project contemplated by the contract documents has been made suitable for use or occupancy or the facility is in a condition to serve its intended purpose, but still may require minor miscellaneous work and adjustment. 10. LAYOUT Except as specifically provided herein, the Contractor shall be responsible for laying out all work and shall accomplish this work in a manner acceptable to the Owner's Representative. The Owner's Representative will check the Contractor's layout of all major structures and any other layout work done by the Contractor at Contractor's request, but this check does not relieve the Contractor of the responsibility of correctly locating all work in accordance with the Plans and Specifications. 11. KEEPING OF PLANS AND SPECIFICATIONS ACCESSIBLE The Contractor shall be furnished five copies of all Plans and Specifications without expense to Contractor and Contractor shall keep one copy of same consistently accessible on the job site. 12. RIGHT OF ENTRY The Owner's Representative may make periodic visits to the site to observe the progress or quality of the executed work and to determine, in general, if the work is proceeding in accordance with the contract documents. Owner's Representative will not be required to make exhaustive or continuous onsite inspections to check the quality or quantity of the work, nor will Owner's Representative be responsible for the construction means, methods, techniques, sequences or procedures, or the safety precautions incident thereto. Notwithstanding the Owner's Representative's rights of entry hereunder, the Owner's Representative will not be responsible for the Contractor's failure to perform the work in accordance with the Contract Documents. 13. LINES AND GRADES The Contractor is responsible for construction layout based on the control provided in the construction documents. All lines and grades shall be furnished whenever Owner's Representative (as distinguished from Resident Project Representative(s)) deems said lines and grades are necessary for the commencement of the work contemplated by these contract documents or the completion of the work contemplated by these contract documents. Whenever necessary, Contractor shall suspend its work in order to permit Owner's Representative to comply with this requirement, but such suspension will be as brief as practical and Contractor shall be allowed no extra compensation therefore. The Contractor shall give the Owner's Representative ample notice of the time and place where lines and grades will be needed. All stakes, marks, etc., shall be carefully preserved by the Contractor, and in case of careless destruction or removal by Contractor, its Subcontractors, or its employees, such stakes, marks, etc., shall be replaced by the Owner's Representative at Contractor's expense. 14. OWNER'S REPRESENTATIVE'S AUTHORITY AND DUTY Unless otherwise specified, it is mutually agreed between the parties to this Agreement that the Owner's Representative (as distinguished from Resident Project Representative(s))has the authority to review all work included herein. The Owner's Representative has the authority to stop the work whenever such stoppage may be necessary to ensure the proper execution of the contract. The Owner's Representative shall, in all cases, determine the amounts and quantities of the several kinds of work which are to be paid for under the contract documents, and shall determine all questions in relation to said work and the construction thereof, and shall, in all cases, decide every question which may arise relative to the execution of this contract on the part of said Contractor. The decision of the Owner's Representative shall be conclusive in the absence of written objection to same delivered to Owner's Representative within fifteen (15) calendar days of any decision or direction by Owner's Representative. In the absence of timely written objection by Contractor, as provided herein, any and all objection or objections shall be deemed waived. 15. SUPERINTENDENCE AND INSPECTION It is agreed by the Contractor that the Owner's Representative shall be and is hereby authorized to appoint from time to time such subordinate engineers, supervisors, or inspectors, as distinguished from Resident Project Representative, as the said Owner's Representative may deem proper to inspect the materials furnished and the work done under this Agreement, and to see that said material is furnished and said work is done in accordance with the specifications therefore. The Contractor shall furnish all reasonable aid and assistance required by the subordinate engineers, supervisors or inspectors for the proper inspection and examination of the work. The Contractor shall regard and obey the directions and instructions of any subordinate engineers, supervisors or inspectors so appointed, when such directions and instructions are consistent with the obligations of this Agreement and accompanying plans and specifications provided, however, should the Contractor object to any orders by any subordinate engineer, supervisor or inspector, the Contractor may within fifteen (15) calendar days make written appeal to the Owner's Representative for its decision. In the absence of timely written objection by Contractor, as provided herein, any and all objection or objections shall be deemed waived. 16. CONTRACTOR'S DUTY AND SUPERINTENDENCE The Contractor shall give personal attention to the faithful prosecution and completion of this contract and shall keep on the work, during its progress, a competent superintendent and any necessary assistants, all satisfactory to Owner's Representative. The superintendent shall represent the Contractor in its absence and all directions given to superintendent shall be binding as if given to the Contractor. It is expressly agreed that adequate supervision by competent and reasonable representatives of the Contractor is essential to the proper performance of the work and lack of such supervision shall be grounds for suspending operations of the Contractor. The work, from its commencement to completion, shall be under the exclusive charge and control of the Contractor and all risk in connection therewith shall be borne by the Contractor. The Owner or Owner's Representatives shall not be responsible for the acts or omissions of the Contractor, or any subcontractors, or any of Contractor's agents or employees, or any other persons performing any of the work. 17. CONTRACTOR'S UNDERSTANDING It is understood and agreed that the Contractor has, by careful examination, satisfied itself as to the nature and location of the work, the confirmation of the ground, the character, quality and quantity of materials to be encountered, the character of equipment and facilities needed preliminary to and during the prosecution of the work, and the general and local conditions, and all other matters which in any way affect the work under the contract documents. No oral agreement or conversation with any officer, agent, or employee of the Owner, or Owner's Representative either before or after the execution of this contract, shall affect or modify any of the terms or obligations herein contained. Subject to the rights of Owner as set forth in Paragraph 23 hereof, all modifications and/or amendments to the contract documents, shall be in writing, and executed by Owner's Representative and Contractor. Unless otherwise specified herein, all loss, expense or damage to Contractor arising out of the nature of the work to be done, or from the action of the elements, or from any unforeseen circumstance and the prosecution of the work, shall be sustained and borne by the Contractor at its own cost and expense. 18. CHARACTER OF WORKERS The Contractor agrees to employ only orderly and competent workers, skillful in the performance in the type of work required under this contract, to do the work; and agrees that whenever the Owner's Representative shall inform Contractor in writing that any person or persons on the work, are, in Owner's Representative's sole opinion, incompetent, unfaithful, disorderly, or otherwise unacceptable to Owner or Owner's Representative, such person or persons shall be discharged from the work and shall not again be employed on the work without the Owner's Representative's written consent. 19. CONSTRUCTION PLANT The Contractor shall provide all labor, tools, equipment, machinery and materials necessary in the prosecution and completion of this contract where it is not otherwise specifically provided that Owner shall furnish same, and it is also understood that Owner shall not be held responsible for the care, preservation, conservation, or protection of any materials, tools, equipment or machinery or any part of the work until it is finally completed and accepted. The building of structures for the housing of workers or equipment will be permitted only at such places as the Owner's Representative shall consent or direct, and the sanitary conditions of the grounds in or about such structure shall at all times be maintained in a manner satisfactory to the Owner's Representative. 20. SANITATION Necessary sanitary conveniences for the use of laborers on the work site, properly secluded from public observation, shall be constructed and maintained by the Contractor in such manner and at such points as shall be approved by the Owner's Representative and their use shall be strictly enforced. 21. OBSERVATION AND TESTING The Contractor is responsible for construction quality control testing, cost, and reporting of the type and extent required by the contract documents. The Owner or Owner's Representative shall have the right at all times to observe and test the work. Contractor shall make necessary arrangements and provide proper facilities and access for such observation and testing at any location wherever such work is in preparation or progress. Contractor shall ascertain the scope of any observation that may be contemplated by Owner or Owner's Representative and shall give ample notice as to the time each part of the work will be ready for such observation. Owner or Owner's Representative may reject any such work found to be defective or not in accordance with the contract documents, regardless of the stage of its completion or the time or place of discovery of such errors and regardless of whether Owner's Representative has previously accepted the work. If any such work should be covered without approval or consent of the Owner, it must, if requested by Owner or Owner's Representative, be uncovered for examination at Contractor's expense. In the event that any part of the work is being fabricated or manufactured at a location where it is not convenient for Owner or Owner's Representative to make observations of such work or require testing of said work, then in such event Owner or Owner's Representative may require Contractor to furnish Owner or Owner's Representative certificates of inspection, testing or approval made by persons competent to perform such tasks at the location where that part of the work is being manufactured or fabricated. All such tests will be in accordance with the methods prescribed by the American Society for Testing and Materials or such other applicable organization as may be required by law or the contract documents. If any such work which is required to be inspected, tested, or approved is covered up without written approval or consent of the Owner or Owner's Representative, it must, if requested by the Owner or Owner's Representative, be uncovered for observation and testing at the Contractor's expense. The cost of all such inspections, tests and approvals shall be borne by the Contractor unless otherwise provided herein. Any work which fails to meet the requirements of any such tests, inspections or approvals, and any work which meets the requirements of any such tests or approvals but does not meet the requirements of the contract documents shall be considered defective, and shall be corrected at the Contractor's expense. Neither observations by the Owner or Owner's Representative, nor inspections, tests, or approvals made by Owner, Owner's Representative, or other persons authorized under the contract documents to make such inspections, tests, or approvals shall relieve the Contractor from its obligation to perform the work in accordance with the requirements of the contract documents. 22. DEFECTS AND THEIR REMEDIES It is expressly agreed that if the work or any part thereof, or any material brought on the site of the work for use in the work or selected for the same, shall be deemed by the Owner or Owner's Representative as unsuitable or not in conformity with plans, specifications and/or contract documents, the Contractor shall, after receipt of written notice thereof from the Owner's Representative, forthwith remove such material and rebuild or otherwise remedy such work so that it shall be in full accordance with the contract documents. It is further agreed that any remedial action contemplated as hereinabove set forth shall be at Contractor's expense. 23. CHANGES AND ALTERATIONS The Contractor further agrees that the Owner may make such changes and alterations as the Owner may see fit, in the line, grade, form dimensions, plans or materials for the work herein contemplated, or any part thereof, either before or after the beginning of the construction, without affecting the validity of this contract and the accompanying bond. If such changes or alterations diminish the quantity of the work to be done, they shall not constitute the basis for a claim for damages, or anticipated profits on the work that may be dispensed with. If they increase the amount of work, and the increased work can fairly be classified under the specifications, such increase shall be paid according to the quantity actually done and at the unit price established for such work under this contract; otherwise such additional work shall be paid for as provided under Extra Work. In case the Owner shall make such changes or alterations as shall make useless any work already done or material already furnished or used in said work, then the Owner shall recompense the Contractor for any material or labor so used, and for actual expenses incurred in preparation for the work as originally planned. 24. EXTRA WORK The term "extra work" as used in this contract shall be understood to mean and include all work that may be required by the Owner or Owner's Representative to be done by the Contractor to accomplish any change, alteration or addition to the work as shown on the plans and specifications or contract documents and not covered by Contractor's proposal, except as provided under Changes and Alterations in Paragraph 23. It is agreed that the Contractor shall perform all extra work under the observation of the Owner's Representative when presented with a written work order signed by the Owner's Representative; subject, however, to the right of the Contractor to require written confirmation of such extra work order by the Owner. It is also agreed that the compensation to be paid to the Contractor for performing said extra work shall be determined by the following methods: Method (A) - By agreed unit prices; or Method (B) - By agreed lump sum; or Method (C) - If neither Method (A) or Method (B) be agreed upon before the extra work is commenced, then the Contractor shall be paid the lesser of the following: (1) actual field cost of the extra work, plus fifteen (15%) percent to the firm actually performing the work, and additional higher -tier markups limited to 5% to cover additional overhead and insurance costs; or (2) the amount that would have been charged by a reasonable and prudent Contractor as a reasonable and necessary cost for performance of the extra work, as estimated by the Engineer and approved by the Owner.. In the event said extra work be performed and paid for under Method (C)(1), then the provisions of this paragraph shall apply and the "actual field cost" is hereby defined to include the cost of all workers, such as foremen, timekeepers, mechanics and laborers, materials, supplies, teams, trucks, rentals on machinery and equipment, for the time actually employed or used on such extra work, plus actual transportation charges necessarily incurred, together with all expenses incurred directly on account of such extra work, including Social Security, Old Age Benefits, Maintenance Bonds, Public Liability and Property Damage and Workers' Compensation and all other insurances as may be required by law or ordinances or directed by the Owner or Owner's Representative, or by them agreed to. Owner's Representative may direct the form in which accounts of the actual field cost shall be kept and records of these accounts shall be made available to the Owner's Representative. The Owner's Representative may also specify in writing, before the work commences, the method of doing the work and the type and kind of machinery and equipment to be used; otherwise, these matters shall be determined by the Contractor. Unless otherwise agreed upon, the prices for the use of machinery and equipment shall be determined by using 100%, unless otherwise specified, of the latest Schedule of Equipment and Ownership Expenses adopted by the Associated General Contractors of America. Where practical, the terms and prices for the use of machinery and equipment shall be incorporated in the written extra work order. The fifteen percent (15%) of the actual field cost to be paid to Contractor shall cover and compensate Contractor for its profit, overhead, general superintendence and field office expense, and all other elements of cost and expense not embraced within the actual field cost as herein defined, save that where the Contractor's Camp or Field Office must be maintained primarily on account of such Extra Work, then the cost to maintain and operate the same shall be included in the "actual field cost." No claim for extra work of any kind will be allowed unless ordered in writing by Owner's Representative. In case any orders or instructions appear to the Contractor to involve extra work for which Contractor should receive compensation or an adjustment in the construction time, Contractor shall prior to commencement of such extra work, make written request to the Owner's Representative for a written order authorizing such extra work. Should a difference of opinion arise as to what does or does not constitute extra work or as to the payment therefore, and the Owner's Representative insists upon its performance, the Contractor shall proceed with the work after making written request for written order and shall keep adequate and accurate account of the actual field cost thereof, as provided under Method (C) (1). If Contractor does not notify Owner's Representative before the commencement of any extra work, any claim for payment due to alleged extra work shall be deemed waived. 25. DISCREPANCIES AND OMISSIONS It is further agreed that it is the intent of the contract documents that all work described in the proposal, the specifications, plans and other contract documents, is to be done for the prices quoted by the Contractor and that such price shall include all appurtenances necessary to complete the work in accordance with the intent of these contract documents as interpreted by Owner's Representative. Notices of any discrepancies or omissions in these plans, specifications, or contract documents, shall be given to the Owners' Representative and a clarification obtained before the proposals are received, and if no such notice is received by the Owner's Representative prior to the opening of proposals, then it shall be deemed that the Contractor fully understands the work to be included and has provided sufficient sums in its proposal to complete the work in accordance with these plans and specifications. If Contractor does not notify Owner's Representative before offering of any discrepancies or omissions, then it shall be deemed for all purposes that the plans and specifications are sufficient and adequate for completion of the project. It is further agreed that any request for clarification must be submitted no later than five (5) calendar days prior to the opening of proposals. In the absence of a requested clarification for a conflict in the documents prior to proposals being reviewed, it will be assumed that the Contractor proposes the higher cost alternative on conflicts identified after proposals are reviewed. 26. RIGHT OF OWNER TO MODIFY METHODS AND EQUIPMENT If at any time the methods or equipment used by the Contractor are found to be inadequate to secure the quality of work with the rate of progress required under this contract, the Owner or Owner's Representative may order the Contractor in writing to increase their safety or improve their character and efficiency and the Contractor shall comply with such order. If, at any time, the working force of the Contractor is inadequate for securing the progress herein specified, the Contractor shall, if so ordered in writing, increase its force or equipment, or both, to such an extent as to give reasonable assurance of compliance with the schedule of progress. 27. PROTECTION AGAINST ACCIDENT TO EMPLOYEES AND THE PUBLIC AND GENERAL INDEMNITY The Contractor shall take out and procure a policy or policies of Workers' Compensation Insurance with an insurance company licensed to transact business in the State of Texas, which policy shall comply with the Workers' Compensation laws of the State of Texas. The Contractor shall at all times exercise reasonable precaution for the safety of employees and others on or near the work and shall comply with all applicable provisions of federal, state and municipal laws and building and construction codes. All machinery and equipment and other physical hazards shall be guarded in accordance with the "Manual of Accident Prevention in Construction" of Associated General Contractors of America, except where incompatible with federal, state or municipal laws or regulations. The Contractor, its sureties and insurance carriers shall defend, indemnify and hold harmless the Owner and Engineer and all of its officers, agents and employees against any all losses, costs, damages, expenses, liabilities, claims and/or causes of action, whether known or unknown, fixed, actual, accrued or contingent, liquidated or unliquidated, including, but not limited to, attorneys' fees and expenses, in connection with, incident to, related to, or arising out of, the Contractor's or any subcontractor's, agent's or employee's, in any manner whatsoever, omission, execution and/or supervision of this contract, and the project which is the subject matter of this contract. The safety precautions taken shall be the sole responsibility of the Contractor, in its sole discretion as an Independent Contractor; inclusion of this paragraph in the Agreement, as well as any notice which may be given by the Owners or the Owner's Representative concerning omissions under this paragraph as the work progresses, are intended as reminders to the Contractor of its duty and shall not be construed as any assumption of duty to supervise safety precautions by either the Contractor or any of its subcontractors. 28. CONTRACTOR'S INSURANCE The Contractor shall not commence work under this contract until he has obtained all insurance as required in the General Conditions of the contract documents, from an underwriter authorized to do business in the State of Texas and satisfactory to the City. Proof of coverage shall be furnished to the City and written notice of cancellation or any material change will be provided ten (10) calendar days in advance of cancellation or change. All policies of insurance, required herein, including policies of insurance required to be provided by Contractor and its subcontractors, shall contain a waiver of any and all of the insurer's or payor's, in the event of self-insurance, rights to subrogation that any such insurer or payor, in the event of self-insurance, may acquire by virtue of payment of any loss under such insurance or self-insurance. All certificates of insurance submitted to the City in conformity with the provisions hereof shall establish such waiver. The Contractor shall procure and carry at its sole cost and expense through the life of this contract, insurance protection as hereinafter specified. Coverage in excess of that specified herein also shall be acceptable. Such insurance shall be carried with an insurance company authorized to transact business in the State of Texas and shall cover all operations in connection with this contract, whether performed by the Contractor or a subcontractor, or separate policies shall be provided covering the operation of each subcontractor. A certificate of insurance specifying each and all coverages shall be submitted prior to contract execution. PROOF OF COVERAGE SHALL BE FURNISHED TO THE CITY OF LUBBOCK IN THE FORM OF A CERTIFICATE OF INSURANCE. THE INSURANCE CERTIFICATES FURNISHED SHALL NAME THE CITY OF LUBBOCK AS ADDITIONAL INSURED ON AUTO/GENERAL LIABILITY ON A PRIMARY AND NON-CONTRIBUTORY BASIS TO INCLUDE PRODUCTS OF COMPLETE OPERATIONS. PROVIDE A WAIVER OF SUBROGATION IN FAVOR OF THE CITY OF LUBBOCK. IT SHALL BE THE CONTRACTOR'S RESPONSIBILITY TO PROVIDE TO THE OWNER ALL PROOF OF COVERAGE INSURANCE DOCUMENTS INCLUDING WORKERS COMPENSATION COVERAGE FOR EACH SUBCONTRACTOR. COPIES OF THE ENDORSEMENTS ARE REQUIRED. Commercial General Liability Requirements: $1,000,000 occurrence / $2,000,000 aggregate (can be combined with an Excess Liability to meet requirement). CGL is required in ALL contracts. It is perhaps the most important of all insurance policies in a contractual relationship. It insures the Contractor has broad liability coverage for contractual activities and for completed operations. Commercial General Liability to include Products — Completion/OP, Personal and Advertising Injury, Contractual Liability, Fire Damage (any one fire), and Medical Expenses (any one person). Commercial General Liability Airport Requirements: Automatically add Excess Liability per the following: • $4M for $1M/occurrence for a total of $5MI • $7M for $3M/occurrence for a total of $10M • $10M for $5M/occurrence for a total of $15M Automobile Liability Requirements: $1,000,000/occurrence is needed Builder's Risk Requirements: Builder's Risk Insurance is needed for this project, and at a minimum, the insurance should cover the full insurable value of the improvements. Workers Compensation and Employer Liability Requirements: Statutory. If the vendor is an independent contractor with no employees and are exempt from providing Workers' Compensation coverage, they must sign a waiver (obtained from COL Purchasing) and include a copy of their driver's license. Employer Liability ($1,000,000) is required with Workers Compensation. The City of Lubbock (including its officials, employees and volunteers) shall be afforded additional insured status on a primary and non-contributory basis on all liability policies except professional liabilities and workers' comp. * Waivers of Subrogation are required for CGL, AL, and WC. * To Include Products of Completed Operations endorsement. * Carrier will provide a 30-day written notice of cancellation, 10-day written notice for non- payment. * Carriers must meet an A.M. Best rating of A- or better. * Subcontractors must carry same limits as listed above. 1. Definitions: Certificate of coverage ("certificate") - A copy of a certificate of insurance, a certificate of authority to self -insure issued by the commission, or a coverage agreement (TWCC-81, TWCC-82, TWCC-83, or TWCC-84), showing statutory workers' compensation insurance coverage for the person's or entity's employees providing services on a project, for the duration of the project. Duration of the project - includes the time from the beginning of the work on the project until the Contractor's/person's work on the project has been completed and accepted by the governmental entity. Persons providing services on the project ("subcontractor" in Section 406.096, Texas Labor Code) - includes all persons or entities performing all or part of the services the Contractor has undertaken to perform on the project, regardless of whether that person contracted directly with the Contractor and regardless of whether that person has employees. This includes, without limitation, independent contractors, subcontractors, leasing companies, motor carriers, owner -operators, employees of any such entity, or employees of any entity which furnishes persons to provide services on the project. "Services" include, without limitation, providing, hauling, or delivering equipment or materials, or providing labor, transportation, or other service related to a project. "Services" does not include activities unrelated to the project, such as food/beverage vendors, office supply deliveries, and delivery of portable toilets. 2. The Contractor shall provide coverage, based on proper reporting of classification codes and payroll amounts and filing of any coverage agreements, which meets the statutory requirements of Texas Labor Code, Section 401.011(44) for all employees of the contractor providing services on the project, for the duration of the project. 3. The Contractor must provide a certificate of coverage to the governmental entity prior to being awarded the contract. 4. If the coverage period shown on the Contractor's current certificate of coverage ends during the duration of the project, the Contractor must, prior to the end of the coverage period, file a new certificate of coverage with the governmental entity showing that coverage has been extended. 5. The Contractor shall obtain from each person providing services on the project, and provide to the governmental entity: (a) a certificate of coverage, prior to that person beginning work on the project, so the governmental entity will have on file certificates of coverage showing coverage for all persons providing services on the project; and (b) no later than seven days after receipt by the Contractor, a new certificate of coverage showing extension of coverage, if the coverage period shown on the current certificate of coverage ends during the duration of the project. 6 The Contractor shall retain all required certificates of coverage for the duration of the project and for one year thereafter. 7. The Contractor shall notify the governmental entity in writing by certified mail or personal delivery, within 10 days after the Contractor knew or should have known, of any change that materially affects the provision of coverage of any person providing services on the project. 8. The Contractor shall post on each project site a notice, in the text, form and manner prescribed by the Texas Workers' Compensation Commission, informing all persons providing services on the project that they are required to be covered, and stating how a person may verify coverage and report lack of coverage. 9. The Contractor shall contractually require each person with whom it contracts to provide services on the project, to: (a) provide coverage, based on proper reporting of classification codes and payroll amounts and filing of any coverage agreements, which meets the statutory requirements of Texas Labor Code, Section 401.011(44) for all of its employees providing services on the project, for the duration of the project; (b) provide to the Contractor, prior to that person beginning work on the project, a certificate of coverage showing that coverage is being provided for all employees of the person providing services on the project, for the duration of the project; (c) provide the Contractor, prior to the end of the coverage period, a new certificate of coverage showing extension of coverage, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (d) obtain from each other person with whom it contracts, and provide to the Contractor: (1) a certificate of coverage, prior to the other person beginning work on the project; and (2) a new certificate of coverage showing extension of coverage, prior to the end of the coverage period, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (e) retain all required certificates of coverage on file for the duration of the project and for one year thereafter; (f) notify the governmental entity in writing by certified mail or personal delivery, within 10 days after the person knew or should have known, of any change that materially affects the provision of coverage of any person providing services on the project; and (g) contractually require each person with whom it contracts to perform as required by paragraphs (a) - (g), with the certificates of coverage to be provided to the person for whom they are providing services. 10. By signing this contract or providing or causing to be provided a certificate of coverage, the Contractor is representing to the governmental entity that all employees of the Contractor who will provide services on the project will be covered by worker's compensation coverage for the duration of the project, that the coverage will be based on proper reporting of classification codes and payroll amounts, and that all coverage agreements will be filed with the appropriate insurance carrier or, in the case of a self -insured, with the commission's Division of Self -Insurance Regulation. Providing false or misleading information may subject the Contractor to administrative penalties, criminal penalties, civil penalties, or other civil actions. 11. The Contractor's failure to comply with any of these provisions is a breach of contract by the Contractor which entitles the governmental entity to declare the contract void if the Contractor does not remedy the breach within ten days after receipt of notice of breach from the governmental entity. G. Proof of Coverage Before work on this contract is commenced, each Contractor and subcontractor shall submit to the Owner for approval five Certificates of Insurance covering each insurance policy carried and offered as evidence of compliance with the above insurance requirements, signed by an authorized representative of the insurance company setting forth: (1) The name and address of the insured. (2) The location of the operations to which the insurance applies. (3) The name of the policy and type or types of insurance in force thereunder on the date borne by such certificate. (4) The expiration date of the policy and the limit or limits of liability thereunder on the date borne by such certificate. (5) A provision that the policy may be canceled only by mailing written notice to the named insured at the address shown in the proposal specifications. (6) A provision that written notice shall be given to the City ten days prior to any change in or cancellation of the policies shown on the certificate. (7) The certificate or certificates shall be on the form (or identical copies thereof) contained in the job specifications. No substitute of nor amendment thereto will be acceptable. (8) If policy limits are paid, new policy must be secured for new coverage to complete project. (9) A Contractor shall: (a) provide coverage for its employees providing services on a project, for the duration of the project based on proper reporting of classification codes and payroll amounts and filling of any coverage agreements; (b) provide a certificate of coverage showing workers' compensation coverage to the governmental entity prior to beginning work on the project; (c) provide the governmental entity, prior to the end of the coverage period, a new certificate of coverage showing extension of coverage, if the coverage period shown on the Contractor's current certificate of coverage ends during the duration of the project; (d) obtain from each person providing services on a project, and provide to the governmental entity: (i) a certificate of coverage, prior to that person beginning work on the project, so the governmental entity will have on file certificates of coverage showing coverage for all persons providing services on the project; and (ii) no later than seven days after receipt by the Contractor, a new certificate of coverage showing extension of coverage, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (e) retain all required certificates of coverage on file for the duration of the project and for one year thereafter; (f) notify the governmental entity in writing by certified mail or personal delivery, within 10 days after the Contractor knew or should have known, of any change that materially affects the provision of coverage of any person providing services on the project; (g) post a notice on each project site informing all persons providing services on the project that they are required to be covered, and stating how a person may verify current coverage and report failure to provide coverage. This notice does not satisfy other posting requirements imposed by the Texas Worker's Compensation Act or other commission rules. This notice must be printed with a title in at least 30-point bold type and text in at least 19-point normal type, and shall be in both English and Spanish and any other language common to the worker population. The text for the notices shall be the following text provided by the commission on the sample notice, without any additional words or changes: REQUIRED WORKERS' COMPENSATION COVERAGE "The law requires that each person working on this site or providing services related to this construction project must be covered by workers' compensation insurance. This includes persons providing, hauling, or delivering equipment or materials, or providing labor or transportation or other service related to the project, regardless of the identity of their employer or status as an employee. " "Call the Texas Workers' Compensation Commission at 800-372-7713 or 512-804-4000 (wwwALstate.tx.us) to receive information of the legal requirements for coverage, to verify whether your employer has provided the required coverage, or to report an employer's failure to provide coverage, " and (h) contractually require each person with whom it contracts to provide services on a project, to: (i) provide coverage based on proper reporting of classification codes and payroll amounts and filing of any coverage agreements for all of its employees providing services on the project, for the duration of the project; (ii) provide a certificate of coverage to the Contractor prior to that person beginning work on the project; (iii) include in all contracts to provide services on the project the following language: "By signing this contract or providing or causing to be provided a certificate of coverage, the person signing this contract is representing to the governmental entity that all employees of the person signing this contract who will provide services on the project will be covered by workers' compensation coverage for the duration of the project, that the coverage will be based on proper reprinting of classification codes and payroll amounts, and that all coverage agreements will be filed with the appropriate insurance carrier or, in the case of a self -insured, with the commission's Division of Self -Insurance Regulation. Providing false or misleading information may subject the Contractor to administrative penalties, criminal penalties, civil penalties, or other civil actions."; (iv) provide the Contractor, prior to the end of the coverage period, a new certificate of coverage showing extension of coverage, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (v) obtain from each other person with whom it contracts, and provide to the Contractor: (1) a certificate of coverage, prior to the other person beginning work on the project; and (2) prior to the end of the coverage period, a new certificate of coverage showing extension of the coverage period, if the coverage period shown on the current certificate of coverage ends during the duration of the project; (vi) retain all required certificates of coverage on file for the duration of the project and for one year thereafter; (vii) notify the governmental entity in writing by certified mail or personal delivery, within 10 days after the person knew or should have known, of any change that materially affects the provision of coverage of any person providing services on the project; and (viii) contractually require each other person with whom it contracts, to perform as required by paragraphs (i)-(viii), with the certificate of coverage to be provided to the person for whom they are providing services. 29. DISABLED EMPLOYEES Contractors having more than fifteen (15) employees agree to comply with the Americans with Disabilities Act of 1990, and agree not to discriminate against a qualified individual with a disability because of the disability of such individual in regard to job application procedures, the hiring, advancement, or discharge of employees, employee compensation, job training, and other terms, conditions, and privileges of employment. 30. PROTECTION AGAINST CLAIMS OF SUBCONTRACTORS, LABORERS, MATERIALMEN, AND FURNISHERS OF MACHINERY, EQUIPMENT AND SUPPLIES Without limiting, in any way, manner or form, the indemnity provided by Contractor in paragraph 27 hereof, the Contractor agrees that it will indemnify and save the Owner and Engineer and all of its officers, agents and employees, harmless against any and all claims, liabilities, losses, damages, expenses and causes of action arising out of, in any way, manner or form, the demands of subcontractors, laborers, workmen, mechanics, material men and furnishers of machinery and parts thereof, equipment, power tools, and supplies, incurred in the performance of this contract and the project which is the subject matter of this contract. When Owner so desires, the Contractor shall furnish satisfactory evidence that all obligations of the nature hereinabove designated have been paid, discharged or waived. 31. PROTECTION AGAINST ROYALTIES OR PATENT INVENTION The Contractor shall pay all royalties and license fees, and shall provide for the use of any design, device, material or process covered by letters patent or copyright by suitable legal agreement with the Patentee or owner thereof. Without limiting, in any way, manner or form, the indemnity provided by Contractor in paragraph 27 hereof, the Contractor shall defend all suits or claims for infringement of any patent or copyrights and shall indemnify and save the Owner and Engineer, and all of its officers, agents and employees harmless from any loss on account thereof, except that Owner shall defend all such suits and claims and shall be responsible for all such loss when a particular design, device, material or process or the product of a particular manufacturer or manufacturers is specified or required in these contract documents by Owner; provided, however, if choice of alternate design, device, material or process is allowed to the Contractor, then Contractor shall indemnify and save Owner, and all of its officers, agents and employees harmless from any loss on account thereof. Notwithstanding anything herein to the contrary, if the material or process specified or required by Owner and/or this contract is an infringement, the Contractor shall be responsible for such loss unless it gives written notice of such infringement to the Owner's Representative prior to offering. 32. LAWS AND ORDINANCES The Contractor shall at all times observe and comply with all federal, state and local laws, ordinances and regulations, which in any manner affect the contract or the work, and without limiting, in any way, manner or form, the indemnity provided by Contractor in paragraph 27 hereof, Contractor shall indemnify and save harmless the Owner and Engineer and all of its officers, agents, and employees against any claims arising from the violation of any such laws, ordinances, and regulations, whether by the Contractor, its employees, or subcontractors. If the Contractor observes that the plans and specifications are at variance therewith, he shall notify the Owner's Representative in writing prior to proposing and any necessary changes shall be adjusted as provided in the contract for changes in the work. In the absence of timely written notification to Owner's Representative of such variance or variances within said time, any objection and/or assertion that the plans and specifications are at variance with any federal, state or local laws, ordinances or regulations shall be deemed waived. If the Contractor, its employees or subcontractors perform any work contrary to such laws, ordinances, rules and regulations, and without such notice to the Owner's Representative, Contractor shall bear all costs arising there from. The Owner is a municipal corporation of the State of Texas and the law from which it derives its powers, insofar as the same regulates the objects for which, or the manner in which, or the conditions under which the Owner may enter into contracts, shall be controlling, and shall be considered as part of this contract to the same effect as though embodied herein. 33. SUBCONTRACTING The Contractor agrees that it will retain personal control and will give its personal attention to the fulfillment of this contract. The Contractor further agrees that subletting of any portion or feature of the work, or materials required in the performance of this contract, shall not relieve the Contractor from its full obligations to the Owner, as provided by the contract documents. 34. TIME FOR SUBSTANTIAL COMPLETION AND LIQUIDATED DAMAGES It is hereby understood and mutually agreed by and between the Contractor and the Owner, that the date of beginning and time for completion as specified in the Notice to Proceed and contract documents, respectively, of work to be done hereunder are essential conditions of this contract; and it is further mutually understood and agreed that the work embraced in this contract shall be commenced as provided in the contract documents. If the Contractor should neglect, fail, or refuse to substantially complete the work within the time herein specified, then the Contractor does hereby agree as part of the consideration for the awarding of this contract, the Owner may withhold permanently from Contractor's total compensation, the sum of $25 PER CONSECUTIVE CALENDAR DAY, not as a penalty, but as liquidated damages for the breach of the contract as herein set forth for each and every working day that the Contractor shall be in default after the time stipulated for substantially completing the work. If the Contractor should neglect, fail, or refuse to Finally complete the work within the time herein specified, then the Contractor does hereby agree as part of the consideration for the awarding of this contract, the Owner may withhold permanently from Contractor's total compensation, the sum of $25 PER CONSECUTIVE CALENDAR DAY, not as a penalty, but as liquidated damages for the breach of the contract as herein set forth for each and every working day that the Contractor shall fail to meet the time requirements stipulated for substantially completing the work. It is expressly understood and agreed, by and between Contractor and the Owner, that the time for the substantial completion of the work described herein is reasonable time for the completion of the same, taking into consideration the average climatic range and conditions and usual industrial conditions prevailing in this locality. The amount is fixed and agreed upon by and between the Contractor and the Owner because the actual damages the Owner would sustain in such event would be difficult and/or impossible to estimate, however, the amount agreed upon herein is a reasonable forecast of the amount necessary to render just compensation to Owner, and is expressly agreed to be not disproportionate to actual damages as measured at time of breach. IT IS FURTHER AGREED AND UNDERSTOOD BETWEEN THE CONTRACTOR AND OWNER THAT TIME IS OF THE ESSENCE OF THIS CONTRACT. 35. TIME AND ORDER OF COMPLETION It is the meaning and intent of this contract, unless otherwise herein specifically provided, that the Contractor shall be allowed to prosecute its work in such order of precedence, and in such manner as shall be most conductive to economy of construction. The Contractor shall ensure daily prosecution of the work is conducted every business day until completed, regardless if the work will be substantially or finally complete ahead of specified deadlines in the agreement, unless the City determines time off from said prosecution is necessary or reasonable and Contractor received said determination in writing from the City. Further, when the Owner is having other work done, either by contract or by its own force, the Owner's Representative (as distinguished from the Resident Project Representative) may direct the time and manner of constructing work done under this contract so that conflicts will be avoided and the construction of the various works being done for the Owner shall be harmonized. Additionally, inclement weather shall be the only other reason consistent, daily prosecution of the work may not take place on those inclement weather days. The Contractor shall submit, at such times as may reasonably be requested by the Owner's Representative, schedules which shall show the order in which the Contractor intends to carry on the work, with dates at which the Contractor will start the several parts of the work and estimated dates of completion of the several parts. 36. TIME OF PERFORMANCE The Contractor agrees that it has submitted its proposal in full recognition of the time required for the completion of this project, taking into consideration the average climatic range and industrial conditions prevailing in this locality, and has considered the liquidated damage provisions of paragraph 34 hereinabove set forth and expressly agrees that it shall not be entitled to, nor will it request, an extension of time on this contract, except when its work has been delayed by an act or neglect of the Owner, Owner's Representative, employees of the Owner or other contractors employed by the Owner, or by changes ordered in the work, or by strike, walkouts, acts of God or the public enemy, fire or flood. Any request for extension shall be in writing with the written request for same setting forth all justifications, in detail, for the request, and submitted to Owner's Representative within twenty (20) calendar days of the occurrence of the event causing said delay. A failure by Owner's Representative to affirmatively grant the extension no later than within twenty (20) calendar days of written submission by Contractor shall be deemed a denial, and final. Further, in the absence of timely written notification of such delay and request for extension, as provided herein, any request for extension by Contractor shall be deemed waived. 37. HINDRANCE AND DELAYS In executing the contract, the Contractor agrees that in undertaking to complete the work within the time herein fixed, Contractor has taken into consideration and made allowances for all hindrances and delays incident to such work, whether growing out of delays due to unusual and unanticipated circumstances, difficulties or delays in securing material or workers, or any other cause or occurrence. No charge shall be made by the Contractor for hindrance or delays from any cause during the progress of any part of the work embraced in this contract except where the work is stopped by order of the Owner or Owner's Representative for the Owner's convenience, in which event, such expense as in the sole judgment of the Owner's Representative that is caused by such stoppage shall be paid by Owner to Contractor. 38. QUANTITIES AND MEASUREMENTS No extra or customary measurements of any kind will be allowed, but the actual measured or computed length, area, solid contents, number and weight only shall be considered, unless otherwise specifically provided. In the event this contract is let on a unit price basis, then Owner and Contractor agree that this contract, including the specifications, plans and other contract documents are intended to show clearly all work to be done and material to be furnished hereunder. Where the estimated quantities are shown, and only when same are expressly stated to be estimates, for the various classes of work to be done and material to be furnished under this contract, they are approximate and are to be used only as a basis for estimating the probable cost of the work and for comparing their proposals offered for the work. In the event the amount of work to be done and materials to be furnished are expressly stated to be estimated, and only when same are expressly stated to be estimated, it is understood and agreed that the actual amount of work to be done and the materials to be furnished under this contract may differ somewhat from these estimates, and that where the basis for payment under this contract is the unit price method, payment shall be for the actual amount of work done and materials furnished on the project, provided that the over run or under run of estimated quantities not exceed 15% of the estimated quantity. 39. PROTECTION OF ADJOINING PROPERTY The Contractor shall take proper means to protect the adjacent or adjoining property or properties in any way encountered, which may be injured or seriously affected by any process of construction to be undertaken under this agreement, from any damage or injury by reason of said process of construction; and Contractor shall be liable for any and all claims for such damage on account of his failure to fully protect all adjacent property. Without limiting, in any way, manner and form, the indemnity provided by Contractor in paragraph 27 hereof, the Contractor agrees to indemnify, save and hold harmless the Owner and Engineer, and any of its officers, agents and employees, against any and all claims or damages due to any injury to any adjacent or adjoining property, related to, arising from or growing out of the performance of this contract. 40. PRICE FOR WORK In consideration of the furnishing of all necessary labor, equipment and material and the completion of all work by the Contractor, and on the delivery of all materials embraced in this contract in full conformity with the specifications and stipulations herein contained, the Owner agrees to pay the Contractor the price set forth in the proposal attached hereto, which has been made a part of this contract, and the Contractor hereby agrees to receive such price in full for furnishing all materials and all labor required for the aforesaid work, also, for all expenses incurred by Contractor and for well and truly performing the same and the whole thereof in the manner and according to this agreement, the attached specifications, plans, contract documents and requirements of Owner's Representative. 41. PAYMENTS No payments made or certificates given shall be considered as conclusive evidence of the performance of the contract, either wholly or in part, nor shall any certificate or payment be considered as acceptance of defective work. Contractor shall at any time requested during the progress of the work furnish the Owner or Owner's Representative with a verifying certificate showing the Contractor's total outstanding indebtedness in connection with the work. Before final payment is made, Contractor shall satisfy Owner, by affidavit or otherwise, that there are no outstanding liens against Owner's premises by reason of any work under the contract. Acceptance by Contractor of final payment of the contract price shall constitute a waiver of all claims against Owner, Owner's agents and employees, which have not theretofore been timely filed as provided in this contract. 42. PARTIAL PAYMENTS On or before the tenth day of each month, the Contractor shall submit to Owner's Representative an application for partial payment or, if the Contractor does not submit such application, the Owner's Representative shall determine the amount to be partially paid. Owner's Representative shall review said application for partial payment if submitted, and the progress of the work made by the Contractor and if found to be in order, shall prepare a certificate for partial payment showing as completely as practical the total value of the work done by the Contractor up to and including the last day of the preceding month. The determination of the partial payment by the Owner's Representative shall be in accordance with Paragraph 14 hereof. The Owner shall then pay the Contractor on or before the fifteenth day of the current month the total amount of the Owner's Representative's Certificate of Partial Payment, less: (i) in the event the total value of the contract is five million dollars or more, 5% of the amount thereof, which 5% shall be retained until final payment, and further, less all previous payments and all further sums that may be retained by Owner under the terms of the contract documents; or (ii) in the event the total value of the contract is less than five million dollars, 10% or less, of the amount thereof, which percentage shall be retained until final payment, and further, less all previous payments and all further sums may be retained by Owner under the terms of the contract documents ("Retainage"). If Contractor engages a sub -contractor to perform all or part of Contractor's work under the contract, the Contractor shall not withhold a greater percentage of Retainage than the percentage set out in in this section pertaining to the Contractor. Contractor shall likewise require any subcontractor it engages to comply with section 2252.032 of the Texas Government Code. Any partial payment made hereunder shall not constitute a waiver by the Owner of any and all other rights to enforce the express terms of the contract documents, and all remedies provided therein, as to any and all work performed, to be performed and/or materials delivered hereunder, including, but limited to, work to which said partial payment is attributable. 43. SUBSTANTIAL COMPLETION Contractor shall give Owner's Representative written notice of substantial completion. Within fifteen (15) calendar days after the Contractor has given the Owner's Representative written notice that the work has been substantially completed, the Owner's Representative and/or the Owner shall inspect the work and within said time, if the work be found to be substantially completed in accordance with the contract documents, the Owner's Representative shall issue to the Owner and Contractor a certificate of substantial completion. The work will be deemed substantially complete when the work (or a specified portion thereof) has progressed to the point where, in the opinion of the Owner or Owner's Representative, the work (or a specified portion thereof) is sufficiently complete, in accordance with all the contract documents, including the Proposal and all applicable technical specifications, so that the work (or a specified portion thereof) can be utilized for the purposes for which it is intended without unscheduled disruption. Owner may, in its sole discretion, release all or a portion of the Retainage upon Owner's receipt of the certificate of substantial completion for all of the work or a specified portion thereof. Notwithstanding the issuance of a certificate of substantial completion, Contractor shall proceed with diligence to finally complete the work within the time provided in this contract. 44. FINAL COMPLETION AND PAYMENT The Contractor shall give written notice to Owner's Representative of final completion. Upon written notice of final completion, the Owner's Representative shall proceed to make final measurement to determine whether final completion has occurred. If the Owner's Representative determines final completion has occurred, Owner's Representative shall so certify to the Owner. Upon certification by Owner's Representative of final completion, Owner shall pay to the Contractor on or before the 31 st working day after the date of certification of final completion, the balance due Contractor under the terms of this agreement. Neither the certification of final completion nor the final payment, nor any provisions in the contract documents shall relieve the Contractor of the obligation for fulfillment of any warranty which may be required in the contract documents and/or any warranty or warranties implied by law or otherwise. Owner may, in its sole discretion, release all or a portion of the Retainage for fully completed and accepted portions of the work. 45. :. Notwithstanding the foregoing, Owner may withhold the Retainage if there is a bona fide dispute between Owner and Contractor according to section 2252.032(f) of the Texas Government Code. CORRECTION OF WORK Contractor shall promptly remove from Owner's premises all materials condemned by the Owner's Representative on account of failure to conform to the contract documents, whether actually incorporated in the work or not, and Contractor shall at its own expense promptly replace such condemned materials with other materials conforming to the requirements of the contract documents. Contractor shall also bear the expense of restoring all work of other contractors damaged by any such removal or replacement. If Contractor does not remove and replace any such condemned work within a reasonable time but not to exceed 30 days after a written notice by the Owner or the Owner's Representative, Owner may remove and replace it at Contractor's expense. The Contractor shall pay all claims, cost, losses, and damages (including but not limited to all fees and charges of the engineers, architects, attorneys, and other professionals and all court or arbitration or other dispute resolution cost) arising out of or relating to such correction or removal. Neither the final payment, nor certification of final completion or substantial completion, nor any provision in the contract documents shall relieve the Contractor of responsibility for faulty materials or workmanship, and Contractor shall remedy any defects due thereto and pay for any damage to other work resulting therefrom, which shall appear within a period of one (1) year from the date of certification of final completion by Owner's Representative. PAYMENT WITHHELD The Owner or Owner's Representative may, on account of subsequently discovered evidence, withhold or nullify the whole or part of any certification to such extent as may be necessary to protect itself from loss on account of - (a) Defective work not remedied and/or work not performed, (b) Claims filed or reasonable evidence indicating possible filing of claims, (c) Damage to another contractor, (d) Notification to owner of failure to make payments to Subcontractors or Suppliers, (e) Failure to submit up-to-date record documents as required, (f) Failure to submit monthly progress schedule updates or revised scheduled as requested by Owner, (g) Failure to provide Project photographs required by Specifications. When the above grounds are removed, or the Contractor provides a surety bond satisfactory to the Owner, in the amount withheld, payment shall be made for amounts withheld because of them. 47. CLAIM OR DISPUTE It is further agreed by both parties hereto that all questions of dispute or adjustment presented by the Contractor shall be in writing and filed with the Owner's Representative within fifteen (15) calendar days after the Owner's Representative has given any direction, order or instruction to which the Contractor desires to take exception. Timely written notice of dispute as provided in this contract of any decision by Owner's Representative or Owner shall be a condition precedent to the bringing and/or assertion of any action or claim by Contractor of any right under this Contract. If the matters set forth in the notice of dispute are not granted or otherwise responded to by Owner's Representative within fifteen (15) calendar days of receipt of notice of dispute by Owner's Representative, said objections shall be deemed denied. Any decision by the Owner's Representative, or deemed denial by the Owner's Representative, shall be final and conclusive in the absence of fraud. It is further agreed that the acceptance by the Contractor of the final payment shall be a bar to any and all claims of the Contractor, and constitute a waiver of the right to assert any claim against Owner, Owner's agents and employees and Owner's Representative, by Contractor. 48. NON-COMPLIANCE AND/OR ABANDONMENT BY CONTRACTOR In case the Contractor should (1) abandon and fail or refuse to resume work within fifteen (15) calendar days after written notification from the Owner or the Owner's Representative, or (2) if the Contractor fails to comply with the written orders of the Owner's Representative, when such orders are consistent with this contract, then the Surety on the bond shall be notified in writing and directed to complete the work and a copy of said notice shall be delivered to the Contractor. In the event a bond is not required by law, or otherwise obtained by the Contractor, no further notice of such non- compliance to Contractor shall be required. After receiving said notice of abandonment or non-compliance , the Contractor shall not remove from the work any machinery, equipment, tools, materials or supplies then on the job, but the same, together with any materials and equipment under the contract for work, may be held for use on the work by the Owner or the Surety of the Contractor, or another contractor, in completion of the work; and the Contractor shall not receive any rental or credit therefore (except when used in connection with Extra Work, where credit shall be allowed as provided for under paragraph 24 of this contract); it being understood that the use of such equipment and materials will ultimately reduce the cost to complete the work and be reflected in the final settlement. In the event the Contractor, or Surety, whichever is applicable, should fail to commence compliance with the notice hereinbefore provided within ten (10) calendar days after service of such notice, and/or shall fail to proceed with diligence to complete the project as contemplated and in compliance with all terms and provisions of the contract documents, then the Owner may exercise any and all remedies available to it pursuant to law, contract, equity or otherwise, including, but not limited to, providing for completion of the work in either of the following elective manners: (a) The Owner may employ such force of persons and use of machinery, equipment, tools, materials and supplies as said Owner may deem necessary to complete the work and charge the expense of such labor, machinery, equipment, tools, materials and supplies to said Contractor, and the expense so charged shall be deducted and paid by the Owner out of such moneys as may be due, or that may thereafter at any time become due to the Contractor under and by virtue of this Agreement. In case such expense is less than the sum which would have been payable under this contract, if the same had been completed by the Contractor, then said Contractor shall receive the difference. In case such expense is greater than the sum which would have been payable under this contract, if the same had been completed by said Contractor, then the Contractor and/or its Surety shall pay the amount of such excess to the Owner; or (b) The Owner, under sealed proposals, after notice published as required by law, at least twice in a newspaper having a general circulation in the County of location of the work, may let the contract for the completion of the work under substantially the same terms and conditions which are provided in this contract. In case of any increase in cost to the Owner under the new contract as compared to what would have been the cost under this contract, such increase shall be charged to the Contractor and the Surety shall be and remain bound therefore. Should the cost to complete any such new contract prove to be less than that which would have been the cost to complete the work under this contract, the Contractor or his Surety shall be credited therewith. In the event the Owner's Representative elects to complete the work, as described above, when the work shall have been finally completed, the Contractor and his Surety shall be so notified and certification of completion as provided in paragraph 44 hereinabove set forth, shall be issued. A complete itemized statement of the contract accounts, certified to by Owner's Representative as being correct shall then be prepared and delivered to Contractor and his Surety, if applicable, whereon the Contractor or his Surety, or the Owner as the case may be, shall pay the balance due as reflected by said statement within 30 days after the date of certification of completion. In the event the statement of accounts shows that the cost to complete the work is less than that which would have been the cost to the Owner had the work been completed by the Contractor under the terms of this contract, or when the Contractor and/or his Surety, if applicable, shall pay the balance shown to be due by them to the Owner, then all machinery, equipment, tools, materials or supplies left on the site of the work shall be turned over to the Contractor and/or his Surety, if applicable. Should the cost to complete the work exceed the contract price, and the Contractor and/or his Surety, if applicable, fail to pay the amount due the Owner within the time designated hereinabove, and there remains any machinery, equipment, tools, materials or supplies on the site of the work, notice thereof, together with an itemized list of such equipment and materials shall be mailed to the Contractor and his Surety, if applicable, at the respective addresses designated in this contract; provided, however, that actual written notice given in any manner will satisfy this condition. After mailing, or other giving of such notice, such property shall be held at the risk of the Contractor and his Surety, if applicable, subject only to the duty of the Owner to exercise ordinary care to protect such property. After fifteen (15) calendar days from the date of said notice the Owner may sell such machinery, equipment, tools, materials or supplies and apply the net sum derived from such sale to the credit of the Contractor and his Surety, if applicable. Such sale may be made at either public or private sale, with or without notice, as the Owner may elect. The Owner shall release any machinery, equipment, tools, materials, or supplies that remain on the jobsite and belong to persons other than the Contractor or his Surety, if applicable, to their proper owners. The remedies provided to Owner by law, equity, contract, or otherwise, shall be cumulative, to the extent permitted by law. It is expressly agreed and understood that the exercise by Owner of the remedies provided in this paragraph shall not constitute an election of remedies on the part of Owner, and Owner, irrespective of its exercise of remedies hereunder, shall be entitled to exercise concurrently or otherwise, any and all other remedies available to it, by law, equity, contract or otherwise, including but not limited to, liquidated damages, as provided in paragraph 34, hereinabove set forth. 49. LIMITATION ON CONTRACTOR'S REMEDY The remedies of Contractor hereunder shall be limited to, and Owner shall be liable only for, work actually performed by Contractor and/or its subcontractors as set forth in the contract documents, and Owner shall not be liable for any consequential, punitive or indirect loss or damage that Contractor may suffer in connection with the project which is the subject matter of this contract. 50. BONDS The Contractor is required to furnish a performance bond in accordance with Chapter 2253, Government Code, in the amount of 100% of the total contract price in the event that said contract price exceeds $100,000 and the Contractor is required to furnish a payment bond in accordance with Chapter 2253, Government Code, in the amount of 100% of the total contract price in the event that said contract price exceeds $50,000. All bonds shall be submitted on forms supplied by the Owner, and executed by a Surety Company listed on the State Treasury's "Approved" list and authorized to do business in the State of Texas. It is further agreed that this contract shall not be in effect until such bonds are so furnished. 51. SPECIAL CONDITIONS In the event special conditions are contained herein as part of the contract documents and said special conditions conflict with any of the general conditions contained in this contract, then in such event the special conditions shall control. 52. LOSS OR EXPENSE DUE TO UNUSUAL OR UNANTICIPATED CIRCUMSTANCES Unless otherwise specified herein, all loss, expense or damage to the Contractor arising out of the nature of the work to be done, or from the action of the elements, or from any unforeseen circumstance or from unusual obstructions or difficulties, naturally occurring, man-made or otherwise, which may be encountered in the prosecution of the work, shall be sustained and borne by the Contractor at his own cost and expense. 53. INDEPENDENT CONTRACTOR Contractor is, and shall remain, an independent contractor with full, complete and exclusive power and authority to direct, supervise, and control its own employees and to determine the method of the performance of the work covered hereby. The fact that the Owner or Owner's Representative shall have the right to observe Contractor's work during Contractor's performance and to carry out the other prerogatives which are expressly reserved to and vested in the Owner or Owner's Representative hereunder, is not intended to and shall not at any time change or effect the status of the Contractor as an independent contractor with respect to either the Owner or Owner's Representative or to the Contractor's own employees or to any other person, firm, or corporation. 54. CLEANING UP The Contractor shall at all times keep the premises free from accumulation of debris caused by the work, and at the completion of the work Contractor shall remove all such debris and also its tools, scaffolding, and surplus materials and shall leave the work room clean or its equivalent. The work shall be left in good order and condition. In case of dispute Owner may remove the debris and charge the cost to the Contractor. 55. HAZARDOUS SUBSTANCES AND ASBESTOS Hazardous Substances (herein so called), as defined in the Comprehensive Environmental Response, Compensation, and Liability Act (42 U.S.C.S. §9601(14)) and the regulations promulgated thereunder, as same may be amended from time to time, hydrocarbons or other petroleum products or byproducts and/or asbestos, in any form, shall not (i) be utilized, in any way, manner or form, in the construction of, or incorporation into, the Project; or (ii) be brought upon, placed, or located, by any party, on the Project site, or any other property of the City, without the written consent of the Owner's Representative. If Contractor believes that the utilization of a Hazardous Substance, hydrocarbons or other petroleum products or byproducts and/or asbestos is necessary in the construction of the Project, or that it is necessary to place and/or otherwise locate upon the site of the Project or other property of the City, a Hazardous Substance, hydrocarbons or other petroleum products or byproducts and/or asbestos, Contractor shall notify the Owner's Representative, and request consent therefrom, at least twenty (20) days prior to such action. Owner's Representative may grant or deny the request of Contractor and provide whatever requirements such consent, if granted, is conditioned upon, in its sole and absolute discretion. If the request of Contractor is not granted, or otherwise not responded to, by Owner's Representative within five (5) days of the receipt of said request, said request shall be deemed to be denied. In the event Owner's Representative shall consent to the request of Contractor, Contractor shall be responsible for ensuring that all personnel involved in the Project are (i) trained for the level of expertise required for proper performance of the actions contemplated by this Contract and, in particular, in all aspects of handling, storage, disposal and exposure of Hazardous Substances, hydrocarbons or other petroleum products or byproducts and/or asbestos; and (ii) are provided and utilize all protective equipment, including without limitation, personal protective gear, necessary to provide protection from exposure to Hazardous Substances, hydrocarbons or other petroleum products or byproducts and/or asbestos. 56. NONAPPROPRIATION All funds for payment by the City under this contract are subject to the availability of an annual appropriation for this purpose by the City. In the event of non -appropriation of funds by the City Council of the City of Lubbock for the goods or services provided under the contract, the City will terminate the contract, without termination charge or other liability, on the last day of the then - current fiscal year or when the appropriation made for the then -current year for the goods or services covered by this contract is spent, whichever event occurs first. If at any time funds are not appropriated for the continuance of this contract, cancellation shall be accepted by the Seller on thirty (30) days prior written notice, but failure to give such notice shall be of no effect and the City shall not be obligated under this contract beyond the date of termination. 57. THE CITY RIGHT TO AUDIT At any time during the term of this Contract and for a period of four (4) years thereafter the City or a duly authorized audit representative of the City, or the State of Texas, at its expense and at reasonable times, reserves the right to audit Contractor's records and books relevant to all services provided under this Contract. In the event such an audit by the City reveals any errors/overpayments by the City, Contractor shall refund the City the full amount of such overpayments within thirty (30) days of such audit findings, or the City, at its option, reserves the right to deduct such amounts owing the City from any payments due Contractor. 58. NON -ARBITRATION The City reserves the right to exercise any right or remedy available to it by law, contract, equity, or otherwise, including without limitation, the right to seek any and all forms of relief in a court of competent jurisdiction. Further, the City shall not be subject to any arbitration process prior to exercising its unrestricted right to seek judicial remedy. The remedies set forth herein are cumulative and not exclusive, and may be exercised concurrently. To the extent of any conflict between this provision and another provision in, or related to, this document, this provision shall control. 59. CONTRACTOR ACKNOWLEDGES Contractor Acknowledges by supplying any Goods or Services that the Contractor has read, fully understands, and will be in full compliance with all terms and conditions and the descriptive material contained herein and any additional associated documents and Amendments. The City disclaims any terms and conditions provided by the Contractor unless agreed upon in writing by the parties. In the event of conflict between these terms and conditions and any terms and conditions provided by the Contractor, the terms and conditions provided herein shall prevail. The terms and conditions provided herein are the final terms agreed upon by the parties, and any prior conflicting terms shall be of no force or effect. 60. LABOR CODE CHAPTER 214 Sec. 214.008. MISCLASSIFICATION OF CERTAIN WORKERS; PENALTY. (a) A person who contracts with a governmental entity to provide a service as defined by Section 2155.001, Government Code, shall properly classify, as an employee or independent contractor in accordance with Chapter 201, any individual the person directly retains and compensates for services performed in connection with the contract. (b) In this subsection, "subcontractor" means a person directly retained and compensated by a person who contracts with a governmental entity to provide a service as defined by Section 2155.001, Government Code. A subcontractor shall properly classify, as an employee or independent contractor in accordance with Chapter 201, any individual the subcontractor directly retains and compensates for services performed in connection with the contract for which the subcontractor is retained. (c) A person who fails to properly classify an individual as required by Subsection (a) or (b) shall pay to the commission a penalty equal to $200 for each individual that the person has not properly classified. (d) The commission may not take action to collect a penalty under this section from a person after the third anniversary of the date on which the violation occurred. 61. CERTIFICATE OF INTERESTED PARTIES House Bill 1295, adopted by the 84th Legislature, created §2252.908, Texas Government Code. Section 2252.908 requires a business entity entering into certain contracts with a governmental entity or state agency to file with the governmental entity or state agency a disclosure of interested parties at the time the business entity submits the signed contract to the governmental entity or state agency. Section 2252.908 requires the disclosure form to be signed by the authorized agent of the contracting business entity, acknowledging that the disclosure is made under oath and under penalty of perjury. Section 2252.908 applies only to a contract that requires an action or vote by the governing body of the governmental entity or state agency before the contract may be signed or has a value of at least $1 million. Instructions for completing Form 1295 are available at: https:Hci.lubbock.tx.us/departments/purchasing/vendor-information 62. TEXAS GOVERNMENT CODE SECTION 2252.152 Contracts with Companies Engaged in Business with Iran, Sudan, or Foreign Terrorist Organization Prohibited. Pursuant to Section 2252.152 of the Texas Government Code, prohibits the City from entering into a contract with a vendor that is identified by The Comptroller as a company known to have contracts with or provide supplies or service with Iran, Sudan or a foreign terrorist organization. 63. TEXAS GOVERNMENT CODE SECTION 2271.002 Pursuant to Section 2271.002 of the Texas Government Code, a) This section applies only to a contract that: (1) is between a governmental entity and a company with 10 or more full-time employees; and (2) has a value of $100,000 or more that is to be paid wholly or partly from public funds of the governmental entity. (b) A governmental entity may not enter into a contract with a company for goods or services unless the contract contains a written verification from the company that it: (1) does not boycott Israel; and (2) will not boycott Israel during the term of the contract. 64. CONTRACTOR ACKNOWLEDGES Contractor Acknowledges by supplying any Goods or Services that the Contractor has read, fully understands, and will be in full compliance with all terms and conditions and the descriptive material contained herein and any additional associated documents and Amendments. The City disclaims any terms and conditions provided by the Contractor unless agreed upon in writing by the parties. In the event of conflict between these terms and conditions and any terms and conditions provided by the Contractor, the terms and conditions provided herein shall prevail. The terms and conditions provided herein are the final terms agreed upon by the parties, and any prior conflicting terms shall be of no force or effect. 65. TEXAS PUBLIC INFORMATION ACT The requirements of Subchapter J, Chapter 552, Government Code, may apply to this contract and the contractor or vendor agrees that the contract can be terminated if the contractor or vendor knowingly or intentionally fails to comply with a requirement of that subchapter. To the extent Subchapter J, Chapter 552, Government Code applies to this agreement, Contractor agrees to: (1) preserve all contracting information related to the contract as provided by the records retention requirements applicable to the governmental body for the duration of the contract; (2) promptly provide to the governmental body any contracting information related to the contract that is in the custody or possession of the entity on request of the governmental body; and (3) on completion of the contract, either: (A) provide at no cost to the governmental body all contracting information related to the contract that is in the custody or possession of the entity; or (B) preserve the contracting information related to the contract as provided by the records retention requirements applicable to the governmental body. 66. CONFIDENTIALITY The Contractor shall retain all information received from or concerning the City and the City's business in strictest confidence and shall not reveal such information to third parties without prior written consent of the City, unless otherwise required by law. 67. INDEMNITY The Contractor shall indemnify and save harmless the city of Lubbock and its elected officials, officers, agents, and employees from all suits, actions, losses, damages, claims, or liability of any kind, character, type, or description, including without limiting the generality of the foregoing, all expenses of litigation, court costs, and attorney's fees, for injury or death to any person, or injury to any property, received or sustained by any person or persons or property, to the extent arising out of, related to or occasioned by, the negligent acts of the Contractor, its agents, employees, and/or subcontractors, related to the performance, operations or omissions under this agreement and/or the use or occupation of city owned property. The indemnity obligation provided herein shall survive the expiration or termination of this agreement. 68. PROFESSIONAL RESPONSIBILITY All architectural or engineering services to be performed shall be done with the professional skill and care ordinarily provided by competent architects or engineers practicing under the same or similar circumstances and professional license. 69. TEXAS SENATE BILL 219 SUBCHAPTER B ITEMS B AND C (b) A contractor must, within a reasonable time of learning of a defect, inaccuracy, inadequacy, or insufficiency in the plans, specifications, or other design documents, disclose in writing to the person with whom the contractor enters into a contract the existence of any known defect in the plans, specifications, or other design documents that is discovered by the contractor, or that reasonably should have been discovered by the contractor using diligence, before or during construction. In this subsection, ordinary diligence means the observations of the plans, specifications, or other design documents or the improvement to real property that a contractor would make in the reasonable preparation of a bid or fulfillment of its scope of work under normal circumstances. Ordinary diligence does not require that the contractor engage a person licensed or registered under Title 6, Occupations Code, or any other person with specialized skills. A disclosure under this subsection is made in the contractor's capacity as contractor and not as a licensed professional under Title 6, Occupations Code. (c) A contractor who fails to disclose a defect as required by Subsection (b) may be liable for the consequences of defects that result from the failure to disclose. DAVIS BACON WAGE DETERMINATIONS Page Intentionally Left Blank EXHIBIT A Davis Bacon Wage Determinations Page Intentionally Left Blank "General Decision Number: TX20220280 10/14/2022 Superseded General Decision Number: TX20210280 State: Texas Construction Type: Building Counties: Crosby and Lubbock Counties in Texas. BUILDING CONSTRUCTION PROJECTS (does not include single family homes or apartments up to and including 4 stories). Note: Contracts subject to the Davis -Bacon Act are generally required to pay at least the applicable minimum wage rate required under Executive Order 14026 or Executive Order 13658. Please note that these Executive Orders apply to covered contracts entered into by the federal government that are subject to the Davis -Bacon Act itself, but do not apply to contracts subject only to the Davis -Bacon Related Acts, including those set forth at 29 CFR 5.1(a)(2)-(60). 1If the contract is entered �. into on or after January 30, 12022, or the contract is renewed or extended (e.g., an �. loption is exercised) on or lafter January 30, 2022: 1 1 1 1 1 1 1 I_ 1If the contract was awarded onl. for between January 1, 2015 andl January 29, 2022, and the contract is not renewed or �. lextended on or after January 130, 2022: 1 1 1 1 1 1 1 1 1 1 1 1 1 Executive Order 14026 generally applies to the contract. The contractor must pay all covered workers at least $15.00 per hour (or the applicable wage rate listed on this wage determination, if it is higher) for all hours spent performing on the contract in 2022. Executive Order 13658 generally applies to the contract. The contractor must pay alll covered workers at least $11.25 per hour (or the applicable wage rate listed) on this wage determination,1 if it is higher) for all hours spent performing on that contract in 2022. The applicable Executive Order minimum wage rate will be adjusted annually. If this contract is covered by one of the Executive Orders and a classification considered necessary for performance of work on the contract does not appear on this wage determination, the contractor must still submit a conformance request. Additional information on contractor requirements and worker protections under the Executive Orders is available at https://www.dol.gov/agencies/whd/government-contracts. Modification Number Publication Date 0 01/07/2022 1 02/25/2022 2 03/25/2022 3 08/05/2022 4 10/14/2022 BOIL0074-003 01/01/2021 Rates Fringes BOILERMAKER ......................$ 29.47 24.10 ---------------------------------------------------------------- CARP0665-001 01/01/2022 Rates Fringes CARPENTER ........................$ 24.98 7.83 ---------------------------------------------------------------- * ELEC0602-008 09/01/2022 Rates Fringes ELECTRICIAN ......................$ 26.07 12.63 ---------------------------------------------------------------- ENGI0178-005 06/01/2020 Rates Fringes POWER EQUIPMENT OPERATOR (1) Tower Crane .............$ 32.85 13.10 (2) Cranes with Pile Driving or Caisson Attachment and Hydraulic Crane 60 tons and above.....$ 28.75 10.60 (3) Hydraulic cranes 59 Tons and under ..............$ 32.35 13.10 ---------------------------------------------------------------- IRON0084-011 06/01/2022 Rates Fringes IRONWORKER, ORNAMENTAL ........... $ 26.76 7.88 ---------------------------------------------------------------- IRON0263-003 06/01/2022 Rates Fringes IRONWORKER, STRUCTURAL ........... $ 27.14 7.68 ---------------------------------------------------------------- PLUM0404-001 09/01/2020 Rates Fringes PLUMBER ..........................$ 26.05 8.81 ---------------------------------------------------------------- SHEE0049-001 04/01/2019 Rates Fringes SHEET METAL WORKER (HVAC Duct Installation Only) ...............$ 21.73 14.94 ---------------------------------------------------------------- * SUTX2014-060 07/21/2014 Rates Fringes BRICKLAYER .......................$ 20.04 0.00 CEMENT MASON/CONCRETE FINISHER...$ 19.60 0.00 INSULATOR - MECHANICAL (Duct, Pipe & Mechanical System Insulation) ...............$ 19.77 7.13 IRONWORKER, REINFORCING..........$ 12.27 ** 0.00 LABORER: Common or General......$ 12.35 ** 0.00 LABORER: Mason Tender - Brick...$ 11.36 ** 0.00 LABORER: Mason Tender - Cement/Concrete..................$ 10.58 ** 0.00 LABORER: Pipelayer..............$ 12.49 ** 2.13 LABORER: Roof Tearoff...........$ 11.28 ** 0.00 OPERATOR: Backhoe/Excavator/Trackhoe.......$ 14.25 ** 0.00 OPERATOR: Bobcat/Skid Steer/Skid Loader ................$ 13.93 ** 0.00 OPERATOR: Bulldozer .............$ 18.29 1.31 OPERATOR: Drill .................$ 16.22 0.34 OPERATOR: Forklift ..............$ 14.83 ** 0.00 OPERATOR: Grader/Blade..........$ 13.37 ** 0.00 OPERATOR: Loader ................$ 13.55 ** 0.94 OPERATOR: Mechanic ..............$ 17.52 3.33 OPERATOR: Paver (Asphalt, Aggregate, and Concrete).........$ 16.03 0.00 OPERATOR: Roller ................$ 12.70 ** 0.00 PAINTER (Brush, Roller, and Spray) ...........................$ 14.27 ** 0.00 ROOFER ...........................$ 13.75 ** 0.00 SHEET METAL WORKER, Excludes HVAC Duct Installation ........... $ 21.13 6.53 TILE FINISHER ....................$ 11.22 ** 0.00 TILE SETTER ......................$ 14.00 ** 2.01 TRUCK DRIVER: Dump Truck ........ $ 12.39 ** 1.18 TRUCK DRIVER: Flatbed Truck ..... $ 19.65 8.57 TRUCK DRIVER: Semi -Trailer Truck ............................$ 12.50 ** 0.00 TRUCK DRIVER: Water Truck ....... $ 12.00 ** 4.11 ---------------------------------------------------------------- WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ---------------------------------------------------------------- ** Workers in this classification may be entitled to a higher minimum wage under Executive Order 14026 ($15.00) or 13658 ($11.25). Please see the Note at the top of the wage determination for more information. Note: Executive Order (ED) 13706, Establishing Paid Sick Leave for Federal Contractors applies to all contracts subject to the Davis -Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2017. If this contract is covered by the ED, the contractor must provide employees with 1 hour of paid sick leave for every 30 hours they work, up to 56 hours of paid sick leave each year. Employees must be permitted to use paid sick leave for their own illness, injury or other health -related needs, including preventive care; to assist a family member (or person who is like family to the employee) who is ill, injured, or has other health -related needs, including preventive care; or for reasons resulting from, or to assist a family member (or person who is like family to the employee) who is a victim of, domestic violence, sexual assault, or stalking. Additional information on contractor requirements and worker protections under the EO is available at https://www.dol.gov/agencies/whd/government-contracts. Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). The body of each wage determination lists the classification and wage rates that have been found to be prevailing for the cited type(s) of construction in the area covered by the wage determination. The classifications are listed in alphabetical order of ""identifiers"" that indicate whether the particular rate is a union rate (current union negotiated rate for local), a survey rate (weighted average rate) or a union average rate (weighted union average rate). Union Rate Identifiers A four letter classification abbreviation identifier enclosed in dotted lines beginning with characters other than ""SU"" or "'UAVG"" denotes that the union classification and rate were prevailing for that classification in the survey. Example: PLUM0198-005 07/01/2014. PLUM is an abbreviation identifier of the union which prevailed in the survey for this classification, which in this example would be Plumbers. 0198 indicates the local union number or district council number where applicable, i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. 07/01/2014 is the effective date of the most current negotiated rate, which in this example is July 1, 2014. Union prevailing wage rates are updated to reflect all rate changes in the collective bargaining agreement (CBA) governing this classification and rate. Survey Rate Identifiers Classifications listed under the ""SU"" identifier indicate that no one rate prevailed for this classification in the survey and the published rate is derived by computing a weighted average rate based on all the rates reported in the survey for that classification. As this weighted average rate includes all rates reported in the survey, it may include both union and non -union rates. Example: SULA2012-007 5/13/2014. SU indicates the rates are survey rates based on a weighted average calculation of rates and are not majority rates. LA indicates the State of Louisiana. 2012 is the year of survey on which these classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination. 5/13/2014 indicates the survey completion date for the classifications and rates under that identifier. Survey wage rates are not updated and remain in effect until a new survey is conducted. Union Average Rate Identifiers Classification(s) listed under the UAVG identifier indicate that no single majority rate prevailed for those classifications; however, 100% of the data reported for the classifications was union data. EXAMPLE: UAVG-OH-0010 08/29/2014. UAVG indicates that the rate is a weighted union average rate. OH indicates the state. The next number, 0010 in the example, is an internal number used in producing the wage determination. 08/29/2014 indicates the survey completion date for the classifications and rates under that identifier. A UAVG rate will be updated once a year, usually in January of each year, to reflect a weighted average of the current negotiated/CBA rate of the union locals from which the rate is based. WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour National Office because National Office has responsibility for the Davis -Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. END OF GENERAL DECISIO" Page Intentionally Left Blank EXHIBITS B & C City of Lubbock Overtime Legal Holiday Prevailing Wage Rates The rate for overtime (in excess of forty hours per week) shall be as required by the Fair Labor Standards Act. The rate for legal holidays shall be as required by the Fair Labor Standards Act. Page Intentionally Left Blank SPECIFICATIONS Page Intentionally Left Blank LUBBOCK PRESTON AIRPORT (LBB) WAREHOUSE 720 ROOD REPLACEMENT - PROJECT MANUAL ISSUE DATE: AUGUST 79, 2022 RS&H LUBBOCK PRESTON SMITH INT'L AIRPORT (LBB): WAREHOUSE 720 ROC REPLACEMENT PROJECT MANUAL August 19, 2022 RS&H N Lubbock, TX 223187, Prepared by RS&H, Inc. at the direction of Lubbock Intl. Airpor RSM LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT TABLE OF CONTENTS BID INFORMATION Pages Appendix B — Certification for Federal Aid Contracts................................................................................. 2 FederalRequirements................................................................................................................................. 10 Participation by Disadvantage Business Enterprises (Title 49 CFR, Part 26)............................................ 92 SpecialNotice for W-9................................................................................................................................. 2 W-9 Form.................................................................................................................6 FAA General Provisions (AC No: 150/5370-1 OH, Part 1 and 2,12/21/2018).................................88 Mandatory Federal Contract Provisions..................................................................................................... 78 SupplementalProvisions............................................................................................................................... 8 TECHNICAL SPECIFICATIONS DIVISION 0 - PROCUREMENT AND CONTRACTING REQUIREMENTS 00 01 07.1 Seals Page — Structural................................................................................................. 00 01 07.2 Seals Page — Architectural............................................................................................ DIVISION 1- GENERAL REOUIREMENTS 01 1000 Summary of Work.......................................................................................................... 01 25 00 Products and Substitutions............................................................................................. 01 26 00 Contract Modification Procedures.................................................................................. 01 29 00 Applications for Payment............................................................................................... 01 31 00 Project Management and Coordination.......................................................................... 01 32 00 Project Meetings............................................................................................................. 01 33 00 Submittal Procedures...................................................................................................... 01 40 00 Quality Control............................................................................................................... 01 42 00 References....................................................................................................................... 01 45 00 Statement of Special Inspections.................................................................................... 01 50 00 Temporary Facilities and Controls.................................................................................. 01 55 00 Field Engineering............................................................................................................ 01 61 16 VOC Content Restrictions.............................................................................................. 01 74 00 Warranties....................................................................................................................... 01 77 00 Close Out Procedures...................................................................................................... G-101 Existing Condition Information...................................................................................... G-103 Project Coordination....................................................................................................... G-104 Project Meetings............................................................................................................. G-106 Submittals....................................................................................................................... G-107 Substitution Procedures.................................................................................................. G-108 Materials and Equipment................................................................................................ G-109 Inclement Weather Days................................................................................................. G-112 Project Closeout.............................................................................................................. G-201 Safety and Security......................................................................................................... G-202 Survey and Stakeout....................................................................................................... G-205 Temporary Construction Items....................................................................................... 2 2 .6 .8 .6 .6 .6 .4 10 .4 .4 .4 .8 .2 .4 .4 .6 .2 .8 .4 .4 .4 .4 .2 .4 12 .2 .4 DIVISION 2 — EXISTING CONDITIONS 02 07 00 Selective Demolition and Preparation................................................................................ 4 TABLE OF CONTENTS TOC PAGE 1 of 2 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT DIVISION 7 — THERMAL AND MOISTURE PROTECTION 0741 13 Preformed Metal Standing Seam Roofing.......................................................................... 9 07 62 00 Sheet Metal Flashing and Trim (Gutters & Downspouts) .................................................. 3 07 92 00 Joint Sealant........................................................................................................................ 5 Attachments Drawings TABLE OF CONTENTS TOC PAGE 2 of 2 LUBBOCK PRESTON SMITH 1NT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT APPENDIX B 2231874.005 B CERTIFICATION FOR FEDERAL -AID CONTRACTS The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his/her knowledge and belief, that: 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 any federal 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 federal 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. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. The prospective participant also agrees by submitting his/her bid or proposal that he/she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such sub -recipients shall certify and disclose accordingly. CERTIFICATION FOR FEDERAL -AID CONTRACTS PAGE 1 of 2 LUBBOCK PRESTON SMITH 1NT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT [THIS PAGE HAS BEEN INTENTIONALLY BLANK] 2231874.005 B CERTIFICATION FOR FEDERAL -AID CONTRACTS PAGE 2 of 2 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B TEXAS DEPARTMENT OF TRANSPORTATION AIRPORTS DIVISION -AIRPORTS PROGRAM FEDERAL REQUIREMENTS CIVIL RIGHTS ACT OF 1964, TITLE VI - 49 CFR PART 21 CONTRACTUAL REQUIREMENTS (VERSION 1, 1/5/90) During the performance of this contract, the contractor, for itself, its assignees and successors in interest (hereinafter referred to as the "contractor") agrees as follows: 1. Compliance with Regulations. The contractor shall comply with the Regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation (hereinafter, "DOT") 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 contract 2. Nondiscrimination. The contractor, with regard to the work performed by it during the contract, shall not discriminate on the grounds of race, color, or national origin in die selection and retention of subcontractors, including procurement of materials and leases of equipment. The contractor shall not participate either directly or indirectly in the disc rimdnation prohibited by section 21.5 of the Regulations, including employment practices when the contract covers aprogram set forth in Appendix B of the Regulations. 3. Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all solicitations either by competitive bidding or negotiation made by the contractor for work to be performed under subcontract, including procurements of materials or leases of equipment, each potential subcontractor or supplier shall be notified by the contractor of the contractor's obligations under this contract and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin. Information and Reports. The contractor shall provided all information and reports required by die Regulations or directives issued pursuant thereto and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the Sponsor or the Federal Aviation Administration (FAA) to be pertinent to ascertain compliance with such Regulations, orders, and instructions. Where any information required of a contractor is in the exclusive possessionof another who fails orrefuses to furnish this information, the contractor shall so certify to the sponsor or the FAA, as appropriate, and shall set forth what efforts it has made to obtain the information. Sanctions for Noncompliance. In the event of the contractor's noncompliance with the nondiscrimination provisions of this contract, the sponsor shall impose such contract sanctions as it or the FAA may determine to be appropriate including, but not limited to: a. Withholding of payments to the contractor under the contract until the contractor imp lies, and/or b. Cancellation, termination, or suspension of the contract, in whole or in part. Incorporation of Provisions. The contractor shall include the provisions of paragraphs 1 through 5 in every subcontract, including procurement of materials and leases of equipment, unless exempt by the Regulations or directives issued pursuant thereto. The contractor shall take such action with respect to any subcontract or procurement as the sponsor or the FAA may direct as a means of enforcing such provisions including sanctions for noncompliance Provided, however; that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or supplier as a result of such direction, the contractor may request the Sponsor to enter into such litigation to protect the interests of the sponsor and, in addition, the contractor may request the United States to enter into such litigation to protect the interests of the United States. AIRPORTAND AIRWAY IMPROVEMENT ACT OF 1982, SECTION 520 GENERAL CIVIL RIGHTS PROVISIONS (VERSION2, 4/23/90) The contractor/tenant/concessionaire/lessee assures that it will comply with pertinent statutes, Executive orders and such rules as are promulgated to assure that no person shall, on the grounds of race, creed, color, national origin, sex, age, or handicap be excluded from participating in any activity conducted with or benefiting from Federal assistance. This provision obligates the tenant/concessionaire/lessee or its transferee for the period during which Federal assistance is extended to the airport program, except where Federal assistance is to provide, or is in the form of personal property or real property or interest therein or structures or improvements thereon. In these cases the provision obligates the party or any transferee for the longer of the following periods: (a) the period during which the property is used by the airport sponsor or any transferee for a purpose for which Federal assistance is extended, or for anotherpurpose involving the provision of similar services or benefits or (b) the period during which the airport sponsor or any transferee retains ownership or possession of the property. In the case of contractors, this provision binds the contractors from the bid solicitation p eriod through the completion of the contract. INSPECTION OF RECORDS - 49 CFR PART 18 (VERSION 1, 1/5/90) The contractor shall maintain an acceptable cost accounting system. The Sponsor, the FAA, and the Comptroller General of the United States shall have access to any books, documents, paper, and reeords of the contractor which are directly pertinent to the specific contract for the purposes of making an audit, examination, excerpts, and transcriptions. The contractor shall maintain all required records for three years after the Sponsor makes final payment and all other pending matters are closed.. RIGHTS TO INVENTIONS - 49 CFR PART 18 (VERSION 1, 1/5/90) All rights to inventions and materials generated under this contract are subject to regulations issued by the FAA and the Sponsor of the Federal grant under which this contract is executed. Information regarding these rights is available from the FAA and the Sponsor. BREACH OF CONTRACT TERMS SANCTIONS - 49 CFR PART 18 FAA APPROVED: 1/25/91 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B (VERSION 1, 1/5/90) Any violation or breach of the terms of this contract on the part of the contractor or subcontractor may result in the suspension or termination of this contractor such other action which may be necessary to enforce the rights of the parties of this agreement. DBE REQUIRED STATEMENTS - 49 CFR PART 26 3/4/1999 Policy. It is the policy of the Department of Transportation that disadvantaged business enterprises as defined in 49 CFR Part 26 shall have the maximum opportunity to participate in the performance of contracts financed in whole or in part with Federal funds under thisagreement. Consequently, the DBErequirements of 49 CFR Part 26 apply to this agreement. DBE Obligation. The recipient or its contractor agrees to ensure that disadvantaged business enterprises as defined in 49 CFR Part 26 have the maximum opportunity to participate in the performance of contracts financed in while or in part with Federal funds provided under this agreement. In this regard all recipients or contractors shall take all necessary and reasonable steps in accordance with 49 CFR Part 26 to ensure that disadvantaged business enterprises have the maximum opportunity to compete for and perform contracts. Recipients and their contractors shall not discriminate on the basis of race, color, national on gin, or sex in the award and performance ofDOT-assisted contracts. TRADE RESTRICTION CLAUSE - 49 CFR PART 30 (VERSION 1, 1/5/90) The contractor or subcontractor, by submission of an offer and/or execution of a contract, certifies that it: a. is not owned or controlled by one or more citizens of a foreign country included in the list of countries that discriminate against U.S. firms published by the Office of the United States Trade Representative (USTR); b. has not knowingly entered into any contract or subcontract for this project with a person that is a citizen or national of a foreign country on said list, or is owned or controlled directly or indirectly by one or more citizens or nationals of a foreign country on said list; c. has not procured any product nor sub contracted for the supply of any product for use on the project that is produced in a foreign country on said list. Unless the restriction of this clause are waived by the Secretary of Transportation in accordance with 49 CFR 30.17, no contract shall be awarded m a contractor or subcontractor who is unable to certify to the above. If the contractor knowingly procures or subcontracts for the supply of any product or service of a foreign country on said list for use on the project, the Federal Aviation Administration may direct through the Sponsor cancellation ofthe contract at no cost to the Government Further, the contractor agrees that, if awarded a contract resulting from this solicitation, it will incorporate this provision for certification without modification in each contract and in all lower tier subcontracts. The contractor may rely on the certification of a prospective subcontractor unless it has knowledge that the certification is erroneous. The contractor shall provide immediate written notice to the sponsor if the contractor learns that its certification or that of a subcontractor was erroneous when submitted or has become erroneous by reason of changed circumstances. The subcontractor agrees to provide written notice to the contractor if at anytime it learns that its certification was erroneous by reason of changed circumstances. This certification is a material representation of fact upon which reliance was placed when making the award. If it is later determined that the contractor or subcontractor knowingly rendered an erroneous certification, the Federal Aviation Administration may direct through the Sponsor cancellation of the contract or subcontract for default at no cost to the Government 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 b y this provision. The knowledge and information of a contractor is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings This certification concerns a matterwithin the jurisdiction of an agency of the United States of America and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosection under Title 18, United States Code, Section 1001. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY, AND VOLUNTARY EXCLUSION - 49 CFR PART 29 (VERSION 1, 1/5/90) For all contracts in excess of $25,000: The bidder/offeror certifies, by submission of this proposal or acceptance ofthis contract, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency. It further agrees by submitting this proposal that it will include this clause without modification in all lowertier transactions, solicitations, proposals, contracts, and subcontracts. Where the bidder/offeror/contractor or any lower tierparticipant is unable to certify to this statement, it shall attach an explanation to this solicitation/proposal. AIRPORT AND AIRWAY IMPROVEMENT ACT OF 1982, SECTION515 - VETERAN'S PREFERENCE (VERSION 1, 1/5/90) In the employment of labor (except in executive, administrative, and supervisory positions), preference shall be given to veterans of the Vietnam era and disabled veterans. However, this preference shall apply only where the individuals are available and qualified to perform the work to which the employment relates. TERMINATION OF CONTRACT - 49 CFR PART 18 (VERSION 1, 1/5/90) For contracts in excess of $10,000 the contractor hereby agrees to the following: 1. The Sponsor may, by written notice, terminate finis contract in whole or in part at nay time, either for the Sponsor's convenience or because of failure to fulfill the contract obligations. Upon receipt of such notice services shall be immediately discontinued (unless the notice directs otherwise) and all materials as may have been accumulated in performing this contract, whether completed orin progress, delivered to the Sponsor. LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. If the termination is for the convenience ofthe Sponsor, an equitable adjustment in the contract price shall be made, but no amount shall be allowed for anticipated profit on unperformed services. 3. If the termination is due to failure to fulfil the contractor's obligations, the Sponsor may take over the work and prosecute the same to completion by contractor otherwise. In such case, the contractor shall be liable to the Sponsor for any additional cost occasioned to the Sponsor thereby. 4. If, after notice of termination for failure to fulfill contract obligations, it is determined that the contractor had not so failed, the termination shall be deemed to have been effected for the convenience of the Sponsor. In such event, adjustment in the contract price shall be made as provided in paragraph 2 ofthis clause. 5. The rights and remedies of the sponsor provided in this clause are in additi on to any other rights and remedies provided by law or under this contract CLEAN AIR AND WATER POLLUTION CONTROL REQUIREMENTS (VERSION 2, 4/23/90) For contracts in excess of $100,000 the contractors and subcontractors agree: a. That any facility to be used in the performance of the contract or subcontract or to benefit from the contract is not listed on the Environmental Protection Agency (EPA) List of Violating Facilities; b. To comply with all the requirements of Section 114 of the Clean Air Act, as amended, 42 U.S.C. 1857 et seq. and Section 308 of the Federal Water Pollution Control Act as amended, 33 U.S.C. 1251 et seq. relating to inspection, monitoring, entry, reports, and information, as well as all other requirements specified in Section 114 and Section 308 of the Acts, respectively, and all other regulations and guidelines issued thereunder; c. That, as a condition for the award of this contract, the contractor or subcontractor will notify the awarding official of the receipt of any communication from the EPA indicating that a facility to be used for the performance of or benefit from the contract is under consideration to be listed on the EPA List of Violating Facilities; d. To included or cause tobe included in any construction contract or subcontract which exceeds 100,000 the aforementioned criteria and requirements. DAVIS BACON REQUIREMENT - 29 CFR PART 5 (VERSION 2, 4/23/90) This section shall applyto all contracts in excess of $2,000: (1) Minimum Wages. (I) Al laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by the Secretary of Laborunder the Copeland Act (29 CFR Part 3)), the full amount of wages and bona fide fringe benefits ( or cash equivalent thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis - Bacon Act on b ehalf of laborers or mechanics are considered wages paid to laborers or mechanics, subject to the provisions of paragraph (IXiv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weeklyperiod. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under (1)(ii) of this section) and the Davis -Bacon poster (WH 1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can easilybe seen by the workers. (ii)(A) The contacting officer shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determinations; and (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefit where appropriate) a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, D.C. 20210. The Administrator, or an authorized representative, will approve, modify, ordisapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (Approved by the Office of Management and Budget under OMB Control Number 1215- 0140). (C) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determinat ion. The Administrator, or an authorized representative, will issue a determination within 30 days ofreceipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B (Approved by the Office of Management and Budgetunder OMB Control Number 1215-0140). (D) The wage rate (including fringe b enefits where appropriate) determined pursuant to subparagraphs (1)(B) or © of this paragraph, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourlyrate, the contractor shall either pay the benefit as stated in the wage determination or shall pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request ofthe contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. (Approved by the Office of Management and Budget under OMB Control Number 1215-0140). (2) Withholding. The Federal Aviation Administration orthe Sponsor shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to Davis -Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the ac crued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed bythe contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechaniq including any apprentice, trainee, or helper, employed or working on the site of work, all or part of the wages required bythe contract, the Federal Aviation Administration may, after written notce to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (3) Payrolls and basic records. (I) Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security numb er of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or casts anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in l (b)(2)(B) of the Davis -Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. When ever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv)that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis -Bacon Act the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual costs incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (Approved by the Office of Management and Budget under OMB Control Numbers 1215- 0140 and 1215-0017). (ii)(A) The contractor shall submit weekly, for each week in which any contract work is performed, a copy of all payrolls to the applicant, sponsor, or owner, as the case may be, for transmission to the Federal Aviation Administration. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under paragraph 5.5(ax3)(I) above. This information may be submitted in anyform desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office, Washington, D.C. 20402. Theprime contractor is responsible for the submission of copies of payrolls by all subcontractors. (Approved by the Office of Management and Budget under OMB Control Number 1215-0149). (B) Each payroll submitted shall be accompanied by a"Statement of Compliance," signed bythe contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) That the payroll for the payroll period contains the information required to be maintained under paragraph (3XI) above and that such information is correct and complete; (2) That each laborer and mechanic (including each helper, apprentice and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations 29 CFR Part 3; (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required byparagraph (3xii)(B) ofthis section. (D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or crimin al prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code. (ii) The contractor or subcontractor shall make the records required under paragraph (3)(I) of this section available for inspection, copying or transcription by authorized representatives of the Sponsor, the Federal Aviation Administration or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submi t the required records or to make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant or owner, take such action as may be necessary to can se the suspensi on of any further payment, advance, or guarantee of fronds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. (4) Apprentices and Trainees. (I) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as in apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall notbe greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the jab site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprent ice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails forthe applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an apprenticeship program, fine contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe bents in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for th e clas sifi cati on of w ork actua lly per forme d. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the con tractor will no longer be permitted t o utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal Employment Opportunity. The utilization of apprentices, trainees and journeymen under this part shall be in conformitywith the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30. (5) Compliance With Copeland Act Requirements. The contractor shall comply with the requirements of 29 CFR Part 3, which are incorporated by reference in this contract. (6) Subcontracts. The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR Part 5.5(a)(1) through (10) and such other clauses as the Federal Aviation Administration may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR Part 5.5. (7) Contract Termination: Debarment. A breach of the contract clauses in paragraph (1) through (10) ofthis section and paragraphs (I)through (5) of the next section belowmay be grounds for termination of the contract, and for the debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. (8) Compliance With Davis -Bacon and Related Act Requirements. All rulings and interpretations of the Davis-B aeon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract. (9) Disputes Concerning Labor Standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resoled in accordance with the procedures of die Department of Labor set forth in 29 CFR Parts 5, 6 and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. (10) Certification of Eligibility. (I) By entering into this contract, the contractor certifies that neither it (nor he or she)nor any person or firm who has an interest in the contractor's firm is a p erson or firm inch gible to be awarded Government contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12 (a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. CONTRACT WORK HOURS AND SAFETY STANDARDS ACT REQUIREMENTS - 29 CFR PART 5 (VERSION 1, 1/5/90) For contracts in excess of $2,000 the contractor hereby agrees to the following: (1) Overtime Requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic, including watchmen and guards, in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. (2) Violation; Liability for Unpaid Wages; Liquidated Damages. In the event of any violation ofthe clause set forth in paragraph 1 above, the contractor or any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damagcs shall be computed with respect to each individual laborer ormechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph 1, above, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph 1 above. (3) Withholding for Unpaid Wages and liquidated Damages. The Federal Aviation Administration or the Sponsor shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any monies payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other Federally -assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as maybe determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 2 above. (4) Subcontractors. The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs 1 through 4 and also a clause requiring the subcontractor to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs 1 through 4. (5) Working Conditions. No contractor or subcontractor may require any laborer or mechanic employed in the performance of any contract to work in surroundings or under working conditions that are unsanitary, hazardous or dangerous to his health or safety as determined under construction safetyand health standards (29 CFR Part 1926) issued by the Department of Labor. EQUAL EMPLOYMENT OPPORTUNITY 41 CFR PART 60 - 1.4(b) (VERSION 1, 1/5/90) This section shall applyto contracts in excess of$10,000. During the performance of this contract, the contractor agrees as follows: The contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin The contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to the following: Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. 2. The contractor will, in all solicitations or advertisements for employees placed by or on behalf cc the contractor, state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex, or national origin 3. The contractor will send to each labor union or representative of workers with which he has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment. 4. The contractor will comply with all provisions of Executive Order 11246 of September 24,1965, as amended, and of the rules, regulations, and relevant orders of the Secretary of Labor. 5. The contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. In the event of the contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated or suspended in whole or in part and the contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedure authorized in Executive Order 11246 of September 24, 1965, and such other san ctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwi se provided by law. 7. The contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The contractor will take such action with respect to any subcontract or pure base order as the administering agencymay direct as a means of enforcing such provision, including sanctions for noncompliance: Provided, however; that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency the contractor may request the United States to enter into such litigation to protect the interest of the United States. NOTICES TO BE POSTED PER PARAGRAPHS (1) AND (3) OF THE EEO CLAUSE 41 CFR PART 60 - 1.4(b) (VERSION 1, 1/5/90) Equal Employment Opportunity is the Law - Discrimination is Prohibited b y the Civil Right s Act of 1964 an d by Executive Ord er No. 11246 Title VII of the C ivil Rights Act of 1964 - Administered by: The Equal Employment Opportunity Commission Prohibits discrimination because of Race, Color, Religion, Sex, or National Origin by Employers with 25 or more employees, by Labor Organization with a hiring hallof 25 or more members, by LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Employment Agencies, and by Joint Labor -Management Committees for Apprenticeship or Training. Any person Who believes he or she has been discriminated against should contact: The Office of Federal Contract Compliance Programs U.S. Department of Labor Washington, D.C. 20210 NOTICE FOR SOLICITATIONS FOR BIDS (BID NOTICE) - 41 CFR PART 60-4.2 (VERSION 1, 1/5/90) This section applies to all contracts in excess of$10,000. 1. The offeror's or Bidders' attention is called to the "Equal Opportunity Clause" and the "standard Federal Equal Employment Opportunity Construction Contract Specifications" set forth herein. 2. The goals and timetables for minority and female participation, expressed in percentagc terms for the contractor's aggregate workforce in each trade on all cons truction work in the covered area, are as follows: GOALS FOR FEMALE PARTICIPATION FOR EACH TRADE Geographical Area Goals (Percentage) Statewide 6.9 GOALS FOR MINORITY PARTICIPATION FOR EACH TRADE Geographical Area (By Counties) Goals (Percent) Lapeer, Livingston, Macomb, Oakland, St. Clair, Wayne 17.7 Sanilac 16.7 Saginaw 14.3 Genesee, Shiawassee 12.6 Muskegon, Occana 9.7 Monroe 8.8 Washtenaw 8.5 Lenawee 7.3 Barry, Calhoun 7.2 Berrien, Cass, St. Joseph 6.2 Kalamazoo, VanBuren 5.9 Clinton, Eaton, Ingham, Ionia 5.5 Branch, Hillsdale 5.5 Alcona, Alpena, Arenac, Cheboygan, Chippewa, Clare, Crawford, Gladwin, Gratiot, Huron, Iosco, Isabella, Luce, Mackinac, Midland, Montmorency, Ogemaw, Oscoda, Otsego, Presque Isle, Roscommon, Tuscola 5.2 Kent, Ottawa 5.2 Jackson 5.1 Allegan, Antrim, Benzie, Charlevoix, Emmet, Grand Traverse, Kalkaska, Lake, Leelan au, Manistee, Mason, Mecosta, Missaukee, Montcalm, Newaygo, Osceola, Wexford 4.9 Bay 2.2 Gogebic, Ontonagon 1.2 Alger, Baraga, Delta, Dickinson, Houghton, Iron, Keweenaw, Marquette, Menominee, Schoolcraft 1.0 These goals are applicable to all the contractor's construction work (whether or not it is federal orfederally-assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the geographical area where the work is actually performed. With regard tothis second area, the contractor also is subject to the goals for both its federally - involved and nonfederally-involved construction. The contractor's compliance with the Executive Order and the regulations in 41 CFR Part60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a), and its efforts to meet the goals. The hours of minority and female employment and training shall be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on eachof its projects. The transfer of minority or female employees or trainees from contractor to contractor or from project to project, for the sole purpose of meeting the contractor's goals, shall be a violation of the contract, the Executive Order, and the regulations in 41 CFR Part 60-4. Compliance withthe goals will be measured against the total work hours performed. 3. The contractor shall provide written notification to the Director, OFCCP, within 10 working days of award of any construction subcontract in excess of $10,00 0 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address, and the telephone number of the subcontractor, employer identification number ofthe subcontractor, estimated dollar amount of the subcontract; estimated starting and completion dates of subcontract; and the geographical area in which the subcontract is to be performed. 4. As used in this notice and in the contract resulting from this solicitation, the "covered area" is (insert description of the geographical areas where the contract is to be performed giving the state, county, and city, if any). NOTICE TO PROSPECTIVE FEDERALLY ASSISTED CONSTRUCTION CONTRACTORS - 41 CFR 60-1.8 (VERSION 1, 1/5/90) This section applies to all contracts in excess of$10,000. 1. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal - aid construction contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does notpermit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the Equal Opportunity Clause in this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex. LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. As used in this certification, the tern "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and other eating areas, time clocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, or national origin, because of habit, local cu stom, or otherwise. 3. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements exceeding $10,000 and that it will retain such certifications in its files. STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (41 CFR 60-4.3) (VERSION2, 4/23/90) This section applies to all contracts in excess of $10,000 1. As used in these specifications: a. "Covered area" means that the geographical area described in the solicitation from which this contract resulted; b. "Director" means director, Office of Federal Contract Compliance Programs (OFCCP), U.S. Department of Labor, or any person to whom the Director delegates authority; c. "Employer identification number" means the Federal social security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941; d. "Minority includes: (1) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin); (2) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin regardless of race); (3) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (4) American Indian or Alaskan native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 2. Whenever the contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3. If the contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or througjn an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors shall be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each contractor or subcontractor participating in an approved plan is individually required to comply with its obligations under the EEO clause and to make a good faith effort to achieve each goal under the Plan in each trade in which it In as employees. The overall good faith performance by other contractors or subcontractors toward a goal in an approved Plan does not excuse any covered contractor's or subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables. 4. The contractor shall implement the specific affirmat ive action standards provided in paragraphs 7a through 7p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the contractor should reasonably be able to achieve in each constru ction trade i n which it ha s employees in the cover ed area. Covered construction contractors performing construction work in a geographical area where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office ofFederal Contract Compliance Programs office or from federal procurement contracting officers. The contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified. 5. Neither the provisions of any collective bargaining agreement nor the failure by a union with whom the contractor has a collective bargaining agreement to refer either minorities or women shall excusethe contractor's obligations underthese specifications, Executive Order 11246 orthe regulations promulgated pursuant thereto. 6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees shall be employed by the contractor during the training period and the contractor shall have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees shall be trained pursuant to training programs approved by the U.S. Department of Labor. 7. The contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The contractor shall document these efforts fully and shall implement affirmative action steps at least as extensive as the following: a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the contractor's employees are assigned to work. The contractor, where possible, will assign two or more women to each construction project. The contractor shall specifically ensure that all foremen, superintendents, and other onsite supervisory personnel are aware of and carry out the contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses. c. Maintain a current file of the names, addresses, and telephone numbers of each minority and female off -the -street applicant and minority or female referral from a union, a recruitment source, or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the contractor by the union or, if referred, not employed by the contractor, this LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B shall be documented in the file with the reason therefore along with whatever additional actions the contractor mayhave taken. d. Provide immediate written notification to the Director when the union or unions with which the contractor has a collective bargaining agreement has not referred to the contractor a minority person or female sent by the contractor, or when the contractor has other information that the union referral process has impeded fine contractor's efforts to meet its obligations. e. Develop on -the -jab training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the contractor's employment needs, especially those programs funded or approved by the Department of Labor. The contractor shall provide notice of these programs to the sources complied under 7b above. f. Disseminate the contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; bypublicizing itin the company newspaper, annual report, etc; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. g. Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination, or other employment decisions including specific review of these items with onsite supervisory personnel such as superintendents, general foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposifion of the subject matter. h. Disseminato the contractor's EEO policy externally by including it in any advertising in the news media, specifically including in inority and fern ale news media, an d providing wri tten notification to and discussing the contractor's EEO policy with other contractors and subcontractors with whom the contractor does or anticipates doing business. I. Direct its recruitment efforts, both oral and written, to minority, female, and community organizations, to schools with minority and female students; and to minority and female recruitment and training organizations serving the contractor's recruitment area and employment needs. Not later &an one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the contractor shall said written nofification to organizations, such as the above, describing the openings, screening procedure, and tests to beused in the selection process. j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer, and vacation employment to minority and female youth both on the site and in other areas of a contractor's workforce. k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3. 1. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel, for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. in. Ensure that seniority practices, job classifications, work assignments, and other personnel practices do not have a discriminatory effectby continually monitoring all personnel and employment related activities to ensure that the EEO policyand the contractor's obligations under these specifications are being carried out. n. Ensure that all facilities and company activities are nonsegregated exceptthat separate or singleuser toilet and necessary changing facilities shall be provided to assureprivacy between the sexes o. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. p. Conduct a review, at least annually, of all supervisor's adherence to and performance under the contractor's EEO policies and affirmative action obligations. 8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor union, contractor community, or other similar groups of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these specifications provided thatthe contractor actively participates inthe group, makes every effort to assure that the group has a positive impact on the emp loyment of in inoriti es and wome n in the indust ry, ensures thatthe concrete benefits ofthe programare reflected in the contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the contractor. The obligation to comply, however, is the contractor's and failure of such a group to fulfill an obligation shall not be a defense for the contractor's noncompliance. 9. A single goal for minorities and a separate single goal for women havebeen established. The contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and nonmincrity. Consequently, if the particulargroup is employed in a substantially disparate manner (for example, even though the contractor has achieved its goals for women generally,) the contractor may be in violation of the Executive Order if specific minority group of women is underutilized. 10. The contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color religion, sex, or national origin. 11. The contractor shallnot enter into any subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12. The contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination, and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any contractor who fails to carry out such sanctions and penalties shall be in violation ofthese specifications and Executive Order 11246, as amended. 13. The contractor, in fulfilfing its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8. 14. The contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is bang carried out, to submit reports relating to the provisions hereof as may be required by the Government; and to keep records. Records shall at least include for each employee, the name, address, telephone number, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sexes, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of change in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not berequired to maintain separate records. 15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program). H:\ADD\ROXI\ProposalPagys\FEDERALREQUREMENTS.wpd 10 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR Part 26 This content is from the eCFR and is authoritative but unofficial. Title 49 - Transportation Subtitle A - Office of the Secretary of Transportation Part 26 Participation by Disadvantaged Business Enterprises in Department of ......................................................................................................................................................................................................................................................... Transportation Financial Assistance Programs .................................................................................................................................................................... Subpart A General ........................... § 26.1 What are the objectives of this part? ................................................................................................................................ § 26.3 To whom does this part apply? ............................................................................................................. § 26.5 What do the terms used in this part mean? ...................................................................................................................................................... § 26.7 What discriminatory actions are forbidden? ......................................................................................................................................................... § 26.9 How does the Department issue guidance and interpretations under this part? ................................................................................................................................................................................................................................................................................... § 26.11 What records do recipients keep and report? ............................................................................................................................................................. § 26.13 What assurances must recipients and contractors make? .......................................................................................................................................................................................................... § 26.15 How can recipients apply for exemptions or waivers? ........................................................................................................................................................................................... Subpart B Administrative Requirements for DBE Programs for Federally-Assisted ....................................................................................................................................................................................................................................................... Contracting ......................................... § 26.21 Who must have a DBE program? .................................................................................................................. § 26.23 What is the requirement for a policy statement? ........................................................................................................................................................................ § 26.25 What is the requirement for a liaison officer? ............................................................................................................................................................. § 26.27 What efforts must recipients make concerning DBE financial institutions? § 26.29 What prompt payment mechanisms must recipients have? .............................................................................................................................................................................................................. § 26.31 What information must you include in your DBE directory? ............................................................................................................................................................................................................ § 26.33 What steps must a recipient take to address overconcentration of DBEs in certain ............................................................................................................................................................................................................................................................................................... types of work? § 26.35 What role do business development and mentor -protege programs have in the DBE .................................................................................................................................................................................................................................................................................................. program? .................................. § 26.37 What are a recipient's responsibilities for monitoring the performance of other program ................................................................................................................................................................................................................................................................................................................... participants? .............................................. § 26.39 Fostering small business participation. .......................................................................................................................................... Subpart C Goals, Good Faith Efforts, and Counting ............................................................................................................................................ § 26.41 What is the role of the statutory 10 percent goal in this program? .................................................................................................................................................................................................................................... § 26.43 Can recipients use set -asides or quotas as part of this program? ................................................................................................................................................................................................................................... § 26.45 How do recipients set overall goals? ................................................................................................................................ § 26.47 Can recipients be penalized for failing to meet overall goals? ................................................................................................................................................................................................................. § 26.49 How are overall goals established for transit vehicle manufacturers? ................................................................................................................................................................................................................................................. § 26.51 What means do recipients use to meet overall goals? ........................................................................................................................................................................................... 49 CFR Part 26 (enhanced display) page 1 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR Part 26 § 26.53 What are the good faith efforts procedures recipients follow in situations where there ............................................................................................................................................................................................................................................................................................................. are contract goals? ................................................................. § 26.55 How is DBE participation counted toward goals? ........................................................................................................................................................................... Subpart D Certification Standards § 26.61 How are burdens of proof allocated in the certification process? ............................................................................................................................................ ..................................................... § 26.63 What rules govern group membership determinations? ................................................................................................................................................................................................. § 26.65 What rules govern business size determinations? .............................................................................................................................................................................. § 26.67 What rules determine social and economic disadvantage? ............................................................................................................................................................................................................. § 26.69 What rules govern determinations of ownership? .......... § 26.71 What rules govern determinations concerning control? ............................................................................................................................................................. § 26.73 What are other rules affecting certification? Subpart E Certification Procedures ...................................................................................... § 26.81 What are the requirements for Unified Certification Programs? ........................................................................................................................................................................................................................... § 26.83 What procedures do recipients follow in making certification decisions? ............................................................................................................................................................................................................................................................. § 26.85 Interstate certification. ................................................................................. § 26.86 What rules govern recipients' denials of initial requests for certification? ............................................................................................................................................................................................................................................................. § 26.87 What procedures does a recipient use to remove a DBE's eligibility? ............................................................................................................................................................................................................................................ § 26.88 Summary suspension of certification. .............................................................................................................................. § 26.89 What is the process for certification appeals to the Department of Transportation? ................................................................................................................................................................................................................................................................................................. § 26.91 What actions do recipients take following DOT certification appeal decisions? .................................................................................................................................................................................................................................................................................. Subpart F Compliance and Enforcement § 26.101 What compliance procedures apply to recipients? § 26.103 What enforcement actions apply in FHWA and FTA programs? ........................................................................................................................................................................................................................... § 26.105 What enforcement actions apply in FAA programs? ................................................................................................................................................................................... § 26.107 What enforcement actions apply to firms participating in the DBE program? ......................................................................................................................................................................................................................................................................... § 26.109 What are the rules governing information, confidentiality, cooperation, and ..................................................................................................................................................................................................................................................................... intimidation or retaliation? ............................................................................................. Appendix A to Part 26 Guidance Concerning Good Faith Efforts ............................................................................................................................................... Appendix B to Part 26 Uniform Report of DBE Awards or Commitments and Payments ................................................................................................................................................................................................................................ Form ................... Appendix C to Part 26 DBE Business Development Program Guidelines .......................................................................................................................................................................... Appendix D to Part 26 Mentor -Protege Program Guidelines ............................................................................................................................... Appendix E to Part 26 Individual Determinations of Social and Economic Disadvantaae 49 CFR Part 26 (enhanced display) page 2 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR Part 26 Appendix F to Part 26 Uniform Certification Application Form ......................................................................................................................................... Appendix G to Part 26 Personal Net Worth Statement ............................................................................................................ PART 26 - PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN DEPARTMENT OF TRANSPORTATION FINANCIAL ASSISTANCE PROGRAMS Authority, 23 U.S.C. 324; 42 U.S.C. 2000d, et seq.; Sec. 1101(b), Pub. L. 114-94, 129 Stat. 1312, 1324; 49 U.S.C. ................................................................................................................ ............................ 47113, 47123; Sec. 150, Pub. L. 115-254, 132 Stat. 3215. ...................................................................................... Source: 64 FR 5126, Feb. 2, 1999, unless otherwise noted. ................................... Subpart A - General § 26.1 What are the objectives of this part? This part seeks to achieve several objectives: a To ensure nondiscrimination in the award and administration of DOT -assisted contracts in the Department's highway, transit, and airport financial assistance programs; (b) To create a level playing field on which DBEs can compete fairly for DOT -assisted contracts; (c) To ensure that the Department's DBE program is narrowly tailored in accordance with applicable law; (d) To ensure that only firms that fully meet this part's eligibility standards are permitted to participate as DBEs; (e, To help remove barriers to the participation of DBEs in DOT -assisted contracts; (f) To promote the use of DBEs in all types of federally -assisted contracts and procurement activities conducted by recipients. (g) To assist the development of firms that can compete successfully in the marketplace outside the DBE program; and h To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing opportunities for DBEs. [64 FR 5126, Feb. 2, 1999, as amended at 79 FR 5959Z Oct. 2, 20141 ................................................................... § 26.3 To whom does this part apply? a If you are a recipient of any of the following types of funds, this part applies to you: 49 CFR 26.3(a) (enhanced display) page 3 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.3(a)(1) (1) Federal -aid highway funds authorized under Titles I (other than Part B) and V of the Intermodal Surface Transportation Efficiency Act of 1991 (ISTEA), Pub. L. 102-240, 105 Stat. 1914, or Titles 1, III, and V of the Transportation Equity Act for the 21 st Century (TEA-21), Pub. L. 105-178, 112 Stat. 107. Titles I, 111, and V of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 109-59, 119 Stat. 1144; and Divisions A and B of the Moving Ahead for Progress in the 21 st Century Act (MAP-21), Pub. L. 112-141, 126 Stat. 405. (2) Federal transit funds authorized by Titles I, III, V and VI of ISTEA, Pub. L. 102-240 or by Federal transit laws in Title 49, U.S. Code, or Titles I, III, and V of the TEA-21, Pub. L. 105-178. Titles I, III, and V of the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Pub. L. 109-59, 119 Stat. 1144; and Divisions A and B of the Moving Ahead for Progress in the 21 st Century Act (MAP-21), Pub. L. 112-141, 126 Stat. 405. (3) Airport funds authorized by 49 U.S.C. 47101, et seq. (b) [Reserved] c' If you are letting a contract, and that contract is to be performed entirely outside the United States, its territories and possessions, Puerto Rico, Guam, or the Northern Marianas Islands, this part does not apply to the contract. (d) If you are letting a contract in which DOT financial assistance does not participate, this part does not apply to the contract. [64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59592, Oct. 2, 20141 § 26.5 What do the terms used in this part mean? Affiliation has the same meaning the term has in the Small Business Administration (SBA) regulations, 13 CFR part 121. (1) Except as otherwise provided in 13 CFR part 121, concerns are affiliates of each other when, either directly or indirectly: (i) One concern controls or has the power to control the other; or (ii) A third party or parties controls or has the power to control both; or (iii) An identity of interest between or among parties exists such that affiliation may be found. (2) In determining whether affiliation exists, it is necessary to consider all appropriate factors, including common ownership, common management, and contractual relationships. Affiliates must be considered together in determining whether a concern meets small business size criteria and the statutory cap on the participation of firms in the DBE program. Alaska Native means a citizen of the United States who is a person of one-fourth degree or more Alaskan Indian (including Tsimshian Indians not enrolled in the Metlaktla Indian Community), Eskimo, or Aleut blood, or a combination of those bloodlines. The term includes, in the absence of proof of a minimum blood quantum, any citizen whom a Native village or Native group regards as an Alaska Native if their father or mother is regarded as an Alaska Native. Alaska Native Corporation (ANC) means any Regional Corporation, Village Corporation, Urban Corporation, or Group Corporation organized under the laws of the State of Alaska in accordance with the Alaska Native Claims Settlement Act, as amended (43 U.S.C. 1601, et seq.). 49 CFR 26.5 "Alaska Native Corporation" (enhanced display) page 4 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.5 "Assets" Assets mean all the property of a person available for paying debts or for distribution, including one's respective share of jointly held assets. This includes, but is not limited to, cash on hand and in banks, savings accounts, IRA or other retirement accounts, accounts receivable, life insurance, stocks and bonds, real estate, and personal property. Business, business concern or business enterprise means an entity organized for profit with a place of business located in the United States, and which operates primarily within the United States or which makes a significant contribution to the United States economy through payment of taxes or use of American products, materials, or labor. Compliance means that a recipient has correctly implemented the requirements of this part. Contingent Liability means a liability that depends on the occurrence of a future and uncertain event. This includes, but is not limited to, guaranty for debts owed by the applicant concern, legal claims and judgments, and provisions for federal income tax. Contract means a legally binding relationship obligating a seller to furnish supplies or services (including, but not limited to, construction and professional services) and the buyer to pay for them. For purposes of this part, a lease is considered to be a contract. Contractor means one who participates, through a contract or subcontract (at any tier), in a DOT -assisted highway, transit, or airport program. Days mean calendar days. In computing any period of time described in this part, the day from which the period begins to run is not counted, and when the last day of the period is a Saturday, Sunday, or Federal holiday, the period extends to the next day that is not a Saturday, Sunday, or Federal holiday. Similarly, in circumstances where the recipient's offices are closed for all or part of the last day, the period extends to the next day on which the agency is open. Department or DOT means the U.S. Department of Transportation, including the Office of the Secretary, the Federal Highway Administration (FHWA), the Federal Transit Administration (FTA), and the Federal Aviation Administration (FAA). Disadvantaged business enterprise or DBE means a for -profit small business concern - (1) That is at least 51 percent owned by one or more individuals who are both socially and economically disadvantaged or, in the case of a corporation, in which 51 percent of the stock is owned by one or more such individuals; and (2) Whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it. DOT -assisted contract means any contract between a recipient and a contractor (at any tier) funded in whole or in part with DOT financial assistance, including letters of credit or loan guarantees, except a contract solely for the purchase of land. Good faith efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement. Home state means the state in which a DBE firm or applicant for DBE certification maintains its principal place of business. 49 CFR 26.5 "Home state" (enhanced display) page 5 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.5 "Immediate family member" Participation by Disadvantaged Business Enterprises in Depart... Immediate family member means father, mother, husband, wife, son, daughter, brother, sister, grandfather, grandmother, father-in-law, mother-in-law, sister-in-law, brother-in-law, and domestic partner and civil unions recognized under State law. Indian tribe means any Indian tribe, band, nation, or other organized group or community of Indians, including any ANC, which is recognized as eligible for the special programs and services provided by the United States to Indians because of their status as Indians, or is recognized as such by the State in which the tribe, band, nation, group, or community resides. See definition of "tribally -owned concern" in this section. Joint venture means an association of a DBE firm and one or more other firms to carry out a single, for -profit business enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest. Liabilities mean financial or pecuniary obligations. This includes, but is not limited to, accounts payable, notes payable to bank or others, installment accounts, mortgages on real estate, and unpaid taxes. Native Hawaiian means any individual whose ancestors were natives, prior to 1778, of the area which now comprises the State of Hawaii. Native Hawaiian Organization means any community service organization serving Native Hawaiians in the State of Hawaii which is a not -for -profit organization chartered by the State of Hawaii, is controlled by Native Hawaiians, and whose business activities will principally benefit such Native Hawaiians. Noncompliance means that a recipient has not correctly implemented the requirements of this part. Operating Administration or OA means any of the following parts of DOT: the Federal Aviation Administration (FAA), Federal Highway Administration (FHWA), and Federal Transit Administration (FTA). The "Administrator" of an operating administration includes his or her designees. Personal net worth means the net value of the assets of an individual remaining after total liabilities are deducted. An individual's personal net worth does not include: The individual's ownership interest in an applicant or participating DBE firm; or the individual's equity in his or her primary place of residence. An individual's personal net worth includes only his or her own share of assets held jointly or as community property with the individual's spouse. Primary industry classification means the most current North American Industry Classification System (NAICS) designation which best describes the primary business of a firm. The NAICS is described in the North American Industry Classification Manual - United States, which is available on the Internet at the U.S. Census Bureau Web site: http://wwwcensus.gov/eos/www/naics/. Primary recipient means a recipient which receives DOT financial assistance and passes some or all of it on to another recipient. Principal place of business means the business location where the individuals who manage the firm's day-to-day operations spend most working hours. If the offices from which management is directed and where the business records are kept are in different locations, the recipient will determine the principal place of business. Program means any undertaking on a recipient's part to use DOT financial assistance, authorized by the laws to which this part applies. 49 CFR 26.5 "Program" (enhanced display) page 6 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.5 "Race -conscious" Participation by Disadvantaged Business Enterprises in Depart... Race -conscious measure or program is one that is focused specifically on assisting only DBEs, including women -owned DBEs. Race -neutral measure or program is one that is, or can be, used to assist all small businesses. For the purposes of this part, race -neutral includes gender -neutrality. Recipient is any entity, public or private, to which DOT financial assistance is extended, whether directly or through another recipient, through the programs of the FAA, FHWA, or FTA, or who has applied for such assistance. Secretary means the Secretary of Transportation or his/her designee. Set -aside means a contracting practice restricting eligibility for the competitive award of a contract solely to DBE firms. Small Business Administration or SBA means the United States Small Business Administration. SBA certified firm refers to firms that have a current, valid certification from or recognized by the SBA under the 8(a) BD or SDB programs. Small business concern means, with respect to firms seeking to participate as DBEs in DOT -assisted contracts, a small business concern as defined pursuant to section 3 of the Small Business Act and Small Business Administration regulations implementing it (13 CFR part 121) that also does not exceed the cap on average annual gross receipts specified in § 26.65(b). Socially and economically disadvantaged individual means any individual who is a citizen (or lawfully admitted permanent resident) of the United States and who has been subjected to racial or ethnic prejudice or cultural bias within American society because of his or her identity as a members of groups and without regard to his or her individual qualities. The social disadvantage must stem from circumstances beyond the individual's control. (1) Any individual who a recipient finds to be a socially and economically disadvantaged individual on a case -by -case basis. An individual must demonstrate that he or she has held himself or herself out, as a member of a designated group if you require it. (2) Any individual in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged: (i) "Black Americans," which includes persons having origins in any of the Black racial groups of Africa; (ii) "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or South American, or other Spanish or Portuguese culture or origin, regardless of race; (iii) "Native Americans," which includes persons who are enrolled members of a federally or State recognized Indian tribe, Alaska Natives, or Native Hawaiians; (iv) "Asian -Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan, Korea, Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands (Republic of Palau), Republic of the Northern Marianas Islands, Samoa, Macao, Fiji, Tonga, Kirbati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong; (v) "Subcontinent Asian Americans," which includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal or Sri Lanka; 49 CFR 26.5 "Socially and economically disadvantaged individual" (2)(v) (enhanced display) page 7 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.5 "Socially and economically disadvantaged Participation by Disadvantaged Business Enterprises in Depart... individual" (2)(vi) (vi) Women; (vii) Any additional groups whose members are designated as socially and economically disadvantaged by the SBA, at such time as the SBA designation becomes effective. (3) Being born in a particular country does not, standing alone, mean that a person is necessarily a member of one of the groups listed in this definition. Spouse means a married person, including a person in a domestic partnership or a civil union recognized under State law. Transit vehicle manufacturer means any manufacturer whose primary business purpose is to manufacture vehicles specifically built for public mass transportation. Such vehicles include, but are not limited to: Buses, rail cars, trolleys, ferries, and vehicles manufactured specifically for paratransit purposes. Producers of vehicles that receive post -production alterations or retrofitting to be used for public transportation purposes (e.g., so-called cutaway vehicles, vans customized for service to people with disabilities) are also considered transit vehicle manufacturers. Businesses that manufacture, mass- produce, or distribute vehicles solely for personal use and for sale "off the lot" are not considered transit vehicle manufacturers. Tribally -owned concern means any concern at least 51 percent owned by an Indian tribe as defined in this section. You refers to a recipient, unless a statement in the text of this part or the context requires otherwise (i.e., 'You must do XYZ' means that recipients must do XYZ). [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 68 FR 35553, June 16, 2003; 76 FR 5096, Jan. 28, 2011; 79 FR 5959Z Oct. 2, 2014] § 26.7 What discriminatory actions are forbidden? (a) You must never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by this part on the basis of race, color, sex, or national origin. (b) In administering your DBE program, you must not, directly or through contractual or other arrangements, use criteria or methods of administration that have the effect of defeating or substantially impairing accomplishment of the objectives of the program with respect to individuals of a particular race, color, sex, or national origin. § 26.9 How does the Department issue guidance and interpretations under this part? (a) Only guidance and interpretations (including interpretations set forth in certification appeal decisions) consistent with this part 26 and issued after March 4, 1999 express the official positions and views of the Department of Transportation or any of its operating administrations. (b) The Secretary of Transportation, Office of the Secretary of Transportation, FHWA, FTA, and FAA may issue written interpretations of or written guidance concerning this part. Written interpretations and guidance are valid, and express the official positions and views of the Department of Transportation or any of its operating administrations, only if they are issued over the signature of the Secretary of Transportation or if they contain the following statement: The General Counsel of the Department of Transportation has reviewed this document and approved it as consistent with the language and intent of 49 CFR part 26. 49 CFR 26.9(b) (enhanced display) page 8 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.11 Participation by Disadvantaged Business Enterprises in Depart... [72 FR 15617, Apr. 2, 2007] § 26.11 What records do recipients keep and report? ,a) You must transmit the Uniform Report of DBE Awards or Commitments and Payments, found in Appendix B to this part, at the intervals stated on the form. (b) You must continue to provide data about your DBE program to the Department as directed by DOT operating administrations. (c) You must create and maintain a bidders list. (1) The purpose of this list is to provide you as accurate data as possible about the universe of DBE and non -DBE contractors and subcontractors who seek to work on your Federally -assisted contracts for use in helping you set your overall goals. (2) You must obtain the following information about DBE and non -DBE contractors and subcontractors who seek to work on your Federally -assisted contracts: (i) Firm name; (ii) Firm address; (iii) Firm's status as a DBE or non -DBE; (iv) Age of the firm; and (v) The annual gross receipts of the firm. You may obtain this information by asking each firm to indicate into what gross receipts bracket they fit (e.g., less than $500,000; $500,000-$1 million; $1-2 million; $2-5 million; etc.) rather than requesting an exact figure from the firm. (3) You may acquire the information for your bidders list in a variety of ways. For example, you can collect the data from all bidders, before or after the bid due date. You can conduct a survey that will result in statistically sound estimate of the universe of DBE and non -DBE contractors and subcontractors who seek to work on your Federally -assisted contracts. You may combine different data collection approaches (e.g., collect name and address information from all bidders, while conducting a survey with respect to age and gross receipts information). (d) You must maintain records documenting a firm's compliance with the requirements of this part. At a minimum, you must keep a complete application package for each certified firm and all affidavits of no - change, change notices, and on -site reviews. These records must be retained in accordance with applicable record retention requirements for the recipient's financial assistance agreement. Other certification or compliance related records must be retained for a minimum of three (3) years unless otherwise provided by applicable record retention requirements for the recipient's financial assistance agreement, whichever is longer. (e) The State department of transportation in each UCP established pursuant to § 26.81 of this part must report to the Department of Transportation's Office of Civil Rights, by January 1, 2015, and each year thereafter, the percentage and location in the State of certified DBE firms in the UCP Directory controlled by the following: (1) Women; (2) Socially and economically disadvantaged individuals (other than women); and (3) Individuals who are women and are otherwise socially and economically disadvantaged individuals. 49 CFR 26.11(e)(3) (enhanced display) page 9 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.13 [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 76 FR 5096, Jan. 28, 2011; 79 FR 59593, Oct. 2, 2014] § 26.13 What assurances must recipients and contractors make? ,a, Each financial assistance agreement you sign with a DOT operating administration (or a primary recipient) must include the following assurance: The recipient shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of any DOT -assisted contract or in the administration of its DBE program or the requirements 49 CFR part 26. The recipient shall take all necessary and reasonable steps under 49 CFR part 26 to ensure nondiscrimination in the award and administration of DOT -assisted contracts. The recipient's DBE program, as required by 49 CFR part 26 and as approved by DOT, 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 program, the Department 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.). (b) Each contract you sign with a contractor (and each subcontract the prime contractor signs with a subcontractor) must include the following assurance: The contractor, sub recipient or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT -assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the recipient deems appropriate, which may include, but is not limited to: (1) Withholding monthly progress payments; (2) Assessing sanctions; (3) Liquidated damages; and/or (4) Disqualifying the contractor from future bidding as non -responsible. [79 FR 59593, Oct. 2, 20141 § 26.15 How can recipients apply for exemptions or waivers? a You can apply for an exemption from any provision of this part. To apply, you must request the exemption in writing from the Office of the Secretary of Transportation, FHWA, FTA, or FAA. The Secretary will grant the request only if it documents special or exceptional circumstances, not likely to be generally applicable, and not contemplated in connection with the rulemaking that established this part, that make your compliance with a specific provision of this part impractical. You must agree to take any steps that the Department specifies to comply with the intent of the provision from which an exemption is granted. The Secretary will issue a written response to all exemption requests. (b) You can apply for a waiver of any provision of Subpart B or C of this part including, but not limited to, any provisions regarding administrative requirements, overall goals, contract goals or good faith efforts. Program waivers are for the purpose of authorizing you to operate a DBE program that achieves the objectives of this part by means that may differ from one or more of the requirements of Subpart B or C of this part. To receive a program waiver, you must follow these procedures: 49 CFR 26.15(b) (enhanced display) page 10 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.15(b)(1) You must apply through the concerned operating administration. The application must include a specific program proposal and address how you will meet the criteria of paragraph (b)(2) of this section. Before submitting your application, you must have had public participation in developing your proposal, including consultation with the DBE community and at least one public hearing. Your application must include a summary of the public participation process and the information gathered through it. (2) Your application must show that - (i) There is a reasonable basis to conclude that you could achieve a level of DBE participation consistent with the objectives of this part using different or innovative means other than those that are provided in subpart B or C of this part; (ii) Conditions in your jurisdiction are appropriate for implementing the proposal; (iii) Your proposal would prevent discrimination against any individual or group in access to contracting opportunities or other benefits of the program; and (iv) Your proposal is consistent with applicable law and program requirements of the concerned operating administration's financial assistance program. (3) The Secretary has the authority to approve your application. If the Secretary grants your application, you may administer your DBE program as provided in your proposal, subject to the following conditions: (i) DBE eligibility is determined as provided in subparts D and E of this part, and DBE participation is counted as provided in § 26.49; ii Your level of DBE participation continues to be consistent with the objectives of this part; (iii) There is a reasonable limitation on the duration of your modified program; and (iv) Any other conditions the Secretary makes on the grant of the waiver. (4) The Secretary may end a program waiver at any time and require you to comply with this part's provisions. The Secretary may also extend the waiver, if he or she determines that all requirements of paragraphs (b)(2) and (3) of this section continue to be met. Any such extension shall be for no longer than period originally set for the duration of the program. Subpart B - Administrative Requirements for DBE Programs for Federally -Assisted Contracting § 26.21 Who must have a DBE program? a If you are in one of these categories and let DOT -assisted contracts, you must have a DBE program meeting the requirements of this part: 1 All FHWA primary recipients receiving funds authorized by a statute to which this part applies; (2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts (excluding transit vehicle purchases) the cumulative total value of which exceeds $250,000 in FTA funds in a Federal fiscal year; (3) FAA recipients receiving grants for airport planning or development who will award prime contracts the cumulative total value of which exceeds $250,000 in FAA funds in a Federal fiscal year. b 49 CFR 26.21(b) (enhanced display) page 11 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.21(b)(1) 1 You must submit a DBE program conforming to this part by August 31, 1999 to the concerned operating administration (OA). Once the OA has approved your program, the approval counts for all of your DOT -assisted programs (except that goals are reviewed by the particular operating administration that provides funding for your DOT -assisted contracts). (2) You do not have to submit regular updates of your DBE programs, as long as you remain in compliance. However, you must submit significant changes in the program for approval. (c) You are not eligible to receive DOT financial assistance unless DOT has approved your DBE program and you are in compliance with it and this part. You must continue to carry out your program until all funds from DOT financial assistance have been expended. [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999; 65 FR 68951, Nov. 15, 2000; 79 FR 59593, Oct. 2, 2014] § 26.23 What is the requirement for a policy statement? You must issue a signed and dated policy statement that expresses your commitment to your DBE program, states its objectives, and outlines responsibilities for its implementation. You must circulate the statement throughout your organization and to the DBE and non -DBE business communities that perform work on your DOT -assisted contracts. § 26.25 What is the requirement for a liaison officer? You must have a DBE liaison officer, who shall have direct, independent access to your Chief Executive Officer concerning DBE program matters. The liaison officer shall be responsible for implementing all aspects of your DBE program. You must also have adequate staff to administer the program in compliance with this part. § 26.27 What efforts must recipients make concerning DBE financial institutions? You must thoroughly investigate the full extent of services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in your community and make reasonable efforts to use these institutions. You must also encourage prime contractors to use such institutions. § 26.29 What prompt payment mechanisms must recipients have? (a) You must establish, as part of your DBE program, a contract clause to require prime contractors to pay subcontractors for satisfactory performance of their contracts no later than 30 days from receipt of each payment you make to the prime contractor. kb You must ensure prompt and full payment of retainage from the prime contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. You must use one of the following methods to comply with this requirement: (1) You may decline to hold retainage from prime contractors and prohibit prime contractors from holding retainage from subcontractors. (2) You may decline to hold retainage from prime contractors and require a contract clause obligating prime contractors to make prompt and full payment of any retainage kept by prime contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. 49 CFR 26.29(b)(2) (enhanced display) page 12 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.29(b)(3) (3) You may hold retainage from prime contractors and provide for prompt and regular incremental acceptances of portions of the prime contract, pay retainage to prime contractors based on these acceptances, and require a contract clause obligating the prime contractor to pay all retainage owed to the subcontractor for satisfactory completion of the accepted work within 30 days after your payment to the prime contractor. (c) For purposes of this section, a subcontractor's work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the recipient. When a recipient has made an incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed. d Your DBE program must provide appropriate means to enforce the requirements of this section. These means may include appropriate penalties for failure to comply, the terms and conditions of which you set. Your program may also provide that any delay or postponement of payment among the parties may take place only for good cause, with your prior written approval. (e) You may also establish, as part of your DBE program, any of the following additional mechanisms to ensure prompt payment: (1) A contract clause that requires prime contractors to include in their subcontracts language providing that prime contractors and subcontractors will use appropriate alternative dispute resolution mechanisms to resolve payment disputes. You may specify the nature of such mechanisms. (2) A contract clause providing that the prime contractor will not be reimbursed for work performed by subcontractors unless and until the prime contractor ensures that the subcontractors are promptly paid for the work they have performed. (3) Other mechanisms, consistent with this part and applicable state and local law, to ensure that DBEs and other contractors are fully and promptly paid. [68 FR 35553, June 16, 20031 § 26.31 What information must you include in your DBE directory? a In the directory required under § 26.81(g) of this Part, you must list all firms eligible to participate as DBEs in your program. In the listing for each firm, you must include its address, phone number, and the types of work the firm has been certified to perform as a DBE. b You must list each type of work for which a firm is eligible to be certified by using the most specific NAICS code available to describe each type of work. You must make any changes to your current directory entries necessary to meet the requirement of this paragraph (a) by August 26, 2011. [76 FR 5096, Jan. 28, 2011] § 26.33 What steps must a recipient take to address overconcentration of DBEs in certain types of work? (a) If you determine that DBE firms are so overconcentrated in a certain type of work as to unduly burden the opportunity of non -DBE firms to participate in this type of work, you must devise appropriate measures to address this overconcentration. 49 CFR 26.33(a) (enhanced display) page 13 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.33(b) (b) These measures may include the use of incentives, technical assistance, business development programs, mentor -protege programs, and other appropriate measures designed to assist DBEs in performing work outside of the specific field in which you have determined that non -DBEs are unduly burdened. You may also consider varying your use of contract goals, to the extent consistent with § 26.51, to unsure that non -DBEs are not unfairly prevented from competing for subcontracts. (c, You must obtain the approval of the concerned DOT operating administration for your determination of overconcentration and the measures you devise to address it. Once approved, the measures become part of your DBE program. § 26.35 What role do business development and mentor -protege programs have in the DBE program? (a) You may or, if an operating administration directs you to, you must establish a DBE business development program (BDP) to assist firms in gaining the ability to compete successfully in the marketplace outside the DBE program. You may require a DBE firm, as a condition of receiving assistance through the BDP, to agree to terminate its participation in the DBE program after a certain time has passed or certain objectives have been reached. See Appendix C of this part for guidance on administering BDP programs. (b) As part of a BDP or separately, you may establish a "mentor -protege" program, in which another DBE or non -DBE firm is the principal source of business development assistance to a DBE firm. (1) Only firms you have certified as DBEs before they are proposed for participation in a mentor -protege program are eligible to participate in the mentor -protege program. (2) During the course of the mentor -protege relationship, you must: (i) Not award DBE credit to a non -DBE mentor firm for using its own protege firm for more than one half of its goal on any contract let by the recipient; and (ii) Not award DBE credit to a non -DBE mentor firm for using its own protege firm for more than every other contract performed by the protege firm. (3) For purposes of making determinations of business size under this part, you must not treat protege firms as affiliates of mentor firms, when both firms are participating under an approved mentor - protege program. See Appendix D of this part for guidance concerning the operation of mentor - protege programs. c Your BDPs and mentor -protege programs must be approved by the concerned operating administration before you implement them. Once approved, they become part of your DBE program. § 26.37 What are a recipient's responsibilities for monitoring the performance of other program participants? a You must implement appropriate mechanisms to ensure compliance with the part's requirements by all program participants (e.g., applying legal and contract remedies available under Federal, state and local law). You must set forth these mechanisms in your DBE program. (b) Your DBE program must also include a monitoring and enforcement mechanism to ensure that work committed to DBEs at contract award or subsequently (e.g., as the result of modification to the contract) is actually performed by the DBEs to which the work was committed. This mechanism must include a written certification that you have reviewed contracting records and monitored work sites in your state for this purpose. The monitoring to which this paragraph refers may be conducted in conjunction with monitoring of contract performance for other purposes (e.g., close-out reviews for a contract). 49 CFR 26.37(b) (enhanced display) page 14 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.37(c) c This mechanism must provide for a running tally of actual DBE attainments (e.g., payments actually made to DBE firms), including a means of comparing these attainments to commitments. In your reports of DBE participation to the Department, you must display both commitments and attainments. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 75, 2000; 68 FR 35554, June 76, 2003; 76 FR 5097, Jan. 28, 2011] § 26.39 Fostering small business participation. ,a, Your DBE program must include an element to structure contracting requirements to facilitate competition by small business concerns, taking all reasonable steps to eliminate obstacles to their participation, including unnecessary and unjustified bundling of contract requirements that may preclude small business participation in procurements as prime contractors or subcontractors. (b, This element must be submitted to the appropriate DOT operating administration for approval as a part of your DBE program by February 28, 2012. As part of this program element you may include, but are not limited to, the following strategies: (1) Establishing a race -neutral small business set -aside for prime contracts under a stated amount (e.g., $1 million). (2) In multi -year design -build contracts or other large contracts (e.g., for "mega projects") requiring bidders on the prime contract to specify elements of the contract or specific subcontracts that are of a size that small businesses, including DBEs, can reasonably perform. 13` On prime contracts not having DBE contract goals, requiring the prime contractor to provide subcontracting opportunities of a size that small businesses, including DBEs, can reasonably perform, rather than self -performing all the work involved. (4) Identifying alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts. (5) To meet the portion of your overall goal you project to meet through race -neutral measures, ensuring that a reasonable number of prime contracts are of a size that small businesses, including DBEs, can reasonably perform. (c) You must actively implement your program elements to foster small business participation. Doing so is a requirement of good faith implementation of your DBE program. [76 FR 5097, Jan. 28, 2011] Subpart C - Goals, Good Faith Efforts, and Counting § 26.41 What is the role of the statutory 10 percent goal in this program? (a) The statutes authorizing this program provide that, except to the extent the Secretary determines otherwise, not less than 10 percent of the authorized funds are to be expended with DBEs. (b) This 10 percent goal is an aspirational goal at the national level, which the Department uses as a tool in evaluating and monitoring DBEs' opportunities to participate in DOT -assisted contracts. 49 CFR 26.41(b) (enhanced display) page 15 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.41(c) c The national 10 percent goal does not authorize or require recipients to set overall or contract goals at the 10 percent level, or any other particular level, or to take any special administrative steps if their goals are above or below 10 percent. § 26.43 Can recipients use set -asides or quotas as part of this program? a You are not permitted to use quotas for DBEs on DOT -assisted contracts subject to this part. b You may not set -aside contracts for DBEs on DOT -assisted contracts subject to this part, except that, in limited and extreme circumstances, you may use set -asides when no other method could be reasonably expected to redress egregious instances of discrimination. § 26.45 How do recipients set overall goals? (a) (1) Except as provided in paragraph (a)(2) of this section, you must set an overall goal for DBE participation in your DOT -assisted contracts. (2) If you are a FTA or FAA recipient who reasonably anticipates awarding (excluding transit vehicle purchases) $250,000 or less in FTA or FAA funds in prime contracts in a Federal fiscal year, you are not required to develop overall goals for FTA or FAA respectively for that fiscal year. However, if you have an existing DBE program, it must remain in effect and you must seek to fulfill the objectives outlined in § 26.1. b Your overall goal must be based on demonstrable evidence of the availability of ready, willing and able DBEs relative to all businesses ready, willing and able to participate on your DOT -assisted contracts (hereafter, the "relative availability of DBEs"). The goal must reflect your determination of the level of DBE participation you would expect absent the effects of discrimination. You cannot simply rely on either the 10 percent national goal, your previous overall goal or past DBE participation rates in your program without reference to the relative availability of DBEs in your market. (c) Step 1. You must begin your goal setting process by determining a base figure for the relative availability of DBEs. The following are examples of approaches that you may take toward determining a base figure. These examples are provided as a starting point for your goal setting process. Any percentage figure derived from one of these examples should be considered a basis from which you begin when examining all evidence available in your jurisdiction. These examples are not intended as an exhaustive list. Other methods or combinations of methods to determine a base figure may be used, subject to approval by the concerned operating administration. (1) Use DBE Directories and Census Bureau Data. Determine the number of ready, willing and able DBEs in your market from your DBE directory. Using the Census Bureau's County Business Pattern (CBP) data base, determine the number of all ready, willing and able businesses available in your market that perform work in the same NAICS codes. (Information about the CBP data base may be obtained from the Census Bureau at their web site, www.census.gov/epcd/cbp/view/cbpviewhtml.) Divide the number of DBEs by the number of all businesses to derive a base figure for the relative availability of DBEs in your market. (2) Use a bidders list. Determine the number of DBEs that have bid or quoted (successful and unsuccessful) on your DOT -assisted prime contracts or subcontracts in the past three years. Determine the number of all businesses that have bid or quoted (successful and unsuccessful) on prime or subcontracts in the same time period. Divide the number of DBE bidders and quoters by the number of all businesses to derive a base figure for the relative availability of DBEs in your market. 49 CFR 26.45(c)(2) (enhanced display) page 16 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.45(c)(3) When using this approach, you must establish a mechanism (documented in your goal submission) to directly capture data on DBE and non -DBE prime and subcontractors that submitted bids or quotes on your DOT -assisted contracts. (3) Use data from a disparity study. Use a percentage figure derived from data in a valid, applicable disparity study. (4) Use the goal of another DOT recipient. If another DOT recipient in the same, or substantially similar, market has set an overall goal in compliance with this rule, you may use that goal as a base figure for your goal. (5) Alternative methods. Except as otherwise provided in this paragraph, you may use other methods to determine a base figure for your overall goal. Any methodology you choose must be based on demonstrable evidence of local market conditions and be designed to ultimately attain a goal that is rationally related to the relative availability of DBEs in your market. The exclusive use of a list of prequalified contractors or plan holders, or a bidders list that does not comply with the requirements of paragraph (c)(2) of this section, is not an acceptable alternative means of determining the availability of DBEs. (d) Step 2. Once you have calculated a base figure, you must examine all of the evidence available in your jurisdiction to determine what adjustment, if any, is needed to the base figure to arrive at your overall goal. If the evidence does not suggest an adjustment is necessary, then no adjustment shall be made. (1) There are many types of evidence that must be considered when adjusting the base figure. These include: (i) The current capacity of DBEs to perform work in your DOT -assisted contracting program, as measured by the volume of work DBEs have performed in recent years; (ii) Evidence from disparity studies conducted anywhere within your jurisdiction, to the extent it is not already accounted for in your base figure; and (iii) If your base figure is the goal of another recipient, you must adjust it for differences in your local market and your contracting program. (2) If available, you must consider evidence from related fields that affect the opportunities for DBEs to form, grow and compete. These include, but are not limited to: (i) Statistical disparities in the ability of DBEs to get the financing, bonding and insurance required to participate in your program; (ii) Data on employment, self-employment, education, training and union apprenticeship programs, to the extent you can relate it to the opportunities for DBEs to perform in your program. (3) If you attempt to make an adjustment to your base figure to account for the continuing effects of past discrimination (often called the "but for" factor) or the effects of an ongoing DBE program, the adjustment must be based on demonstrable evidence that is logically and directly related to the effect for which the adjustment is sought. (e) Once you have determined a percentage figure in accordance with paragraphs (c) and (d) of this section, you should express your overall goal as follows: (1) If you are an FHWA recipient, as a percentage of all Federal -aid highway funds you will expend in FHWA-assisted contracts in the forthcoming three fiscal years. 49 CFR 26.45(e)(1) (enhanced display) page 17 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.45(e)(2) (f) (2) If you are an FTA or FAA recipient, as a percentage of all FT or FAA funds (exclusive of FTA funds to be used for the purchase of transit vehicles) that you will expend in FTA or FAA -assisted contracts in the three forthcoming fiscal years. (3) In appropriate cases, the FHWA, FTA or FAA Administrator may permit or require you to express your overall goal as a percentage of funds for a particular grant or project or group of grants and/or projects, including entire projects. Like other overall goals, a project goal may be adjusted to reflect changed circumstances, with the concurrence of the appropriate operating administration. (1) (i) A project goal is an overall goal, and must meet all the substantive and procedural requirements of this section pertaining to overall goals. (ii) A project goal covers the entire length of the project to which it applies. (iii) The project goal should include a projection of the DBE participation anticipated to be obtained during each fiscal year covered by the project goal. (iv) The funds for the project to which the project goal pertains are separated from the base from which your regular overall goal, applicable to contracts not part of the project covered by a project goal, is calculated. (i) If you set your overall goal on a fiscal year basis, you must submit it to the applicable DOT operating administration by August 1 at three-year intervals, based on a schedule established by the FHWA, FTA, or FAA, as applicable, and posted on that agency's Web site. (ii) You may adjust your three-year overall goal during the three-year period to which it applies, in order to reflect changed circumstances. You must submit such an adjustment to the concerned operating administration for review and approval. (iii) The operating administration may direct you to undertake a review of your goal if necessary to ensure that the goal continues to fit your circumstances appropriately. (iv) While you are required to submit an overall goal to FHWA, FTA, or FAA only every three years, the overall goal and the provisions of Sec. 26.47(c) apply to each year during that three-year period. (v) You may make, for informational purposes, projections of your expected DBE achievements during each of the three years covered by your overall goal. However, it is the overall goal itself, and not these informational projections, to which the provisions of section 26.47(c) of this part apply. (2) If you are a recipient and set your overall goal on a project or grant basis as provided in paragraph (e)(3) of this section, you must submit the goal for review at a time determined by the FHWA, FTA or FAA Administrator, as applicable. 13' You must include with your overall goal submission a description of the methodology you used to establish the goal, incuding your base figure and the evidence with which it was calculated, and the adjustments you made to the base figure and the evidence you relied on for the adjustments. You should also include a summary listing of the relevant available evidence in your jurisdiction and, 49 CFR 26.45(f)(3) (enhanced display) page 18 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.45(f)(4) (g) where applicable, an explanation of why you did not use that evidence to adjust your base figure. You must also include your projection of the portions of the overall goal you expect to meet through race - neutral and race-consioous measures, respectively (see 26.51(c)). (4) You are not required to obtain prior operating administration concurrence with your overall goal. However, if the operating administration's review suggests that your overall goal has not been correctly calculated or that your method for calculating goals is inadequate, the operating administration may, after consulting with you, adjust your overall goal or require that you do so. The adjusted overall goal is binding on you. In evaluating the adequacy or soundness of the methodology used to derive the overall goal, the operating administration will be guided by goal setting principles and best practices identified by the Department in guidance issued pursuant to § 26.9. 5 If you need additional time to collect data or take other steps to develop an approach to setting overall goals, you may request the approval of the concerned operating administration for an interim goal and/or goal -setting mechanism. Such a mechanism must: (i) Reflect the relative availability of DBEs in your local market to the maximum extent feasible given the data available to you; and (i i) Avoid imposing undue burdens on non -DBEs. (6) Timely submission and operating administration approval of your overall goal is a condition of eligibility for DOT financial assistance. (7) If you fail to establish and implement goals as provided in this section, you are not in compliance with this part. If you establish and implement goals in a way different from that provided in this part, you are not in compliance with this part. If you fail to comply with this requirement, you are not eligible to receive DOT financial assistance. (1) In establishing an overall goal, you must provide for consultation and publication. This includes: (i) Consultation with minority, women's and general contractor groups, community organizations, and other officials or organizations which could be expected to have information concerning the availability of disadvantaged and non -disadvantaged businesses, the effects of discrimination on opportunities for DBEs, and your efforts to establish a level playing field for the participation of DBEs. The consultation must include a scheduled, direct, interactive exchange (e.g., a face-to-face meeting, video conference, teleconference) with as many interested stakeholders as possible focused on obtaining information relevant to the goal setting process, and it must occur before you are required to submit your methodology to the operating administration for review pursuant to paragraph (f) of this section. You must document in your goal submission the consultation process you engaged in. Notwithstanding paragraph (f)(4) of this section, you may not implement your proposed goal until you have complied with this requirement. (ii) A published notice announcing your proposed overall goal before submission to the operating administration on August 1 st. The notice must be posted on your official Internet Web site and may be posted in any other sources (e.g., minority -focused media, trade association publications). If the proposed goal changes following review by the operating administration, the revised goal must be posted on your official Internet Web site. 49 CFR 26.45(g)(1)(ii) (enhanced display) page 19 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.45(g)(2) (2) At your discretion, you may inform the public that the proposed overall goal and its rationale are available for inspection during normal business hours at your principal office and for a 30-day comment period. Notice of the comment period must include addresses to which comments may be sent. The public comment period will not extend the August 1 st deadline set in paragraph (f) of this section. (h) Your overall goals must provide for participation by all certified DBEs and must not be subdivided into group -specific goals. [64 FR 5126, Feb. 2, 1999, as amended at 64 FR 34570, June 28, 1999, 65 FR 68951, Nov. 15, 2000; 68 FR 35553, June 16, 2003; ..... . 75 FR 5536, Feb. 3, 2010, 76 FR 5097, Jan. 28, 2011; 79 FR 59593, Oct. 2, 2014] § 26.47 Can recipients be penalized for failing to meet overall goals? a, You cannot be penalized, or treated by the Department as being in noncompliance with this rule, because your DBE participation falls short of your overall goal, unless you have failed to administer your program in good faith. (b) If you do not have an approved DBE program or overall goal, or if you fail to implement your program in good faith, you are in noncompliance with this part. c If the awards and commitments shown on your Uniform Report of Awards or Commitments and Payments at the end of any fiscal year are less than the overall goal applicable to that fiscal year, you must do the following in order to be regarded by the Department as implementing your DBE program in good faith: (1) Analyze in detail the reasons for the difference between the overall goal and your awards and commitments in that fiscal year; (2) Establish specific steps and milestones to correct the problems you have identified in your analysis and to enable you to meet fully your goal for the new fiscal year; l3) (i) If you are a state highway agency; one of the 50 largest transit authorities as determined by the FTA; or an Operational Evolution Partnership Plan airport or other airport designated by the FAA, you must submit, within 90 days of the end of the fiscal year, the analysis and corrective actions developed under paragraphs (c)(1) and (2) of this section to the appropriate operating administration for approval. If the operating administration approves the report, you will be regarded as complying with the requirements of this section for the remainder of the fiscal year. (ii) As a transit authority or airport not meeting the criteria of paragraph (c)(3)(i) of this section, you must retain analysis and corrective actions in your records for three years and make it available to FTA or FAA on request for their review. (4) FHWA, FTA, or FAA may impose conditions on the recipient as part of its approval of the recipient's analysis and corrective actions including, but not limited to, modifications to your overall goal methodology, changes in your race-conscious/race-neutral split, or the introduction of additional race -neutral or race -conscious measures. (5) You may be regarded as being in noncompliance with this Part, and therefore subject to the remedies in § 26.103 or § 26.105 of this part and other applicable regulations, for failing to ...... ..... implement your DBE program in good faith if any of the following things occur: 49 CFR 26.47(c)(5) (enhanced display) page 20 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.47(c)(5)(i) Participation by Disadvantaged Business Enterprises in Depart... (i) You do not submit your analysis and corrective actions to FHWA, FTA, or FAA in a timely manner as required under paragraph (c)(3) of this section; 'ii' FHWA, FTA, or FAA disapproves your analysis or corrective actions; or (iii You do not fully implement the corrective actions to which you have committed or conditions that FHWA, FTA, or FAA has imposed following review of your analysis and corrective actions. (d) If, as recipient, your Uniform Report of DBE Awards or Commitments and Payments or other information coming to the attention of FTA, FHWA, or FAA, demonstrates that current trends make it unlikely that you will achieve DBE awards and commitments that would be necessary to allow you to meet your overall goal at the end of the fiscal year, FHWA, FTA, or FAA, as applicable, may require you to make further good faith efforts, such as by modifying your race-conscious/race-neutral split or introducing additional race -neutral or race -conscious measures for the remainder of the fiscal year. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 20111 § 26.49 How are overall goals established for transit vehicle manufacturers? a If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufacturer, as a condition of being authorized to bid or propose on FTA-assisted transit vehicle procurements, certify that it has complied with the requirements of this section. You do not include FTA assistance used in transit vehicle procurements in the base amount from which your overall goal is calculated. 1 Only those transit vehicle manufacturers listed on FTA's certified list of Transit Vehicle Manufacturers, or that have submitted a goal methodology to FTA that has been approved or has not been disapproved, at the time of solicitation are eligible to bid. (2) A TVM's failure to implement the DBE Program in the manner as prescribed in this section and throughout 49 CFR part 26 will be deemed as non-compliance, which will result in removal from FTA's certified TVMs list, resulting in that manufacturer becoming ineligible to bid. (3) FTA recipient's failure to comply with the requirements set forth in paragraph (a) of this section may result in formal enforcement action or appropriate sanction as determined by FTA (e.g., FTA declining to participate in the vehicle procurement). (4) FTA recipients are required to submit within 30 days of making an award, the name of the successful bidder, and the total dollar value of the contract in the manner prescribed in the grant agreement. (b) If you are a transit vehicle manufacturer, you must establish and submit for FTA's approval an annual overall percentage goal. (1) In setting your overall goal, you should be guided, to the extent applicable, by the principles underlying § 26.45. The base from which you calculate this goal is the amount of FTA financial assistance included in transit vehicle contracts you will bid on during the fiscal year in question, less the portion(s) attributable to the manufacturing process performed entirely by the transit vehicle manufacturer's own forces. (i) You must consider and include in your base figure all domestic contracting opportunities made available to non -DBE firms; and (ii) You must exclude from this base figure funds attributable to work performed outside the United States and its territories, possessions, and commonwealths. 49 CFR 26.49(b)(1)(ii) (enhanced display) page 21 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.49(b)(1)(iii) Participation by Disadvantaged Business Enterprises in Depart... iii In establishing an overall goal, the transit vehicle manufacturer must provide for public participation. This includes consultation with interested parties consistent with § 26.45(g). 2 The requirements of this part with respect to submission and approval of overall goals apply to you as they do to recipients. (c) Transit vehicle manufacturers awarded must comply with the reporting requirements of § 26.11 of this part including the requirement to submit the Uniform Report of Awards or Commitments and Payments, in order to remain eligible to bid on FTA assisted transit vehicle procurements. (d) Transit vehicle manufacturers must implement all other applicable requirements of this part, except those relating to UCPs and DBE certification procedures. (e) If you are an FHWA or FAA recipient, you may, with FHWA or FAA approval, use the procedures of this section with respect to procurements of vehicles or specialized equipment. If you choose to do so, then the manufacturers of this equipment must meet the same requirements (including goal approval by FHWA or FAA) as transit vehicle manufacturers must meet in FTA-assisted procurements. (f) As a recipient you may, with FTA approval, establish project -specific goals for DBE participation in the procurement of transit vehicles in lieu of complying through the procedures of this section. [79 FR 59594, Oct. 2, 20141 § 26.51 What means do recipients use to meet overall goals? ,a, You must meet the maximum feasible portion of your overall goal by using race -neutral means of facilitating race -neutral DBE participation. Race -neutral DBE participation includes anytime a DBE wins a prime contract through customary competitive procurement procedures or is awarded a subcontract on a prime contract that does not carry a DBE contract goal. (b) Race -neutral means include, but are not limited to, the following: (1) Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate participation by DBEs and other small businesses and by making contracts more accessible to small businesses, by means such as those provided under § 26.39 of this part. (2) Providing assistance in overcoming limitations such as inability to obtain bonding or financing (e.g., by such means as simplifying the bonding process, reducing bonding requirements, eliminating the impact of surety costs from bids, and providing services to help DBEs, and other small businesses, obtain bonding and financing); (3) Providing technical assistance and other services; (4) Carrying out information and communications programs on contracting procedures and specific contract opportunities (e.g., ensuring the inclusion of DBEs, and other small businesses, on recipient mailing lists for bidders; ensuring the dissemination to bidders on prime contracts of lists of potential subcontractors; provision of information in languages other than English, where appropriate); (5) Implementing a supportive services program to develop and improve immediate and long-term business management, record keeping, and financial and accounting capability for DBEs and other small businesses; 49 CFR 26.51(b)(5) (enhanced display) page 22 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.51(b)(6) (6) Providing services to help DBEs, and other small businesses, improve long-term development, increase opportunities to participate in a variety of kinds of work, handle increasingly significant projects, and achieve eventual self-sufficiency; (7) Establishing a program to assist new, start-up firms, particularly in fields in which DBE participation has historically been low; (8) Ensuring distribution of your DBE directory, through print and electronic means, to the widest feasible universe of potential prime contractors; and 9 Assisting DBEs, and other small businesses, to develop their capability to utilize emerging technology and conduct business through electronic media. (c) Each time you submit your overall goal for review by the concerned operating administration, you must also submit your projection of the portion of the goal that you expect to meet through race -neutral means and your basis for that projection. This projection is subject to approval by the concerned operating administration, in conjunction with its review of your overall goal. (d) You must establish contract goals to meet any portion of your overall goal you do not project being able to meet using race -neutral means. (e) The following provisions apply to the use of contract goals: (1) You may use contract goals only on those DOT -assisted contracts that have subcontracting possibilities. (2) You are not required to set a contract goal on every DOT -assisted contract. You are not required to set each contract goal at the same percentage level as the overall goal. The goal for a specific contract may be higher or lower than that percentage level of the overall goal, depending on such factors as the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract. However, over the period covered by your overall goal, you must set contract goals so that they will cumulatively result in meeting any portion of your overall goal you do not project being able to meet through the use of race -neutral means. �3) Operating administration approval of each contract goal is not necessarily required. However, operating administrations may review and approve or disapprove any contract goal you establish. (4) Your contract goals must provide for participation by all certified DBEs and must not be subdivided into group -specific goals. (f) To ensure that your DBE program continues to be narrowly tailored to overcome the effects of discrimination, you must adjust your use of contract goals as follows: (1) If your approved projection under paragraph (c) of this section estimates that you can meet your entire overall goal for a given year through race -neutral means, you must implement your program without setting contract goals during that year, unless it becomes necessary in order meet your overall goal. Example to paragraph (f)(1): Your overall goal for Year 1 is 12 percent. You estimate that you can obtain 12 percent or more DBE participation through the use of race -neutral measures, without any use of contract goals. In this case, you do not set any contract goals for the contracts that will be performed in Year 1. However, if part way through Year 1, your DBE awards or commitments are not at a level that would permit you to achieve your overall 49 CFR 26.51(f)(1) (enhanced display) page 23 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.51(f)(2) goal for Year 1, you could begin setting race -conscious DBE contract goals during the remainder of the year as part of your obligation to implement your program in good faith. 12, If, during the course of any year in which you are using contract goals, you determine that you will exceed your overall goal, you must reduce or eliminate the use of contract goals to the extent necessary to ensure that the use of contract goals does not result in exceeding the overall goal. If you determine that you will fall short of your overall goal, then you must make appropriate modifications in your use of race -neutral and/or race -conscious measures to allow you to meet the overall goal. Example to paragraph (f)(2): In Year II, your overall goal is 12 percent. You have estimated that you can obtain 5 percent DBE participation through use of race -neutral measures. You therefore plan to obtain the remaining 7 percent participation through use of DBE goals. By September, you have already obtained 11 percent DBE participation for the year. For contracts let during the remainder of the year, you use contract goals only to the extent necessary to obtain an additional one percent DBE participation. However, if you determine in September that your participation for the year is likely to be only 8 percent total, then you would increase your use of race -neutral and/or race -conscious means during the remainder of the year in order to achieve your overall goal. (3) If the DBE participation you have obtained by race -neutral means alone meets or exceeds your overall goals for two consecutive years, you are not required to make a projection of the amount of your goal you can meet using such means in the next year. You do not set contract goals on any contracts in the next year. You continue using only race -neutral means to meet your overall goals unless and until you do not meet your overall goal for a year. Example to paragraph (f)(3): Your overall goal for Years I and Year II is 10 percent. The DBE participation you obtain through race -neutral measures alone is 10 percent or more in each year. (For this purpose, it does not matter whether you obtained additional DBE participation through using contract goals in these years.) In Year III and following years, you do not need to make a projection under paragraph (c) of this section of the portion of your overall goal you expect to meet using race -neutral means. You simply use race -neutral means to achieve your overall goals. However, if in Year VI your DBE participation falls short of your overall goal, then you must make a paragraph (c) projection for Year VII and, if necessary, resume use of contract goals in that year. (4) If you obtain DBE participation that exceeds your overall goal in two consecutive years through the use of contract goals (i.e., not through the use of race -neutral means alone), you must reduce your use of contract goals proportionately in the following year. Example to paragraph (f)(4): In Years I and II, your overall goal is 12 percent, and you obtain 14 and 16 percent DBE participation, respectively. You have exceeded your goals over the two-year period by an average of 25 percent. In Year III, your overall goal is again 12 percent, 49 CFR 26.51(f)(4) (enhanced display) page 24 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.51(g) and your paragraph (c) projection estimates that you will obtain 4 percent DBE participation through race -neutral means and 8 percent through contract goals. You then reduce the contract goal projection by 25 percent (i.e., from 8 to 6 percent) and set contract goals accordingly during the year. If in Year III you obtain 11 percent participation, you do not use this contract goal adjustment mechanism for Year IV, because there have not been two consecutive years of exceeding overall goals. (g) In any year in which you project meeting part of your goal through race -neutral means and the remainder through contract goals, you must maintain data separately on DBE achievements in those contracts with and without contract goals, respectively. You must report this data to the concerned operating administration as provided in § 26.11. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 2014] § 26.53 What are the good faith efforts procedures recipients follow in situations where there are contract goals? (a) When you have established a DBE contract goal, you must award the contract only to a bidder/offeror who makes good faith efforts to meet it. You must determine that a bidder/offeror has made good faith efforts if the bidder/offeror does either of the following things: (1) Documents that it has obtained enough DBE participation to meet the goal; or (2) Documents that it made adequate good faith efforts to meet the goal, even though it did not succeed in obtaining enough DBE participation to do so. If the bidder/offeror does document adequate good faith efforts, you must not deny award of the contract on the basis that the bidder/ offeror failed to meet the goal. See Appendix A of this part for guidance in determining the adequacy of a bidder/offeror's good faith efforts. (b) In your solicitations for DOT -assisted contracts for which a contract goal has been established, you must require the following: (1) Award of the contract will be conditioned on meeting the requirements of this section; (2) All bidders or offerors will be required to submit the following information to the recipient, at the time provided in paragraph (b)(3) of this section: (i) The names and addresses of DBE firms that will participate in the contract; (ii) A description of the work that each DBE will perform. To count toward meeting a goal, each DBE firm must be certified in a NAICS code applicable to the kind of work the firm would perform on the contract; (iii) The dollar amount of the participation of each DBE firm participating; (iv) Written documentation of the bidder/offeror's commitment to use a DBE subcontractor whose participation it submits to meet a contract goal; and (v) Written confirmation from each listed DBE firm that it is participating in the contract in the kind and amount of work provided in the prime contractor's commitment. 49 CFR 26.53(b)(2)(v) (enhanced display) page 25 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.53(b)(2)(vi) Participation by Disadvantaged Business Enterprises in Depart... vi If the contract goal is not met, evidence of good faith efforts (see Appendix A of this part). The documentation of good faith efforts must include copies of each DBE and non -DBE subcontractor quote submitted to the bidder when a non -DBE subcontractor was selected over a DBE for work on the contract; and (3) (i) At your discretion, the bidder/offeror must present the information required by paragraph (b)(2) of this section - A Under sealed bid procedures, as a matter of responsiveness, or with initial proposals, under contract negotiation procedures; or (B) No later than 7 days after bid opening as a matter of responsibility. The 7 days shall be reduced to 5 days beginning January 1, 2017. (ii) Provided that, in a negotiated procurement, including a design -build procurement, the bidder/ offeror may make a contractually binding commitment to meet the goal at the time of bid submission or the presentation of initial proposals but provide the information required by paragraph (b)(2) of this section before the final selection for the contract is made by the recipient. c You must make sure all information is complete and accurate and adequately documents the bidder/ offeror's good faith efforts before committing yourself to the performance of the contract by the bidder/ offeror. (d) If you determine that the apparent successful bidder/offeror has failed to meet the requirements of paragraph (a) of this section, you must, before awarding the contract, provide the bidder/offeror an opportunity for administrative reconsideration. As part of this reconsideration, the bidder/offeror must have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. (2) Your decision on reconsideration must be made by an official who did not take part in the original determination that the bidder/offeror failed to meet the goal or make adequate good faith efforts to do so. (3) The bidder/offeror must have the opportunity to meet in person with your reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. !41 You must send the bidder/offeror a written decision on reconsideration, explaining the basis for finding that the bidder did or did not meet the goal or make adequate good faith efforts to do so. (5) The result of the reconsideration process is not administratively appealable to the Department of Transportation. (e) In a "design -build" or "turnkey" contracting situation, in which the recipient lets a master contract to a contractor, who in turn lets subsequent subcontracts for the work of the project, a recipient may establish a goal for the project. The master contractor then establishes contract goals, as appropriate, for the subcontracts it lets. Recipients must maintain oversight of the master contractor's activities to ensure that they are conducted consistent with the requirements of this part. (f) 49 CFR 26.53(f) (enhanced display) page 26 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.53(f)(1) You must require that a prime contractor not terminate a DBE subcontractor listed in response to paragraph (b)(2) of this section (or an approved substitute DBE firm) without your prior written consent. This includes, but is not limited to, instances in which a prime contractor seeks to perform work originally designated for a DBE subcontractor with its own forces or those of an affiliate, a non -DBE firm, or with another DBE firm. (ii) You must include in each prime contract a provision stating: (A) That the contractor shall utilize the specific DBEs listed to perform the work and supply the materials for which each is listed unless the contractor obtains your written consent as provided in this paragraph (f); and B That, unless your consent is provided under this paragraph (f), the contractor shall not be ........... entitled to any payment for work or material unless it is performed or supplied by the listed DBE. �2) You may provide such written consent only if you agree, for reasons stated in your concurrence document, that the prime contractor has good cause to terminate the DBE firm. (3) For purposes of this paragraph, good cause includes the following circumstances: (i) The listed DBE subcontractor fails or refuses to execute a written contract; (ii) The listed DBE subcontractor fails or refuses to perform the work of its subcontract in a way consistent with normal industry standards. Provided, however, that good cause does not exist if the failure or refusal of the DBE subcontractor to perform its work on the subcontract results from the bad faith or discriminatory action of the prime contracor; iii The listed DBE subcontractor fails or refuses to meet the prime contractor's reasonable, nondiscriminatory bond requirements. (iv) The listed DBE subcontractor becomes bankrupt, insolvent, or exhibits credit unworthiness; (v) The listed DBE subcontractor is ineligible to work on public works projects because of suspension and debarment proceedings pursuant 2 CFR Parts 180, 215 and 1,200 or applicable state law; (vii) You have determined that the listed DBE subcontractor is not a responsible contractor; (vi) The listed DBE subcontractor voluntarily withdraws from the project and provides to you written notice of its withdrawal; (vii) The listed DBE is ineligible to receive DBE credit for the type of work required; (viii) A DBE owner dies or becomes disabled with the result that the listed DBE contractor is unable to complete its work on the contract; (ix) Other documented good cause that you determine compels the termination of the DBE subcontractor. Provided, that good cause does not exist if the prime contractor seeks to terminate a DBE it relied upon to obtain the contract so that the prime contractor can self - perform the work for which the DBE contractor was engaged or so that the prime contractor can substitute another DBE or non -DBE contractor after contract award. 49 CFR 26.53(f)(3)(ix) (enhanced display) page 27 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.53(f)(4) (4) Before transmitting to you its request to terminate and/or substitute a DBE subcontractor, the prime contractor must give notice in writing to the DBE subcontractor, with a copy to you, of its intent to request to terminate and/or substitute, and the reason for the request. (5) The prime contractor must give the DBE five days to respond to the prime contractor's notice and advise you and the contractor of the reasons, if any, why it objects to the proposed termination of its subcontract and why you should not approve the prime contractor's action. If required in a particular case as a matter of public necessity (e.g., safety), you may provide a response period shorter than five days. 6, In addition to post -award terminations, the provisions of this section apply to preaward deletions of or substitutions for DBE firms put forward by offerors in negotiated procurements. (g) When a DBE subcontractor is terminated as provided in paragraph (f) of this section, or fails to complete its work on the contract for any reason, you must require the prime contractor to make good faith efforts to find another DBE subcontractor to substitute for the original DBE. These good faith efforts shall be directed at finding another DBE to perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to meet the contract goal you established for the procurement. The good faith efforts shall be documented by the contractor. If the recipient requests documentation under this provision, the contractor shall submit the documentation within 7 days, which may be extended for an additional 7 days if necessary at the request of the contractor, and the recipient shall provide a written determination to the contractor stating whether or not good faith efforts have been demonstrated. (h) You must include in each prime contract the contract clause required by § 26.13(b) stating that failure by the contractor to carry out the requirements of this part is a material breach of the contract and may result in the termination of the contract or such other remedies set forth in that section you deem appropriate if the prime contractor fails to comply with the requirements of this section. (i) You must apply the requirements of this section to DBE bidders/offerors for prime contracts. In determining whether a DBE bidder/offeror for a prime contract has met a contract goal, you count the work the DBE has committed to performing with its own forces as well as the work that it has committed to be performed by DBE subcontractors and DBE suppliers. (j) You must require the contractor awarded the contract to make available upon request a copy of all DBE subcontracts. The subcontractor shall ensure that all subcontracts or an agreement with DBEs to supply labor or materials require that the subcontract and all lower tier subcontractors be performed in accordance with this part's provisions. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5098, Jan. 28, 2011; 79 FR 59595, Oct. 2, 20141 § 26.55 How is DBE participation counted toward goals? (a) When a DBE participates in a contract, you count only the value of the work actually performed by the DBE toward DBE goals. (1) Count the entire amount of that portion of a construction contract (or other contract not covered by paragraph (a)(2) of this section) that is performed by the DBE's own forces. Include the cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate). 49 CFR 26.55(a)(1) (enhanced display) page 28 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.55(a)(2) (2) Count the entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT -assisted contract, toward DBE goals, provided you determine the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services. 3` When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work may be counted toward DBE goals only if the DBE's subcontractor is itself a DBE. Work that a DBE subcontracts to a non -DBE firm does not count toward DBE goals. (b) When a DBE performs as a participant in a joint venture, count a portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces toward DBE goals. (c) Count expenditures to a DBE contractor toward DBE goals only if the DBE is performing a commercially useful function on that contract. (1) A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether a DBE is performing a commercially useful function, you must evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing and the DBE credit claimed for its performance of the work, and other relevant factors. (2) A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether a DBE is such an extra participant, you must examine similar transactions, particularly those in which DBEs do not participate. (3) If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, you must presume that it is not performing a commercially useful function. (4) When a DBE is presumed not to be performing a commercially useful function as provided in paragraph (c)(3) of this section, the DBE may present evidence to rebut this presumption. You may determine that the firm is performing a commercially useful function given the type of work involved and normal industry practices. 5; Your decisions on commercially useful function matters are subject to review by the concerned operating administration, but are not administratively appealable to DOT. (d) Use the following factors in determining whether a DBE trucking company is performing a commercially useful function: (1) The DBE must be responsible for the management and supervision of the entire trucking operation for which it is responsible on a particular contract, and there cannot be a contrived arrangement for the purpose of meeting DBE goals. 49 CFR 26.55(d)(1) (enhanced display) page 29 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.55(d)(2) (2) The DBE must itself own and operate at least one fully licensed, insured, and operational truck used on the contract. ;3; The DBE receives credit for the total value of the transportation services it provides on the contract using trucks it owns, insures, and operates using drivers it employs. (4) The DBE may lease trucks from another DBE firm, including an owner -operator who is certified as a DBE. The DBE who leases trucks from another DBE receives credit for the total value of the transportation services the lessee DBE provides on the contract. (5) The DBE may also lease trucks from a non -DBE firm, including from an owner -operator. The DBE that leases trucks equipped with drivers from a non -DBE is entitled to credit for the total value of transportation services provided by non -DBE leased trucks equipped with drivers not to exceed the value of transportation services on the contract provided by DBE -owned trucks or leased trucks with DBE employee drivers. Additional participation by non -DBE owned trucks equipped with drivers receives credit only for the fee or commission it receives as a result of the lease arrangement. If a recipient chooses this approach, it must obtain written consent from the appropriate DOT operating administration. Example to paragraph (d)(5): DBE Firm X uses two of its own trucks on a contract. It leases two trucks from DBE Firm Y and six trucks equipped with drivers from non -DBE Firm Z. DBE credit would be awarded for the total value of transportation services provided by Firm X and Firm Y, and may also be awarded for the total value of transportation services provided by four of the six trucks provided by Firm Z. In all, full credit would be allowed for the participation of eight trucks. DBE credit could be awarded only for the fees or commissions pertaining to the remaining trucks Firm X receives as a result of the lease with Firm Z. (6) The DBE may lease trucks without drivers from a non -DBE truck leasing company. If the DBE leases trucks from a non -DBE truck leasing company and uses its own employees as drivers, it is entitled to credit for the total value of these hauling services. Example to paragraph (d)(6): DBE Firm X uses two of its own trucks on a contract. It leases two additional trucks from non -DBE Firm Z. Firm X uses its own employees to drive the trucks leased from Firm Z. DBE credit would be awarded for the total value of the transportation services provided by all four trucks. (7) For purposes of this paragraph (d), a lease must indicate that the DBE has exclusive use of and control over the truck. This does not preclude the leased truck from working for others during the term of the lease with the consent of the DBE, so long as the lease gives the DBE absolute priority for use of the leased truck. Leased trucks must display the name and identification number of the DBE. (e) Count expenditures with DBEs for materials or supplies toward DBE goals as provided in the following: (1) (i) If the materials or supplies are obtained from a DBE manufacturer, count 100 percent of the cost of the materials or supplies toward DBE goals. 49 CFR 26.55(e)(1)(i) (enhanced display) page 30 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.55(e)(1)(ii) (2) (ii) For purposes of this paragraph (e)(1), a manufacturer is a firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications. (i) If the materials or supplies are purchased from a DBE regular dealer, count 60 percent of the cost of the materials or supplies toward DBE goals. (ii) For purposes of this section, a regular dealer is a firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business. (A) To be a regular dealer, the firm must be an established, regular business that engages, as its principal business and under its own name, in the purchase and sale or lease of the products in question. B A person may be a regular dealer in such bulk items as petroleum products, steel, cement, gravel, stone, or asphalt without owning, operating, or maintaining a place of business as provided in this paragraph (e)(2)(ii) if the person both owns and operates distribution equipment for the products. Any supplementing of regular dealers' own distribution equipment shall be by a long-term lease agreement and not on an ad hoc or contract -by - contract basis. \C' Packagers, brokers, manufacturers' representatives, or other persons who arrange or expedite transactions are not regular dealers within the meaning of this paragraph (e)(2). (3) With respect to materials or supplies purchased from a DBE which is neither a manufacturer nor a regular dealer, count the entire amount of fees or commissions charged for assistance in the procurement of the materials and supplies, or fees or transportation charges for the delivery of materials or supplies required on a job site, toward DBE goals, provided you determine the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services. Do not count any portion of the cost of the materials and supplies themselves toward DBE goals, however. (4) You must determine the amount of credit awarded to a firm for the provisions of materials and supplies (e.g., whether a firm is acting as a regular dealer or a transaction expediter) on a contract - by -contract basis. (f) If a firm is not currently certified as a DBE in accordance with the standards of subpart D of this part at the time of the execution of the contract, do not count the firm's participation toward any DBE goals, except as provided for in § 26.87(i)). (g) Do not count the dollar value of work performed under a contract with a firm after it has ceased to be certified toward your overall goal. (h) Do not count the participation of a DBE subcontractor toward a contractor's final compliance with its DBE obligations on a contract until the amount being counted has actually been paid to the DBE. [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 75, 2000; 68 FR 35554, June 76, 2003; 79 FR 59595, Oct. 2, 2014] 49 CFR 26.55(h) (enhanced display) page 31 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.61 Participation by Disadvantaged Business Enterprises in Depart... Subpart D - Certification Standards § 26.61 How are burdens of proof allocated in the certification process? (a) In determining whether to certify a firm as eligible to participate as a DBE, you must apply the standards of this subpart. (b) The firm seeking certification has the burden of demonstrating to you, by a preponderance of the evidence, that it meets the requirements of this subpart concerning group membership or individual disadvantage, business size, ownership, and control. (c) You must rebuttably presume that members of the designated groups identified in § 26.67(a) are socially and economically disadvantaged. This means they do not have the burden of proving to you that they are socially and economically disadvantaged. In order to obtain the benefit of the rebuttable presumption, individuals must submit a signed, notarized statement that they are a member of one of the groups in § 26.67(a). Applicants do have the obligation to provide you information concerning their economic disadvantage (see § 26.67). d Individuals who are not presumed to be socially and economically disadvantaged, and individuals concerning whom the presumption of disadvantage has been rebutted, have the burden of proving to you, by a preponderance of the evidence, that they are socially and economically disadvantaged. (See Appendix E of this part.) (e) You must make determinations concerning whether individuals and firms have met their burden of demonstrating group membership, ownership, control, and social and economic disadvantage (where disadvantage must be demonstrated on an individual basis) by considering all the facts in the record, viewed as a whole. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 20031 § 26.63 What rules govern group membership determinations? a 1 If, after reviewing the signed notarized statement of membership in a presumptively disadvantaged group (see § 26.61(c)), you have a well founded reason to question the individual's claim of membership in that group, you must require the individual to present additional evidence that he or she is a member of the group. 2 You must provide the individual a written explanation of your reasons for questioning his or her group membership and a written request for additional evidence as outlined in paragraph (b) of this section. (3) In implementing this section, you must take special care to ensure that you do not impose a disproportionate burden on members of any particular designated group. Imposing a disproportionate burden on members of a particular group could violate § 26.7(b) and/or Title VI of the Civil Rights Act of 1964 and 49 CFR part 21. fib) In making such a determination, you must consider whether the person has held himself out to be a member of the group over a long period of time prior to application for certification and whether the person is regarded as a member of the group by the relevant community. You may require the applicant to produce appropriate documentation of group membership. 49 CFR 26.63(b) (enhanced display) page 32 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.63(b)(1) Participation by Disadvantaged Business Enterprises in Depart... 1 If you determine that an individual claiming to be a member of a group presumed to be disadvantaged is not a member of a designated disadvantaged group, the individual must demonstrate social and economic disadvantage on an individual basis. (2) Your decisions concerning membership in a designated group are subject to the certification appeals procedure of § 26.89. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35554, June 16, 20031 § 26.65 What rules govern business size determinations? (a) To be an eligible DBE, a firm (including its affiliates) must be an existing small business, as defined by Small Business Administration (SBA) standards. As a recipient, you must apply current SBA business size standard(s) found in 13 CFR part 121 appropriate to the type(s) of work the firm seeks to perform in DOT - assisted contracts, including the primary industry classification of the applicant. (b) Even if it meets the requirements of paragraph (a) of this section, a firm is not an eligible DBE for the purposes of Federal Highway Administration and Federal Transit Administration -assisted work in any Federal fiscal year if the firm (including its affiliates) has had average annual gross receipts, as defined by SBA regulations (see 13 CFR 121.104), over the firm's previous three fiscal years, in excess of $26.29 million. The Department will adjust this amount for inflation on an annual basis. The adjusted amount will be published on the Department's website in subsequent years. (c) The Department adjusts the number in paragraph (b) of this section annually using the Department of Commerce price deflators for purchases by State and local governments as the basis for this adjustment. [74 FR 15224, Apr. 3, 2009, as amended at 79 FR 59596, Oct. 2, 2014; 85 FR 80647, Dec. 14, 2020] § 26.67 What rules determine social and economic disadvantage? (a) Presumption of disadvantage. (1) You must rebuttably presume that citizens of the United States (or lawfully admitted permanent residents) who are women, Black Americans, Hispanic Americans, Native Americans, Asian -Pacific Americans, Subcontinent Asian Americans, or other minorities found to be disadvantaged by the SBA, are socially and economically disadvantaged individuals. You must require applicants to submit a signed, notarized certification that each presumptively disadvantaged owner is, in fact, socially and economically disadvantaged. (2) (i) You must require each individual owner of a firm applying to participate as a DBE, whose ownership and control are relied upon for DBE certification, to certify that he or she has a personal net worth that does not exceed $1.32 million. (ii) You must require each individual who makes this certification to support it with a signed, notarized statement of personal net worth, with appropriate supporting documentation. To meet this requirement, you must use the DOT personal net worth form provided in appendix G to this part without change or revision. Where necessary to accurately determine an individual's personal net worth, you may, on a case -by -case basis, require additional financial information from the owner of an applicant firm (e.g., information concerning the assets of the owner's 49 CFR 26.67(a)(2)(ii) (enhanced display) page 33 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.67(a)(2)(iii) spouse, where needed to clarify whether assets have been transferred to the spouse or when the owner's spouse is involved in the operation of the company). Requests for additional information shall not be unduly burdensome or intrusive. (iii) In determining an individual's net worth, you must observe the following requirements: (A) Exclude an individual's ownership interest in the applicant firm; (B) Exclude the individual's equity in his or her primary residence (except any portion of such equity that is attributable to excessive withdrawals from the applicant firm). The equity is the market value of the residence less any mortgages and home equity loan balances. Recipients must ensure that home equity loan balances are included in the equity calculation and not as a separate liability on the individual's personal net worth form. Exclusions for net worth purposes are not exclusions for asset valuation or access to capital and credit purposes. (C) Do not use a contingent liability to reduce an individual's net worth. (D) With respect to assets held in vested pension plans, Individual Retirement Accounts, 401(k) accounts, or other retirement savings or investment programs in which the assets cannot be distributed to the individual at the present time without significant adverse tax or interest consequences, include only the present value of such assets, less the tax and interest penalties that would accrue if the asset were distributed at the present time. (iv) Notwithstanding any provision of Federal or State law, you must not release an individual's personal net worth statement nor any documents pertaining to it to any third party without the written consent of the submitter. Provided, that you must transmit this information to DOT in any certification appeal proceeding under § 26.89 of this part or to any other State to which the individual's firm has applied for certification under § 26.85 of this part. (b Rebuttal of presumption of disadvantage. (1) An individual's presumption of economic disadvantage may be rebutted in two ways. (i) If the statement of personal net worth and supporting documentation that an individual submits under paragraph (a)(2) of this section shows that the individual's personal net worth exceeds $1.32 million, the individual's presumption of economic disadvantage is rebutted. You are not required to have a proceeding under paragraph (b)(2) of this section in order to rebut the presumption of economic disadvantage in this case. Example to paragraph (b)(1)(i): An individual with very high assets and significant liabilities may, in accounting terms, have a PNW of less than $1.32 million. However, the person's assets collectively (e.g., high income level, a very expensive house, a yacht, extensive real or personal property holdings) may lead a reasonable person to conclude that he or she is not economically disadvantaged. The recipient may rebut the individual's presumption of economic disadvantage under these circumstances, as provided in this section, even though the individual's PNW is less than $1.32 million. (ii) 49 CFR 26.67(b)(1)(ii) (enhanced display) page 34 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.67(b)(1)(ii)(A) (A) If the statement of personal net worth and supporting documentation that an individual submits under paragraph (a)(2) of this section demonstrates that the individual is able to accumulate substantial wealth, the individual's presumption of economic disadvantage is rebutted. In making this determination, as a certifying agency, you may consider factors that include, but are not limited to, the following: (1) Whether the average adjusted gross income of the owner over the most recent three year period exceeds $350,000; (2) Whether the income was unusual and not likely to occur in the future; (3) Whether the earnings were offset by losses; (4) Whether the income was reinvested in the firm or used to pay taxes arising in the normal course of operations by the firm; (5) Other evidence that income is not indicative of lack of economic disadvantage; and (6) Whether the total fair market value of the owner's assets exceed $6 million. �B) You must have a proceeding under paragraph (b)(2) of this section in order to rebut the presumption of economic disadvantage in this case. 2 If you have a reasonable basis to believe that an individual who is a member of one of the designated groups is not, in fact, socially and/or economically disadvantaged you may, at any time, start a proceeding to determine whether the presumption should be regarded as rebutted with respect to that individual. Your proceeding must follow the procedures of § 26.87. (3) In such a proceeding, you have the burden of demonstrating, by a preponderance of the evidence, that the individual is not socially and economically disadvantaged. You may require the individual to produce information relevant to the determination of his or her disadvantage. (4) When an individual's presumption of social and/or economic disadvantage has been rebutted, his or her ownership and control of the firm in question cannot be used for purposes of DBE eligibility under this subpart unless and until he or she makes an individual showing of social and/or economic disadvantage. If the basis for rebutting the presumption is a determination that the individual's personal net worth exceeds $1.32 million, the individual is no longer eligible for participation in the program and cannot regain eligibility by making an individual showing of disadvantage, so long as his or her PNW remains above that amount. (c) Transfers within two years. (1) Except as set forth in paragraph (c)(2) of this section, recipients must attribute to an individual claiming disadvantaged status any assets which that individual has transferred to an immediate family member, to a trust a beneficiary of which is an immediate family member, or to the applicant firm for less than fair market value, within two years prior to a concern's application for participation in the DBE program or within two years of recipient's review of the firm's annual affidavit, unless the individual claiming disadvantaged status can demonstrate that the transfer is to or on behalf of an immediate family member for that individual's education, medical expenses, or some other form of essential support. (2) Recipients must not attribute to an individual claiming disadvantaged status any assets transferred by that individual to an immediate family member that are consistent with the customary recognition of special occasions, such as birthdays, graduations, anniversaries, and retirements. 49 CFR 26.67(c)(2) (enhanced display) page 35 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.67(d) d Individual determinations of social and economic disadvantage. Firms owned and controlled by individuals who are not presumed to be socially and economically disadvantaged (including individuals whose presumed disadvantage has been rebutted) may apply for DBE certification. You must make a case -by -case determination of whether each individual whose ownership and control are relied upon for DBE certification is socially and economically disadvantaged. In such a proceeding, the applicant firm has the burden of demonstrating to you, by a preponderance of the evidence, that the individuals who own and control it are socially and economically disadvantaged. An individual whose personal net worth exceeds $1.32 million shall not be deemed to be economically disadvantaged. In making these determinations, use the guidance found in Appendix E of this part. You must require that applicants provide sufficient information to permit determinations under the guidance of appendix E of this part. [79 FR 59596, Oct. 2, 20141 § 26.69 What rules govern determinations of ownership? (a) In determining whether the socially and economically disadvantaged participants in a firm own the firm, you must consider all the facts in the record viewed as a whole, including the origin of all assets and how and when they were used in obtaining the firm. All transactions for the establishment and ownership (or transfer of ownership) must be in the normal course of business, reflecting commercial and arms -length practices. �b To be an eligible DBE, a firm must be at least 51 percent owned by socially and economically disadvantaged individuals. (c) (1) In the case of a corporation, such individuals must own at least 51 percent of the each class of voting stock outstanding and 51 percent of the aggregate of all stock outstanding. 2 In the case of a partnership, 51 percent of each class of partnership interest must be owned by socially and economically disadvantaged individuals. Such ownership must be reflected in the firm's partnership agreement. (3) In the case of a limited liability company, at least 51 percent of each class of member interest must be owned by socially and economically disadvantaged individuals. 1 The firm's ownership by socially and economically disadvantaged individuals, including their contribution of capital or expertise to acquire their ownership interests, must be real, substantial, and continuing, going beyond pro forma ownership of the firm as reflected in ownership documents. Proof of contribution of capital should be submitted at the time of the application. When the contribution of capital is through a loan, there must be documentation of the value of assets used as collateral for the loan. (2) Insufficient contributions include a promise to contribute capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, mere participation in a firm's activities as an employee, or capitalization not commensurate with the value for the firm. (3) The disadvantaged owners must enjoy the customary incidents of ownership, and share in the risks and be entitled to the profits and loss commensurate with their ownership interests, as demonstrated by the substance, not merely the form, of arrangements. Any terms or practices that give a non -disadvantaged individual or firm a priority or superior right to a firm's profits, compared to the disadvantaged owner(s), are grounds for denial. 49 CFR 26.69(c)(3) (enhanced display) page 36 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.69(c)(4) 4 Debt instruments from financial institutions or other organizations that lend funds in the normal course of their business do not render a firm ineligible, even if the debtor's ownership interest is security for the loan. Examples to paragraph (c): (i) An individual pays $100 to acquire a majority interest in a firm worth $1 million. The individual's contribution to capital would not be viewed as substantial. (ii) A 51 % disadvantaged owner and a non -disadvantaged 49% owner contribute $100 and $10,000, respectively, to acquire a firm grossing $1 million. This may be indicative of a pro forma arrangement that does not meet the requirements of (c)(1). (iii) The disadvantaged owner of a DBE applicant firm spends $250 to file articles of incorporation and obtains a $100,000 loan, but makes only nominal or sporadic payments to repay the loan. This type of contribution is not of a continuing nature. (d) All securities that constitute ownership of a firm shall be held directly by disadvantaged persons. Except as provided in this paragraph (d), no securities or assets held in trust, or by any guardian for a minor, are considered as held by disadvantaged persons in determining the ownership of a firm. However, securities or assets held in trust are regarded as held by a disadvantaged individual for purposes of determining ownership of the firm, if - (1) The beneficial owner of securities or assets held in trust is a disadvantaged individual, and the trustee is the same or another such individual; or ,2, The beneficial owner of a trust is a disadvantaged individual who, rather than the trustee, exercises effective control over the management, policy -making, and daily operational activities of the firm. Assets held in a revocable living trust may be counted only in the situation where the same disadvantaged individual is the sole grantor, beneficiary, and trustee. (e) The contributions of capital or expertise by the socially and economically disadvantaged owners to acquire their ownership interests must be real and substantial. Examples of insufficient contributions include a promise to contribute capital, an unsecured note payable to the firm or an owner who is not a disadvantaged individual, or mere participation in a firm's activities as an employee. Debt instruments from financial institutions or other organizations that lend funds in the normal course of their business do not render a firm ineligible, even if the debtor's ownership interest is security for the loan. (f) The following requirements apply to situations in which expertise is relied upon as part of a disadvantaged owner's contribution to acquire ownership: (1) The owner's expertise must be - (i) In a specialized field; (ii) Of outstanding quality; (iii) In areas critical to the firm's operations; (iv) Indispensable to the firm's potential success; (v) Specific to the type of work the firm performs; and 49 CFR 26.69(f)(1)(v) (enhanced display) page 37 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.69(f)(1)(vi) Participation by Disadvantaged Business Enterprises in Depart... (vi) Documented in the records of the firm. These records must clearly show the contribution of expertise and its value to the firm. 2 The individual whose expertise is relied upon must have a significant financial investment in the firm. (g) You must always deem as held by a socially and economically disadvantaged individual, for purposes of determining ownership, all interests in a business or other assets obtained by the individual - (h) (1) As the result of a final property settlement or court order in a divorce or legal separation, provided that no term or condition of the agreement or divorce decree is inconsistent with this section; or (2) Through inheritance, or otherwise because of the death of the former owner. (1) You must presume as not being held by a socially and economically disadvantaged individual, for purposes of determining ownership, all interests in a business or other assets obtained by the individual as the result of a gift, or transfer without adequate consideration, from any non - disadvantaged individual or non -DBE firm who is - (i) Involved in the same firm for which the individual is seeking certification, or an affiliate of that firm; (ii) Involved in the same or a similar line of business; or (iii) Engaged in an ongoing business relationship with the firm, or an affiliate of the firm, for which the individual is seeking certification. (2) To overcome this presumption and permit the interests or assets to be counted, the disadvantaged individual must demonstrate to you, by clear and convincing evidence, that - (i) The gift or transfer to the disadvantaged individual was made for reasons other than obtaining certification as a DBE; and (ii) The disadvantaged individual actually controls the management, policy, and operations of the firm, notwithstanding the continuing participation of a non -disadvantaged individual who provided the gift or transfer. (i) You must apply the following rules in situations in which marital assets forma basis for ownership of a firm: (1) When marital assets (other than the assets of the business in question), held jointly or as community property by both spouses, are used to acquire the ownership interest asserted by one spouse, you must deem the ownership interest in the firm to have been acquired by that spouse with his or her own individual resources, provided that the other spouse irrevocably renounces and transfers all rights in the ownership interest in the manner sanctioned by the laws of the state in which either spouse or the firm is domiciled. You do not count a greater portion of joint or community property assets toward ownership than state law would recognize as belonging to the socially and economically disadvantaged owner of the applicant firm. (2) A copy of the document legally transferring and renouncing the other spouse's rights in the jointly owned or community assets used to acquire an ownership interest in the firm must be included as part of the firm's application for DBE certification. 49 CFR 26.69(i)(2) (enhanced display) page 38 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.69(j) (j) You may consider the following factors in determining the ownership of a firm. However, you must not regard a contribution of capital as failing to be real and substantial, or find a firm ineligible, solely because (1) A socially and economically disadvantaged individual acquired his or her ownership interest as the result of a gift, or transfer without adequate consideration, other than the types set forth in paragraph (h) of this section; (2) There is a provision for the co -signature of a spouse who is not a socially and economically disadvantaged individual on financing agreements, contracts for the purchase or sale of real or personal property, bank signature cards, or other documents; or (3) Ownership of the firm in question or its assets is transferred for adequate consideration from a spouse who is not a socially and economically disadvantaged individual to a spouse who is such an individual. In this case, you must give particularly close and careful scrutiny to the ownership and control of a firm to ensure that it is owned and controlled, in substance as well as in form, by a socially and economically disadvantaged individual. [64 FR 5126, Feb. 2, 1999, as amended at 79 FR 59597, Oct. 2, 2014] § 26.71 What rules govern determinations concerning control? (a) In determining whether socially and economically disadvantaged owners control a firm, you must consider all the facts in the record, viewed as a whole. (b) Only an independent business maybe certified as a DBE. An independent business is one the viability of which does not depend on its relationship with another firm or firms. 1, In determining whether a potential DBE is an independent business, you must scrutinize relationships with non -DBE firms, in such areas as personnel, facilities, equipment, financial and/or bonding support, and other resources. (2) You must consider whether present or recent employer/employee relationships between the disadvantaged owner(s) of the potential DBE and non -DBE firms or persons associated with non -DBE firms compromise the independence of the potential DBE firm. (3) You must examine the firm's relationships with prime contractors to determine whether a pattern of exclusive or primary dealings with a prime contractor compromises the independence of the potential DBE firm. 141 In considering factors related to the independence of a potential DBE firm, you must consider the consistency of relationships between the potential DBE and non -DBE firms with normal industry practice. (c) A DBE firm must not be subject to any formal or informal restrictions which limit the customary discretion of the socially and economically disadvantaged owners. There can be no restrictions through corporate charter provisions, by-law provisions, contracts or any other formal or informal devices (e.g., cumulative voting rights, voting powers attached to different classes of stock, employment contracts, requirements for concurrence by non -disadvantaged partners, conditions precedent or subsequent, executory agreements, voting trusts, restrictions on or assignments of voting rights) that prevent the socially and economically disadvantaged owners, without the cooperation or vote of any non -disadvantaged individual, from making any business decision of the firm. This paragraph does not preclude a spousal co -signature on documents as provided for in § 26.690)(2). 49 CFR 26.71(c) (enhanced display) page 39 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.71(d) d The socially and economically disadvantaged owners must possess the power to direct or cause the direction of the management and policies of the firm and to make day-to-day as well as long-term decisions on matters of management, policy and operations. (1) A disadvantaged owner must hold the highest officer position in the company (e.g., chief executive officer or president). (2) In a corporation, disadvantaged owners must control the board of directors. (31 In a partnership, one or more disadvantaged owners must serve as general partners, with control over all partnership decisions. (e) Individuals who are not socially and economically disadvantaged or immediate family members may be involved in a DBE firm as owners, managers, employees, stockholders, officers, and/or directors. Such individuals must not, however possess or exercise the power to control the firm, or be disproportionately responsible for the operation of the firm. (f) The socially and economically disadvantaged owners of the firm may delegate various areas of the management, policymaking, or daily operations of the firm to other participants in the firm, regardless of whether these participants are socially and economically disadvantaged individuals. Such delegations of authority must be revocable, and the socially and economically disadvantaged owners must retain the power to hire and fire any person to whom such authority is delegated. The managerial role of the socially and economically disadvantaged owners in the firm's overall affairs must be such that the recipient can reasonably conclude that the socially and economically disadvantaged owners actually exercise control over the firm's operations, management, and policy. (g) The socially and economically disadvantaged owners must have an overall understanding of, and managerial and technical competence and experience directly related to, the type of business in which the firm is engaged and the firm's operations. The socially and economically disadvantaged owners are not required to have experience or expertise in every critical area of the firm's operations, or to have greater experience or expertise in a given field than managers or key employees. The socially and economically disadvantaged owners must have the ability to intelligently and critically evaluate information presented by other participants in the firm's activities and to use this information to make independent decisions concerning the firm's daily operations, management, and policymaking. Generally, expertise limited to office management, administration, or bookkeeping functions unrelated to the principal business activities of the firm is insufficient to demonstrate control. (h, If state or local law requires the persons to have a particular license or other credential in order to own and/or control a certain type of firm, then the socially and economically disadvantaged persons who own and control a potential DBE firm of that type must possess the required license or credential. If state or local law does not require such a person to have such a license or credential to own and/or control a firm, you must not deny certification solely on the ground that the person lacks the license or credential. However, you may take into account the absence of the license or credential as one factor in determining whether the socially and economically disadvantaged owners actually control the firm. 1 You may consider differences in remuneration between the socially and economically disadvantaged owners and other participants in the firm in determining whether to certify a firm as a DBE. Such consideration shall be in the context of the duties of the persons involved, normal industry practices, the firm's policy and practice concerning reinvestment of income, and any other explanations for the 49 CFR 26.71(i)(1) (enhanced display) page 40 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.71(i)(2) Participation by Disadvantaged Business Enterprises in Depart... differences proffered by the firm. You may determine that a firm is controlled by its socially and economically disadvantaged owner although that owner's remuneration is lower than that of some other participants in the firm. (2) In a case where a non -disadvantaged individual formerly controlled the firm, and a socially and economically disadvantaged individual now controls it, you may consider a difference between the remuneration of the former and current controller of the firm as a factor in determining who controls the firm, particularly when the non -disadvantaged individual remains involved with the firm and continues to receive greater compensation than the disadvantaged individual. �i In order to be viewed as controlling a firm, a socially and economically disadvantaged owner cannot engage in outside employment or other business interests that conflict with the management of the firm or prevent the individual from devoting sufficient time and attention to the affairs of the firm to control its activities. For example, absentee ownership of a business and part-time work in a full-time firm are not viewed as constituting control. However, an individual could be viewed as controlling a part-time business that operates only on evenings and/or weekends, if the individual controls it all the time it is operating. (k) (1) A socially and economically disadvantaged individual may control a firm even though one or more of the individual's immediate family members (who themselves are not socially and economically disadvantaged individuals) participate in the firm as a manager, employee, owner, or in another capacity. Except as otherwise provided in this paragraph, you must make a judgment about the control the socially and economically disadvantaged owner exercises vis-a-vis other persons involved in the business as you do in other situations, without regard to whether or not the other persons are immediate family members. (2) If you cannot determine that the socially and economically disadvantaged owners -as distinct from the family as a whole - control the firm, then the socially and economically disadvantaged owners have failed to carry their burden of proof concerning control, even though they may participate significantly in the firm's activities. (1) Where a firm was formerly owned and/or controlled by a non -disadvantaged individual (whether or not an immediate family member), ownership and/or control were transferred to a socially and economically disadvantaged individual, and the nondisadvantaged individual remains involved with the firm in any capacity, there is a rebuttable presumption of control by the non -disadvantaged individual unless the disadvantaged individual now owning the firm demonstrates to you, by clear and convincing evidence, that: 1 The transfer of ownership and/or control to the disadvantaged individual was made for reasons other than obtaining certification as a DBE; and ,2, The disadvantaged individual actually controls the management, policy, and operations of the firm, notwithstanding the continuing participation of a nondisadvantaged individual who formerly owned and/or controlled the firm. (m) In determining whether a firm is controlled by its socially and economically disadvantaged owners, you may consider whether the firm owns equipment necessary to perform its work. However, you must not determine that a firm is not controlled by socially and economically disadvantaged individuals solely because the firm leases, rather than owns, such equipment, where leasing equipment is a normal industry practice and the lease does not involve a relationship with a prime contractor or other party that compromises the independence of the firm. 49 CFR 26.71(m) (enhanced display) page 41 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.71(n) (n) You must grant certification to a firm only for specific types of work in which the socially and economically disadvantaged owners have the ability to control the firm. To become certified in an additional type of work, the firm need demonstrate to you only that its socially and economically disadvantaged owners are able to control the firm with respect to that type of work. You must not require that the firm be recertified or submit a new application for certification, but you must verify the disadvantaged owner's control of the firm in the additional type of work. (1) The types of work a firm can perform (whether on initial certification or when a new type of work is added) must be described in terms of the most specific available NAICS code for that type of work. If you choose, you may also, in addition to applying the appropriate NAICS code, apply a descriptor from a classification scheme of equivalent detail and specificity. A correct NAICS code is one that describes, as specifically as possible, the principal goods or services which the firm would provide to DOT recipients. Multiple NAICS codes may be assigned where appropriate. Program participants must rely on, and not depart from, the plain meaning of NAICS code descriptions in determining the scope of a firm's certification. If your Directory does not list types of work for any firm in a manner consistent with this paragraph (a)(1), you must update the Directory entry for that firm to meet the requirements of this paragraph (a)(1) by August 28, 2011. (2) Firms and recipients must check carefully to make sure that the NAICS codes cited in a certification are kept up-to-date and accurately reflect work which the UCP has determined the firm's owners can control. The firm bears the burden of providing detailed company information the certifying agency needs to make an appropriate NAICS code designation. (3) If a firm believes that there is not a NAICS code that fully or clearly describes the type(s) of work in which it is seeking to be certified as a DBE, the firm may request that the certifying agency, in its certification documentation, supplement the assigned NAICS code(s) with a clear, specific, and detailed narrative description of the type of work in which the firm is certified. A vague, general, or confusing description is not sufficient for this purpose, and recipients should not rely on such a description in determining whether a firm's participation can be counted toward DBE goals. (4) A certifier is not precluded from changing a certification classification or description if there is a factual basis in the record. However, certifiers must not make after -the -fact statements about the scope of a certification, not supported by evidence in the record of the certification action. (o) A business operating under a franchise or license agreement may be certified if it meets the standards in this subpart and the franchiser or licenser is not affiliated with the franchisee or licensee. In determining whether affiliation exists, you should generally not consider the restraints relating to standardized quality, advertising, accounting format, and other provisions imposed on the franchisee or licensee by the franchise agreement or license, provided that the franchisee or licensee has the right to profit from its efforts and bears the risk of loss commensurate with ownership. Alternatively, even though a franchisee or licensee may not be controlled by virtue of such provisions in the franchise agreement or license, affiliation could arise through other means, such as common management or excessive restrictions on the sale or transfer of the franchise interest or license. p In order for a partnership to be controlled by socially and economically disadvantaged individuals, any non -disadvantaged partners must not have the power, without the specific written concurrence of the socially and economically disadvantaged partner(s), to contractually bind the partnership or subject the partnership to contract or tort liability. (q, The socially and economically disadvantaged individuals controlling a firm may use an employee leasing company. The use of such a company does not preclude the socially and economically disadvantaged individuals from controlling their firm if they continue to maintain an employer -employee relationship with 49 CFR 26.71(q) (enhanced display) page 42 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.73 the leased employees. This includes being responsible for hiring, firing, training, assigning, and otherwise controlling the on-the-job activities of the employees, as well as ultimate responsibility for wage and tax obligations related to the employees. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5099, Jan. 28, 2011; 79 FR 59597, Oct. 2, 2014] § 26.73 What are other rules affecting certification? a (b) (1) Consideration of whether a firm performs a commercially useful function or is a regular dealer pertains solely to counting toward DBE goals the participation of firms that have already been certified as DBEs. Except as provided in paragraph (a)(2) of this section, you must not consider .............. commercially useful function issues in any way in making decisions about whether to certify a firm as a DBE. (2) You may consider, in making certification decisions, whether a firm has exhibited a pattern of conduct indicating its involvement in attempts to evade or subvert the intent or requirements of the DBE program. (1) You must evaluate the eligibility of a firm on the basis of present circumstances. You must not refuse to certify a firm based solely on historical information indicating a lack of ownership or control of the firm by socially and economically disadvantaged individuals at some time in the past, if the firm currently meets the ownership and control standards of this part. 2 You must not refuse to certify a firm solely on the basis that it is a newly formed firm, has not completed projects or contracts at the time of its application, has not yet realized profits from its activities, or has not demonstrated a potential for success. If the firm meets disadvantaged, size, ownership, and control requirements of this Part, the firm is eligible for certification. (c) DBE firms and firms seeking DBE certification shall cooperate fully with your requests (and DOT requests) for information relevant to the certification process. Failure or refusal to provide such information is a ground for a denial or removal of certification. (d) Only firms organized for profit may be eligible DBEs. Not -for -profit organizations, even though controlled by socially and economically disadvantaged individuals, are not eligible to be certified as DBEs. (e) An eligible DBE firm must be owned by individuals who are socially and economically disadvantaged. Except as provided in this paragraph, a firm that is not owned by such individuals, but instead is owned by another firm - even a DBE firm - cannot be an eligible DBE. (1) If socially and economically disadvantaged individuals own and control a firm through a parent or holding company, established for tax, capitalization or other purposes consistent with industry practice, and the parent or holding company in turn owns and controls an operating subsidiary, you may certify the subsidiary if it otherwise meets all requirements of this subpart. In this situation, the individual owners and controllers of the parent or holding company are deemed to control the subsidiary through the parent or holding company. (2) You may certify such a subsidiary only if there is cumulatively 51 percent ownership of the subsidiary by socially and economically disadvantaged individuals. The following examples illustrate how this cumulative ownership provision works: 49 CFR 26.73(e)(2) (enhanced display) page 43 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.73(f) Example 1: Socially and economically disadvantaged individuals own 100 percent of a holding company, which has a wholly -owned subsidiary. The subsidiary may be certified, if it meets all other requirements. Example 2: Disadvantaged individuals own 100 percent of the holding company, which owns 51 percent of a subsidiary. The subsidiary may be certified, if all other requirements are met. Example 3: Disadvantaged individuals own 80 percent of the holding company, which in turn owns 70 percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by disadvantaged individuals is 56 percent (80 percent of the 70 percent). This is more than 51 percent, so you may certify the subsidiary, if all other requirements are met. Example 4: Same as Example 2 or 3, but someone other than the socially and economically disadvantaged owners of the parent or holding company controls the subsidiary. Even though the subsidiary is owned by disadvantaged individuals, through the holding or parent company, you cannot certify it because it fails to meet control requirements. Example 5: Disadvantaged individuals own 60 percent of the holding company, which in turn owns 51 percent of a subsidiary. In this case, the cumulative ownership of the subsidiary by disadvantaged individuals is about 31 percent. This is less than 51 percent, so you cannot certify the subsidiary. Example 6: The holding company, in addition to the subsidiary seeking certification, owns several other companies. The combined gross receipts of the holding companies and its subsidiaries are greater than the size standard for the subsidiary seeking certification and/or the gross receipts cap of § 26.65(b). Under the rules concerning affiliation, the subsidiary fails to meet the size standard and cannot be certified. (f) Recognition of a business as a separate entity for tax or corporate purposes is not necessarily sufficient to demonstrate that a firm is an independent business, owned and controlled by socially and economically disadvantaged individuals. g You must not require a DBE firm to be prequalified as a condition for certification. h, A firm that is owned by an Indian tribe or Native Hawaiian organization, rather than by Indians or Native Hawaiians as individuals, may be eligible for certification. Such a firm must meet the size standards of § 26.65. Such a firm must be controlled by socially and economically disadvantaged individuals, as provided in § 26.71. The following special rules apply to the certification of firms related to Alaska Native Corporations (ANCs). (1) Notwithstanding any other provisions of this subpart, a director indirect subsidiary corporation, joint venture, or partnership entity of an ANC is eligible for certification as a DBE if it meets all of the following requirements: 49 CFR 26.73(i)(1) (enhanced display) page 44 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.73(i)(1)(i) Participation by Disadvantaged Business Enterprises in Depart... (i) The Settlement Common Stock of the underlying ANC and other stock of the ANC held by holders of the Settlement Common Stock and by Natives and descendents of Natives represents a majority of both the total equity of the ANC and the total voting power of the corporation for purposes of electing directors; (ii) The shares of stock or other units of common ownership interest in the subsidiary, joint venture, or partnership entity held by the ANC and by holders of its Settlement Common Stock represent a majority of both the total equity of the entity and the total voting power of the entity for the purpose of electing directors, the general partner, or principal officers; and (iii The subsidiary, joint venture, or partnership entity has been certified by the Small Business Administration under the 8(a) or small disadvantaged business program. (2) As a recipient to whom an ANC -related entity applies for certification, you do not use the DOT uniform application form (see Appendix F of this part). You must obtain from the firm documentation sufficient to demonstrate that entity meets the requirements of paragraph (i)(1) of this section. You must also obtain sufficient information about the firm to allow you to administer your program (e.g., information that would appear in your DBE Directory). (3) If an ANC -related firm does not meet all the conditions of paragraph (i)(1) of this section, then it must meet the requirements of paragraph (h) of this section in order to be certified, on the same basis as firms owned by Indian Tribes or Native Hawaiian Organizations. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5099, Jan. 28, 2011; 79 FR 59598, Oct. 2, 2014] Subpart E - Certification Procedures § 26.81 What are the requirements for Unified Certification Programs? (a) You and all other DOT recipients in your state must participate in a Unified Certification Program (UCP). (1) Within three years of March 4, 1999, you and the other recipients in your state must sign an agreement establishing the UCP for that state and submit the agreement to the Secretary for approval. The Secretary may, on the basis of extenuating circumstances shown by the recipients in the state, extend this deadline for no more than one additional year. (2) The agreement must provide for the establishment of a UCP meeting all the requirements of this section. The agreement must specify that the UCP will follow all certification procedures and standards of this part, on the same basis as recipients; that the UCP shall cooperate fully with oversight, review, and monitoring activities of DOT and its operating administrations; and that the UCP shall implement DOT directives and guidance concerning certification matters. The agreement shall also commit recipients to ensuring that the UCP has sufficient resources and expertise to carry out the requirements of this part. The agreement shall include an implementation schedule ensuring that the UCP is fully operational no later than 18 months following the approval of the agreement by the Secretary. (3) Subject to approval by the Secretary, the UCP in each state may take any form acceptable to the recipients in that state. (4) The Secretary shall review the UCP and approve it, disapprove it, or remand it to the recipients in the state for revisions. A complete agreement which is not disapproved or remanded within 180 days of its receipt is deemed to be accepted. 49 CFR 26.81(a)(4) (enhanced display) page 45 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.81(a)(5) (5) If you and the other recipients in your state fail to meet the deadlines set forth in this paragraph (a), you shall have the opportunity to make an explanation to the Secretary why a deadline could not be met and why meeting the deadline was beyond your control. If you fail to make such an explanation, or the explanation does not justify the failure to meet the deadline, the Secretary shall direct you to complete the required action by a date certain. If you and the other recipients fail to carry out this direction in a timely manner, you are collectively in noncompliance with this part. b The UCP shall make all certification decisions on behalf of all DOT recipients in the state with respect to participation in the DOT DBE Program. (1) Certification decisions by the UCP shall be binding on all DOT recipients within the state. (2) The UCP shall provide "one -stop shopping" to applicants for certification, such that an applicant is required to apply only once for a DBE certification that will be honored by all recipients in the state. (3) All obligations of recipients with respect to certification and nondiscrimination must be carried out by UCPs, and recipients may use only UCPs that comply with the certification and nondiscrimination requirements of this part. (c) All certifications by UCPs shall be pre -certifications; i.e., certifications that have been made final before the due date for bids or offers on a contract on which a firm seeks to participate as a DBE. (d) A UCP is not required to process an application for certification from a firm having its principal place of business outside the state if the firm is not certified by the UCP in the state in which it maintains its principal place of business. The "home state" UCP shall share its information and documents concerning the firm with other UCPs that are considering the firm's application. (e) Subject to DOT approval as provided in this section, the recipients in two or more states may form a regional UCP UCPs may also enter into written reciprocity agreements with other UCPs. Such an agreement shall outline the specific responsibilities of each participant. A UCP may accept the certification of any other UCP or DOT recipient. (f) Pending the establishment of UCPs meeting the requirements of this section, you may enter into agreements with other recipients, on a regional or inter -jurisdictional basis, to perform certification functions required by this part. You may also grant reciprocity to other recipient's certification decisions. (g) Each UCP shall maintain a unified DBE directory containing, for all firms certified by the UCP (including those from other states certified under the provisions of this part), the information required by § 26.31. The UCP shall make the directory available to the public electronically, on the internet, as well as in print. The UCP shall update the electronic version of the directory by including additions, deletions, and other changes as soon as they are made and shall revise the print version of the Directory at least once a year. (h) Except as otherwise specified in this section, all provisions of this subpart and subpart D of this part pertaining to recipients also apply to UCPs. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5100, Jan. 28, 2011] § 26.83 What procedures do recipients follow in making certification decisions? (a) You must ensure that only firms certified as eligible DBEs under this section participate as DBEs in your program. 49 CFR 26.83(a) (enhanced display) page 46 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.83(b) b You must determine the eligibility of firms as DBEs consistent with the standards of subpart D of this part. When a UCP is formed, the UCP must meet all the requirements of subpart D of this part and this subpart that recipients are required to meet. c You must take all the following steps in determining whether a DBE firm meets the standards of subpart D of this part: (i) Perform an on -site visit to the firm's principal place of business. You must interview the principal officers and review their resumes and/or work histories. You may interview key personnel of the firm if necessary. You must also perform an on -site visit to job sites if there are such sites on which the firm is working at the time of the eligibility investigation in your jurisdiction or local area. You may rely upon the site visit report of any other recipient with respect to a firm applying for certification; (ii) Analyze documentation related to the legal structure, ownership, and control of the applicant firm. This includes, but is not limited to, Articles of Incorporation/Organization; corporate by- laws or operating agreements; organizational, annual and board/member meeting records; stock ledgers and certificates; and State -issued Certificates of Good Standing (iii) Analyze the bonding and financial capacity of the firm; lease and loan agreements; bank account signature cards; (iv) Determine the work history of the firm, including contracts it has received, work it has completed; and payroll records; (v) Obtain a statement from the firm of the type of work it prefers to perform as part of the DBE program and its preferred locations for performing the work, if any. (vi) Obtain or compile a list of the equipment owned by or available to the firm and the licenses the firm and its key personnel possess to perform the work it seeks to do as part of the DBE program; (vii) Obtain complete Federal income tax returns (or requests for extensions) filed by the firm, its affiliates, and the socially and economically disadvantaged owners for the last 3 years. A complete return includes all forms, schedules, and statements filed with the Internal Revenue Service. (viii) Require potential DBEs to complete and submit an appropriate application form, except as otherwise provided in § 26.85 of this part. (2) You must use the application form provided in Appendix F to this part without change or revision. However, you may provide in your DBE program, with the written approval of the concerned operating administration, for supplementing the form by requesting specified additional information not inconsistent with this part. (3) You must make sure that the applicant attests to the accuracy and truthfulness of the information on the application form. This shall be done either in the form of an affidavit sworn to by the applicant before a person who is authorized by State law to administer oaths or in the form of an unsworn declaration executed under penalty of perjury of the laws of the United States. 49 CFR 26.83(c)(3) (enhanced display) page 47 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.83(c)(4) 4 You must review all information on the form prior to making a decision about the eligibility of the firm. You may request clarification of information contained in the application at any time in the application process. (d) When another recipient, in connection with its consideration of the eligibility of a firm, makes a written request for certification information you have obtained about that firm (e.g., including application materials or the report of a site visit, if you have made one to the firm), you must promptly make the information available to the other recipient. (e) [Reserved] (f) Subject to the approval of the concerned operating administration as part of your DBE program, you may impose a reasonable application fee for certification. Fee waivers shall be made in appropriate cases. (g) You must safeguard from disclosure to unauthorized persons information gathered as part of the certification process that may reasonably be regarded as proprietary or other confidential business information, consistent with applicable Federal, state, and local law. (h) (1) Once you have certified a DBE, it shall remain certified until and unless you have removed its certification, in whole or in part, through the procedures of § 26.87 of this part, except as provided in § 26.67(b)(1) of this part. (2) You may not require DBEs to reapply for certification or undergo a recertification process. However, you may conduct a certification review of a certified DBE firm, including a new on -site review, if appropriate in light of changed circumstances (e.g., of the kind requiring notice under paragraph (i) of this section or relating to suspension of certification under § 26.88), a complaint, or other information concerning the firm's eligibility. If information comes to your attention that leads you to question the firm's eligibility, you may conduct an on -site review on an unannounced basis, at the firm's offices and job sites. (i) If you are a DBE, you must inform the recipient or UCP in writing of any change in circumstances affecting your ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material change in the information provided in your application form. (1) Changes in management responsibility among members of a limited liability company are covered by this requirement. (2) You must attach supporting documentation describing in detail the nature of such changes. (3) The notice must take the form of an affidavit sworn to by the applicant before a person who is authorized by state law to administer oaths or of an unsworn declaration executed under penalty of perjury of the laws of the United States. You must provide the written notification within 30 days of the occurrence of the change. If you fail to make timely notification of such a change, you will be deemed to have failed to cooperate under § 26.109(c). Q) If you are a DBE, you must provide to the recipient, every year on the anniversary of the date of your certification, an affidavit sworn to by the firm's owners before a person who is authorized by State law to administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States. This affidavit must affirm that there have been no changes in the firm's circumstances affecting its ability to meet size, disadvantaged status, ownership, or control requirements of this part or any material changes in the information provided in its application form, except for changes about which you have notified the recipient under paragraph (i) of this section. The affidavit shall specifically affirm that your 49 CFR 26.83(j) (enhanced display) page 48 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.83(k) firm continues to meet SBA business size criteria and the overall gross receipts cap of this part, documenting this affirmation with supporting documentation of your firm's size and gross receipts (e.g., submission of Federal tax returns). If you fail to provide this affidavit in a timely manner, you will be deemed to have failed to cooperate under § 26.109(c). (k, If you are a recipient, you must make decisions on applications for certification within 90 days of receiving from the applicant firm all information required under this part. You may extend this time period once, for no more than an additional 60 days, upon written notice to the firm, explaining fully and specifically the reasons for the extension. You may establish a different time frame in your DBE program, upon a showing that this time frame is not feasible, and subject to the approval of the concerned operating administration. Your failure to make a decision by the applicable deadline under this paragraph is deemed a constructive denial of the application, on the basis of which the firm may appeal to DOT under § 26.89. (I As a recipient or UCP, you must advise each applicant within 30 days from your receipt of the application whether the application is complete and suitable for evaluation and, if not, what additional information or action is required. (m; Except as otherwise provided in this paragraph, if an applicant for DBE certification withdraws its application before you have issued a decision on the application, the applicant can resubmit the application at any time. As a recipient or UCP, you may not apply the waiting period provided under § 26.86(c) of this part before allowing the applicant to resubmit its application. However, you may place the reapplication at the "end of the line," behind other applications that have been made since the firm's previous application was withdrawn. You may also apply the waiting period provided under § 26.86(c) of this part to a firm that has established a pattern of frequently withdrawing applications before you make a decision. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35555, June 16, 2003; 76 FR 5100, Jan. 28, 2011; 79 FR 59598, Oct. 2, 2014] § 26.85 Interstate certification. (a) This section applies with respect to any firm that is currently certified in its home state. (b) When a firm currently certified in its home state ("State A") applies to another State ("State B") for DBE certification, State B may, at its discretion, accept State A's certification and certify the firm, without further procedures. (1) To obtain certification in this manner, the firm must provide to State B a copy of its certification notice from State A. (2) Before certifying the firm, State B must confirm that the firm has a current valid certification from State A. State B can do so by reviewing State A's electronic directory or obtaining written confirmation from State A. (c) In any situation in which State B chooses not to accept State A's certification of a firm as provided in paragraph (b) of this section, as the applicant firm you must provide the information in paragraphs (c)(1) through (4) of this section to State B. 49 CFR 26.85(c) (enhanced display) page 49 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.85(c)(1) 1 You must provide to State B a complete copy of the application form, all supporting documents, and any other information you have submitted to State A or any other state related to your firm's certification. This includes affidavits of no change (see § 26.830)) and any notices of changes (see § 26.83(i)) that you have submitted to State A, as well as any correspondence you have had with State A's UCP or any other recipient concerning your application or status as a DBE firm. 2 You must also provide to State B any notices or correspondence from states other than State A relating to your status as an applicant or certified DBE in those states. For example, if you have been denied certification or decertified in State C, or subject to a decertification action there, you must inform State B of this fact and provide all documentation concerning this action to State B. 3 If you have filed a certification appeal with DOT (see § 26.89), you must inform State B of the fact and provide your letter of appeal and DOT's response to State B. (4) You must submit an affidavit sworn to by the firm's owners before a person who is authorized by State law to administer oaths or an unsworn declaration executed under penalty of perjury of the laws of the United States. (i) This affidavit must affirm that you have submitted all the information required by 49 CFR 26.85(c) and the information is complete and, in the case of the information required by § 26.85(c)(1), is an identical copy of the information submitted to State A. (ii) If the on -site report from State A supporting your certification in State A is more than three years old, as of the date of your application to State B, State B may require that your affidavit also affirm that the facts in the on -site report remain true and correct. (d) As State B, when you receive from an applicant firm all the information required by paragraph (c) of this .......................................... section, you must take the following actions: (1) Within seven days contact State A and request a copy of the site visit review report for the firm (see § 26.83(c)(1)), any updates to the site visit review, and any evaluation of the firm based on the site visit. As State A, you must transmit this information to State B within seven days of receiving the request. A pattern by State B of not making such requests in a timely manner or by "State A" or any other State of not complying with such requests in a timely manner is noncompliance with this Part. (2) Determine whether there is good cause to believe that State A's certification of the firm is erroneous or should not apply in your State. Reasons for making such a determination may include the following: (i) Evidence that State A's certification was obtained by fraud; (ii) New information, not available to State A at the time of its certification, showing that the firm does not meet all eligibility criteria; (iii) State A's certification was factually erroneous or was inconsistent with the requirements of this part; (iv) The State law of State B requires a result different from that of the State law of State A. (v) The information provided by the applicant firm did not meet the requirements of paragraph (c) of this section. 49 CFR 26.85(d)(2)(v) (enhanced display) page 50 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.85(d)(3) (3) If, as State B, unless you have determined that there is good cause to believe that State A's certification is erroneous or should not apply in your State, you must, no later than 60 days from the date on which you received from the applicant firm all the information required by paragraph (c) of this section, send to the applicant firm a notice that it is certified and place the firm on your directory of certified firms. (4) If, as State B, you have determined that there is good cause to believe that State A's certification is erroneous or should not apply in your State, you must, no later than 60 days from the date on which you received from the applicant firm all the information required by paragraph (c) of this section, send to the applicant firm a notice stating the reasons for your determination. This notice must state with particularity the specific reasons why State B believes that the firm does not meet the requirements of this Part for DBE eligibility and must offer the firm an opportunity to respond to State B with respect to these reasons. (ii) The firm may elect to respond in writing, to request an in -person meeting with State B's decision maker to discuss State B's objections to the firm's eligibility, or both. If the firm requests a meeting, as State B you must schedule the meeting to take place within 30 days of receiving the firm's request. iii The firm bears the burden of demonstrating, by a preponderance of evidence, that it meets the requirements of this Part with respect to the particularized issues raised by State B's notice. The firm is not otherwise responsible for further demonstrating its eligibility to State B. (iv) The decision maker for State B must be an individual who is thoroughly familiar with the provisions of this Part concerning certification. v State B must issue a written decision within 30 days of the receipt of the written response from the firm or the meeting with the decision maker, whichever is later. (vi The firm's application for certification is stayed pending the outcome of this process. (vii) A decision under this paragraph (d)(4) may be appealed to the Departmental Office of Civil Rights under s§ 26.89 of this part. (e) As State B, if you have not received from State A a copy of the site visit review report by a date 14 days after you have made a timely request for it, you may hold action required by paragraphs (d)(2) through (4) of this section in abeyance pending receipt of the site visit review report. In this event, you must, no later than 30 days from the date on which you received from an applicant firm all the information required by paragraph (c) of this section, notify the firm in writing of the delay in the process and the reason for it. (f) (1) As a UCP, when you deny a firm's application, reject the application of a firm certified in State A or any other State in which the firm is certified, through the procedures of paragraph (d)(4) of this section, or decertify a firm, in whole or in part, you must make an entry in the Department of Transportation Office of Civil Rights' (DOCR's) Ineligibility Determination Online Database. You must enter the following information: (i) The name of the firm; (ii) The name(s) of the firm's owner(s); (iii) The type and date of the action; 49 CFR 26.85(f)(1)(iii) (enhanced display) page 51 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.85(f)(1)(iv) Participation by Disadvantaged Business Enterprises in Depart... iv The reason for the action. �2) As a UCP, you must check the DOCR Web site at least once every month to determine whether any firm that is applying to you for certification or that you have already certified is on the list. (3) For any such firm that is on the list, you must promptly request a copy of the listed decision from the UCP that made it. As the UCP receiving such a request, you must provide a copy of the decision to the requesting UCP within 7 days of receiving the request. As the UCP receiving the decision, you must then consider the information in the decision in determining what, if any, action to take with respect to the certified DBE firm or applicant. (g) You must implement the requirements of this section beginning January 1, 2012. [76 FR 5100, Jan. 28, 2011] § 26.86 What rules govern recipients' denials of initial requests for certification? a When you deny a request by a firm, which is not currently certified with you, to be certified as a DBE, you must provide the firm a written explanation of the reasons for the denial, specifically referencing the evidence in the record that supports each reason for the denial. All documents and other information on which the denial is based must be made available to the applicant, on request. (b) [Reserved] c When a firm is denied certification, you must establish a time period of no more than twelve months that must elapse before the firm may reapply to the recipient for certification. You may provide, in your DBE program, subject to approval by the concerned operating administration, a shorter waiting period for reapplication. The time period for reapplication begins to run on the date the explanation required by paragraph (a) of this section is received by the firm. An applicant's appeal of your decision to the Department pursuant to § 26.89 does not extend this period. (d) When you make an administratively final denial of certification concerning a firm, the firm may appeal the denial to the Department under § 26.89. [64 FR 5126, Feb. 2, 1999. Redesignated and amended at 68 FR 35555, June 16, 2003; 79 FR 59598, Oct. 2, 20141 § 26.87 What procedures does a recipient use to remove a DBE's eligibility? (a) Ineligibility complaints. (1) Any person may file with you a written complaint alleging that a currently -certified firm is ineligible and specifying the alleged reasons why the firm is ineligible. You are not required to accept a general allegation that a firm is ineligible or an anonymous complaint. The complaint may include any information or arguments supporting the complainant's assertion that the firm is ineligible and should not continue to be certified. Confidentiality of complainants' identities must be protected as provided in § 26.109(b). (2) You must review your records concerning the firm, any material provided by the firm and the complainant, and other available information. You may request additional information from the firm or conduct any other investigation that you deem necessary. 49 CFR 26.87(a)(2) (enhanced display) page 52 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.87(a)(3) (3) If you determine, based on this review, that there is reasonable cause to believe that the firm is ineligible, you must provide written notice to the firm that you propose to find the firm ineligible, setting forth the reasons for the proposed determination. If you determine that such reasonable cause does not exist, you must notify the complainant and the firm in writing of this determination and the reasons for it. All statements of reasons for findings on the issue of reasonable cause must specifically reference the evidence in the record on which each reason is based. b Recipient -initiated proceedings. If, based on notification by the firm of a change in its circumstances or other information that comes to your attention, you determine that there is reasonable cause to believe that a currently certified firm is ineligible, you must provide written notice to the firm that you propose to find the firm ineligible, setting forth the reasons for the proposed determination. The statement of reasons for the finding of reasonable cause must specifically reference the evidence in the record on which each reason is based. (c DOT directive to initiate proceeding. (1) If the concerned operating administration determines that information in your certification records, or other information available to the concerned operating administration, provides reasonable cause to believe that a firm you certified does not meet the eligibility criteria of this part, the concerned operating administration may direct you to initiate a proceeding to remove the firm's certification. (2) The concerned operating administration must provide you and the firm a notice setting forth the reasons for the directive, including any relevant documentation or other information. (3) You must immediately commence and prosecute a proceeding to remove eligibility as provided by paragraph (b) of this section. (d) Hearing. When you notify a firm that there is reasonable cause to remove its eligibility, as provided in paragraph (a), (b), or (c) of this section, you must give the firm an opportunity for an informal hearing, at which the firm may respond to the reasons for the proposal to remove its eligibility in person and provide information and arguments concerning why it should remain certified. (1) In such a proceeding, you bear the burden of proving, by a preponderance of the evidence, that the firm does not meet the certification standards of this part. (2) You must maintain a complete record of the hearing, by any means acceptable under state law for the retention of a verbatim record of an administrative hearing. If there is an appeal to DOT under § 26.89, you must provide a transcript of the hearing to DOT and, on request, to the firm. You must retain the original record of the hearing. You may charge the firm only for the cost of copying the record. (3) The firm may elect to present information and arguments in writing, without going to a hearing. In such a situation, you bear the same burden of proving, by a preponderance of the evidence, that the firm does not meet the certification standards, as you would during a hearing. (e) Separation of functions. You must ensure that the decision in a proceeding to remove a firm's eligibility is made by an office and personnel that did not take part in actions leading to or seeking to implement the proposal to remove the firm's eligibility and are not subject, with respect to the matter, to direction from the office or personnel who did take part in these actions. 1 Your method of implementing this requirement must be made part of your DBE program. (2) The decisionmaker must be an individual who is knowledgeable about the certification requirements of your DBE program and this part. 49 CFR 26.87(e)(2) (enhanced display) page 53 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.87(e)(3) (3) Before a UCP is operational in its state, a small airport or small transit authority (i.e., an airport or transit authority serving an area with less than 250,000 population) is required to meet this requirement only to the extent feasible. (f) Grounds for decision. You may base a decision to remove a firm's eligibility only on one or more of the following grounds: (1) Changes in the firm's circumstances since the certification of the firm by the recipient that render the firm unable to meet the eligibility standards of this part; (2) Information or evidence not available to you at the time the firm was certified; (3) Information relevant to eligibility that has been concealed or misrepresented by the firm; (4) A change in the certification standards or requirements of the Department since you certified the firm; (5) Your decision to certify the firm was clearly erroneous; (6) The firm has failed to cooperate with you (see § 26.109(c)); (7) The firm has exhibited a pattern of conduct indicating its involvement in attempts to subvert the intent or requirements of the DBE program (see § 26.73(a)(2)); or (8) The firm has been suspended or debarred for conduct related to the DBE program. The notice required by paragraph (g) of this section must include a copy of the suspension or debarment action. A decision to remove a firm for this reason shall not be subject to the hearing procedures in paragraph (d) of this section. (g) Notice of decision. Following your decision, you must provide the firm written notice of the decision and the reasons for it, including specific references to the evidence in the record that supports each reason for the decision. The notice must inform the firm of the consequences of your decision and of the availability of an appeal to the Department of Transportation under § 26.89. You must send copies of the notice to the complainant in an ineligibility complaint or the concerned operating administration that had directed you to initiate the proceeding. Provided that, when sending such a notice to a complainant other than a DOT operating administration, you must not include information reasonably construed as confidential business information without the written consent of the firm that submitted the information. (h) [Reserved] (i) Status of firm during proceeding. (1) A firm remains an eligible DBE during the pendancy of your proceeding to remove its eligibility. �2) The firm does not become ineligible until the issuance of the notice provided for in paragraph (g) of this section. Q) Effects of removal of eligibility. When you remove a firm's eligibility, you must take the following action: (1) When a prime contractor has made a commitment to using the ineligible firm, or you have made a commitment to using a DBE prime contractor, but a subcontract or contract has not been executed before you issue the decertification notice provided for in paragraph (g) of this section, the ineligible firm does not count toward the contract goal or overall goal. You must direct the prime contractor to meet the contract goal with an eligible DBE firm or demonstrate to you that it has made a good faith effort to do so. 49 CFR 26.87(j)(1) (enhanced display) page 54 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.87(j)(2) (2) If a prime contractor has executed a subcontract with the firm before you have notified the firm of its ineligibility, the prime contractor may continue to use the firm on the contract and may continue to receive credit toward its DBE goal for the firm's work. In this case, or in a case where you have let a prime contract to the DBE that was later ruled ineligible, the portion of the ineligible firm's performance of the contract remaining after you issued the notice of its ineligibility shall not count toward your overall goal, but may count toward the contract goal. (3) Exception: If the DBE's ineligibility is caused solely by its having exceeded the size standard during the performance of the contract, you may continue to count its participation on that contract toward overall and contract goals. (k) Availability of appeal. When you make an administratively final removal of a firm's eligibility under this section, the firm may appeal the removal to the Department under § 26.89. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003; 76 FR 5101, Jan. 28, 2011; 79 FR 59599, Oct. 2, 2014] § 26.88 Summary suspension of certification. (a) A recipient shall immediately suspend a DBE's certification without adhering to the requirements in § 26.87(d) of this part when an individual owner whose ownership and control of the firm are necessary to the firm's certification dies or is incarcerated. 17 1 A recipient may immediately suspend a DBE's certification without adhering to the requirements in § 26.87(d) when there is adequate evidence to believe that there has been a material change in circumstances that may affect the eligibility of the DBE firm to remain certified, or when the DBE fails to notify the recipient or UCP in writing of any material change in circumstances as required by § 26.83(i) of this part or fails to timely file an affidavit of no change under § 26.830). 2 In determining the adequacy of the evidence to issue a suspension under paragraph (b)(1) of this section, the recipient shall consider all relevant factors, including how much information is available, the credibility of the information and allegations given the circumstances, whether or not important allegations are corroborated, and what inferences can reasonably be drawn as a result. (c) The concerned operating administration may direct the recipient to take action pursuant to paragraph (a) or (b) this section if it determines that information available to it is sufficient to warrant immediate suspension. (d) When a firm is suspended pursuant to paragraph (a) or (b) of this section, the recipient shall immediately notify the DBE of the suspension by certified mail, return receipt requested, to the last known address of the owner(s) of the DBE. e Suspension is a temporary status of ineligibility pending an expedited show cause hearing/proceeding under § 26.87 of this part to determine whether the DBE is eligible to participate in the program and consequently should be removed. The suspension takes effect when the DBE receives, or is deemed to have received, the Notice of Suspension. (f) While suspended, the DBE may not be considered to meet a contract goal on a new contract, and any work it does on a contract received during the suspension shall not be counted toward a recipient's overall goal. The DBE may continue to perform under an existing contract executed before the DBE received a Notice of Suspension and may be counted toward the contract goal during the period of suspension as long as the DBE is performing a commercially useful function under the existing contract. 49 CFR 26.88(f) (enhanced display) page 55 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.88(g) g Following receipt of the Notice of Suspension, if the DBE believes it is no longer eligible, it may voluntarily withdraw from the program, in which case no further action is required. If the DBE believes that its eligibility should be reinstated, it must provide to the recipient information demonstrating that the firm is eligible notwithstanding its changed circumstances. Within 30 days of receiving this information, the recipient must either lift the suspension and reinstate the firm's certification or commence a decertification action under § 26.87 of this part. If the recipient commences a decertification proceeding, the suspension remains in effect during the proceeding. (h) The decision to immediately suspend a DBE under paragraph (a) or (b) of this section is not appealable to the US Department of Transportation. The failure of a recipient to either lift the suspension and reinstate the firm or commence a decertification proceeding, as required by paragraph (g) of this section, is appealable to the U.S. Department of Transportation under § 26.89 of this part, as a constructive decertification. [79 FR 59599, Oct. 2, 20141 § 26.89 What is the process for certification appeals to the Department of Transportation? a 1 If you are a firm that is denied certification or whose eligibility is removed by a recipient, including SBA -certified firms, you may make an administrative appeal to the Department. (2) If you are a complainant in an ineligibility complaint to a recipient (including the concerned operating administration in the circumstances provided in § 26.87(c)), you may appeal to the Department if the recipient does not find reasonable cause to propose removing the firm's eligibility or, following a removal of eligibility proceeding, determines that the firm is eligible. (3) Send appeals to the following address: U.S. Department of Transportation, Departmental Office of Civil Rights, 1200 New Jersey Avenue SE., Washington, DC 20590-0001. (b) Pending the Department's decision in the matter, the recipient's decision remains in effect. The Department does not stay the effect of the recipient's decision while it is considering an appeal. (c) If you want to file an appeal, you must send a letter to the Department within 90 days of the date of the recipient's final decision, including information and setting forth a full and specific statement as to why the decision is erroneous, what significant fact that the recipient failed to consider, or what provisions of this Part the recipient did not properly apply. The Department may accept an appeal filed later than 90 days after the date of the decision if the Department determines that there was good cause for the late filing of the appeal or in the interest of justice. (d) When it receives an appeal, the Department requests a copy of the recipient's complete administrative record in the matter. If you are the recipient, you must provide the administrative record, including a hearing transcript, within 20 days of the Department's request. The Department may extend this time period on the basis of a recipient's showing of good cause. To facilitate the Department's review of a recipient's decision, you must ensure that such administrative records are well organized, indexed, and paginated. Records that do not comport with these requirements are not acceptable and will be returned to you to be corrected immediately. If an appeal is brought concerning one recipient's certification decision concerning a firm, and that recipient relied on the decision and/or administrative record of another recipient, this requirement applies to both recipients involved. 49 CFR 26.89(d) (enhanced display) page 56 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.89(e) (e) The Department makes its decision based solely on the entire administrative record as supplemented by the appeal. The Department does not make a de novo review of the matter and does not conduct a hearing. The Department may also supplement the administrative record by adding relevant information made available by the DOT Office of Inspector General; Federal, State, or local law enforcement authorities; officials of a DOT operating administration or other appropriate DOT office; a recipient; or a firm or other private party. (f) As a recipient, when you provide supplementary information to the Department, you shall also make this information available to the firm and any third -party complainant involved, consistent with Federal or applicable state laws concerning freedom of information and privacy. The Department makes available, on request by the firm and any third -party complainant involved, any supplementary information it receives from any source. (1) The Department affirms your decision unless it determines, based on the entire administrative record, that your decision is unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part concerning certification. (2) If the Department determines, after reviewing the entire administrative record, that your decision was unsupported by substantial evidence or inconsistent with the substantive or procedural provisions of this part concerning certification, the Department reverses your decision and directs you to certify the firm or remove its eligibility, as appropriate. You must take the action directed by the Department's decision immediately upon receiving written notice of it. �3) The Department is not required to reverse your decision if the Department determines that a procedural error did not result in fundamental unfairness to the appellant or substantially prejudice the opportunity of the appellant to present its case. (4) If it appears that the record is incomplete or unclear with respect to matters likely to have a significant impact on the outcome of the case, the Department may remand the record to you with instructions seeking clarification or augmentation of the record before making a finding. The Department may also remand a case to you for further proceedings consistent with Department instructions concerning the proper application of the provisions of this part. (5) The Department does not uphold your decision based on grounds not specified in your decision. (6) The Department's decision is based on the status and circumstances of the firm as of the date of the decision being appealed. (7) The Department provides written notice of its decision to you, the firm, and the complainant in an ineligibility complaint. A copy of the notice is also sent to any other recipient whose administrative record or decision has been involved in the proceeding (see paragraph (d) of this section). The Department will also notify the SBA in writing when DOT takes an action on an appeal that results in or confirms a loss of eligibility to any SBA -certified firm. The notice includes the reasons for the Department's decision, including specific references to the evidence in the record that supports each reason for the decision. 8 The Department's policy is to make its decision within 180 days of receiving the complete administrative record. If the Department does not make its decision within this period, the Department provides written notice to concerned parties, including a statement of the reason for the delay and a date by which the appeal decision will be made. (g) All decisions under this section are administratively final, and are not subject to petitions for reconsideration. 49 CFR 26.89(g) (enhanced display) page 57 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.91 [64 FR 5126, Feb. 2, 1999, as amended at 65 FR 68951, Nov. 15, 2000; 68 FR 35556, June 16, 2003; 73 FR 33329, June 12, 2008; 79 FR 59599, Oct. 2, 2014] § 26.91 What actions do recipients take following DOT certification appeal decisions? ,a, If you are the recipient from whose action an appeal under § 26.89 is taken, the decision is binding. It is not binding on other recipients. (b) If you are a recipient to which a DOT determination under § 26.89 is applicable, you must take the following action: (1) If the Department determines that you erroneously certified a firm, you must remove the firm's eligibility on receipt of the determination, without further proceedings on your part. Effective on the date of your receipt of the Department's determination, the consequences of a removal of eligibility set forth in § 26.87(i) take effect. (2) If the Department determines that you erroneously failed to find reasonable cause to remove the firm's eligibility, you must expeditiously commence a proceeding to determine whether the firm's eligibility should be removed, as provided in § 26.87. (3) If the Department determines that you erroneously declined to certify or removed the eligibility of the firm, you must certify the firm, effective on the date of your receipt of the written notice of Department's determination. (4) If the Department determines that you erroneously determined that the presumption of social and economic disadvantage either should or should not be deemed rebutted, you must take appropriate corrective action as determined by the Department. (T If the Department affirms your determination, no further action is necessary. (c) Where DOT has upheld your denial of certification to or removal of eligibility from a firm, or directed the removal of a firm's eligibility, other recipients with whom the firm is certified may commence a proceeding to remove the firm's eligibility under § 26.87. Such recipients must not remove the firm's eligibility absent such a proceeding. Where DOT has reversed your denial of certification to or removal of eligibility from a firm, other recipients must take the DOT action into account in any certification action involving the firm. However, other recipients are not required to certify the firm based on the DOT decision. Subpart F - Compliance and Enforcement § 26.101 What compliance procedures apply to recipients? (a) If you fail to comply with any requirement of this part, you may be subject to formal enforcement action under § 26.103 or § 26.105 or appropriate program sanctions by the concerned operating administration, such as the suspension or termination of Federal funds, or refusal to approve projects, grants or contracts until deficiencies are remedied. Program sanctions may include, in the case of the FHWA program, actions provided for under 23 CFR 1.36; in the case of the FAA program, actions consistent with 49 U.S.C. 47106(d), 47111(d), and 47122; and in the case of the FTA program, any actions permitted under 49 U.S.C. chapter 53 or applicable FTA program requirements. b As provided in statute, you will not be subject to compliance actions or sanctions for failing to carry out any requirement of this part because you have been prevented from complying because a Federal court has issued a final order in which the court found that the requirement is unconstitutional. 49 CFR 26.101(b) (enhanced display) page 58 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.103 Participation by Disadvantaged Business Enterprises in Depart... § 26.103 What enforcement actions apply in FHWA and FTA programs? The provisions of this section apply to enforcement actions under FHWA and FTA programs: (a) Noncompliance complaints. Any person who believes that a recipient has failed to comply with its obligations under this part may file a written complaint with the concerned operating administration's Office of Civil Rights. If you want to file a complaint, you must do so no later than 180 days after the date of the alleged violation or the date on which you learned of a continuing course of conduct in violation of this part. In response to your written request, the Office of Civil Rights may extend the time for filing in the interest of justice, specifying in writing the reason for so doing. The Office of Civil Rights may protect the confidentiality of your identity as provided in § 26.109(b). Complaints under this part are limited to allegations of violation of the provisions of this part. (b) Compliance reviews. The concerned operating administration may review the recipient's compliance with this part at any time, including reviews of paperwork and on -site reviews, as appropriate. The Office of Civil Rights may direct the operating administration to initiate a compliance review based on complaints received. (c) Reasonable cause notice. If it appears, from the investigation of a complaint or the results of a compliance review, that you, as a recipient, are in noncompliance with this part, the appropriate DOT office promptly sends you, return receipt requested, a written notice advising you that there is reasonable cause to find you in noncompliance. The notice states the reasons for this finding and directs you to reply within 30 days concerning whether you wish to begin conciliation. (d) Conciliation. (1) If you request conciliation, the appropriate DOT office shall pursue conciliation for at least 30, but not more than 120, days from the date of your request. The appropriate DOT office may extend the conciliation period for up to 30 days for good cause, consistent with applicable statutes. (2) If you and the appropriate DOT office sign a conciliation agreement, then the matter is regarded as closed and you are regarded as being in compliance. The conciliation agreement sets forth the measures you have taken or will take to ensure compliance. While a conciliation agreement is in effect, you remain eligible for FHWA or FTA financial assistance. �3) The concerned operating administration shall monitor your implementation of the conciliation agreement and ensure that its terms are complied with. If you fail to carry out the terms of a conciliation agreement, you are in noncompliance. (4) If you do not request conciliation, or a conciliation agreement is not signed within the time provided in paragraph (d)(1) of this section, then enforcement proceedings begin. (e) Enforcement actions. (1) Enforcement actions are taken as provided in this subpart. (2) Applicable findings in enforcement proceedings are binding on all DOT offices. § 26.105 What enforcement actions apply in FAA programs? a Compliance with all requirements of this part by airport sponsors and other recipients of FAA financial assistance is enforced through the procedures of Title 49 of the United States Code, including 49 U.S.C. 47106(d), 47111(d), and 47122, and regulations implementing them. (b) The provisions of § 26.103(b) and this section apply to enforcement actions in FAA programs. 49 CFR 26.105(b) (enhanced display) page 59 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR 26.105(c) c Any person who knows of a violation of this part by a recipient of FAA funds may file a complaint under 14 CFR part 16 with the Federal Aviation Administration Office of Chief Counsel. § 26.107 What enforcement actions apply to firms participating in the DBE program? (a) If you are a firm that does not meet the eligibility criteria of subpart D of this part and that attempts to participate in a DOT -assisted program as a DBE on the basis of false, fraudulent, or deceitful statements or representations or under circumstances indicating a serious lack of business integrity or honesty, the Department may initiate suspension or debarment proceedings against you under 2 CFR parts 180 and 1200. (b) If you are a firm that, in order to meet DBE contract goals or other DBE program requirements, uses or attempts to use, on the basis of false, fraudulent or deceitful statements or representations or under circumstances indicating a serious lack of business integrity or honesty, another firm that does not meet the eligibility criteria of subpart D of this part, the Department may initiate suspension or debarment proceedings against you under 2 CFR parts 180 and 1200. c, In a suspension or debarment proceeding brought under paragraph (a) or (b) of this section, the concerned operating administration may consider the fact that a purported DBE has been certified by a recipient. Such certification does not preclude the Department from determining that the purported DBE, or another firm that has used or attempted to use it to meet DBE goals, should be suspended or debarred. (d) The Department may take enforcement action under 49 CFR Part 31, Program Fraud and Civil Remedies, against any participant in the DBE program whose conduct is subject to such action under 49 CFR part 31. (e) The Department may refer to the Department of Justice, for prosecution under 18 U.S.C. 1001 or other applicable provisions of law, any person who makes a false or fraudulent statement in connection with participation of a DBE in any DOT -assisted program or otherwise violates applicable Federal statutes. [64 FR 5126, Feb. 2, 1999, as amended at 76 FR 5101, Jan. 28, 20111 § 26.109 What are the rules governing information, confidentiality, cooperation, and intimidation or retaliation? a Availability of records. 1 In responding to requests for information concerning any aspect of the DBE program, the Department complies with provisions of the Federal Freedom of Information and Privacy Acts (5 U.S.C. 552 and 552a). The Department may make available to the public any information concerning the DBE program release of which is not prohibited by Federal law. (2) Notwithstanding any provision of Federal or state law, you must not release any information that may reasonably be construed as confidential business information to any third party without the written consent of the firm that submitted the information. This includes applications for DBE certification and supporting information. However, you must transmit this information to DOT in any certification appeal proceeding under § 26.89 of this part or to any other state to which the individual's firm has applied for certification under § 26.85 of this part. (b) Confidentiality of information on complainants. Notwithstanding the provisions of paragraph (a) of this section, the identity of complainants shall be kept confidential, at their election. If such confidentiality will hinder the investigation, proceeding or hearing, or result in a denial of appropriate administrative due process to other parties, the complainant must be advised for the purpose of waiving the privilege. 49 CFR 26.109(b) (enhanced display) page 60 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR 26.109(c) Participation by Disadvantaged Business Enterprises in Depart... Complainants are advised that, in some circumstances, failure to waive the privilege may result in the closure of the investigation or dismissal of the proceeding or hearing. FAA follows the procedures of 14 CFR part 16 with respect to confidentiality of information in complaints. (c) Cooperation. All participants in the Department's DBE program (including, but not limited to, recipients, DBE firms and applicants for DBE certification, complainants and appellants, and contractors using DBE firms to meet contract goals) are required to cooperate fully and promptly with DOT and recipient compliance reviews, certification reviews, investigations, and other requests for information. Failure to do so shall be a ground for appropriate action against the party involved (e.g., with respect to recipients, a finding of noncompliance; with respect to DBE firms, denial of certification or removal of eligibility and/or suspension and debarment; with respect to a complainant or appellant, dismissal of the complaint or appeal; with respect to a contractor which uses DBE firms to meet goals, findings of non -responsibility for future contracts and/or suspension and debarment). (d) Intimidation and retaliation. If you are a recipient, contractor, or any other participant in the program, you must not intimidate, threaten, coerce, or discriminate against any individual or firm for the purpose of interfering with any right or privilege secured by this part or because the individual or firm has made a complaint, testified, assisted, or participated in any manner in an investigation, proceeding, or hearing under this part. If you violate this prohibition, you are in noncompliance with this part. [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35556, June 16, 2003, 76 FR 5101, Jan. 28, 2011] Appendix A to Part 26 - Guidance Concerning Good Faith Efforts When, as a recipient, you establish a contract goal on a DOT -assisted contract for procuring construction, equipment, services, or any other purpose, a bidder must, in order to be responsible and/or responsive, make sufficient good faith efforts to meet the goal. The bidder can meet this requirement in either of two ways. First, the bidder can meet the goal, documenting commitments for participation by DBE firms sufficient for this purpose. Second, even if it doesn't meet the goal, the bidder can document adequate good faith efforts. This means that the bidder must show that it took all necessary and reasonable steps to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if they were not fully successful. In any situation in which you have established a contract goal, Part 26 requires you to use the good faith efforts mechanism of this part. As a recipient, you have the responsibility to make a fair and reasonable judgment whether a bidder that did not meet the goal made adequate good faith efforts. It is important for you to consider the quality, quantity, and intensity of the different kinds of efforts that the bidder has made, based on the regulations and the guidance in this Appendix. The efforts employed by the bidder should be those that one could reasonably expect a bidder to take if the bidder were actively and aggressively trying to obtain DBE participation sufficient to meet the DBE contract goal. Mere pro forma efforts are not good faith efforts to meet the DBE contract requirements. We emphasize, however, that your determination concerning the sufficiency of the firm's good faith efforts is a judgment call. Determinations should not be made using quantitative formulas. III The Department also strongly cautions you against requiring that a bidder meet a contract goal (i.e., obtain a specified amount of DBE participation) in order to be awarded a contract, even though the bidder makes an adequate good faith efforts showing. This rule specifically prohibits you from ignoring bona fide good faith efforts. 49 CFR Appendix-A-to-Part-26 III. (enhanced display) page 61 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-A-to-Part-26 IV. Participation by Disadvantaged Business Enterprises in Depart... IV The following is a list of types of actions which you should consider as part of the bidder's good faith efforts to obtain DBE participation. It is not intended to be a mandatory checklist, nor is it intended to be exclusive or exhaustive. Other factors or types of efforts may be relevant in appropriate cases. Q (1) Conducing market research to identify small business contractors and suppliers and soliciting through all reasonable and available means the interest of all certified DBEs that have the capability to perform the work of the contract. This may include attendance at pre -bid and business matchmaking meetings and events, advertising and/or written notices, posting of Notices of Sources Sought and/or Requests for Proposals, written notices or emails to all DBEs listed in the State's directory of transportation firms that specialize in the areas of work desired (as noted in the DBE directory) and which are located in the area or surrounding areas of the project. (2) The bidder should solicit this interest as early in the acquisition process as practicable to allow the DBEs to respond to the solicitation and submit a timely offer for the subcontract. The bidder should determine with certainty if the DBEs are interested by taking appropriate steps to follow up initial solicitations. B. Selecting portions of the work to be performed by DBEs in order to increase the likelihood that the DBE goals will be achieved. This includes, where appropriate, breaking out contract work items into economically feasible units (for example, smaller tasks or quantities) to facilitate DBE participation, even when the prime contractor might otherwise prefer to perform these work items with its own forces. This may include, where possible, establishing flexible timeframes for performance and delivery schedules in a manner that encourages and facilitates DBE participation. C. Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation with their offer for the subcontract. 13 (1) Negotiating in good faith with interested DBEs. It is the bidder's responsibility to make a portion of the work available to DBE subcontractors and suppliers and to select those portions of the work or material needs consistent with the available DBE subcontractors and suppliers, so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of DBEs that were considered; a description of the information provided regarding the plans and specifications for the work selected for subcontracting; and evidence as to why additional Agreements could not be reached for DBEs to perform the work. �2) A bidder using good business judgment would consider a number of factors in negotiating with subcontractors, including DBE subcontractors, and would take a firm's price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for a bidder's failure to meet the contract DBE goal, as long as such costs are reasonable. Also, the ability or desire of a prime contractor to perform the work of a contract with its own organization does not relieve the bidder of the responsibility to make good faith efforts. Prime contractors are not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable. E 49 CFR Appendix-A-to-Part-26 IV.E. (enhanced display) page 62 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-A-to-Part-26 IV.E.(1) Participation by Disadvantaged Business Enterprises in Depart... (1) Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. The contractor's standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non -union status) are not legitimate causes for the rejection or non -solicitation of bids in the contractor's efforts to meet the project goal. Another practice considered an insufficient good faith effort is the rejection of the DBE because its quotation for the work was not the lowest received. However, nothing in this paragraph shall be construed to require the bidder or prime contractor to accept unreasonable quotes in order to satisfy contract goals. (2) A prime contractor's inability to find a replacement DBE at the original price is not alone sufficient to support a finding that good faith efforts have been made to replace the original DBE. The fact that the contractor has the ability and/or desire to perform the contract work with its own forces does not relieve the contractor of the obligation to make good faith efforts to find a replacement DBE, and it is not a sound basis for rejecting a prospective replacement DBE's reasonable quote. F. Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by the recipient or contractor. G. Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials, or related assistance or services. H. Effectively using the services of available minority/women community organizations; minority/ women contractors' groups; local, State, and Federal minority/women business assistance offices; and other organizations as allowed on a case -by -case basis to provide assistance in the recruitment and placement of DBEs. V In determining whether a bidder has made good faith efforts, it is essential to scrutinize its documented efforts. At a minimum, you must review the performance of other bidders in meeting the contract goal. For example, when the apparent successful bidder fails to meet the contract goal, but others meet it, you may reasonably raise the question of whether, with additional efforts, the apparent successful bidder could have met the goal. If the apparent successful bidder fails to meet the goal, but meets or exceeds the average DBE participation obtained by other bidders, you may view this, in conjunction with other factors, as evidence of the apparent successful bidder having made good faith efforts. As provided in § 26.53(b)(2)((vi), you must also require the contractor to submit copies of each DBE and non -DBE subcontractor quote submitted to the bidder when a non -DBE subcontractor was selected over a DBE for work on the contract to review whether DBE prices were substantially higher; and contact the DBEs listed on a contractor's solicitation to inquire as to whether they were contacted by the prime. Pro forma mailings to DBEs requesting bids are not alone sufficient to satisfy good faith efforts under the rule. VI. A promise to use DBEs after contract award is not considered to be responsive to the contract solicitation or to constitute good faith efforts. [79 FR 59600, Oct. 2, 20141 Appendix B to Part 26 - Uniform Report of DBE Awards or Commitments and Payments Form INSTRUCTIONS FOR COMPLETING THE UNIFORM REPORT OF DBE AWARDS/ COMMITMENTS AND PAYMENTS 49 CFR Appendix-A-to-Part-26 VI. (enhanced display) page 63 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-B-to-Part-261. Participation by Disadvantaged Business Enterprises in Depart... Recipients of Department of Transportation (DOT) funds are expected to keep accurate data regarding the contracting opportunities available to firms paid for with DOT dollars. Failure to submit contracting data relative to the DBE program will result in noncompliance with Part 26. All dollar values listed on this form should represent the DOT share attributable to the Operating Administration (OA): Federal Highway Administration (FHWA), Federal Aviation Administration (FAA) or Federal Transit Administration (FTA) to which this report will be submitted. 1 Indicate the DOT (OA) that provides your Federal financial assistance. If assistance comes from more than one OA, use separate reporting forms for each OA. If you are an FTA recipient, indicate your Vendor Number in the space provided. 2 If you are an FAA recipient, indicate the relevant AIP Numbers covered by this report. If you are an FTA recipient, indicate the Grant/Project numbers covered by this report. If more than ten attach a separate sheet. 3 Specify the Federal fiscal year (i.e., October 1-September 30) in which the covered reporting period falls. 4 State the date of submission of this report. 5. Check the appropriate box that indicates the reporting period that the data provided in this report covers. For FHWA and FTA recipients, if this report is due June 1, data should cover October 1-March 31. If this report is due December 1, data should cover April 1-September 30. If the report is due to the FAA, data should cover the entire year. 6 Provide the name and address of the recipient. 7 State your overall DBE goal(s) established for the Federal fiscal year of the report being submitted to and approved by the relevant OA. Your overall goal is to be reported as well as the breakdown for specific Race Conscious and Race Neutral projections (both of which include gender-conscious/neutral projections). The Race Conscious projection should be based on measures that focus on and provide benefits only for DBEs. The use of contract goals is a primary example of a race conscious measure. The Race Neutral projection should include measures that, while benefiting DBEs, are not solely focused on DBE firms. For example, a small business outreach program, technical assistance, and prompt payment clauses can assist a wide variety of businesses in addition to helping DBE firms. Section A: Awards and Commitments Made During This Period The amounts in items 8(A)-10(I) should include all types of prime contracts awarded and all types of subcontracts awarded or committed, including: professional or consultant services, construction, purchase of materials or supplies, lease or purchase of equipment and any other types of services. All dollar amounts are to reflect only the Federal share of such contracts and should be rounded to the nearest dollar. Line 8: Prime contracts awarded this period: The items on this line should correspond to the contracts directly between the recipient and a supply or service contractor, with no intermediaries between the two. 8(A). Provide the total dollar amount for all prime contracts assisted with DOT funds and awarded during this reporting period. This value should include the entire Federal share of the contracts without removing any amounts associated with resulting subcontracts. 8(B). Provide the total number of all prime contracts assisted with DOT funds and awarded during this reporting period. 49 CFR Appendix-B-to-Part-26 7. (enhanced display) page 64 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-B-to-Part-26 7. Participation by Disadvantaged Business Enterprises in Depart... 8(C). From the total dollar amount awarded in item 8(A), provide the dollar amount awarded in prime contracts to certified DBE firms during this reporting period. This amount should not include the amounts sub contracted to other firms. 8(D). From the total number of prime contracts awarded in item 8(B), specify the number of prime contracts awarded to certified DBE firms during this reporting period. 8(E&F). This field is closed for data entry. Except for the very rare case of DBE -set asides permitted under 49 CFR part 26, all prime contracts awarded to DBES are regarded as race -neutral. 8(G). From the total dollar amount awarded in item 8(C), provide the dollar amount awarded to certified DBEs through the use of Race Neutral methods. See the definition of Race Neutral in item 7 and the explanation in item 8 of project types to include. 8(H). From the total number of prime contracts awarded in 8(D), specify the number awarded to DBEs through Race Neutral methods. 8(I). Of all prime contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar amount in item 8(C) by the dollar amount in item 8(A) to derive this percentage. Round percentage to the nearest tenth. Line 9: Subcontracts awarded/committed this period: Items 9(A)-9(I) are derived in the same way as items 8(A)-8(I), except that these calculations should be based on subcontracts rather than prime contracts. Unlike prime contracts, which may only be awarded, subcontracts may be either awarded or committed. 9(A). If filling out the form for general reporting, provide the total dollar amount of subcontracts assisted with DOT funds awarded or committed during this period. This value should be a subset of the total dollars awarded in prime contracts in 8(A), and therefore should never be greater than the amount awarded in prime contracts. If filling out the form for project reporting, provide the total dollar amount of subcontracts assisted with DOT funds awarded or committed during this period. This value should be a subset of the total dollars awarded or previously in prime contracts in 8(A). The sum of all subcontract amounts in consecutive periods should never exceed the sum of all prime contract amounts awarded in those periods. 9(B). Provide the total number of all sub contracts assisted with DOT funds that were awarded or committed during this reporting period. 9(C). From the total dollar amount of sub contracts awarded/committed this period in item 9(A), provide the total dollar amount awarded in sub contracts to DBEs. 9(D). From the total number of sub contracts awarded or committed in item 9(B), specify the number of sub contracts awarded or committed to DBEs. 9(E). From the total dollar amount of sub contracts awarded or committed to DBEs this period, provide the amount in dollars to DBEs using Race Conscious measures. 9(F). From the total number of sub contracts awarded orcommitted to DBEs this period, provide the number of sub contracts awarded or committed to DBEs using Race Conscious measures. 49 CFR Appendix-B-to-Part-26 7. (enhanced display) page 65 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-B-to-Part-26 7. Participation by Disadvantaged Business Enterprises in Depart... 9(G). From the total dollar amount of sub contracts awarded/committed to DBEs this period, provide the amount in dollars to DBEs using Race Neutral measures. 9(H). From the total number of sub contracts awarded/committed to DBEs this period, provide the number of sub contracts awarded to DBEs using Race Neutral measures. 9(I). Of all subcontracts awarded this reporting period, calculate the percentage going to DBEs. Divide the dollar amount in item 9(C) by the dollar amount in item 9(A) to derive this percentage. Round percentage to the nearest tenth. Line 10: Total contracts awarded or committed this period. These fields should be used to show the total dollar value and number of contracts awarded to DBEs and to calculate the overall percentage of dollars awarded to DBEs. 10(A)-10(B). These fields are unavailable for data entry. 10(C-H). Combine the total values listed on the prime contracts line (Line 8) with the corresponding values on the subcontracts line (Line 9). 10(I). Of all contracts awarded this reporting period, calculate the percentage going to DBEs. Divide the total dollars awarded to DBEs in item 10(C) by the dollar amount in item 8(A) to derive this percentage. Round percentage to the nearest tenth. Section B: Breakdown by Ethnicity & Gender of Contracts Awarded to DBEs This Period 11 -17. Further breakdown the contracting activity with DBE involvement. The Total Dollar Amount to DBEs in 17(C) should equal the Total Dollar Amount to DBEs in 10(C). Likewise the total number of contracts to DBEs in 17(F) should equal the Total Number of Contracts to DBEs in 10(D). Line 16: The "Non -Minority" category is reserved for any firms whose owners are not members of the presumptively disadvantaged groups already listed, but who are either "women" OR eligible for the DBE program on an individual basis. All DBE firms must be certified by the Unified Certification Program to be counted in this report. Section C: Payments on Ongoing Contracts Line 18(A-E). Submit information on contracts that are currently in progress. All dollar amounts are to reflect only the Federal share of such contracts, and should be rounded to the nearest dollar. 18(A). Provide the total dollar amount paid to all firms performing work on contracts. 18(B). Provide the total number of contracts where work was performed during the reporting period. 18(C). From the total number of contracts provided in 18(A) provide the total number of contracts that are currently being performed by DBE firms for which payments have been made. 18(D). From the total dollar amount paid to all firms in 18(A), provide the total dollar value paid to DBE firms currently performing work during this period. 49 CFR Appendix-B-to-Part-26 7. (enhanced display) page 66 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-B-to-Part-26 7. Participation by Disadvantaged Business Enterprises in Depart... 18(E). Provide the total number of DBE firms that received payment during this reporting period. For example, while 3 contracts may be active during this period, one DBE firm may be providing supplies or services on all three contracts. This field should only list the number of DBE firms performing work. 18(F). Of all payments made during this period, calculate the percentage going to DBEs. Divide the total dollar value to DBEs in item 18(D) by the total dollars of all payments in 18(B). Round percentage to the nearest tenth. Section D: Actual Payments on Contracts Completed This Reporting Period This section should provide information only on contracts that are closed during this period. All dollar amounts are to reflect the entire Federal share of such contracts, and should be rounded to the nearest dollar. 19(A). Provide the total number of contracts completed during this reporting period that used Race Conscious measures. Race Conscious contracts are those with contract goals or another race conscious measure. 19(B). Provide the total dollar value of prime contracts completed this reporting period that had race conscious measures. 19(C). From the total dollar value of prime contracts completed this period in 19(B), provide the total dollar amount of dollars awarded or committed to DBE firms in order to meet the contract goals. This applies only to Race Conscious contracts. 19(D). Provide the actual total DBE participation in dollars on the race conscious contracts completed this reporting period. 19(E). Of all the contracts completed this reporting period using Race Conscious measures, calculate the percentage of DBE participation. Divide the total dollar amount to DBEs in item 19(D) by the total dollar value provided in 19(13) to derive this percentage. Round to the nearest tenth. 20(A)-20(E). Items 21(A)-21(E) are derived in the same manner as items 19(A)-19(E), except these figures should be based on contracts completed using Race Neutral measures. 20(C). This field is closed. 21(A)-21(D). Calculate the totals for each column by adding the race conscious and neutral figures provided in each row above. 21(C). This field is closed. 21(E). Calculate the overall percentage of dollars to DBEs on completed contracts. Divide the Total DBE participation dollar value in 21(D) by the Total Dollar Value of Contracts Completed in 21(B) to derive this percentage. Round to the nearest tenth. 23. Name of the Authorized Representative preparing this form. 24. Signature of the Authorized Representative. 25. Phone number of the Authorized Representative. 49 CFR Appendix-B-to-Part-26 7. (enhanced display) page 67 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-C-to-Part-26(A) Participation by Disadvantaged Business Enterprises in Depart... **Submit your completed report to your Regional or Division Office. h [79 FR 59601, Oct. 2, 20141 Appendix C to Part 26 - DBE Business Development Program Guidelines The purpose of this program element is to further the development of DBEs, including but not limited to assisting them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via the provision of training and assistance from the recipient. (A) Each firm that participates in a recipient's business development program (BDP) program is subject to a program term determined by the recipient. The term should consist of two stages; a developmental stage and a transitional stage. 49 CFR Appendix-C-to-Part-26(A) (enhanced display) page 68 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-C-to-Part-26(B) Participation by Disadvantaged Business Enterprises in Depart... B In order for a firm to remain eligible for program participation, it must continue to meet all eligibility criteria contained in part 26. (C) By no later than 6 months of program entry, the participant should develop and submit to the recipient a comprehensive business plan setting forth the participant's business targets, objectives and goals. The participant will not be eligible for program benefits until such business plan is submitted and approved by the recipient. The approved business plan will constitute the participant's short and long term goals and the strategy for developmental growth to the point of economic viability in non-traditional areas of work and/or work outside the DBE program. (D) The business plan should contain at least the following: (1) An analysis of market potential, competitive environment and other business analyses estimating the program participant's prospects for profitable operation during the term of program participation and after graduation from the program. (2) An analysis of the firm's strengths and weaknesses, with particular attention paid to the means of correcting any financial, managerial, technical, or labor conditions which could impede the participant from receiving contracts other than those in traditional areas of DBE participation. (3) Specific targets, objectives, and goals for the business development of the participant during the next two years, utilizing the results of the analysis conducted pursuant to paragraphs (C) and (D)(1) of this appendix; (4) Estimates of contract awards from the DBE program and from other sources which are needed to meet the objectives and goals for the years covered by the business plan; and (5) Such other information as the recipient may require. (E) Each participant should annually review its currently approved business plan with the recipient and modify the plan as may be appropriate to account for any changes in the firm's structure and redefined needs. The currently approved plan should be considered the applicable plan for all program purposes until the recipient approves in writing a modified plan. The recipient should establish an anniversary date for review of the participant's business plan and contract forecasts. (F) Each participant should annually forecast in writing its need for contract awards for the next program year and the succeeding program year during the review of its business plan conducted under paragraph (E) of this appendix. Such forecast should be included in the participant's business plan. The forecast should include: (1) The aggregate dollar value of contracts to be sought under the DBE program, reflecting compliance with the business plan; (2) The aggregate dollar value of contracts to be sought in areas other than traditional areas of DBE participation; (3) The types of contract opportunities being sought, based on the firm's primary line of business; and (4) Such other information as may be requested by the recipient to aid in providing effective business development assistance to the participant. (G) Program participation is divided into two stages; �1 a developmental stage and 49 CFR Appendix-C-to-Part-26(G)(1) (enhanced display) page 69 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-C-to-Part-26(G)(2) Participation by Disadvantaged Business Enterprises in Depart... (2) a transitional stage. The developmental stage is designed to assist participants to overcome their social and economic disadvantage by providing such assistance as may be necessary and appropriate to enable them to access relevant markets and strengthen their financial and managerial skills. The transitional stage of program participation follows the developmental stage and is designed to assist participants to overcome, insofar as practical, their social and economic disadvantage and to prepare the participant for leaving the program. (H) The length of service in the program term should not be a pre-set time frame for either the developmental or transitional stages but should be figured on the number of years considered necessary in normal progression of achieving the firm's established goals and objectives. The setting of such time could be factored on such items as, but not limited to, the number of contracts, aggregate amount of the contract received, years in business, growth potential, etc. (1) Beginning in the first year of the transitional stage of program participation, each participant should annually submit for inclusion in its business plan a transition management plan outlining specific steps to promote profitable business operations in areas other than traditional areas of DBE participation after graduation from the program. The transition management plan should be submitted to the recipient at the same time other modifications are submitted pursuant to the annual review under paragraph (E) of this section. The plan should set forth the same information as required under paragraph (F) of steps the participant will take to continue its business development after the expiration of its program term. J When a participant is recognized as successfully completing the program by substantially achieving the targets, objectives and goals set forth in its program term, and has demonstrated the ability to compete in the marketplace, its further participation within the program may be determined by the recipient. (K) In determining whether a concern has substantially achieved the goals and objectives of its business plan, the following factors, among others, should be considered by the recipient: (1) Profitability; (2) Sales, including improved ratio of non-traditional contracts to traditional -type contracts; (3) Net worth, financial ratios, working capital, capitalization, access to credit and capital; (4) Ability to obtain bonding; (5) A positive comparison of the DBE's business and financial profile with profiles of non -DBE businesses in the same area or similar business category; and (6) Good management capacity and capability. (L? Upon determination by the recipient that the participant should be graduated from the developmental program, the recipient should notify the participant in writing of its intent to graduate the firm in a letter of notification. The letter of notification should set forth findings, based on the facts, for every material issue relating to the basis of the program graduation with specific reasons for each finding. The letter of notification should also provide the participant 45 days from the date of service of the letter to submit in writing information that would explain why the proposed basis of graduation is not warranted. (M) Participation of a DBE firm in the program may be discontinued by the recipient prior to expiration of the firm's program term for good cause due to the failure of the firm to engage in business practices that will promote its competitiveness within a reasonable period of time as evidenced by, among other indicators, a pattern of inadequate performance or unjustified delinquent performance. Also, the recipient can discontinue the participation of a firm that does not actively pursue and bid on contracts, and a firm that, 49 CFR Appendix-C-to-Part-26(M) (enhanced display) page 70 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-D-to-Part-26(A) Participation by Disadvantaged Business Enterprises in Depart... without justification, regularly fails to respond to solicitations in the type of work it is qualified for and in the geographical areas where it has indicated availability under its approved business plan. The recipient should take such action if over a 2-year period a DBE firm exhibits such a pattern. Appendix D to Part 26 - Mentor -Protege Program Guidelines A The purpose of this program element is to further the development of DBEs, including but not limited to assisting them to move into non-traditional areas of work and/or compete in the marketplace outside the DBE program, via the provision of training and assistance from other firms. To operate a mentor -protege program, a recipient must obtain the approval of the concerned operating administration. (B) (1) Any mentor -protege relationship shall be based on a written development plan, approved by the recipient, which clearly sets forth the objectives of the parties and their respective roles, the duration of the arrangement and the services and resources to be provided by the mentor to the protege. The formal mentor -protege agreement may set a fee schedule to cover the direct and indirect cost for such services rendered by the mentor for specific training and assistance to the protege through the life of the agreement. Services provided by the mentor may be reimbursable under the FTA, FHWA, and FAA programs. �2) To be eligible for reimbursement, the mentor's services provided and associated costs must be directly attributable and properly allowable to specific individual contracts. The recipient may establish a line item for the mentor to quote the portion of the fee schedule expected to be provided during the life of the contract. The amount claimed shall be verified by the recipient and paid on an incremental basis representing the time the protege is working on the contract. The total individual contract figures accumulated over the life of the agreement shall not exceed the amount stipulated in the original mentor/protege agreement. (C) DBEs involved in a mentor -protege agreement must be independent business entities which meet the requirements for certification as defined in subpart D of this part. A protege firm must be certified before it begins participation in a mentor -protege arrangement. If the recipient chooses to recognize mentor/ protege agreements, it should establish formal general program guidelines. These guidelines must be submitted to the operating administration for approval prior to the recipient executing an individual contractor/ subcontractor mentor -protege agreement. Appendix E to Part 26 - Individual Determinations of Social and Economic Disadvantage The following guidance is adapted, with minor modifications, from SBA regulations concerning social and economic disadvantage determinations (see 13 CFR 124.103(c) and 124.104). Social Disadvantage Socially disadvantaged individuals are those who have been subjected to racial or ethnic prejudice or cultural bias within American society because of their identities as members of groups and without regard to their individual qualities. Social disadvantage must stem from circumstances beyond their control. Evidence of individual social disadvantage must include the following elements: (A) At least one objective distinguishing feature that has contributed to social disadvantage, such as race, ethnic origin, gender, disability, long-term residence in an environment isolated from the mainstream of American society, or other similar causes not common to individuals who are not socially disadvantaged; 49 CFR Appendix-E-to-Part-26 I.(A) (enhanced display) page 71 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-E-to-Part-26 I.(B) Participation by Disadvantaged Business Enterprises in Depart... (B) Personal experiences of substantial and chronic social disadvantage in American society, not in other countries; and (C) Negative impact on entry into or advancement in the business world because of the disadvantage. Recipients will consider any relevant evidence in assessing this element. In every case, however, recipients will consider education, employment and business history, where applicable, to see if the totality of circumstances shows disadvantage in entering into or advancing in the business world. (1) Education. Recipients will consider such factors as denial of equal access to institutions of higher education and vocational training, exclusion from social and professional association with students or teachers, denial of educational honors rightfully earned, and social patterns or pressures which discouraged the individual from pursuing a professional or business education. (2) Employment. Recipients will consider such factors as unequal treatment in hiring, promotions and other aspects of professional advancement, pay and fringe benefits, and other terms and conditions of employment; retaliatory or discriminatory behavior by an employer or labor union; and social patterns or pressures which have channeled the individual into non-professional or non -business fields. (3) Business history. The recipient will consider such factors as unequal access to credit or capital, acquisition of credit or capital under commercially unfavorable circumstances, unequal treatment in opportunities for government contracts or other work, unequal treatment by potential customers and business associates, and exclusion from business or professional organizations. With respect to paragraph L(A) of this appendix, the Department notes that people with disabilities have disproportionately low incomes and high rates of unemployment. Many physical and attitudinal barriers remain to their full participation in education, employment, and business opportunities available to the general public. The Americans with Disabilities Act (ADA) was passed in recognition of the discrimination faced by people with disabilities. It is plausible that many individuals with disabilities - especially persons with severe disabilities (e.g., significant mobility, vision, or hearing impairments) - may be socially and economically disadvantaged. III Under the laws concerning social and economic disadvantage, people with disabilities are not a group presumed to be disadvantaged. Nevertheless, recipients should look carefully at individual showings of disadvantage by individuals with disabilities, making a case -by -case judgment about whether such an individual meets the criteria of this appendix. As public entities subject to Title II of the ADA, recipients must also ensure their DBE programs are accessible to individuals with disabilities. For example, physical barriers or the lack of application and information materials in accessible formats cannot be permitted to thwart the access of potential applicants to the certification process or other services made available to DBEs and applicants. Economic Disadvantage (A) General. Economically disadvantaged individuals are socially disadvantaged individuals whose ability to compete in the free enterprise system has been impaired due to diminished capital and credit opportunities as compared to others in the same or similar line of business who are not socially disadvantaged. B Submission of narrative and financial information. 49 CFR Appendix-E-to-Part-26(B) (enhanced display) page 72 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-E-to-Part-26(B)(1) Participation by Disadvantaged Business Enterprises in Depart... (1) Each individual claiming economic disadvantage must describe the conditions which are the basis for the claim in a narrative statement, and must submit personal financial information. (2) [Reserved] (C) Factors to be considered. In considering diminished capital and credit opportunities, recipients will examine factors relating to the personal financial condition of any individual claiming disadvantaged status, including personal income for the past two years (including bonuses and the value of company stock given in lieu of cash), personal net worth, and the fair market value of all assets, whether encumbered or not. Recipients will also consider the financial condition of the applicant compared to the financial profiles of small businesses in the same primary industry classification, or, if not available, in similar lines of business, which are not owned and controlled by socially and economically disadvantaged individuals in evaluating the individual's access to credit and capital. The financial profiles that recipients will compare include total assets, net sales, pre-tax profit, sales/ working capital ratio, and net worth. �D) Transfers within two years. (1) Except as set forth in paragraph (D)(2) of this appendix, recipients will attribute to an individual claiming disadvantaged status any assets which that individual has transferred to an immediate family member, or to a trust, a beneficiary of which is an immediate family member, for less than fair market value, within two years prior to a concern's application for participation in the DBE program, unless the individual claiming disadvantaged status can demonstrate that the transfer is to or on behalf of an immediate family member for that individual's education, medical expenses, or some other form of essential support. (2) Recipients will not attribute to an individual claiming disadvantaged status any assets transferred by that individual to an immediate family member that are consistent with the customary recognition of special occasions, such as birthdays, graduations, anniversaries, and retirements. (3) In determining an individual's access to capital and credit, recipients may consider any assets that the individual transferred within such two-year period described by paragraph (D)(1) of this appendix that are not considered in evaluating the individual's assets and net worth (e.g., transfers to charities). [64 FR 5126, Feb. 2, 1999, as amended at 68 FR 35559, June 16, 20031 49 CFR Appendix-E-to-Part-26(D)(3) (enhanced display) page 73 of 92 49 CFR Part 26 (up to date as of 10/04/2022) 49 CFR Appendix-E-to-Part-26(D)(3) Participation by Disadvantaged Business Enterprises in Depart... Appendix F to Part 26 - Uniform Certification Application Form hppmdn F . 3FYH2.1f CF.RRFICATfONAPPUCATi(J. ' DI5AD5'.1\TAiGEI} RUSINLS5 E9% TERPMS-E (p9E) I AIRPMTOONCE-WON DINADVANTACED Bk";FND-; INTFRPME I. COO 49 C'_F.JL reF14 23 ■bd Ii R4w,N.wp /,- 1fyMnw r 1- Mwnld 1 AF1w1 VMm•bFApblebprd*mrdkLIBLAIETSE F,.W • TYr bar . a IsrF�eb FrSiar� �.i IY.1uyr a< ..rLs i ; r,s.. •.e�yo ubm drJ .. 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Iw.oe..ea}ar IJiMyrP--AF1.IN1or.hS..re.L..rhplKIMMF4p.L 91m-Wd,-;P.p.4d5 49 CFR Appendix- E-to -Part-26(D)(3) (enhanced display) page 91 of 92 49 CFR Part 26 (up to date as of 10/04/2022) Participation by Disadvantaged Business Enterprises in Depart... 49 CFR Appendix-E-to-Part-26(D)(3) IayFJ r oxrlu.6y� rw� rr4 ... � b ,dkyr.Pei�nirp� Ft�1ar �rlF�et�1111M- � I�frYe:a An eeb= rf dewier Ygaq 6� km am mummip Ik M M DW'ACM %VG*w 4erin Mmigigr. r a Mid L,eaer: Lwh tlt mmL`Wmm- a WN e µnakk m 1"I aw m PW I . Lr w Ub Iwrrrrr. Pure Om mmi %-Aw faY Le d. — hdr .-ahn v PW L. Ord Gert}PY ,aum c m parr 3 ��{•d4m !9f a1� dicer k�r f4� 41IaM. eM/ MAY cif WAIL TM I�illt eAdil mdok mmaY mEAN&P TYe *wWd m& rowlw, adoie =V =rWW bdr 4*dr &*x=6 a n tgwoeri to ;ecnon d do- W die Yee IN rw feuwv 1ppe•far ln�PRrYw eeotica YF mq be i.k d w,Ubm egged rerreeeay �eeilt mw Ile IILW seem✓ reed beret. ISe4r 1 ib'kdL-: 47n IrA I. 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YwaM E�Irde iew�Yia wi r Yea klwi*=PW WeaW=kF 7ewin eiAmh Ify-Pd.IM drI»Idt/IaP3 �pylY 3 eM� �X �r14 irelriF tlFii#wM VwJIM4, mo: y"neNduo mfdkymmmWrrt weft dwlemFwl b a Wall+. drwift Ptr<- m6aw b w amy awtir► yw 6mkk aewashoae M61&ul �r eedebap ■ *Rd ludmk ■ deeagYw Wf &e I•Lkl. sd md%yNY. w 12.ede+ uk freer Au d vla rrli[hli.0 oullee,� E40EL At r of'", `IM non, uy I lr r..r. 60 *deg oche. b Ilr I—Lf r—; S. tIn[ail I. h—&r.. d dW Ubhft tr t .Lksl—C %hl rwww41 w eM a ..r i—i—H.r r�en 8s= $e wre fo IqPaad"r 6WVWh=EL Tie PW6b]No Wli wr4mdw mow mtwbw LLILVOTPwvw4"mY1wdS+.r.,walmMA' MP�cg,amE%tic •PipSwF5 [79 FR 59617, Oct. 2, 20141 ................................... 49 CFR Appendix- E-to -Part-26(D)(3) (enhanced display) page 92 of 92 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B SPECIAL NOTICE W-9 For payments to be issued through the Texas Department of Transportation, the designated low bidder shall file a `Request for Taxpayer Identification Number and Certification' prior to the award of the contract. This must be the US Department of Treasury, Internal Revenue Service Form W-9. The following page is the form W-9 which must be completed and returned to the contracting office prior to the award of this contract. LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT [THIS PAGE HAS INTENTIONALLY BEEN LEFT BLANK] 2231874.005 B Request for Taxpayer Give Form to the Form Identification Number and Certification requester. Do not (Rev. October2018) Department of the Treasury send to the IRS. Internal Revenue Service ► Go to wwwJrs.gov/FormW9 for instructions and the latest information. 1 Name (as shown on your income tax return). Name is required on this line; do not leave this line blank. 2 Business name/disregarded entity name, if different from above m a� 3 Check appropriate box for federal tax classification of the person whose name is entered on line 1. Check only one of the 4 Exemptions (codes apply only to Ca following seven boxes. certain entities, not individuals; see a instructions on page 3): o ❑ Individual/sole proprietor or ❑ C Corporation ❑ S Corporation ❑ Partnership ❑ Trust/estate c single -member LLC Exempt payee code (if any) Q. ❑ Limited liability company. Enter the tax classification (C=C corporation, S=S corporation, P=Partnership) ► o Note: Check the appropriate box in the line above for the tax classification of the single -member owner. Do not check Exemption from FATCA reporting = y c LLC if the LLC is classified as a single -member LLC that is disregarded from the owner unless the owner of the LLC is code (if any) a 0is another LLC that is not disregarded from the owner for U.S. federal tax purposes. Otherwise, a single -member LLC that disregarded from the owner should check the appropriate box for the tax classification of its owner. V N ❑ Other (see instructions) ► (Applies to accounts maintained outside the U.S.) 5 Address (number, street, and apt. or suite no.) See instructions. Requester's name and address (optional) m (D U) 6 City, state, and ZIP code 7 List account number(s) here (optional) Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. The TIN provided must match the name given on line 1 to avoid Social security number backup withholding. For individuals, this is generally your social security number (SHowever, for a resident alien, sole proprietor, or disregarded entity, see the instructions for Part I, later. For other entities, it is your employer identification number (EIN). If you do not have a number, see How to get a TIN, later. or Note: If the account is in more than one name, see the instructions for line 1. Also see What Name and I Employer identification number Number To Give the Requester for guidelines on whose number to enter. F—T-1 Certification Under penalties of perjury, I certify that: 1. The number shown on this form is my correct taxpayer identification number (or I am waiting for a number to be issued to me); and 2. 1 am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been notified by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding; and 3. 1 am a U.S. citizen or other U.S. person (defined below); and 4. The FATCA code(s) entered on this form (if any) indicating that I am exempt from FATCA reporting is correct. Certification instructions. You must cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return. For real estate transactions, item 2 does not apply. For mortgage interest paid, acquisition or abandonment of secured property, cancellation of debt, contributions to an individual retirement arrangement (IRA), and generally, payments other than interest and dividends, you are not required to sign the certification, but you must provide your correct TIN. See the instructions for Part 11, later. Sign Signature of Here U.S. person ► Date Do - General Instructions Section references are to the Internal Revenue Code unless otherwise noted. Future developments. For the latest information about developments related to Form W-9 and its instructions, such as legislation enacted after they were published, go to www.irs.gov/FormW9. Purpose of Form An individual or entity (Form W-9 requester) who is required to file an information return with the IRS must obtain your correct taxpayer identification number (TIN) which may be your social security number (SSN), individual taxpayer identification number (ITIN), adoption taxpayer identification number (ATIN), or employer identification number (EIN), to report on an information return the amount paid to you, or other amount reportable on an information return. Examples of information returns include, but are not limited to, the following. • Form 1099-INT (interest earned or paid) • Form 1099-DIV (dividends, including those from stocks or mutual funds) • Form 1099-MISC (various types of income, prizes, awards, or gross proceeds) • Form 1099-B (stock or mutual fund sales and certain other transactions by brokers) • Form 1099-S (proceeds from real estate transactions) • Form 1099-K (merchant card and third party network transactions) • Form 1098 (home mortgage interest), 1098-E (student loan interest), 1098-T (tuition) • Form 1099-C (canceled debt) • Form 1099-A (acquisition or abandonment of secured property) Use Form W-9 only if you are a U.S. person (including a resident alien), to provide your correct TIN. If you do not return Form W-9 to the requester with a TIN, you might be subject to backup withholding. See What is backup withholding, later. Cat. No. 10231X Form W-9 (Rev. 10-2018) Form W-9 (Rev. 10-2018) Page 2 By signing the filled -out form, you: 1. Certify that the TIN you are giving is correct (or you are waiting for a number to be issued), 2. Certify that you are not subject to backup withholding, or 3. Claim exemption from backup withholding if you are a U.S. exempt payee. If applicable, you are also certifying that as a U.S. person, your allocable share of any partnership income from a U.S. trade or business is not subject to the withholding tax on foreign partners' share of effectively connected income, and 4. Certify that FATCA code(s) entered on this form (if any) indicating that you are exempt from the FATCA reporting, is correct. See What is FATCA reporting, later, for further information. Note: If you are a U.S. person and a requester gives you a form other than Form W-9 to request your TIN, you must use the requester's form if it is substantially similar to this Form W-9. Definition of a U.S. person. For federal tax purposes, you are considered a U.S. person if you are: • An individual who is a U.S. citizen or U.S. resident alien; • A partnership, corporation, company, or association created or organized in the United States or under the laws of the United States; • An estate (other than a foreign estate); or • A domestic trust (as defined in Regulations section 301.7701-7). Special rules for partnerships. Partnerships that conduct a trade or business in the United States are generally required to pay a withholding tax under section 1446 on any foreign partners' share of effectively connected taxable income from such business. Further, in certain cases where a Form W-9 has not been received, the rules under section 1446 require a partnership to presume that a partner is a foreign person, and pay the section 1446 withholding tax. Therefore, if you are a U.S. person that is a partner in a partnership conducting a trade or business in the United States, provide Form W-9 to the partnership to establish your U.S. status and avoid section 1446 withholding on your share of partnership income. In the cases below, the following person must give Form W-9 to the partnership for purposes of establishing its U.S. status and avoiding withholding on its allocable share of net income from the partnership conducting a trade or business in the United States. • In the case of a disregarded entity with a U.S. owner, the U.S. owner of the disregarded entity and not the entity; • In the case of a grantor trust with a U.S. grantor or other U.S. owner, generally, the U.S. grantor or other U.S. owner of the grantor trust and not the trust; and • In the case of a U.S. trust (other than a grantor trust), the U.S. trust (other than a grantor trust) and not the beneficiaries of the trust. Foreign person. If you are a foreign person or the U.S. branch of a foreign bank that has elected to be treated as a U.S. person, do not use Form W-9. Instead, use the appropriate Form W-8 or Form 8233 (see Pub. 515, Withholding of Tax on Nonresident Aliens and Foreign Entities). Nonresident alien who becomes a resident alien. Generally, only a nonresident alien individual may use the terms of a tax treaty to reduce or eliminate U.S. tax on certain types of income. However, most tax treaties contain a provision known as a "saving clause." Exceptions specified in the saving clause may permit an exemption from tax to continue for certain types of income even after the payee has otherwise become a U.S. resident alien for tax purposes. If you are a U.S. resident alien who is relying on an exception contained in the saving clause of a tax treaty to claim an exemption from U.S. tax on certain types of income, you must attach a statement to Form W-9 that specifies the following five items. 1. The treaty country. Generally, this must be the same treaty under which you claimed exemption from tax as a nonresident alien. 2. The treaty article addressing the income. 3. The article number (or location) in the tax treaty that contains the saving clause and its exceptions. 4. The type and amount of income that qualifies for the exemption from tax. 5. Sufficient facts to justify the exemption from tax under the terms of the treaty article. Example. Article 20 of the U.S.-China income tax treaty allows an exemption from tax for scholarship income received by a Chinese student temporarily present in the United States. Under U.S. law, this student will become a resident alien for tax purposes if his or her stay in the United States exceeds 5 calendar years. However, paragraph 2 of the first Protocol to the U.S.-China treaty (dated April 30, 1984) allows the provisions of Article 20 to continue to apply even after the Chinese student becomes a resident alien of the United States. A Chinese student who qualifies for this exception (under paragraph 2 of the first protocol) and is relying on this exception to claim an exemption from tax on his or her scholarship or fellowship income would attach to Form W-9 a statement that includes the information described above to support that exemption. If you are a nonresident alien or a foreign entity, give the requester the appropriate completed Form W-8 or Form 8233. Backup Withholding What is backup withholding? Persons making certain payments to you must under certain conditions withhold and pay to the IRS 24% of such payments. This is called "backup withholding." Payments that may be subject to backup withholding include interest, tax-exempt interest, dividends, broker and barter exchange transactions, rents, royalties, nonemployee pay, payments made in settlement of payment card and third party network transactions, and certain payments from fishing boat operators. Real estate transactions are not subject to backup withholding. You will not be subject to backup withholding on payments you receive if you give the requester your correct TIN, make the proper certifications, and report all your taxable interest and dividends on your tax return. Payments you receive will be subject to backup withholding if: 1. You do not furnish your TIN to the requester, 2. You do not certify your TIN when required (see the instructions for Part II for details), 3. The IRS tells the requester that you furnished an incorrect TIN, 4. The IRS tells you that you are subject to backup withholding because you did not report all your interest and dividends on your tax return (for reportable interest and dividends only), or 5. You do not certify to the requester that you are not subject to backup withholding under 4 above (for reportable interest and dividend accounts opened after 1983 only). Certain payees and payments are exempt from backup withholding. See Exempt payee code, later, and the separate Instructions for the Requester of Form W-9 for more information. Also see Special rules for partnerships, earlier. What is FATCA Reporting? The Foreign Account Tax Compliance Act (FATCA) requires a participating foreign financial institution to report all United States account holders that are specified United States persons. Certain payees are exempt from FATCA reporting. See Exemption from FATCA reporting code, later, and the Instructions for the Requester of Form W-9 for more information. Updating Your Information You must provide updated information to any person to whom you claimed to be an exempt payee if you are no longer an exempt payee and anticipate receiving reportable payments in the future from this person. For example, you may need to provide updated information if you are a C corporation that elects to be an S corporation, or if you no longer are tax exempt. In addition, you must furnish a new Form W-9 if the name or TIN changes for the account; for example, if the grantor of a grantor trust dies. Penalties Failure to furnish TIN. If you fail to furnish your correct TIN to a requester, you are subject to a penalty of $50 for each such failure unless your failure is due to reasonable cause and not to willful neglect. Civil penalty for false information with respect to withholding. If you make a false statement with no reasonable basis that results in no backup withholding, you are subject to a $500 penalty. Form W-9 (Rev. 10-2018) Page 3 Criminal penalty for falsifying information. Willfully falsifying certifications or affirmations may subject you to criminal penalties including fines and/or imprisonment. Misuse of TINS. If the requester discloses or uses TINS in violation of federal law, the requester may be subject to civil and criminal penalties. Specific Instructions Line 1 You must enter one of the following on this line; do not leave this line blank. The name should match the name on your tax return. If this Form W-9 is for a joint account (other than an account maintained by a foreign financial institution (FFI)), list first, and then circle, the name of the person or entity whose number you entered in Part I of Form W-9. If you are providing Form W-9 to an FFI to document a joint account, each holder of the account that is a U.S. person must provide a Form W-9. a. Individual. Generally, enter the name shown on your tax return. If you have changed your last name without informing the Social Security Administration (SSA) of the name change, enter your first name, the last name as shown on your social security card, and your new last name. Note: ITIN applicant: Enter your individual name as it was entered on your Form W-7 application, line 1 a. This should also be the same as the name you entered on the Form 1040/1040A/1040EZ you filed with your application. b. Sole proprietor or single -member LLC. Enter your individual name as shown on your 1040/1040A/1040EZ on line 1. You may enter your business, trade, or "doing business as" (DBA) name on line 2. c. Partnership, LLC that is not a single -member LLC, C corporation, or S corporation. Enter the entity's name as shown on the entity's tax return on line 1 and any business, trade, or DBA name on line 2. d. Other entities. Enter your name as shown on required U.S. federal tax documents on line 1. This name should match the name shown on the charter or other legal document creating the entity. You may enter any business, trade, or DBA name on line 2. e. Disregarded entity. For U.S. federal tax purposes, an entity that is disregarded as an entity separate from its owner is treated as a "disregarded entity." See Regulations section 301.7701-2(c)(2)(iii). Enter the owner's name on line 1. The name of the entity entered on line 1 should never be a disregarded entity. The name on line 1 should be the name shown on the income tax return on which the income should be reported. For example, if a foreign LLC that is treated as a disregarded entity for U.S. federal tax purposes has a single owner that is a U.S. person, the U.S. owner's name is required to be provided on line 1. If the direct owner of the entity is also a disregarded entity, enter the first owner that is not disregarded for federal tax purposes. Enter the disregarded entity's name on line 2, "Business name/disregarded entity name." If the owner of the disregarded entity is a foreign person, the owner must complete an appropriate Form W-8 instead of a Form W-9. This is the case even if the foreign person has a U.S. TIN. Line 2 If you have a business name, trade name, DBA name, or disregarded entity name, you may enter it on line 2. Line 3 Check the appropriate box on line 3 for the U.S. federal tax classification of the person whose name is entered on line 1. Check only one box on line 3. IF the entity/person on line 1 is THEN check the box for ... a(n) ... • Corporation Corporation • Individual Individual/sole proprietor or single- • Sole proprietorship, or member LLC • Single -member limited liability company (LLC) owned by an individual and disregarded for U.S. federal tax purposes. • LLC treated as a partnership for Limited liability company and enter U.S. federal tax purposes, the appropriate tax classification. • LLC that has filed Form 8832 or (P= Partnership; C= C corporation; 2553 to be taxed as a corporation, or S= S corporation) or • LLC that is disregarded as an entity separate from its owner but the owner is another LLC that is not disregarded for U.S. federal tax purposes. • Partnership Partnership • Trust/estate Trust/estate Line 4, Exemptions If you are exempt from backup withholding and/or FATCA reporting, enter in the appropriate space on line 4 any code(s) that may apply to you. Exempt payee code. • Generally, individuals (including sole proprietors) are not exempt from backup withholding. • Except as provided below, corporations are exempt from backup withholding for certain payments, including interest and dividends. • Corporations are not exempt from backup withholding for payments made in settlement of payment card or third party network transactions. • Corporations are not exempt from backup withholding with respect to attorneys' fees or gross proceeds paid to attorneys, and corporations that provide medical or health care services are not exempt with respect to payments reportable on Form 1099-MISC. The following codes identify payees that are exempt from backup withholding. Enter the appropriate code in the space in line 4. 1—An organization exempt from tax under section 501(a), any IRA, or a custodial account under section 403(b)(7) if the account satisfies the requirements of section 401(f)(2) 2—The United States or any of its agencies or instrumentalities 3—A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or instrumentalities 4—A foreign government or any of its political subdivisions, agencies, or instrumentalities 5—A corporation 6—A dealer in securities or commodities required to register in the United States, the District of Columbia, or a U.S. commonwealth or possession 7—A futures commission merchant registered with the Commodity Futures Trading Commission 8—A real estate investment trust 9—An entity registered at all times during the tax year under the Investment Company Act of 1940 10—A common trust fund operated by a bank under section 584(a) 11—A financial institution 12—A middleman known in the investment community as a nominee or custodian 13—A trust exempt from tax under section 664 or described in section 4947 Form W-9 (Rev. 10-2018) Page 4 The following chart shows types of payments that may be exempt from backup withholding. The chart applies to the exempt payees listed above, 1 through 13. IF the payment is for ... THEN the payment is exempt for... Interest and dividend payments All exempt payees except for 7 Broker transactions Exempt payees 1 through 4 and 6 through 11 and all C corporations. S corporations must not enter an exempt payee code because they are exempt only for sales of noncovered securities acquired prior to 2012. Barter exchange transactions and Exempt payees 1 through 4 patronage dividends Payments over $600 required to be Generally, exempt payees reported and direct sales over 1 through 52 $5,0001 Payments made in settlement of Exempt payees 1 through 4 payment card or third party network transactions 1 See Form 1099-MISC, Miscellaneous Income, and its instructions. 2 However, the following payments made to a corporation and reportable on Form 1099-MISC are not exempt from backup withholding: medical and health care payments, attorneys' fees, gross proceeds paid to an attorney reportable under section 6045(f), and payments for services paid by a federal executive agency. Exemption from FATCA reporting code. The following codes identify payees that are exempt from reporting under FATCA. These codes apply to persons submitting this form for accounts maintained outside of the United States by certain foreign financial institutions. Therefore, if you are only submitting this form for an account you hold in the United States, you may leave this field blank. Consult with the person requesting this form if you are uncertain if the financial institution is subject to these requirements. A requester may indicate that a code is not required by providing you with a Form W-9 with "Not Applicable" (or any similar indication) written or printed on the line for a FATCA exemption code. A —An organization exempt from tax under section 501(a) or any individual retirement plan as defined in section 7701(a)(37) B—The United States or any of its agencies or instrumentalities C—A state, the District of Columbia, a U.S. commonwealth or possession, or any of their political subdivisions or instrumentalities D—A corporation the stock of which is regularly traded on one or more established securities markets, as described in Regulations section 1.1472-1(c)(1)(i) E—A corporation that is a member of the same expanded affiliated group as a corporation described in Regulations section 1.1472-1(c)(1)(i) F—A dealer in securities, commodities, or derivative financial instruments (including notional principal contracts, futures, forwards, and options) that is registered as such under the laws of the United States or any state G—A real estate investment trust H—A regulated investment company as defined in section 851 or an entity registered at all times during the tax year under the Investment Company Act of 1940 I —A common trust fund as defined in section 584(a) J—A bank as defined in section 581 K—A broker L—A trust exempt from tax under section 664 or described in section 4947(a)(1) M—A tax exempt trust under a section 403(b) plan or section 457(g) plan Note: You may wish to consult with the financial institution requesting this form to determine whether the FATCA code and/or exempt payee code should be completed. Line 5 Enter your address (number, street, and apartment or suite number). This is where the requester of this Form W-9 will mail your information returns. If this address differs from the one the requester already has on file, write NEW at the top. If a new address is provided, there is still a chance the old address will be used until the payor changes your address in their records. Line 6 Enter your city, state, and ZIP code. Part I. Taxpayer Identification Number (TIN) Enter your TIN in the appropriate box. If you are a resident alien and you do not have and are not eligible to get an SSN, your TIN is your IRS individual taxpayer identification number (ITIN). Enter it in the social security number box. If you do not have an ITIN, see How to get a TIN below. If you are a sole proprietor and you have an EIN, you may enter either your SSN or EIN. If you are a single -member LLC that is disregarded as an entity separate from its owner, enter the owner's SSN (or EIN, if the owner has one). Do not enter the disregarded entity's EIN. If the LLC is classified as a corporation or partnership, enter the entity's EIN. Note: See What Name and Number To Give the Requester, later, for further clarification of name and TIN combinations. How to get a TIN. If you do not have a TIN, apply for one immediately. To apply for an SSN, get Form SS-5, Application for a Social Security Card, from your local SSA office or get this form online at www.SSA.gov. You may also get this form by calling 1-800-772-1213. Use Form W-7, Application for IRS Individual Taxpayer Identification Number, to apply for an ITIN, or Form SS-4, Application for Employer Identification Number, to apply for an EIN. You can apply for an EIN online by accessing the IRS website at www.irs.gov/Businesses and clicking on Employer Identification Number (EIN) under Starting a Business. Go to www.irs.gov/Forms to view, download, or print Form W-7 and/or Form SS-4. Or, you can go to www.irs.gov/OrderForms to place an order and have Form W-7 and/or SS-4 mailed to you within 10 business days. If you are asked to complete Form W-9 but do not have a TIN, apply for a TIN and write "Applied For" in the space for the TIN, sign and date the form, and give it to the requester. For interest and dividend payments, and certain payments made with respect to readily tradable instruments, generally you will have 60 days to get a TIN and give it to the requester before you are subject to backup withholding on payments. The 60-day rule does not apply to other types of payments. You will be subject to backup withholding on all such payments until you provide your TIN to the requester. Note: Entering "Applied For" means that you have already applied for a TIN or that you intend to apply for one soon. Caution: A disregarded U.S. entity that has a foreign owner must use the appropriate Form W-8. Part II. Certification To establish to the withholding agent that you are a U.S. person, or resident alien, sign Form W-9. You may be requested to sign by the withholding agent even if item 1, 4, or 5 below indicates otherwise. For a joint account, only the person whose TIN is shown in Part I should sign (when required). In the case of a disregarded entity, the person identified on line 1 must sign. Exempt payees, see Exempt payee code, earlier. Signature requirements. Complete the certification as indicated in items 1 through 5 below. Form W-9 (Rev. 10-2018) Page 5 1. Interest, dividend, and barter exchange accounts opened before 1984 and broker accounts considered active during 1983. You must give your correct TIN, but you do not have to sign the certification. 2. Interest, dividend, broker, and barter exchange accounts opened after 1983 and broker accounts considered inactive during 1983. You must sign the certification or backup withholding will apply. If you are subject to backup withholding and you are merely providing your correct TIN to the requester, you must cross out item 2 in the certification before signing the form. 3. Real estate transactions. You must sign the certification. You may cross out item 2 of the certification. 4. Other payments. You must give your correct TIN, but you do not have to sign the certification unless you have been notified that you have previously given an incorrect TIN. "Other payments" include payments made in the course of the requester's trade or business for rents, royalties, goods (other than bills for merchandise), medical and health care services (including payments to corporations), payments to a nonemployee for services, payments made in settlement of payment card and third party network transactions, payments to certain fishing boat crew members and fishermen, and gross proceeds paid to attorneys (including payments to corporations). 5. Mortgage interest paid by you, acquisition or abandonment of secured property, cancellation of debt, qualified tuition program payments (under section 529), ABLE accounts (under section 529A), IRA, Coverdell ESA, Archer MSA or HSA contributions or distributions, and pension distributions. You must give your correct TIN, but you do not have to sign the certification. What Name and Number To Give the Requester For this type of account: I Give name and SSN of: 1. Individual 2. Two or more individuals Qoint account) other than an account maintained by an FFI 3. Two or more U.S. persons (joint account maintained by an FFI) 4. Custodial account of a minor (Uniform Gift to Minors Act) 5. a. The usual revocable savings trust (grantor is also trustee) b. So-called trust account that is not a legal or valid trust under state law 6. Sole proprietorship or disregarded entity owned by an individual 7. Grantor trust filing under Optional Form 1099 Filing Method 1 (see Regulations section 1.671-4(b)(2)(i) (A)) The individual The actual owner of the account or, if combined funds, the first individual on the account' Each holder of the account For this type of account: I Give name and EIN of: 14. Account with the Department of The public entity Agriculture in the name of a public entity (such as a state or local government, school district, or prison) that receives agricultural program payments 15. Grantor trust filing under the Form The trust 1041 Filing Method or the Optional Form 1099 Filing Method 2 (see Regulations section 1.671-4(b)(2)(i)(13)) List first and circle the name of the person whose number you furnish. If only one person on a joint account has an SSN, that person's number must be furnished. 2 Circle the minor's name and furnish the minor's SSN. 3 You must show your individual name and you may also enter your business or DBA name on the "Business name/disregarded entity" name line. You may use either your SSN or EIN (if you have one), but the IRS encourages you to use your SSN. ° List first and circle the name of the trust, estate, or pension trust. (Do not furnish the TIN of the personal representative or trustee unless the legal entity itself is not designated in the account title.) Also see Special rules for partnerships, earlier. *Note: The grantor also must provide a Form W-9 to trustee of trust. Note: If no name is circled when more than one name is listed, the number will be considered to be that of the first name listed. Secure Your Tax Records From Identity Theft Identity theft occurs when someone uses your personal information such as your name, SSN, or other identifying information, without your permission, to commit fraud or other crimes. An identity thief may use your SSN to get a job or may file a tax return using your SSN to receive a refund. To reduce your risk: • Protect your SSN, The minor' • Ensure your employer is protecting your SSN, and • Be careful when choosing a tax preparer. The grantor -trustee' If your tax records are affected by identity theft and you receive a notice from the IRS, respond right away to the name and phone number The actual owner printed on the IRS notice or letter. If your tax records are not currently affected by identity theft but you The owner 3 think you are at risk due to a lost or stolen purse or wallet, questionable credit card activity or credit report, contact the IRS Identity Theft Hotline The grantor' at 1-800-908-4490 or submit Form 14039. For this type of account: I Give name and EIN of: 8. Disregarded entity not owned by an individual 9. A valid trust, estate, or pension trust 10. Corporation or LLC electing corporate status on Form 8832 or Form 2553 11. Association, club, religious, charitable, educational, or other tax- exempt organization 12. Partnership or multi -member LLC 13. A broker or registered nominee The owner Legal entity° The corporation The organization The partnership The broker or nominee For more information, see Pub. 5027, Identity Theft Information for Taxpayers. Victims of identity theft who are experiencing economic harm or a systemic problem, or are seeking help in resolving tax problems that have not been resolved through normal channels, may be eligible for Taxpayer Advocate Service (TAS) assistance. You can reach TAS by calling the TAS toll -free case intake line at 1-877-777-4778 or TTY/TDD 1-800-829-4059. Protect yourself from suspicious emails or phishing schemes. Phishing is the creation and use of email and websites designed to mimic legitimate business emails and websites. The most common act is sending an email to a user falsely claiming to be an established legitimate enterprise in an attempt to scam the user into surrendering private information that will be used for identity theft. Form W-9 (Rev. 10-2018) Page 6 The IRS does not initiate contacts with taxpayers via emails. Also, the IRS does not request personal detailed information through email or ask taxpayers for the PIN numbers, passwords, or similar secret access information for their credit card, bank, or other financial accounts. If you receive an unsolicited email claiming to be from the IRS, forward this message to phishing@irs.gov. You may also report misuse of the IRS name, logo, or other IRS property to the Treasury Inspector General for Tax Administration (TIGTA) at 1-800-366-4484. You can forward suspicious emails to the Federal Trade Commission at spam@uce.gov or report them at www.ftc.gov/complaint. You can contact the FTC at www.ftc.gov/idtheft or 877-IDTHEFT (877-438-4338). If you have been the victim of identity theft, see www.ldentityTheft.gov and Pub. 5027. Visit www.irs.govIldentityTheft to learn more about identity theft and how to reduce your risk. Privacy Act Notice Section 6109 of the Internal Revenue Code requires you to provide your correct TIN to persons (including federal agencies) who are required to file information returns with the IRS to report interest, dividends, or certain other income paid to you; mortgage interest you paid; the acquisition or abandonment of secured property; the cancellation of debt; or contributions you made to an IRA, Archer MSA, or HSA. The person collecting this form uses the information on the form to file information returns with the IRS, reporting the above information. Routine uses of this information include giving it to the Department of Justice for civil and criminal litigation and to cities, states, the District of Columbia, and U.S. commonwealths and possessions for use in administering their laws. The information also may be disclosed to other countries under a treaty, to federal and state agencies to enforce civil and criminal laws, or to federal law enforcement and intelligence agencies to combat terrorism. You must provide your TIN whether or not you are required to file a tax return. Under section 3406, payers must generally withhold a percentage of taxable interest, dividend, and certain other payments to a payee who does not give a TIN to the payer. Certain penalties may also apply for providing false or fraudulent information. 12/21/2018 AC 150/5370-1OH Part 1— General Contract Provisions Section 10 Definition of Terms When the following terms are used in these specifications, in the contract, or in any documents or other instruments pertaining to construction where these specifications govern, the intent and meaning shall be defined as follows: Paragraph Term Definition Number 10-01 AASHTO The American Association of State Highway and Transportation Officials. 10-02 Access Road The right-of-way, the roadway and all improvements constructed thereon connecting the airport to a public roadway. 10-03 Advertisement A public announcement, as required by local law, inviting bids for work to be performed and materials to be furnished. 10-04 Airport Airport means an area of land or water which is used or intended to be used for the landing and takeoff of aircraft; an appurtenant area used or intended to be used for airport buildings or other airport facilities or rights of way; airport buildings and facilities located in any of these areas, and a heliport. 10-05 Airport Improvement A grant-in-aid program, administered by the Federal Program (AIP) Aviation Administration (FAA). 10-06 Air Operations Area The term air operations area (AOA) shall mean any area of (AOA) the airport used or intended to be used for the landing, takeoff, or surface maneuvering of aircraft. An air operation area shall include such paved or unpaved areas that are used or intended to be used for the unobstructed movement of aircraft in addition to its associated runway, taxiway, or apron. 10-07 Apron Area where aircraft are parked, unloaded or loaded, fueled and/or serviced. 10-08 ASTM International Formerly known as the American Society for Testing and (ASTM) Materials (ASTM). Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Paragraph Term Definition Number 10-09 Award The Owner's notice to the successful bidder of the acceptance of the submitted bid. 10-10 Bidder Any individual, partnership, firm, or corporation, acting directly or through a duly authorized representative, who submits a proposal for the work contemplated. 10-11 Building Area An area on the airport to be used, considered, or intended to be used for airport buildings or other airport facilities or rights -of -way together with all airport buildings and facilities located thereon. 10-12 Calendar Day Every day shown on the calendar. 10-13 Certificate of Analysis The COA is the manufacturer's Certificate of Compliance (COA) (COC) including all applicable test results required by the specifications. 10-14 Certificate of The manufacturer's certification stating that materials or Compliance (COC) assemblies furnished fully comply with the requirements of the contract. The certificate shall be signed by the manufacturer's authorized representative. 10-15 Change Order A written order to the Contractor covering changes in the plans, specifications, or proposal quantities and establishing the basis of payment and contract time adjustment, if any, for work within the scope of the contract and necessary to complete the project. 10-16 Contract A written agreement between the Owner and the Contractor that establishes the obligations of the parties including but not limited to performance of work, furnishing of labor, equipment and materials and the basis of payment. The awarded contract includes but may not be limited to: Advertisement, Contract form, Proposal, Performance bond, payment bond, General provisions, certifications and representations, Technical Specifications, Plans, Supplemental Provisions, standards incorporated by reference and issued addenda. 10-17 Contract Item (Pay A specific unit of work for which a price is provided in the Item) contract. 10-18 Contract Time The number of calendar days or working days, stated in the proposal, allowed for completion of the contract, including authorized time extensions. If a calendar date of com letion is stated in the proposal, in lieu of a number of Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Paragraph Term Definition Number calendar or working days, the contract shall be completed by that date. 10-19 Contractor The individual, partnership, firm, or corporation primarily liable for the acceptable performance of the work contracted and for the payment of all legal debts pertaining to the work who acts directly or through lawful agents or employees to complete the contract work. 10-20 Contractors Quality The Contractor's QC facilities in accordance with the Control (QC) Facilities Contractor Quality Control Program (CQCP). 10-21 Contractor Quality Details the methods and procedures that will be taken to Control Program assure that all materials and completed construction (CQCP) required by the contract conform to contract plans, technical specifications and other requirements, whether manufactured by the Contractor, or procured from subcontractors or vendors. 10-22 Control Strip A demonstration by the Contractor that the materials, equipment, and construction processes results in a product meeting the requirements of the specification. 10-23 Construction Safety and The overall plan for safety and phasing of a construction Phasing Plan (CSPP) project developed by the airport operator, or developed by the airport operator's consultant and approved by the airport operator. It is included in the invitation for bids and becomes part of the project specifications. 10-24 Drainage System The system of pipes, ditches, and structures by which surface or subsurface waters are collected and conducted from the airport area. 10-25 Engineer The individual, partnership, firm, or corporation duly authorized by the Owner to be responsible for engineering, inspection, and/or observation of the contract work and acting directly or through an authorized representative. 10-26 Equipment All machinery, together with the necessary supplies for upkeep and maintenance; and all tools and apparatus necessary for the proper construction and acceptable completion of the work. 10-27 Extra Work An item of work not provided for in the awarded contract as previously modified by change order or supplemental agreement, but which is found by the Owner's Engineer or Resident Project Representative RPR to be necessary to Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Paragraph Term Definition Number complete the work within the intended scope of the contract as previously modified. 10-28 FAA The Federal Aviation Administration. When used to designate a person, FAA shall mean the Administrator or their duly authorized representative. 10-29 Federal Specifications The federal specifications and standards, commercial item descriptions, and supplements, amendments, and indices prepared and issued by the General Services Administration. 10-30 Force Account a. Contract Force Account - A method of payment that addresses extra work performed by the Contractor on a time and material basis. b. Owner Force Account - Work performed for the project by the Owner's employees. 10-31 Intention of Terms Whenever, in these specifications or on the plans, the words "directed," "required," "permitted," "ordered," "designated," "prescribed," or words of like import are used, it shall be understood that the direction, requirement, permission, order, designation, or prescription of the Engineer and/or Resident Project Representative (RPR) is intended; and similarly, the words "approved," "acceptable," "satisfactory," or words of like import, shall mean approved by, or acceptable to, or satisfactory to the Engineer and/or RPR, subject in each case to the final determination of the Owner. Any reference to a specific requirement of a numbered paragraph of the contract specifications or a cited standard shall be interpreted to include all general requirements of the entire section, specification item, or cited standard that may be pertinent to such specific reference. 10-32 Lighting A system of fixtures providing or controlling the light sources used on or near the airport or within the airport buildings. The field lighting includes all luminous signals, markers, floodlights, and illuminating devices used on or near the airport or to aid in the operation of aircraft landing at, taking off from, or taxiing on the airport surface. 10-33 Major and Minor A major contract item shall be any item that is listed in the Contract Items proposal, the total cost of which is equal to or greater than 20% of the total amount of the award contract. All other items shall be considered minor contract items. Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Paragraph Term Definition Number 10-34 Materials Any substance specified for use in the construction of the contract work. 10-35 Modification of Any deviation from standard specifications applicable to Standards (MOS) material and construction methods in accordance with FAA Order 5300.1. 10-36 Notice to Proceed (NTP) A written notice to the Contractor to begin the actual contract work on a previously agreed to date. If applicable, the Notice to Proceed shall state the date on which the contract time begins. 10-37 Owner The term "Owner" shall mean the party of the first part or the contracting agency signatory to the contract. Where the term "Owner" is capitalized in this document, it shall mean airport Sponsor only. The Owner for this project is [_]. Insert the Owner name here. 10-38 Passenger Facility Charge Per 14 Code of Federal Regulations (CFR) Part 158 and 49 (PFC) United States Code (USC) § 40117, a PFC is a charge imposed by a public agency on passengers enplaned at a commercial service airport it controls. 10-39 Pavement Structure The combined surface course, base course(s), and subbase course(s), if any, considered as a single unit. 10-40 Payment bond The approved form of security furnished by the Contractor and their own surety as a guaranty that the Contractor will pay in full all bills and accounts for materials and labor used in the construction of the work. 10-41 Performance bond The approved form of security furnished by the Contractor and their own surety as a guaranty that the Contractor will complete the work in accordance with the terms of the contract. 10-42 Plans The official drawings or exact reproductions which show the location, character, dimensions and details of the airport and the work to be done and which are to be considered as a part of the contract, supplementary to the specifications. Plans may also be referred to as 'contract drawings.' Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Paragraph Term Definition Number 10-43 Project The agreed scope of work for accomplishing specific airport development with respect to a particular airport. 10-44 Proposal The written offer of the bidder (when submitted on the approved proposal form) to perform the contemplated work and furnish the necessary materials in accordance with the provisions of the plans and specifications. 10-45 Proposal guaranty The security furnished with a proposal to guarantee that the bidder will enter into a contract if their own proposal is accepted by the Owner. 10-46 Quality Assurance (QA) Owner's responsibility to assure that construction work completed complies with specifications for payment. 10-47 Quality Control (QC) Contractor's responsibility to control material(s) and construction processes to complete construction in accordance with project specifications. 10-48 Quality Assurance (QA) An authorized representative of the Engineer and/or Inspector Resident Project Representative (RPR) assigned to make all necessary inspections, observations, tests, and/or observation of tests of the work performed or being performed, or of the materials furnished or being furnished by the Contractor. 10-49 Quality Assurance (QA) The official quality assurance testing laboratories of the Laboratory Owner or such other laboratories as may be designated by the Engineer or RPR. May also be referred to as Engineer's, Owner's, or QA Laboratory. 10-50 Resident Project The individual, partnership, firm, or corporation duly Representative (RPR) authorized by the Owner to be responsible for all necessary inspections, observations, tests, and/or observations of tests of the contract work performed or being performed, or of the materials furnished or being furnished by the Contractor, and acting directly or through an authorized representative. 10-51 Runway The area on the airport prepared for the landing and takeoff of aircraft. 10-52 Runway Safety Area A defined surface surrounding the runway prepared or (RSA) suitable for reducing the risk of damage to aircraft. See the construction safety and phasing plan (CSPP) for limits of the RSA. Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Paragraph Term Definition Number 10-53 Safety Plan Compliance Details how the Contractor will comply with the CSPP. Document (SPCD) 10-54 Specifications A part of the contract containing the written directions and requirements for completing the contract work. Standards for specifying materials or testing which are cited in the contract specifications by reference shall have the same force and effect as if included in the contract physically. 10-55 Sponsor A Sponsor is defined in 49 USC § 47102(24) as a public agency that submits to the FAA for an AIP grant; or a private Owner of a public -use airport that submits to the FAA an application for an AIP grant for the airport. 10-56 Structures Airport facilities such as bridges; culverts; catch basins, inlets, retaining walls, cribbing; storm and sanitary sewer lines; water lines; underdrains; electrical ducts, manholes, handholes, lighting fixtures and bases; transformers; navigational aids; buildings; vaults; and, other manmade features of the airport that may be encountered in the work and not otherwise classified herein. 10-57 Subgrade The soil that forms the pavement foundation. 10-58 Superintendent The Contractor's executive representative who is present on the work during progress, authorized to receive and fulfill instructions from the RPR, and who shall supervise and direct the construction. 10-59 Supplemental A written agreement between the Contractor and the Agreement Owner that establishes the basis of payment and contract time adjustment, if any, for the work affected by the supplemental agreement. A supplemental agreement is required if. (1) in scope work would increase or decrease the total amount of the awarded contract by more than 25%: (2) in scope work would increase or decrease the total of any major contract item by more than 25%; (3) work that is not within the scope of the originally awarded contract; or (4) adding or deleting of a major contract item. 10-60 Surety The corporation, partnership, or individual, other than the Contractor, executing payment or performance bonds that are furnished to the Owner by the Contractor. 10-61 Taxilane A taxiway designed for low speed movement of aircraft between aircraft parking areas and terminal areas. Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Paragraph Term Definition Number 10-62 Taxiway The portion of the air operations area of an airport that has been designated by competent airport authority for movement of aircraft to and from the airport's runways, aircraft parking areas, and terminal areas. 10-63 Taxiway/Taxilane Safety A defined surface alongside the taxiway prepared or Area (TSA) suitable for reducing the risk of damage to an aircraft. See the construction safety and phasing plan (CSPP) for limits of the TSA. 10-64 Work The furnishing of all labor, materials, tools, equipment, and incidentals necessary or convenient to the Contractor's performance of all duties and obligations imposed by the contract, plans, and specifications. 10-65 Working day A working day shall be any day other than a legal holiday, Saturday, or Sunday on which the normal working forces of the Contractor may proceed with regular work for at least six (6) hours toward completion of the contract. When work is suspended for causes beyond the Contractor's control, it will not be counted as a working day. Saturdays, Sundays and holidays on which the Contractor's forces engage in regular work will be considered as working days. 10-66 Owner Defined terms [ None ] The Engineer may add and define additional terms, if necessary. On projects that utilize a Construction Manager (CM), a Construction Manager at Risk (CMAR), or a Construction Manager/General Contractor (CMGC), add a definition of their roles on the project. The CM generally acts as an agent of the owner and is not legally or financially responsible for completion of the work; a CMAR and CMGC are legally and financially obligated to complete the work. END OF SECTION 10 Section 10 Definition of Terms 12/21/2018 AC 150/5370-1OH Section 20 Proposal Requirements and Conditions The information provided in this section is often duplicated within the Instruction - to -bidders and Invitation -for -Bidders. For the purpose of limiting redundant requirements and potential discrepancies, modifications may be made to this section to include a reference that these requirements may be found in the procurement section of the project bid documents. The language provided in this section represents model language acceptable to the FAA. The Owner may make edits to the model language that reflect established written local and state procurement versions provided such requirements do not materially alter the intent and purpose of the FAA's model language; and such alterations do not conflict with the requirements of 2 CFR part 200 or 49 USC chapter 471. 20-01 Advertisement (Notice to Bidders). [_] Insert the project advertisement documents here or indicate the location where the documents can be found. The published advertisement shall state the time and place for submitting sealed proposals; provide a description of the proposed work; provide instructions to bidders about obtaining proposal forms, plans, and specifications; indicate the proposal guaranty required; and the Owner's right to reject any and all bids. 20-02 Qualification of bidders. Each bidder shall submit evidence of competency and evidence of financial responsibility to perform the work to the Owner at the time of bid opening. Evidence of competency, unless otherwise specified, shall consist of statements covering the bidder's past experience on similar work, and a list of equipment and a list of key personnel that would be available for the work. Each bidder shall furnish the Owner satisfactory evidence of their financial responsibility. Evidence of financial responsibility, unless otherwise specified, shall consist of a confidential statement or report of the bidder's financial resources and liabilities as of the last calendar year or the bidder's last fiscal year. Such statements or reports shall be certified by a public accountant. At the time of submitting such financial statements or reports, the bidder shall further certify whether their financial responsibility is approximately the same as stated or reported by the public accountant. If the bidder's financial responsibility has changed, the bidder shall qualify the public accountant's statement or report to reflect the bidder's true financial condition at the time such qualified statement or report is submitted to the Owner. Unless otherwise specified, a bidder may submit evidence that they are prequalified with the State Highway Division and are on the current "bidder's list" of the state in which the proposed work is Section 20 Proposal Requirements and Conditions 9 12/21/2018 AC 150/5370-1OH located. Evidence of State Highway Division prequalification may be submitted as evidence of financial responsibility in lieu of the certified statements or reports specified above. This paragraph should be edited as necessary to state what will be acceptable as evidence of financial responsibility to the Owner. 20-03 Contents of proposal forms. The Owner's proposal forms state the location and description of the proposed construction; the place, date, and time of opening of the proposals; and the estimated quantities of the various items of work to be performed and materials to be furnished for which unit bid prices are asked. The proposal form states the time in which the work must be completed, and the amount of the proposal guaranty that must accompany the proposal. The Owner will accept only those Proposals properly executed on physical forms or electronic forms provided by the Owner. Bidder actions that may cause the Owner to deem a proposal irregular are given in paragraph 20-09 Irregular proposals. [ Mobilization is limited to[ 10 ]percent of the total project cost. ] Delete if Item C-105 Mobilization is not included in the project. [ A prebid conference is required on this project to discuss as a minimum, the following items: material requirements; submittals; Quality Control/Quality Assurance requirements; the construction safety and phasing plan including airport access and staging areas; and unique airfield paving construction requirements. [ Insert the time, date, and place of the meeting. ] ] Should the Owner require a prebid conference, state the time, date, and place in the proposal. Conduct a prebid conference for all projects with pavement construction costs that exceed $500,000. As a minimum, include the following items for discussion: material requirements; submittals; Quality Control/Quality Assurance requirements; the construction safety and phasing plan including airport access and staging areas; unique airfield paving construction requirements. 20-04 Issuance of proposal forms. The Owner reserves the right to refuse to issue a proposal form to a prospective bidder if the bidder is in default for any of the following reasons: a. Failure to comply with any prequalification regulations of the Owner, if such regulations are cited, or otherwise included, in the proposal as a requirement for bidding. b. Failure to pay, or satisfactorily settle, all bills due for labor and materials on former contracts in force with the Owner at the time the Owner issues the proposal to a prospective bidder. c. Documented record of Contractor default under previous contracts with the Owner. d. Documented record of unsatisfactory work on previous contracts with the Owner. Section 20 Proposal Requirements and Conditions 10 12/21/2018 AC 150/5370-1OH 20-05 Interpretation of estimated proposal quantities. An estimate of quantities of work to be done and materials to be furnished under these specifications is given in the proposal. It is the result of careful calculations and is believed to be correct. It is given only as a basis for comparison of proposals and the award of the contract. The Owner does not expressly, or by implication, agree that the actual quantities involved will correspond exactly therewith; nor shall the bidder plead misunderstanding or deception because of such estimates of quantities, or of the character, location, or other conditions pertaining to the work. Payment to the Contractor will be made only for the actual quantities of work performed or materials furnished in accordance with the plans and specifications. It is understood that the quantities may be increased or decreased as provided in the Section 40, paragraph 40-02, Alteration of Work and Quantities, without in any way invalidating the unit bid prices. 20-06 Examination of plans, specifications, and site. The bidder is expected to carefully examine the site of the proposed work, the proposal, plans, specifications, and contract forms. Bidders shall satisfy themselves to the character, quality, and quantities of work to be performed, materials to be furnished, and to the requirements of the proposed contract. The submission of a proposal shall be prima facie evidence that the bidder has made such examination and is satisfied to the conditions to be encountered in performing the work and the requirements of the proposed contract, plans, and specifications. [ Boring logs and other records of subsurface investigations and tests are available for inspection of bidders. It is understood and agreed that such subsurface information, whether included in the plans, specifications, or otherwise made available to the bidder, was obtained and is intended for the Owner's design and estimating purposes only. Such information has been made available for the convenience of all bidders. It is further understood and agreed that each bidder is solely responsible for all assumptions, deductions, or conclusions which the bidder may make or obtain from their own examination of the boring logs and other records of subsurface investigations and tests that are furnished by the Owner. ] 20-07 Preparation of proposal. The bidder shall submit their proposal on the forms furnished by the Owner. All blank spaces in the proposal forms, unless explicitly stated otherwise, must be correctly filled in where indicated for each and every item for which a quantity is given. The bidder shall state the price (written in ink or typed) both in words and numerals which they propose for each pay item furnished in the proposal. In case of conflict between words and numerals, the words, unless obviously incorrect, shall govern. Prices should generally be written in whole dollars and cents. The extended total amount of each item should not be rounded. The bidder shall correctly sign the proposal in ink. If the proposal is made by an individual, their name and post office address must be shown. If made by a partnership, the name and post office address of each member of the partnership must be shown. If made by a corporation, the person signing the proposal shall give the name of the state where the corporation was chartered and the name, titles, and business address of the president, secretary, and the treasurer. Anyone signing a proposal as an agent shall file evidence of their authority to do so and that the signature is binding upon the firm or corporation. 20-08 Responsive and responsible bidder. A responsive bid conforms to all significant terms and conditions contained in the Owner's invitation for bid. It is the Owner's responsibility to decide if the Section 20 Proposal Requirements and Conditions 11 12/21/2018 AC 150/5370-1OH exceptions taken by a bidder to the solicitation are material or not and the extent of deviation it is willing to accept. A responsible bidder has the ability to perform successfully under the terms and conditions of a proposed procurement, as defined in 2 CFR § 200.318(h). This includes such matters as Contractor integrity, compliance with public policy, record of past performance, and financial and technical resources. 20-09 Irregular proposals. Proposals shall be considered irregular for the following reasons: a. If the proposal is on a form other than that furnished by the Owner, or if the Owner's form is altered, or if any part of the proposal form is detached. b. If there are unauthorized additions, conditional or alternate pay items, or irregularities of any kind that make the proposal incomplete, indefinite, or otherwise ambiguous. c. If the proposal does not contain a unit price for each pay item listed in the proposal, except in the case of authorized alternate pay items, for which the bidder is not required to furnish a unit price. d. If the proposal contains unit prices that are obviously unbalanced. e. If the proposal is not accompanied by the proposal guaranty specified by the Owner. f. If the applicable Disadvantaged Business Enterprise information is incomplete. The Owner reserves the right to reject any irregular proposal and the right to waive technicalities if such waiver is in the best interest of the Owner and conforms to local laws and ordinances pertaining to the letting of construction contracts. 20-10 Bid guarantee. Each separate proposal shall be accompanied by a bid bond, certified check, or other specified acceptable collateral, in the amount specified in the proposal form. Such bond, check, or collateral, shall be made payable to the Owner. 2 CFR 200.325 provides that for contracts exceeding the Simplified Acquisition Threshold, the Owner should use local bonding policy and requirements provided that the FAA has made a determination that the Government's interest is adequately protected. If such a determination has not been made, the bid guarantee shall be equivalent to 5% of the bid price. It shall consist of a firm commitment such as a bid bond, certified check, or other negotiable instrument accompanying a bid as assurance that the bidder will, upon acceptance of the bid, execute such contractual documents as may be required within the time specified. 20-11 Delivery of proposal. [ Each proposal submitted shall be placed in a sealed envelope plainly marked with the project number, location of airport, and name and business address of the bidder on the outside. When sent by mail, preferably registered, the sealed proposal, marked as indicated above, should be enclosed in an additional envelope. No proposal will be considered unless received at the place specified in the advertisement or as modified by Addendum before the time specified for opening all bids. Proposals received after the bid opening time shall be returned to the bidder unopened. ] Section 20 Proposal Requirements and Conditions 12 12/21/2018 AC 150/5370-1OH Bid delivery requirements, including electronic delivery, to comply with local/state regulations may be substituted for this language. 20-12 Withdrawal or revision of proposals. A bidder may withdraw or revise (by withdrawal of one proposal and submission of another) a proposal provided that the bidder's request for withdrawal is received by the Owner [ in writing ] [ by fax ][ by email ] before the time specified for opening bids. Revised proposals must be received at the place specified in the advertisement before the time specified for opening all bids. Edit to reflect local procurement requirements for withdrawal of proposals. 20-13 Public opening of proposals. Proposals shall be opened, and read, publicly at the time and place specified in the advertisement. Bidders, their authorized agents, and other interested persons are invited to attend. Proposals that have been withdrawn (by written or telegraphic request) or received after the time specified for opening bids shall be returned to the bidder unopened. 20-14 Disqualification of bidders. A bidder shall be considered disqualified for any of the following reasons: a. Submitting more than one proposal from the same partnership, firm, or corporation under the same or different name. b. Evidence of collusion among bidders. Bidders participating in such collusion shall be disqualified as bidders for any future work of the Owner until any such participating bidder has been reinstated by the Owner as a qualified bidder. c. If the bidder is considered to be in "default" for any reason specified in paragraph 20-04, Issuance of Proposal Forms, of this section. 20-15 Discrepancies and Omissions. A Bidder who discovers discrepancies or omissions with the project bid documents shall immediately notify the Owner's Engineer of the matter. A bidder that has doubt as to the true meaning of a project requirement may submit to the Owner's Engineer a written request for interpretation no later than [_] days prior to bid opening. Any interpretation of the project bid documents by the Owner's Engineer will be by written addendum issued by the Owner. The Owner will not consider any instructions, clarifications or interpretations of the bidding documents in any manner other than written addendum. END OF SECTION 20 Section 20 Proposal Requirements and Conditions 13 12/21/2018 AC 150/5370-1OH Page Intentionally Blank Section 20 Proposal Requirements and Conditions 14 12/21/2018 AC 150/5370-1OH Section 30 Award and Execution of Contract The information provided in this section is often duplicated within the Instruction - to -bidders and Invitation -for -Bidders. For the purpose of limiting redundant requirements and potential discrepancies, modifications may be made to this section to include a reference that these requirements may be found in the procurement section of the project manual. The language provide in this section represents model language acceptable to the FAA. The Owner may make edits to the model language that reflect established written local and state procurement versions provided such requirements do not materially alter the intent of the FAA's model language; and such alterations do not conflict with the requirements of 2 CFR part 200 or 49 USC chapter 471. 30-01 Consideration of proposals. After the proposals are publicly opened and read, they will be compared on the basis of the summation of the products obtained by multiplying the estimated quantities shown in the proposal by the unit bid prices. If a bidder's proposal contains a discrepancy between unit bid prices written in words and unit bid prices written in numbers, the unit bid price written in words shall govern. Until the award of a contract is made, the Owner reserves the right to reject a bidder's proposal for any of the following reasons: a. If the proposal is irregular as specified in Section 20, paragraph 20-09, Irregular Proposals. b. If the bidder is disqualified for any of the reasons specified Section 20, paragraph 20-14, Disqualification of Bidders. In addition, until the award of a contract is made, the Owner reserves the right to reject any or all proposals, waive technicalities, if such waiver is in the best interest of the Owner and is in conformance with applicable state and local laws or regulations pertaining to the letting of construction contracts; advertise for new proposals; or proceed with the work otherwise. All such actions shall promote the Owner's best interests. 30-02 Award of contract. The award of a contract, if it is to be awarded, shall be made within [ ] calendar days of the date specified for publicly opening proposals, unless otherwise specified herein. The award of contract is recommended to be made within 30 days, but shall not exceed the maximum time allowed by the contracting authority. If the Owner elects to proceed with an award of contract, the Owner will make award to the responsible bidder whose bid, conforming with all the material terms and conditions of the bid documents, is the lowest in price. Section 30 Award and Execution of Contract 15 12/21/2018 AC 150/5370-1OH If the Owner includes bid alternates (additive or deductive), the bid documents must clearly state the order of evaluation the Owner will apply during evaluation of bids. Practices that establish the basis of award on the base bid plus any arbitrary combination of bid alternates may jeopardize federal participation. For AIP contracts, unless otherwise specified in this subsection, no award shall be made until the FAA has reviewed the Owner's recommendation to make such award in accordance with 2 CFR 200.324. 30-03 Cancellation of award. The Owner reserves the right to cancel the award without liability to the bidder, except return of proposal guaranty, at any time before a contract has been fully executed by all parties and is approved by the Owner in accordance with paragraph 30-07 Approval of Contract. 30-04 Return of proposal guaranty. All proposal guaranties, except those of the two lowest bidders, will be returned immediately after the Owner has made a comparison of bids as specified in the paragraph 30-01, Consideration of Proposals. Proposal guaranties of the two lowest bidders will be retained by the Owner until such time as an award is made, at which time, the unsuccessful bidder's proposal guaranty will be returned. The successful bidder's proposal guaranty will be returned as soon as the Owner receives the contract bonds as specified in paragraph 30-05, Requirements of Contract Bonds. 30-05 Requirements of contract bonds. At the time of the execution of the contract, the successful bidder shall furnish the Owner a surety bond or bonds that have been fully executed by the bidder and the surety guaranteeing the performance of the work and the payment of all legal debts that may be incurred by reason of the Contractor's performance of the work. The surety and the form of the bond or bonds shall be acceptable to the Owner. Unless otherwise specified in this subsection, the surety bond or bonds shall be in a sum equal to the full amount of the contract. 2 CFR 200.325 provides that for contracts exceeding the Simplified Acquisition Threshold, the Owner should use local bonding policy and requirements provided that the FAA has made a determination that the federal interest is adequately protected. If such a determination has not been made, the Owner shall require separate performance and payment bonds in the full amount of the awarded contract. For AIP contracts awarded in an amount of $150,000 or less, the Owner should specify bonding in accordance with local requirements. 30-06 Execution of contract. The successful bidder shall sign (execute) the necessary agreements for entering into the contract and return the signed contract to the Owner, along with the fully executed surety bond or bonds specified in paragraph 30-05, Requirements of Contract Bonds, of this section, within [ 15 ] calendar days from the date mailed or otherwise delivered to the successful bidder. Required federal contract provisions can be found at the following FAA website: www.faa.2ov/airports/aip/procurement/federal contract provisions/. Section 30 Award and Execution of Contract 16 12/21/2018 AC 150/5370-1OH 30-07 Approval of contract. Upon receipt of the contract and contract bond or bonds that have been executed by the successful bidder, the Owner shall complete the execution of the contract in accordance with local laws or ordinances, and return the fully executed contract to the Contractor. Delivery of the fully executed contract to the Contractor shall constitute the Owner's approval to be bound by the successful bidder's proposal and the terms of the contract. 30-08 Failure to execute contract. Failure of the successful bidder to execute the contract and furnish an acceptable surety bond or bonds within the period specified in paragraph 30-06, Execution of Contract, of this section shall be just cause for cancellation of the award and forfeiture of the proposal guaranty, not as a penalty, but as liquidated damages to the Owner. 1040 IZI] W x40 111109111 Section 30 Award and Execution of Contract 17 12/21/2018 AC 150/5370-1OH Page Intentionally Blank Section 30 Award and Execution of Contract 18 12/21/2018 AC 150/5370-1OH Section 40 Scope of Work 40-01 Intent of contract. The intent of the contract is to provide for construction and completion, in every detail, of the work described. It is further intended that the Contractor shall furnish all labor, materials, equipment, tools, transportation, and supplies required to complete the work in accordance with the plans, specifications, and terms of the contract. 40-02 Alteration of work and quantities. The Owner reserves the right to make such changes in quantities and work as may be necessary or desirable to complete, in a satisfactory manner, the original intended work. Unless otherwise specified in the Contract, the Owner's Engineer or RPR shall be and is hereby authorized to make, in writing, such in -scope alterations in the work and variation of quantities as may be necessary to complete the work, provided such action does not represent a significant change in the character of the work. For purpose of this section, a significant change in character of work means: any change that is outside the current contract scope of work; any change (increase or decrease) in the total contract cost by more than 25%; or any change in the total cost of a major contract item by more than 25%. Work alterations and quantity variances that do not meet the definition of significant change in character of work shall not invalidate the contract nor release the surety. Contractor agrees to accept payment for such work alterations and quantity variances in accordance with Section 90, paragraph 90-03, Compensation for Altered Quantities. Should the value of altered work or quantity variance meet the criteria for significant change in character of work, such altered work and quantity variance shall be covered by a supplemental agreement. Supplemental agreements shall also require consent of the Contractor's surety and separate performance and payment bonds. If the Owner and the Contractor are unable to agree on a unit adjustment for any contract item that requires a supplemental agreement, the Owner reserves the right to terminate the contract with respect to the item and make other arrangements for its completion. Applicable federal contract provisions for procurement and contracting under AIP are found on the following website: www.faa.2ov/airports/aip/procurement/federal contract provisions/ 40-03 Omitted items. The Owner, the Owner's Engineer or the RPR may provide written notice to the Contractor to omit from the work any contract item that does not meet the definition of major contract item. Major contract items may be omitted by a supplemental agreement. Such omission of contract items shall not invalidate any other contract provision or requirement. Should a contract item be omitted or otherwise ordered to be non -performed, the Contractor shall be paid for all work performed toward completion of such item prior to the date of the order to omit such item. Payment for work performed shall be in accordance with Section 90, paragraph 90-04, Payment for Omitted Items. 40-04 Extra work. Should acceptable completion of the contract require the Contractor to perform an item of work not provided for in the awarded contract as previously modified by change order or Section 40 Scope of Work 19 12/21/2018 AC 150/5370-1OH supplemental agreement, Owner may issue a Change Order to cover the necessary extra work. Change orders for extra work shall contain agreed unit prices for performing the change order work in accordance with the requirements specified in the order, and shall contain any adjustment to the contract time that, in the RPR's opinion, is necessary for completion of the extra work. When determined by the RPR to be in the Owner's best interest, the RPR may order the Contractor to proceed with extra work as provided in Section 90, paragraph 90-05, Payment for Extra Work. Extra work that is necessary for acceptable completion of the project, but is not within the general scope of the work covered by the original contract shall be covered by a supplemental agreement as defined in Section 10, paragraph 10-59, Supplemental Agreement. If extra work is essential to maintaining the project critical path, RPR may order the Contractor to commence the extra work under a Time and Material contract method. Once sufficient detail is available to establish the level of effort necessary for the extra work, the Owner shall initiate a change order or supplemental agreement to cover the extra work. Any claim for payment of extra work that is not covered by written agreement (change order or supplemental agreement) shall be rejected by the Owner. All change orders, supplemental agreements, and contract modifications must eventually be reviewed by the FAA. Unless specifically requested by the FAA, the Owner does not have to obtain prior FAA approval for contract changes except for the Buy American review, if required. However, if an Owner proceeds with contract changes without FAA approval, it is at the Owner's risk. 40-05 Maintenance of traffic. It is the explicit intention of the contract that the safety of aircraft, as well as the Contractor's equipment and personnel, is the most important consideration. The Contractor shall maintain traffic in the manner detailed in the Construction Safety and Phasing Plan (CSPP). a. It is understood and agreed that the Contractor shall provide for the free and unobstructed movement of aircraft in the air operations areas (AOAs) of the airport with respect to their own operations and the operations of all subcontractors as specified in Section 80, paragraph 80-04, Limitation of Operations. It is further understood and agreed that the Contractor shall provide for the uninterrupted operation of visual and electronic signals (including power supplies thereto) used in the guidance of aircraft while operating to, from, and upon the airport as specified in Section 70, paragraph 70-15, Contractor's Responsibility for Utility Service and Facilities of Others. b. With respect to their own operations and the operations of all subcontractors, the Contractor shall provide marking, lighting, and other acceptable means of identifying personnel, equipment, vehicles, storage areas, and any work area or condition that may be hazardous to the operation of aircraft, fire - rescue equipment, or maintenance vehicles at the airport in accordance with the construction safety and phasing plan (CSPP) and the safety plan compliance document (SPCD). 9;9;9;9;9;9;9: 9e 9ekkkkkk9:9:9:9:9:9:k9:9:9:9:9:9: 9e 9c 9ckkkkkk9c 9c 9c 9c 9c 9c k9c 9:9:9:9:9:9:9:9:kkkkkk9:9:9:9:9: 9: k9: 9: 9: 9: 9: 9: 9: 9: 9:k*kkkk�: �: Refer to AC 150/5210-5, Painting, Marking and Lighting of Vehicles Used on an Airport and AC 150/5370-2, Operational Safety on Airports During Construction for applicable standards. Section 40 Scope of Work 20 12/21/2018 AC 150/5370-1OH c. When the contract requires the maintenance of an existing road, street, or highway during the Contractor's performance of work that is otherwise provided for in the contract, plans, and specifications, the Contractor shall keep the road, street, or highway open to all traffic and shall provide maintenance as may be required to accommodate traffic. The Contractor, at their expense, shall be responsible for the repair to equal or better than preconstruction conditions of any damage caused by the Contractor's equipment and personnel. The Contractor shall furnish, erect, and maintain barricades, warning signs, flag person, and other traffic control devices in reasonable conformity with the Manual on Uniform Traffic Control Devices (MUTCD) (http://mutcd.fhwa.dot.gov/), unless otherwise specified. The Contractor shall also construct and maintain in a safe condition any temporary connections necessary for ingress to and egress from abutting property or intersecting roads, streets or highways. [ Unles s otherwise specified herein, the Contractor will not be required to furnish snow removal for such existing road, street, or highway. ] 40-06 Removal of existing structures. All existing structures encountered within the established lines, grades, or grading sections shall be removed by the Contractor, unless such existing structures are otherwise specified to be relocated, adjusted up or down, salvaged, abandoned in place, reused in the work or to remain in place. The cost of removing such existing structures shall not be measured or paid for directly, but shall be included in the various contract items. Should the Contractor encounter an existing structure (above or below ground) in the work for which the disposition is not indicated on the plans, the Resident Project Representative (RPR) shall be notified prior to disturbing such structure. The disposition of existing structures so encountered shall be immediately determined by the RPR in accordance with the provisions of the contract. Except as provided in Section 40, paragraph 40-07, Rights in and Use of Materials Found in the Work, it is intended that all existing materials or structures that may be encountered (within the lines, grades, or grading sections established for completion of the work) shall be used in the work as otherwise provided for in the contract and shall remain the property of the Owner when so used in the work. The removal of large or complicated existing structures such as box -culverts, underground storage tanks, large underground electrical vaults, large reinforced concrete structures or foundations, or similar existing airport facilities should be provided for in separate technical specifications. Contract pay items should also be provided in the contract proposal to cover payment for such work. 40-07 Rights in and use of materials found in the work. Should the Contractor encounter any material such as (but not restricted to) sand, stone, gravel, slag, or concrete slabs within the established lines, grades, or grading sections, the use of which is intended by the terms of the contract to be embankment, the Contractor may at their own option either: a. Use such material in another contract item, providing such use is approved by the RPR and is in conformance with the contract specifications applicable to such use; or, b. Remove such material from the site, upon written approval of the RPR; or c. Use such material for the Contractor's own temporary construction on site; or, d. Use such material as intended by the terms of the contract. Should the Contractor wish to exercise option a., b., or c., the Contractor shall request the RPR's approval in advance of such use. Section 40 Scope of Work 21 12/21/2018 AC 150/5370-1OH Should the RPR approve the Contractor's request to exercise option a., b., or c., the Contractor shall be paid for the excavation or removal of such material at the applicable contract price. The Contractor shall replace, at their expense, such removed or excavated material with an agreed equal volume of material that is acceptable for use in constructing embankment, backfills, or otherwise to the extent that such replacement material is needed to complete the contract work. The Contractor shall not be charged for use of such material used in the work or removed from the site. Should the RPR approve the Contractor's exercise of option a., the Contractor shall be paid, at the applicable contract price, for furnishing and installing such material in accordance with requirements of the contract item in which the material is used. It is understood and agreed that the Contractor shall make no claim for delays by reason of their own exercise of option a., b., or c. The Contractor shall not excavate, remove, or otherwise disturb any material, structure, or part of a structure which is located outside the lines, grades, or grading sections established for the work, except where such excavation or removal is provided for in the contract, plans, or specifications. The engineer can modify this section if the Owner does not have rights to the material. 40-08 Final cleanup. Upon completion of the work and before acceptance and final payment will be made, the Contractor shall remove from the site all machinery, equipment, surplus and discarded materials, rubbish, temporary structures, and stumps or portions of trees. The Contractor shall cut all brush and woods within the limits indicated and shall leave the site in a neat and presentable condition. Material cleared from the site and deposited on adjacent property will not be considered as having been disposed of satisfactorily, unless the Contractor has obtained the written permission of the property Owner. END OF SECTION 40 Section 40 Scope of Work 22 12/21/2018 AC 150/5370-1OH Section 50 Control of Work 50-01 Authority of the Resident Project Representative (RPR). The RPR has final authority regarding the interpretation of project specification requirements. The RPR shall determine acceptability of the quality of materials furnished, method of performance of work performed, and the manner and rate of performance of the work. The RPR does not have the authority to accept work that does not conform to specification requirements. 50-02 Conformity with plans and specifications. All work and all materials furnished shall be in reasonably close conformity with the lines, grades, grading sections, cross -sections, dimensions, material requirements, and testing requirements that are specified (including specified tolerances) in the contract, plans, or specifications. If the RPR finds the materials furnished, work performed, or the finished product not within reasonably close conformity with the plans and specifications, but that the portion of the work affected will, in their opinion, result in a finished product having a level of safety, economy, durability, and workmanship acceptable to the Owner, the RPR will advise the Owner of their determination that the affected work be accepted and remain in place. The RPR will document the determination and recommend to the Owner a basis of acceptance that will provide for an adjustment in the contract price for the affected portion of the work. Changes in the contract price must be covered by contract change order or supplemental agreement as applicable. If the RPR finds the materials furnished, work performed, or the finished product are not in reasonably close conformity with the plans and specifications and have resulted in an unacceptable finished product, the affected work or materials shall be removed and replaced or otherwise corrected by and at the expense of the Contractor in accordance with the RPR's written orders. The term "reasonably close conformity" shall not be construed as waiving the Contractor's responsibility to complete the work in accordance with the contract, plans, and specifications. The term shall not be construed as waiving the RPR's responsibility to insist on strict compliance with the requirements of the contract, plans, and specifications during the Contractor's execution of the work, when, in the RPR's opinion, such compliance is essential to provide an acceptable finished portion of the work. The term "reasonably close conformity" is also intended to provide the RPR with the authority, after consultation with the Sponsor and FAA, to use sound engineering judgment in their determinations to accept work that is not in strict conformity, but will provide a finished product equal to or better than that required by the requirements of the contract, plans and specifications. For Airport Improvement Program (AIP) contracts, the Owner must keep the FAA advised of the Engineer's determinations as to acceptance of work that is not in reasonably close conformity to the contract, plans, and specifications. All change orders, supplemental agreements, and contract modifications must eventually be reviewed by the FAA. Unless specifically requested by the FAA, the Owner does not have to obtain prior FAA approval for contract changes except for the Buy American review, if required. However, if an Owner proceeds with contract changes without FAA approval, it is at the Owner's risk. Section 50 Control of Work 23 12/21/2018 AC 150/5370-1OH The RPR will not be responsible for the Contractor's means, methods, techniques, sequences, or procedures of construction or the safety precautions incident thereto. 50-03 Coordination of contract, plans, and specifications. The contract, plans, specifications, and all referenced standards cited are essential parts of the contract requirements. If electronic files are provided and used on the project and there is a conflict between the electronic files and hard copy plans, the hard copy plans shall govern. A requirement occurring in one is as binding as though occurring in all. They are intended to be complementary and to describe and provide for a complete work. In case of discrepancy, calculated dimensions will govern over scaled dimensions; contract technical specifications shall govern over contract general provisions, plans, cited standards for materials or testing, and cited advisory circulars (ACs); contract general provisions shall govern over plans, cited standards for materials or testing, and cited ACs; plans shall govern over cited standards for materials or testing and cited ACs. If any paragraphs contained in the Special Provisions conflict with General Provisions or Technical Specifications, the Special Provisions shall govern. From time to time, discrepancies within cited testing standards occur due to the timing of the change, edits, and/or replacement of the standards. If the Contractor discovers any apparent discrepancy within standard test methods, the Contractor shall immediately ask the RPR for an interpretation and decision, and such decision shall be final. The Contractor shall not take advantage of any apparent error or omission on the plans or specifications. In the event the Contractor discovers any apparent error or discrepancy, Contractor shall immediately notify the Owner or the designated representative in writing requesting their written interpretation and decision. 50-04 List of Special Provisions. [_] The Engineer must list the Special Provisions in the order of precedence. 50-05 Cooperation of Contractor. The Contractor shall be supplied with [ five ] hard copies or an electronic PDF of the plans and specifications. The Contractor shall have available on the construction site at all times one hardcopy each of the plans and specifications. Additional hard copies of plans and specifications may be obtained by the Contractor for the cost of reproduction. The Contractor shall give constant attention to the work to facilitate the progress thereof, and shall cooperate with the RPR and their inspectors and with other Contractors in every way possible. The Contractor shall have a competent superintendent on the work at all times who is fully authorized as their agent on the work. The superintendent shall be capable of reading and thoroughly understanding the plans and specifications and shall receive and fulfill instructions from the RPR or their authorized representative. 50-06 Cooperation between Contractors. The Owner reserves the right to contract for and perform other or additional work on or near the work covered by this contract. When separate contracts are let within the limits of any one project, each Contractor shall conduct the work not to interfere with or hinder the progress of completion of the work being performed by other Contractors. Contractors working on the same project shall cooperate with each other as directed. Each Contractor involved shall assume all liability, financial or otherwise, in connection with their own contract and shall protect and hold harmless the Owner from any and all damages or claims that may arise because of inconvenience, delays, or loss experienced because of the presence and operations of other Contractors working within the limits of the same project. Section 50 Control of Work 24 12/21/2018 AC 150/5370-1OH The Contractor shall arrange their work and shall place and dispose of the materials being used to not interfere with the operations of the other Contractors within the limits of the same project. The Contractor shall join their work with that of the others in an acceptable manner and shall perform it in proper sequence to that of the others. 50-07 Construction layout and stakes. The Engineer/RPR shall establish necessary horizontal and vertical control. The establishment of Survey Control and/or reestablishment of survey control shall be by a State Licensed Land Surveyor. Contractor is responsible for preserving integrity of horizontal and vertical controls established by Engineer/RPR. In case of negligence on the part of the Contractor or their employees, resulting in the destruction of any horizontal and vertical control, the resulting costs will be deducted as a liquidated damage against the Contractor. Prior to the start of construction, the Contractor will check all control points for horizontal and vertical accuracy and certify in writing to the RPR that the Contractor concurs with survey control established for the project. All lines, grades and measurements from control points necessary for the proper execution and control of the work on this project will be provided to the RPR. The Contractor is responsible to establish all layout required for the construction of the project. Copies of survey notes will be provided to the RPR for each area of construction and for each placement of material as specified to allow the RPR to make periodic checks for conformance with plan grades, alignments and grade tolerances required by the applicable material specifications. Surveys will be provided to the RPR prior to commencing work items that cover or disturb the survey staking. Survey(s) and notes shall be provided in the following format(s): [_J.) Laser, GPS, String line, or other automatic control shall be checked with temporary control as necessary. In the case of error, on the part of the Contractor, their surveyor, employees or subcontractors, resulting in established grades, alignment or grade tolerances that do not concur with those specified or shown on the plans, the Contractor is solely responsible for correction, removal, replacement and all associated costs at no additional cost to the Owner. [—1 The Engineer should specify the desired format and accuracy for electronic delivery of survey(s) in addition to hard copy(s). This should be applicable to all survey(s) throughout these specifications. With FAA approval, additional survey criteria may be added. No direct payment will be made, unless otherwise specified in contract documents, for this labor, materials, or other expenses. The cost shall be included in the price of the bid for the various items of the Contract. 50-08 Authority and duties of Quality Assurance (QA) inspectors. QA inspectors shall be authorized to inspect all work done and all material furnished. Such QA inspection may extend to all or any part of the work and to the preparation, fabrication, or manufacture of the materials to be used. QA inspectors are not authorized to revoke, alter, or waive any provision of the contract. QA inspectors are not authorized to issue instructions contrary to the plans and specifications or to act as foreman for the Contractor. QA Inspectors are authorized to notify the Contractor or their representatives of any failure of the work or materials to conform to the requirements of the contract, plans, or specifications and to reject such nonconforming materials in question until such issues can be referred to the RPR for a decision. Section 50 Control of Work 25 12/21/2018 AC 150/5370-1OH 50-09 Inspection of the work. All materials and each part or detail of the work shall be subject to inspection. The RPR shall be allowed access to all parts of the work and shall be furnished with such information and assistance by the Contractor as is required to make a complete and detailed inspection. If the RPR requests it, the Contractor, at any time before acceptance of the work, shall remove or uncover such portions of the finished work as may be directed. After examination, the Contractor shall restore said portions of the work to the standard required by the specifications. Should the work thus exposed or examined prove acceptable, the uncovering, or removing, and the replacing of the covering or making good of the parts removed will be paid for as extra work; but should the work so exposed or examined prove unacceptable, the uncovering, or removing, and the replacing of the covering or making good of the parts removed will be at the Contractor's expense. Provide advance written notice to the RPR of work the Contractor plans to perform each week and each day. Any work done or materials used without written notice and allowing opportunity for inspection by the RPR may be ordered removed and replaced at the Contractor's expense. Should the contract work include relocation, adjustment, or any other modification to existing facilities, not the property of the (contract) Owner, authorized representatives of the Owners of such facilities shall have the right to inspect such work. Such inspection shall in no sense make any facility owner a party to the contract, and shall in no way interfere with the rights of the parties to this contract. 50-10 Removal of unacceptable and unauthorized work. All work that does not conform to the requirements of the contract, plans, and specifications will be considered unacceptable, unless otherwise determined acceptable by the RPR as provided in paragraph 50-02, Conformity with Plans and Specifications. Unacceptable work, whether the result of poor workmanship, use of defective materials, damage through carelessness, or any other cause found to exist prior to the final acceptance of the work, shall be removed immediately and replaced in an acceptable manner in accordance with the provisions of Section 70, paragraph 70-14, Contractor's Responsibility for Work. No removal work made under provision of this paragraph shall be done without lines and grades having been established by the RPR. Work done contrary to the instructions of the RPR, work done beyond the lines shown on the plans or as established by the RPR, except as herein specified, or any extra work done without authority, will be considered as unauthorized and will not be paid for under the provisions of the contract. Work so done may be ordered removed or replaced at the Contractor's expense. Upon failure on the part of the Contractor to comply with any order of the RPR made under the provisions of this subsection, the RPR will have authority to cause unacceptable work to be remedied or removed and replaced; and unauthorized work to be removed and recover the resulting costs as a liquidated damage against the Contractor. 50-11 Load restrictions. The Contractor shall comply with all legal load restrictions in the hauling of materials on public roads beyond the limits of the work. A special permit will not relieve the Contractor of liability for damage that may result from the moving of material or equipment. The operation of equipment of such weight or so loaded as to cause damage to structures or to any other type of construction will not be permitted. Hauling of materials over the base course or surface course under construction shall be limited as directed. No loads will be permitted on a concrete pavement, base, or structure before the expiration of the curing period. The Contractor, at their own expense, shall be responsible for the repair to equal or better than preconstruction conditions of any damage caused by the Contractor's equipment and personnel. Section 50 Control of Work 26 12/21/2018 AC 150/5370-1OH The Engineer must check to see if the on -site project access roads and haul routes will support the construction equipment. Particular attention should be paid when sections of existing airfield pavements will be used as haul routes to assure that existing pavements are not overloaded. If questionable, the Engineer should add appropriate provisions to preserve or rehabilitate any access roads or haul routes to the bid documents. Various measures such as videotape or photographs may be required to document existing conditions prior to start of construction. Construction traffic should be kept off airport pavements to the extent possible. 50-12 Maintenance during construction. The Contractor shall maintain the work during construction and until the work is accepted. Maintenance shall constitute continuous and effective work prosecuted day by day, with adequate equipment and forces so that the work is maintained in satisfactory condition at all times. In the case of a contract for the placing of a course upon a course or subgrade previously constructed, the Contractor shall maintain the previous course or subgrade during all construction operations. All costs of maintenance work during construction and before the project is accepted shall be included in the unit prices bid on the various contract items, and the Contractor will not be paid an additional amount for such work. 50-13 Failure to maintain the work. Should the Contractor at any time fail to maintain the work as provided in paragraph 50-12, Maintenance during Construction, the RPR shall immediately notify the Contractor of such noncompliance. Such notification shall specify a reasonable time within which the Contractor shall be required to remedy such unsatisfactory maintenance condition. The time specified will give due consideration to the exigency that exists. Should the Contractor fail to respond to the RPR's notification, the Owner may suspend any work necessary for the Owner to correct such unsatisfactory maintenance condition, depending on the exigency that exists. Any maintenance cost incurred by the Owner, shall be recovered as a liquidated damage against the Contractor. 50-14 Partial acceptance. If at any time during the execution of the project the Contractor substantially completes a usable unit or portion of the work, the occupancy of which will benefit the Owner, the Contractor may request the RPR to make final inspection of that unit. If the RPR finds upon inspection that the unit has been satisfactorily completed in compliance with the contract, the RPR may accept it as being complete, and the Contractor may be relieved of further responsibility for that unit. Such partial acceptance and beneficial occupancy by the Owner shall not void or alter any provision of the contract. 50-15 Final acceptance. Upon due notice from the Contractor of presumptive completion of the entire project, the RPR and Owner will make an inspection. If all construction provided for and contemplated by the contract is found to be complete in accordance with the contract, plans, and specifications, such inspection shall constitute the final inspection. The RPR shall notify the Contractor in writing of final acceptance as of the date of the final inspection. If, however, the inspection discloses any work, in whole or in part, as being unsatisfactory, the RPR will notify the Contractor and the Contractor shall correct the unsatisfactory work. Upon correction of the work, another inspection will be made which shall constitute the final inspection, provided the work has been satisfactorily completed. In such event, the RPR will make the final acceptance and notify the Contractor in writing of this acceptance as of the date of final inspection. Section 50 Control of Work 27 12/21/2018 AC 150/5370-1OH 50-16 Claims for adjustment and disputes. If for any reason the Contractor deems that additional compensation is due for work or materials not clearly provided for in the contract, plans, or specifications or previously authorized as extra work, the Contractor shall notify the RPR in writing of their intention to claim such additional compensation before the Contractor begins the work on which the Contractor bases the claim. If such notification is not given or the RPR is not afforded proper opportunity by the Contractor for keeping strict account of actual cost as required, then the Contractor hereby agrees to waive any claim for such additional compensation. Such notice by the Contractor and the fact that the RPR has kept account of the cost of the work shall not in any way be construed as proving or substantiating the validity of the claim. When the work on which the claim for additional compensation is based has been completed, the Contractor shall, within 10 calendar days, submit a written claim to the RPR who will present it to the Owner for consideration in accordance with local laws or ordinances. Nothing in this subsection shall be construed as a waiver of the Contractor's right to dispute final payment based on differences in measurements or computations. [ 50-17 Value Engineering Cost Proposal. ********************************************************************** FAA concurrence must be obtained when this paragraph is included. This paragraph may not be applied on construction management at -risk (CMAR) and Design -build project delivery methods after a gross maximum price (GMP) is established. Use of this paragraph in project specifications is at the option of the Owner/Engineer. This paragraph should not be incorporated into project specifications if State or local laws prohibit its use or if the project does not lend itself to value engineering. ********************************************************************** The provisions of this paragraph will apply only to contracts awarded to the lowest bidder pursuant to competitive bidding. On projects with original contract amounts in excess of $100,000, the Contractor may submit to the RPR, in writing, proposals for modifying the plans, specifications or other requirements of the contract for the sole purpose of reducing the cost of construction. The value engineering cost proposal shall not impair, in any manner, the essential functions or characteristics of the project, including but not limited to service life, economy of operation, ease of maintenance, desired appearance, design and safety standards. This provision shall not apply unless the proposal submitted is specifically identified by the Contractor as being presented for consideration as a value engineering proposal. Not eligible for value engineering cost proposals are changes in the basic design of a pavement type, runway and taxiway lighting, visual aids, hydraulic capacity of drainage facilities, or changes in grade or alignment that reduce the geometric standards of the project. Section 50 Control of Work 28 12/21/2018 AC 150/5370-1OH As a minimum, the following information shall be submitted by the Contractor with each proposal: a. A description of both existing contract requirements for performing the work and the proposed changes, with a discussion of the comparative advantages and disadvantages of each. b. An itemization of the contract requirements that must be changed if the proposal is adopted. c. A detailed estimate of the cost of performing the work under the existing contract and under the proposed changes. d. A statement of the time by which a change order adopting the proposal must be issued. e. A statement of the effect adoption of the proposal will have on the time for completion of the contract. f. The contract items of work affected by the proposed changes, including any quantity variation attributable to them. The Contractor may withdraw, in whole or in part, any value engineering cost proposal not accepted by the RPR, within the period specified in the proposal. The provisions of this subsection shall not be construed to require the RPR to consider any value engineering cost proposal that may be submitted. The Contractor shall continue to perform the work in accordance with the requirements of the contract until a change order incorporating the value engineering cost proposal has been issued. If a change order has not been issued by the date upon which the Contractor's value engineering cost proposal specifies that a decision should be made, or such other date as the Contractor may subsequently have requested in writing, such value engineering cost proposal shall be deemed rejected. The RPR shall be the sole judge of the acceptability of a value engineering cost proposal and of the estimated net savings from the adoption of all or any part of such proposal. In determining the estimated net savings, the RPR may disregard the contract bid prices if, in the RPR's judgment such prices do not represent a fair measure of the value of the work to be performed or deleted. The Owner may require the Contractor to share in the Owner's costs of investigating a value engineering cost proposal submitted by the Contractor as a condition of considering such proposal. Where such a condition is imposed, the Contractor shall acknowledge acceptance of it in writing. Such acceptance shall constitute full authority for the Owner to deduct the cost of investigating a value engineering cost proposal from amounts payable to the Contractor under the contract. If the Contractor's value engineering cost proposal is accepted in whole or in part, such acceptance will be by a contract change order that shall specifically state that it is executed pursuant to this paragraph. Such change order shall incorporate the changes in the plans and specifications which are necessary to permit the value Section 50 Control of Work 29 12/21/2018 AC 150/5370-1OH engineering cost proposal or such part of it as has been accepted and shall include any conditions upon which the RPR's approval is based. The change order shall also set forth the estimated net savings attributable to the value engineering cost proposal. The net savings shall be determined as the difference in costs between the original contract costs for the involved work items and the costs occurring as a result of the proposed change. The change order shall also establish the net savings agreed upon and shall provide for adjustment in the contract price that will divide the net savings equally between the Contractor and the Owner. The Contractor's 50% share of the net savings shall constitute full compensation to the Contractor for the value engineering cost proposal and the performance of the work. Acceptance of the value engineering cost proposal and performance of the work shall not extend the time of completion of the contract unless specifically provided for in the contract change order. ] END OF SECTION 50 Section 50 Control of Work 30 12/21/2018 AC 150/5370-1OH Section 60 Control of Materials 60-01 Source of supply and quality requirements. The materials used in the work shall conform to the requirements of the contract, plans, and specifications. Unless otherwise specified, such materials that are manufactured or processed shall be new (as compared to used or reprocessed). In order to expedite the inspection and testing of materials, the Contractor shall furnish documentation to the RPR as to the origin, composition, and manufacture of all materials to be used in the work. Documentation shall be furnished promptly after execution of the contract but, in all cases, prior to delivery of such materials. Federal Contract Clauses are available at the following FAA website: www.faa.2ov/airports/aip/procurement/federal contract provisions/ At the RPR's option, materials may be approved at the source of supply before delivery. If it is found after trial that sources of supply for previously approved materials do not produce specified products, the Contractor shall furnish materials from other sources. The Contractor shall furnish airport lighting equipment that meets the requirements of the specifications; and is listed in AC 150/5345-53, Airport Lighting Equipment Certification Program and Addendum, that is in effect on the date of advertisement. 60-02 Samples, tests, and cited specifications. All materials used in the work shall be inspected, tested, and approved by the RPR before incorporation in the work unless otherwise designated. Any work in which untested materials are used without approval or written permission of the RPR shall be performed at the Contractor's risk. Materials found to be unacceptable and unauthorized will not be paid for and, if directed by the RPR, shall be removed at the Contractor's expense. Unless otherwise designated, quality assurance tests will be made by and at the expense of the Owner in accordance with the cited standard methods of ASTM, American Association of State Highway and Transportation Officials (AASHTO), federal specifications, Commercial Item Descriptions, and all other cited methods, which are current on the date of advertisement for bids. The testing organizations performing on -site quality assurance field tests shall have copies of all referenced standards on the construction site for use by all technicians and other personnel. Unless otherwise designated, samples for quality assurance will be taken by a qualified representative of the RPR. All materials being used are subject to inspection, test, or rejection at any time prior to or during incorporation into the work. Copies of all tests will be furnished to the Contractor's representative at their request after review and approval of the RPR. A copy of all Contractor QC test data shall be provided to the RPR daily, along with printed reports, in an approved format, on a weekly basis. After completion of the project, and prior to final payment, the Contractor shall submit a final report to the RPR showing all test data reports, plus an analysis of all results showing ranges, averages, and corrective action taken on all failing tests. Section 60 Control of Materials 31 12/21/2018 AC 150/5370-1OH [ The Contractor shall employ a Quality Control (QC) testing organization to perform all Contractor required QC tests in accordance with Item C-100 Contractor Quality Control Program (CQCP). ] The Engineer may wish to include a requirement that all test data from the Contractor be furnished in electronic format. The Engineer shall provide detailed specifications to specify the acceptable format to be used. Delete bracketed text when Item C-100 is not included in the specifications. 60-03 Certification of compliance/analysis (COC/COA). The RPR may permit the use, prior to sampling and testing, of certain materials or assemblies when accompanied by manufacturer's COC stating that such materials or assemblies fully comply with the requirements of the contract. The certificate shall be signed by the manufacturer. Each lot of such materials or assemblies delivered to the work must be accompanied by a certificate of compliance in which the lot is clearly identified. The COA is the manufacturer's COC and includes all applicable test results. Materials or assemblies used on the basis of certificates of compliance may be sampled and tested at any time and if found not to be in conformity with contract requirements will be subject to rejection whether in place or not. The form and distribution of certificates of compliance shall be as approved by the RPR. When a material or assembly is specified by "brand name or equal" and the Contractor elects to furnish the specified "or equal," the Contractor shall be required to furnish the manufacturer's certificate of compliance for each lot of such material or assembly delivered to the work. Such certificate of compliance shall clearly identify each lot delivered and shall certify as to: a. Conformance to the specified performance, testing, quality or dimensional requirements; and, b. Suitability of the material or assembly for the use intended in the contract work. The RPR shall be the sole judge as to whether the proposed "or equal" is suitable for use in the work. The RPR reserves the right to refuse permission for use of materials or assemblies on the basis of certificates of compliance. When it is impractical to make a clear and accurate description of a technical requirement, Owner may specify a requirement by "Brand Name or approved Equal," provided the performance features and salient requirements that establish equivalency are explicitly and clearly stated. To avoid unfair influence, provide known vendors / suppliers who can meet the stated requirements. 60-04 Plant inspection. The RPR or their authorized representative may inspect, at its source, any specified material or assembly to be used in the work. Manufacturing plants may be inspected from time to time for the purpose of determining compliance with specified manufacturing methods or materials to be used in the work and to obtain samples required for acceptance of the material or assembly. Should the RPR conduct plant inspections, the following conditions shall exist: Section 60 Control of Materials 32 12/21/2018 AC 150/5370-1OH a. The RPR shall have the cooperation and assistance of the Contractor and the producer with whom the Contractor has contracted for materials. b. The RPR shall have full entry at all reasonable times to such parts of the plant that concern the manufacture or production of the materials being furnished. c. If required by the RPR, the Contractor shall arrange for adequate office or working space that may be reasonably needed for conducting plant inspections. Place office or working space in a convenient location with respect to the plant. It is understood and agreed that the Owner shall have the right to retest any material that has been tested and approved at the source of supply after it has been delivered to the site. The RPR shall have the right to reject only material which, when retested, does not meet the requirements of the contract, plans, or specifications. 60-05 Engineer/ Resident Project Representative (RPR) field office. [ The Contractor shall provide dedicated space for the use of the engineer, RPR, and inspectors, as a field office for the duration of the project. This space shall be located conveniently near the construction and shall be separate from any space used by the Contractor. The Contractor shall furnish water, sanitary facilities, heat, air conditioning, and electricity. ][ An Engineer/RPR field office is not required. ] Requirements for specifying the Engineer's (RPR) field office and a space for Quality Assurance mobile laboratory should be coordinated with the Owner and the Engineer since such facilities are not needed for all airport construction projects. If a field office is required for the project, a separate line item for payment may be established. Additional office space, with approval of the owner, may be appropriate based on the size and duration of the project. 60-06 Storage of materials. Materials shall be stored to assure the preservation of their quality and fitness for the work. Stored materials, even though approved before storage, may again be inspected prior to their use in the work. Stored materials shall be located to facilitate their prompt inspection. The Contractor shall coordinate the storage of all materials with the RPR. Materials to be stored on airport property shall not create an obstruction to air navigation nor shall they interfere with the free and unobstructed movement of aircraft. Unless otherwise shown on the plans and/or CSPP, the storage of materials and the location of the Contractor's plant and parked equipment or vehicles shall be as directed by the RPR. Private property shall not be used for storage purposes without written permission of the Owner or lessee of such property. The Contractor shall make all arrangements and bear all expenses for the storage of materials on private property. Upon request, the Contractor shall furnish the RPR a copy of the property Owner's permission. All storage sites on private or airport property shall be restored to their original condition by the Contractor at their expense, except as otherwise agreed to (in writing) by the Owner or lessee of the property. 60-07 Unacceptable materials. Any material or assembly that does not conform to the requirements of the contract, plans, or specifications shall be considered unacceptable and shall be rejected. The Contractor shall remove any rejected material or assembly from the site of the work, unless otherwise instructed by the RPR. Section 60 Control of Materials 33 12/21/2018 AC 150/5370-1OH Rejected material or assembly, the defects of which have been corrected by the Contractor, shall not be returned to the site of the work until such time as the RPR has approved its use in the work. 60-08 Owner furnished materials. The Contractor shall furnish all materials required to complete the work, except those specified, if any, to be furnished by the Owner. Owner -furnished materials shall be made available to the Contractor at the location specified. All costs of handling, transportation from the specified location to the site of work, storage, and installing Owner -furnished materials shall be included in the unit price bid for the contract item in which such Owner -furnished material is used. After any Owner -furnished material has been delivered to the location specified, the Contractor shall be responsible for any demurrage, damage, loss, or other deficiencies that may occur during the Contractor's handling, storage, or use of such Owner -furnished material. The Owner will deduct from any monies due or to become due the Contractor any cost incurred by the Owner in making good such loss due to the Contractor's handling, storage, or use of Owner -furnished materials. END OF SECTION 60 Section 60 Control of Materials 34 12/21/2018 AC 150/5370-1OH Section 70 Legal Regulations and Responsibility to Public 70-01 Laws to be observed. The Contractor shall keep fully informed of all federal and state laws, all local laws, ordinances, and regulations and all orders and decrees of bodies or tribunals having any jurisdiction or authority, which in any manner affect those engaged or employed on the work, or which in any way affect the conduct of the work. The Contractor shall at all times observe and comply with all such laws, ordinances, regulations, orders, and decrees; and shall protect and indemnify the Owner and all their officers, agents, or servants against any claim or liability arising from or based on the violation of any such law, ordinance, regulation, order, or decree, whether by the Contractor or the Contractor's employees. 70-02 Permits, licenses, and taxes. The Contractor shall procure all permits and licenses, pay all charges, fees, and taxes, and give all notices necessary and incidental to the due and lawful execution of the work. 70-03 Patented devices, materials, and processes. If the Contractor is required or desires to use any design, device, material, or process covered by letters of patent or copyright, the Contractor shall provide for such use by suitable legal agreement with the Patentee or Owner. The Contractor and the surety shall indemnify and hold harmless the Owner, any third party, or political subdivision from any and all claims for infringement by reason of the use of any such patented design, device, material or process, or any trademark or copyright, and shall indemnify the Owner for any costs, expenses, and damages which it may be obliged to pay by reason of an infringement, at any time during the execution or after the completion of the work. 70-04 Restoration of surfaces disturbed by others. The Owner reserves the right to authorize the construction, reconstruction, or maintenance of any public or private utility service, FAA or National Oceanic and Atmospheric Administration (NOAA) facility, or a utility service of another government agency at any time during the progress of the work. To the extent that such construction, reconstruction, or maintenance has been coordinated with the Owner, such authorized work (by others) must be shown on the plans and is indicated as follows: [ ]. List all authorized work and include the following information as a minimum: • Owner (Utility or Other Facility) • Location (See Plan Sheet No.) • Person to Contact (Name, Title, Address and Phone) Except as listed above, the Contractor shall not permit any individual, firm, or corporation to excavate or otherwise disturb such utility services or facilities located within the limits of the work without the written permission of the RPR. Should the Owner of public or private utility service, FAA, or NOAA facility, or a utility service of another government agency be authorized to construct, reconstruct, or maintain such utility service or facility during the progress of the work, the Contractor shall cooperate with such Owners by arranging and performing the work in this contract to facilitate such construction, reconstruction or maintenance by others whether or not such work by others is listed above. When ordered as extra work by the RPR, the Section 70 Legal Regulations and Responsibility to Public 35 12/21/2018 AC 150/5370-1OH Contractor shall make all necessary repairs to the work which are due to such authorized work by others, unless otherwise provided for in the contract, plans, or specifications. It is understood and agreed that the Contractor shall not be entitled to make any claim for damages due to such authorized work by others or for any delay to the work resulting from such authorized work. The intention of this subsection is to provide for both foreseen and unforeseen work by Owners of utility services and other facilities on the airport. Such Owners have legal rights and obligations under some form of easement with the airport Owner. Every effort should be made, during the initial design phase, to coordinate the proposed contract work with such Owners so that their rights and obligations are provided for the in the contract, plans, and specifications. Where there is conflict between an existing utility service (or facility) and the proposed work or where the Owner of the utility or facility must perform work to construct, reconstruct, or maintain the utility or facility, such work should be listed in this subsection and provided for in the contract, plans and specifications. In addition, all known utility services or facilities that are within the limits of the proposed work should be shown on the plans (regardless of whether or not there is a conflict of work to be performed by the Owner) with enough detailed information to indicate the lack of conflicts. 70-05 Federal Participation. The United States Government has agreed to reimburse the Owner for some portion of the contract costs. The contract work is subject to the inspection and approval of duly authorized representatives of the FAA Administrator. No requirement of this contract shall be construed as making the United States a party to the contract nor will any such requirement interfere, in any way, with the rights of either party to the contract. 70-06 Sanitary, health, and safety provisions. The Contractor's worksite and facilities shall comply with applicable federal, state, and local requirements for health, safety and sanitary provisions. 70-07 Public convenience and safety. The Contractor shall control their operations and those of their subcontractors and all suppliers, to assure the least inconvenience to the traveling public. Under all circumstances, safety shall be the most important consideration. The Contractor shall maintain the free and unobstructed movement of aircraft and vehicular traffic with respect to their own operations and those of their own subcontractors and all suppliers in accordance with Section 40, paragraph 40-05, Maintenance of Traffic, and shall limit such operations for the convenience and safety of the traveling public as specified in Section 80, paragraph 80-04, Limitation of Operations. The Contractor shall remove or control debris and rubbish resulting from its work operations at frequent intervals, and upon the order of the RPR. If the RPR determines the existence of Contractor debris in the work site represents a hazard to airport operations and the Contractor is unable to respond in a prompt and reasonable manner, the RPR reserves the right to assign the task of debris removal to a third party and recover the resulting costs as a liquidated damage against the Contractor. 70-08 Construction Safety and Phasing Plan (CSPP). The Contractor shall complete the work in accordance with the approved Construction Safety and Phasing Plan (CSPP) developed in accordance with AC 150/5370-2, Operational Safety on Airports During Construction. The CSPP is on sheet(s) [_] of the project plans. Section 70 Legal Regulations and Responsibility to Public 36 12/21/2018 AC 150/5370-1OH The Engineer must add the location of the CSPP. 70-09 Use of explosives. [ The use of explosives is not permitted on this project. ] [ When the use of explosives is necessary for the execution of the work, the Contractor shall exercise the utmost care not to endanger life or property, including new work. The Contractor shall be responsible for all damage resulting from the use of explosives. All explosives shall be stored in a secure manner in compliance with all laws and ordinances, and all such storage places shall be clearly marked. Where no local laws or ordinances apply, storage shall be provided satisfactory to the RPR and, in general, not closer than 1,000 feet (300 m) from the work or from any building, road, or other place of human occupancy. The Contractor shall notify each property Owner and public utility company having structures or facilities in proximity to the site of the work of their intention to use explosives. Such notice shall be given sufficiently in advance to enable them to take such steps as they may deem necessary to protect their property from injury. The use of electrical blasting caps shall not be permitted on or within 1,000 feet (300 m) of the airport property. ] 70-10 Protection and restoration of property and landscape. The Contractor shall be responsible for the preservation of all public and private property, and shall protect carefully from disturbance or damage all land monuments and property markers until the Engineer/RPR has witnessed or otherwise referenced their location and shall not move them until directed. The Contractor shall be responsible for all damage or injury to property of any character, during the execution of the work, resulting from any act, omission, neglect, or misconduct in manner or method of executing the work, or at any time due to defective work or materials, and said responsibility shall not be released until the project has been completed and accepted. When or where any direct or indirect damage or injury is done to public or private property by or on account of any act, omission, neglect, or misconduct in the execution of the work, or in consequence of the non -execution thereof by the Contractor, the Contractor shall restore, at their expense, such property to a condition similar or equal to that existing before such damage or injury was done, by repairing, or otherwise restoring as may be directed, or the Contractor shall make good such damage or injury in an acceptable manner. 70-11 Responsibility for damage claims. The Contractor shall indemnify and hold harmless the Engineer/RPR and the Owner and their officers, agents, and employees from all suits, actions, or claims, of any character, brought because of any injuries or damage received or sustained by any person, persons, or property on account of the operations of the Contractor; or on account of or in consequence of any neglect in safeguarding the work; or through use of unacceptable materials in constructing the work; or because of any act or omission, neglect, or misconduct of said Contractor; or because of any claims or amounts recovered from any infringements of patent, trademark, or copyright; or from any claims or amounts arising or recovered under the "Workmen's Compensation Act," or any other law, ordinance, order, or decree. Money due the Contractor under and by virtue of their own contract considered necessary by the Owner for such purpose may be retained for the use of the Owner or, in case no money is due, their own surety may be held until such suits, actions, or claims for injuries or damages shall have Section 70 Legal Regulations and Responsibility to Public 37 12/21/2018 AC 150/5370-1OH been settled and suitable evidence to that effect furnished to the Owner, except that money due the Contractor will not be withheld when the Contractor produces satisfactory evidence that he or she is adequately protected by public liability and property damage insurance. 70-12 Third party beneficiary clause. It is specifically agreed between the parties executing the contract that it is not intended by any of the provisions of any part of the contract to create for the public or any member thereof, a third -party beneficiary or to authorize anyone not a party to the contract to maintain a suit for personal injuries or property damage pursuant to the terms or provisions of the contract. 70-13 Opening sections of the work to traffic. If it is necessary for the Contractor to complete portions of the contract work for the beneficial occupancy of the Owner prior to completion of the entire contract, such "phasing" of the work must be specified below and indicated on the approved Construction Safety and Phasing Plan (CSPP) and the project plans. When so specified, the Contractor shall complete such portions of the work on or before the date specified or as otherwise specified. [-1- The Engineer shall identify phase/description(s) and provide the following minimum information for each phase/description(s): • Phase or Description • Required Date or Sequence of Owner's Beneficial Occupancy • Work Shown on Plan Sheet The Owner's requirements for "phasing" the work should be coordinated with agencies having an interest in operational capability of the airport. Such coordination must be accomplished at the earliest possible time. See AC 150/5370- 12, Quality Management for Federally Funded Airport Construction Projects. The Engineer should include a section on airport safety in the bid documents that has, as a minimum, the information contained in AC 150/5370-2, Operational Safety on Airports During Construction; the Construction Safety and Phasing Plan (CSPP); and any additional requirements as a result of a Safety Risk Management (SRM) review, if required. Upon completion of any portion of work listed above, such portion shall be accepted by the Owner in accordance with Section 50, paragraph 50-14, Partial Acceptance. No portion of the work may be opened by the Contractor until directed by the Owner in writing. Should it become necessary to open a portion of the work to traffic on a temporary or intermittent basis, such openings shall be made when, in the opinion of the RPR, such portion of the work is in an acceptable condition to support the intended traffic. Temporary or intermittent openings are considered to be inherent in the work and shall not constitute either acceptance of the portion of the work so opened or a waiver of any provision of the contract. Any damage to the portion of the work so opened that is not attributable to traffic which is permitted by the Owner shall be repaired by the Contractor at their expense. The Contractor shall make their own estimate of the inherent difficulties involved in completing the work under the conditions herein described and shall not claim any added compensation by reason of delay or increased cost due to opening a portion of the contract work. The Contractor must conform to safety standards contained AC 150/5370-2 and the approved CSPP. Section 70 Legal Regulations and Responsibility to Public 38 12/21/2018 AC 150/5370-1OH Contractor shall refer to the plans, specifications, and the approved CSPP to identify barricade requirements, temporary and/or permanent markings, airfield lighting, guidance signs and other safety requirements prior to opening up sections of work to traffic. 70-14 Contractor's responsibility for work. Until the RPR's final written acceptance of the entire completed work, excepting only those portions of the work accepted in accordance with Section 50, paragraph 50-14, Partial Acceptance, the Contractor shall have the charge and care thereof and shall take every precaution against injury or damage to any part due to the action of the elements or from any other cause, whether arising from the execution or from the non -execution of the work. The Contractor shall rebuild, repair, restore, and make good all injuries or damages to any portion of the work occasioned by any of the above causes before final acceptance and shall bear the expense thereof except damage to the work due to unforeseeable causes beyond the control of and without the fault or negligence of the Contractor, including but not restricted to acts of God such as earthquake, tidal wave, tornado, hurricane or other cataclysmic phenomenon of nature, or acts of the public enemy or of government authorities. If the work is suspended for any cause whatever, the Contractor shall be responsible for the work and shall take such precautions necessary to prevent damage to the work. The Contractor shall provide for normal drainage and shall erect necessary temporary structures, signs, or other facilities at their own expense. During such period of suspension of work, the Contractor shall properly and continuously maintain in an acceptable growing condition all living material in newly established planting, seeding, and sodding furnished under the contract, and shall take adequate precautions to protect new tree growth and other important vegetative growth against injury. 70-15 Contractor's responsibility for utility service and facilities of others. As provided in paragraph 70-04, Restoration of Surfaces Disturbed by Others, the Contractor shall cooperate with the owner of any public or private utility service, FAA or NOAA, or a utility service of another government agency that may be authorized by the Owner to construct, reconstruct or maintain such utility services or facilities during the progress of the work. In addition, the Contractor shall control their operations to prevent the unscheduled interruption of such utility services and facilities. To the extent that such public or private utility services, FAA, or NOAA facilities, or utility services of another governmental agency are known to exist within the limits of the contract work, the approximate locations have been indicated on the plans and/or in the contract documents. [—1- The Engineer shall list all known services and provide the following minimum information for each service: Utility Service or Facility, or FAA Air Traffic Organization (ATO)/ Technical Operations/System Support Center (SSC) Person to Contract (Name, Title, Address, and Phone) • Owner's Emergency Contact (Phone) The plans shall show the approximate location of the utilities or facilities known to exist within the limits of the contract work. The proposed contract plans and specifications shall be coordinated with the various Owners at the earliest possible time to avoid overlooking utility conflicts in the design and to obtain the best possible information needed to protect such utility services or facilities from damage resulting from the Contractor's operations. Where conflicts are indicated during the coordination, they shall be resolved by the airport Owner and the utility owner, in accordance with existing legal agreements, by providing for work in the proposed Section 70 Legal Regulations and Responsibility to Public 39 12/21/2018 AC 150/5370-1OH contract or by the utility owner. In such cases of conflict, regardless of how the conflict is resolved, the airport Owner and utility owner should also be advised of the need to furnish the best information possible as to location of the utility service or facility to ensure protection during the proposed contract work. It is understood and agreed that the Owner does not guarantee the accuracy or the completeness of the location information relating to existing utility services, facilities, or structures that may be shown on the plans or encountered in the work. Any inaccuracy or omission in such information shall not relieve the Contractor of the responsibility to protect such existing features from damage or unscheduled interruption of service. It is further understood and agreed that the Contractor shall, upon execution of the contract, notify the Owners of all utility services or other facilities of their plan of operations. Such notification shall be in writing addressed to "The Person to Contact" as provided in this paragraph and paragraph 70-04, Restoration of Surfaces Disturbed By Others. A copy of each notification shall be given to the RPR. In addition to the general written notification provided, it shall be the responsibility of the Contractor to keep such individual Owners advised of changes in their plan of operations that would affect such Owners. Prior to beginning the work in the general vicinity of an existing utility service or facility, the Contractor shall again notify each such Owner of their plan of operation. If, in the Contractor's opinion, the Owner's assistance is needed to locate the utility service or facility or the presence of a representative of the Owner is desirable to observe the work, such advice should be included in the notification. Such notification shall be given by the most expeditious means to reach the utility owner's "Person to Contact" no later than two normal business days prior to the Contractor's commencement of operations in such general vicinity. The Contractor shall furnish a written summary of the notification to the RPR. The Contractor's failure to give the two days' notice shall be cause for the Owner to suspend the Contractor's operations in the general vicinity of a utility service or facility. Where the outside limits of an underground utility service have been located and staked on the ground, the Contractor shall be required to use hand excavation methods within 3 feet (1 m) of such outside limits at such points as may be required to ensure protection from damage due to the Contractor's operations. Should the Contractor damage or interrupt the operation of a utility service or facility by accident or otherwise, the Contractor shall immediately notify the proper authority and the RPR and shall take all reasonable measures to prevent further damage or interruption of service. The Contractor, in such events, shall cooperate with the utility service or facility owner and the RPR continuously until such damage has been repaired and service restored to the satisfaction of the utility or facility owner. The Contractor shall bear all costs of damage and restoration of service to any utility service or facility due to their operations whether due to negligence or accident. The Owner reserves the right to deduct such costs from any monies due or which may become due the Contractor, or their own surety. [ 70-15.1 FAA facilities and cable runs. The Contractor is hereby advised that the construction limits of the project include existing facilities and buried cable runs that are owned, operated and maintained by the FAA. The Contractor, during the execution of the project work, shall comply with the following: a. The Contractor shall permit FAA maintenance personnel the right of access to the project work site for purposes of inspecting and maintaining all existing FAA owned facilities. Section 70 Legal Regulations and Responsibility to Public 40 12/21/2018 AC 150/5370-1OH b. The Contractor shall provide notice to the FAA Air Traffic Organization (ATO)/Technical Operations/System Support Center (SSC) Point -of -Contact through the airport [ Owner ] [ operator ] [ manager [_] a minimum of seven (7) calendar days prior to commencement of construction activities in order to permit sufficient time to locate and mark existing buried cables and to schedule any required facility outages. ********************************************************************** FAA Airports (ARP) will inform the Airport Owner of their requirement to notify the FAA preferably a minimum of 45 days prior to scheduled interruptions and airport projects with the potential to cause significant impacts to the National Airspace System (NAS). This is handled through the Internet Obstruction Evaluation/Airport Airspace Analysis (iOE/AAA) process and the airspace determination letter. ********************************************************************** c. If execution of the project work requires a facility outage, the Contractor shall contact the FAA Point -of -Contact a minimum of 72 hours prior to the time of the required outage. d. Any damage to FAA cables, access roads, or FAA facilities during construction caused by the Contractor's equipment or personnel whether by negligence or accident will require the Contractor to repair or replace the damaged cables, access road, or FAA facilities to FAA requirements. The Contractor shall not bear the cost to repair damage to underground facilities or utilities improperly located by the FAA. ********************************************************************** Any displaced or relocated FAA facility or cables due to construction will require a signed and executed reimbursable agreement between the Owner and the FAA Tech Ops Division. The splicing of cables may not be an acceptable form of repair for certain projects. If any FAA cables are damaged, the Owner shall replace the cables in their entirety. ********************************************************************** e. If the project work requires the cutting or splicing of FAA owned cables, the FAA Point -of -Contact shall be contacted a minimum of 72 hours prior to the time the cable work commences. The FAA reserves the right to have a FAA representative on site to observe the splicing of the cables as a condition of acceptance. All cable splices are to be accomplished in accordance with FAA specifications and require approval by the FAA Point -of -Contact as a condition of acceptance by the Owner. The Contractor is hereby advised that FAA restricts the location of where splices may be installed. If a cable splice is required in a location that is not permitted by FAA, the Contractor Section 70 Legal Regulations and Responsibility to Public 41 12/21/2018 AC 150/5370-1OH shall furnish and install a sufficient length of new cable that eliminates the need for any splice. ] The Engineer should include paragraph 70-15.1 when existing FAA owned facilities and/or cable runs are located within the construction limits. 70-16 Furnishing rights -of -way. The Owner will be responsible for furnishing all rights -of -way upon which the work is to be constructed in advance of the Contractor's operations. 70-17 Personal liability of public officials. In carrying out any of the contract provisions or in exercising any power or authority granted by this contract, there shall be no liability upon the Engineer, RPR, their authorized representatives, or any officials of the Owner either personally or as an official of the Owner. It is understood that in such matters they act solely as agents and representatives of the Owner. 70-18 No waiver of legal rights. Upon completion of the work, the Owner will expeditiously make final inspection and notify the Contractor of final acceptance. Such final acceptance, however, shall not preclude or stop the Owner from correcting any measurement, estimate, or certificate made before or after completion of the work, nor shall the Owner be precluded or stopped from recovering from the Contractor or their surety, or both, such overpayment as may be sustained, or by failure on the part of the Contractor to fulfill their obligations under the contract. A waiver on the part of the Owner of any breach of any part of the contract shall not be held to be a waiver of any other or subsequent breach. The Contractor, without prejudice to the terms of the contract, shall be liable to the Owner for latent defects, fraud, or such gross mistakes as may amount to fraud, or as regards the Owner's rights under any warranty or guaranty. 70-19 Environmental protection. The Contractor shall comply with all federal, state, and local laws and regulations controlling pollution of the environment. The Contractor shall take necessary precautions to prevent pollution of streams, lakes, ponds, and reservoirs with fuels, oils, asphalts, chemicals, or other harmful materials and to prevent pollution of the atmosphere from particulate and gaseous matter. [—1 Engineer may add project specific requirements. ************************************************************************************* 70-20 Archaeological and historical findings. Unless otherwise specified in this subsection, the Contractor is advised that the site of the work is not within any property, district, or site, and does not contain any building, structure, or object listed in the current National Register of Historic Places published by the United States Department of Interior. Should the Contractor encounter, during their operations, any building, part of a building, structure, or object that is incongruous with its surroundings, the Contractor shall immediately cease operations in that location and notify the RPR. The RPR will immediately investigate the Contractor's finding and the Owner will direct the Contractor to either resume operations or to suspend operations as directed. Should the Owner order suspension of the Contractor's operations in order to protect an archaeological or historical finding, or order the Contractor to perform extra work, such shall be covered by an appropriate contract change order or supplemental agreement as provided in Section 40, paragraph 40-04, Extra Work, and Section 90, paragraph 90-05, Payment for Extra Work. If appropriate, the contract change Section 70 Legal Regulations and Responsibility to Public 42 12/21/2018 AC 150/5370-1OH order or supplemental agreement shall include an extension of contract time in accordance with Section 80, paragraph 80-07, Determination and Extension of Contract Time. The contract language suggested in paragraph70-20 is intended to remind airport Owners that proper planning will prevent construction delays that may be caused when objects of archaeological or historical significance are encountered in the work. Airport Owners should include in their planning the coordination with state and local planning bodies as may be required by state and local laws pertaining to the National Historic Preservation Act of 1966. As a general rule, disposition of known archaeological or historic objects that are situated on the site of the work should be covered by a separate contract when such disposition is required as a part of FAA project approval. 70-21 Insurance Requirements. [ Insert local insurance requirements for the project. ] Insert local insurance requirements for commercial general and umbrella liability; commercial auto and umbrella liability; worker's compensation; property; and/or other types of coverage required by the project. END OF SECTION 70 Section 70 Legal Regulations and Responsibility to Public 43 12/21/2018 AC 150/5370-1OH Page Intentionally Blank Section 70 Legal Regulations and Responsibility to Public 44 12/21/2018 AC 150/5370-1OH Section 80 Execution and Progress 80-01 Subletting of contract. The Owner will not recognize any subcontractor on the work. The Contractor shall at all times when work is in progress be represented either in person, by a qualified superintendent, or by other designated, qualified representative who is duly authorized to receive and execute orders of the Resident Project Representative (RPR). The Contractor shall perform, with his organization, an amount of work equal to at least [_] percent of the total contract cost. Should the Contractor elect to assign their contract, said assignment shall be concurred in by the surety, shall be presented for the consideration and approval of the Owner, and shall be consummated only on the written approval of the Owner. The Engineer should determine the percentage of work to be performed by the prime Contractor on a project basis (typically at least 25%). The Contractor shall provide copies of all subcontracts to the RPR [ 14 ] days prior to being utilized on the project. As a minimum, the information shall include the following: Subcontractor's legal company name. Subcontractor's legal company address, including County name. • Principal contact person's name, telephone and fax number. Complete narrative description, and dollar value of the work to be performed by the subcontractor. Copies of required insurance certificates in accordance with the specifications. • Minority/ non -minority status. 80-02 Notice to proceed (NTP). The Owners notice to proceed will state the date on which contract time commences. The Contractor is expected to commence project operations within [ ] days of the NTP date. The Contractor shall notify the RPR at least[ 24 hours ] in advance of the time contract operations begins. The Contractor shall not commence any actual operations prior to the date on which the notice to proceed is issued by the Owner. Notification time in excess of 24 hours must be justified. Owner may allow limited mobilization to the work site provided such action does not require presence of the RPR and the Contractor assumes all risks associated with a delay to the NTP issuance. Section 80 Execution and Progress 45 12/21/2018 AC 150/5370-1OH 80-03 Execution and progress. Unless otherwise specified, the Contractor shall submit their coordinated construction schedule showing all work activities for the RPR's review and acceptance at least [ 10 days ] prior to the start of work. The Contractor's progress schedule, once accepted by the RPR, will represent the Contractor's baseline plan to accomplish the project in accordance with the terms and conditions of the Contract. The RPR will compare actual Contractor progress against the baseline schedule to determine that status of the Contractor's performance. The Contractor shall provide sufficient materials, equipment, and labor to guarantee the completion of the project in accordance with the plans and specifications within the time set forth in the proposal. If the Contractor falls significantly behind the submitted schedule, the Contractor shall, upon the RPR's request, submit a revised schedule for completion of the work within the contract time and modify their operations to provide such additional materials, equipment, and labor necessary to meet the revised schedule. Should the execution of the work be discontinued for any reason, the Contractor shall notify the RPR at least [ 24 hours ] in advance of resuming operations. The Contractor shall not commence any actual construction prior to the date on which the NTP is issued by the Owner. [ The project schedule shall be prepared as a network diagram in Critical Path Method (CPM), Program Evaluation and Review Technique (PERT), or other format, or as otherwise specified. It shall include information on the sequence of work activities, milestone dates, and activity duration. The schedule shall show all work items identified in the project proposal for each work area and shall include the project start date and end date. ] For projects over $500,000, insert the above bracketed language edited for project specific scheduling requirements. The Contractor shall maintain the work schedule and provide an update and analysis of the progress schedule on a [ twice ] monthly basis, or as otherwise specified in the contract. Submission of the work schedule shall not relieve the Contractor of overall responsibility for scheduling, sequencing, and coordinating all work to comply with the requirements of the contract. In general, it is important that the Owner issue the NTP for Airport Improvement Program (AIP) contracts because any actual construction work, performed prior to the execution of a grant agreement, (between the Owner and the FAA) may be ineligible for FAA participation in its cost. Check with the FAA for exceptions. 80-04 Limitation of operations. The Contractor shall control their operations and the operations of their subcontractors and all suppliers to provide for the free and unobstructed movement of aircraft in the air operations areas (AOA) of the airport. When the work requires the Contractor to conduct their operations within an AOA of the airport, the work shall be coordinated with airport operations (through the RPR) at least[ 48 hours ] prior to commencement of such work. The Contractor shall not close an AOA until so authorized by the RPR and Section 80 Execution and Progress 46 12/21/2018 AC 150/5370-1OH until the necessary temporary marking, signage and associated lighting is in place as provided in Section 70, paragraph 70-08, Construction Safety and Phasing Plan (CSPP). When the contract work requires the Contractor to work within an AOA of the airport on an intermittent basis (intermittent opening and closing of the AOA), the Contractor shall maintain constant communications as specified; immediately obey all instructions to vacate the AOA; and immediately obey all instructions to resume work in such AOA. Failure to maintain the specified communications or to obey instructions shall be cause for suspension of the Contractor's operations in the AOA until satisfactory conditions are provided. The areas of the AOA identified in the Construction Safety Phasing Plan (CSPP) and as listed below, cannot be closed to operating aircraft to permit the Contractor's operations on a continuous basis and will therefore be closed to aircraft operations intermittently as follows: The Engineer shall identify areas of the AOA that cannot be closed to operating aircraft to permit the Contractor's operations on a continuous basis. As a minimum, the following information is required for each area: • AOA • Time periods AOA can be closed • Type of communication(s) required when working in an AOA • Control authority including driver training and/or safety training It is intended that the contract provisions which limit the Contractor's operations be specified for all AOA of the airport that are not intended to be closed to permit continuous construction operations. These contract provisions vary widely from airport to airport and require careful coordination (during the early stages of designing the work) with the Owner, FAA, and the users of the airport. Advisory circular (AC) 150/5370-12, Quality Management for Federally Funded Airport Construction Projects, contains additional information on this subject. The Engineer should include a section on airport safety in the bid documents that has, as a minimum, the information contained in AC 150/5370-2, Operational Safety on Airports During Construction; the Construction Safety and Phasing Plan (CSPP); and any additional requirements as a result of a Safety Risk Management (SRM) review, if required. The Contractor shall be required to conform to safety standards contained in AC 150/5370-2, Operational Safety on Airports During Construction and the approved CSPP. 80-04.1 Operational safety on airport during construction. All Contractors' operations shall be conducted in accordance with the approved project Construction Safety and Phasing Plan (CSPP) and the Safety Plan Compliance Document (SPCD) and the provisions set forth within the current version of AC 150/5370-2, Operational Safety on Airports During Construction. The CSPP included within the contract documents conveys minimum requirements for operational safety on the airport during construction activities. The Contractor shall prepare and submit a SPCD that details how it proposes to comply with the requirements presented within the CSPP. Section 80 Execution and Progress 47 12/21/2018 AC 150/5370-1OH The Contractor shall implement all necessary safety plan measures prior to commencement of any work activity. The Contractor shall conduct routine checks to assure compliance with the safety plan measures. The Contractor is responsible to the Owner for the conduct of all subcontractors it employs on the project. The Contractor shall assure that all subcontractors are made aware of the requirements of the CSPP and SPCD and that they implement and maintain all necessary measures. No deviation or modifications may be made to the approved CSPP and SPCD unless approved in writing by the Owner. The necessary coordination actions to review Contractor proposed modifications to an approved CSPP or approved SPCD can require a significant amount of time. The Owner must coordinate any changes to the CSPP with the FAA. 80-05 Character of workers, methods, and equipment. The Contractor shall, at all times, employ sufficient labor and equipment for prosecuting the work to full completion in the manner and time required by the contract, plans, and specifications. All workers shall have sufficient skill and experience to perform properly the work assigned to them. Workers engaged in special work or skilled work shall have sufficient experience in such work and in the operation of the equipment required to perform the work satisfactorily. Any person employed by the Contractor or by any subcontractor who violates any operational regulations or operational safety requirements and, in the opinion of the RPR, does not perform his work in a proper and skillful manner or is intemperate or disorderly shall, at the written request of the RPR, be removed immediately by the Contractor or subcontractor employing such person, and shall not be employed again in any portion of the work without approval of the RPR. Should the Contractor fail to remove such person or persons, or fail to furnish suitable and sufficient personnel for the proper execution of the work, the RPR may suspend the work by written notice until compliance with such orders. All equipment that is proposed to be used on the work shall be of sufficient size and in such mechanical condition as to meet requirements of the work and to produce a satisfactory quality of work. Equipment used on any portion of the work shall not cause injury to previously completed work, adjacent property, or existing airport facilities due to its use. When the methods and equipment to be used by the Contractor in accomplishing the work are not prescribed in the contract, the Contractor is free to use any methods or equipment that will accomplish the work in conformity with the requirements of the contract, plans, and specifications. When the contract specifies the use of certain methods and equipment, such methods and equipment shall be used unless otherwise authorized by the RPR. If the Contractor desires to use a method or type of equipment other than specified in the contract, the Contractor may request authority from the RPR to do so. The request shall be in writing and shall include a full description of the methods and equipment proposed and of the reasons for desiring to make the change. If approval is given, it will be on the condition that the Contractor will be fully responsible for producing work in conformity with contract requirements. If, after trial use of the substituted methods or equipment, the RPR determines that the work produced does not meet contract requirements, the Contractor shall discontinue the use of the substitute method or equipment and shall complete the remaining work with the specified methods and equipment. The Contractor shall remove any deficient work and replace it with work of specified quality, or take such other corrective action as the RPR may direct. No change will be made in basis of payment for the Section 80 Execution and Progress 48 12/21/2018 AC 150/5370-1OH contract items involved nor in contract time as a result of authorizing a change in methods or equipment under this paragraph. 80-06 Temporary suspension of the work. The Owner shall have the authority to suspend the work wholly, or in part, for such period or periods the Owner may deem necessary, due to unsuitable weather, or other conditions considered unfavorable for the execution of the work, or for such time necessary due to the failure on the part of the Contractor to carry out orders given or perform any or all provisions of the contract. In the event that the Contractor is ordered by the Owner, in writing, to suspend work for some unforeseen cause not otherwise provided for in the contract and over which the Contractor has no control, the Contractor may be reimbursed for actual money expended on the work during the period of shutdown. No allowance will be made for anticipated profits. The period of shutdown shall be computed from the effective date of the written order to suspend work to the effective date of the written order to resume the work. Claims for such compensation shall be filed with the RPR within the time period stated in the RPR's order to resume work. The Contractor shall submit with their own claim information substantiating the amount shown on the claim. The RPR will forward the Contractor's claim to the Owner for consideration in accordance with local laws or ordinances. No provision of this article shall be construed as entitling the Contractor to compensation for delays due to inclement weather or for any other delay provided for in the contract, plans, or specifications. If it becomes necessary to suspend work for an indefinite period, the Contractor shall store all materials in such manner that they will not become an obstruction nor become damaged in any way. The Contractor shall take every precaution to prevent damage or deterioration of the work performed and provide for normal drainage of the work. The Contractor shall erect temporary structures where necessary to provide for traffic on, to, or from the airport. 80-07 Determination and extension of contract time. The[ number of calendar days ] [ the number of working days ] [ completion date ] shall be stated in the proposal and contract and shall be known as the Contract Time. If the contract time requires extension for reasons beyond the Contractor's control, it shall be adjusted as follows: 80-07.1[ Contract time based on working days. Contract time based on working days shall be calculated weekly by the Resident Project Representative (RPR). The RPR will furnish the Contractor a copy of their weekly statement of the number of working days charged against the contract time during the week and the number of working days currently specified for completion of the contract (the original contract time plus the number of working days, if any, that have been included in approved Change Orders or Supplemental Agreements covering Extra Work). The weekly statement of contract time charged is based on the following considerations: (1) Time will be charged for days on which the Contractor could proceed with scheduled work under construction at the time for at least six (6) hours with the normal work force employed on such items. When normal work force is a double -shift, use 12 hours; and when the normal work force is on a triple -shift, use 18 hours. Conditions beyond the Contractor's control such as strikes, lockouts, unusual delays in transportation, temporary suspension of the scheduled work items under construction or temporary suspension of the entire work Section 80 Execution and Progress 49 12/21/2018 AC 150/5370-1OH which have been ordered by the Owner for reasons not the fault of the Contractor, shall not be charged against the contract time. (2) The RPR will not make charges against the contract time prior to the effective date of the notice to proceed. (3) The RPR will begin charges against the contract time on the first working day after the effective date of the notice to proceed. (4) The RPR will not make charges against the contract time after the date of final acceptance as defined in Section 50, paragraph 50- 14, Final Acceptance. (5) The Contractor will be allowed one (1) week in which to file a written protest setting forth their own objections to the RPR's weekly statement. If no objection is filed within such specified time, the weekly statement shall be considered as acceptable to the Contractor. The contract time (stated in the proposal) is based on the originally estimated quantities as described in the Section 20, paragraph 20-05, Interpretation of Estimated Proposal Quantities. Should the satisfactory completion of the contract require performance of work in greater quantities than those estimated in the proposal, the contract time shall be increased in the same proportion as the cost of the actually completed quantities bears to the cost of the originally estimated quantities in the proposal. Such increase in contract time shall not consider either the cost of work or the extension of contract time that has been covered by change order or supplemental agreement and shall be made at the time of final payment. ] For working day contracts, Engineer should include normal monthly weather information for the project location that bidders must take into account when preparing its proposal. As appropriate, the Engineer may include drying days. Unusually severe weather must actually cause a delay to the completion of the project. The delay must be beyond the control and without the fault or negligence of the Contractor. [ Contract time based on calendar days. Contract Time based on calendar days shall consist of the number of calendar days stated in the contract counting from the effective date of the Notice to Proceed and including all Saturdays, Sundays, holidays, and non -work days. All calendar days elapsing between the effective dates of the Owner's orders to suspend and resume all work, due to causes not the fault of the Contractor, shall be excluded. At the time of final payment, the contract time shall be increased in the same proportion as the cost of the actually completed quantities bears to the cost of the originally estimated quantities in the proposal. Such increase in the contract time shall not consider either cost of work or the extension of contract time that has been Section 80 Execution and Progress 50 12/21/2018 AC 150/5370-1OH covered by a change order or supplemental agreement. Charges against the contract time will cease as of the date of final acceptance. ] [ Contract time based on specific completion date. When the contract time is a specified completion date, it shall be the date on which all contract work shall be substantially complete. If the Contractor finds it impossible for reasons beyond their own control to complete the work within the contract time as specified, or as extended in accordance with the provisions of this paragraph, the Contractor may, at any time prior to the expiration of the contract time as extended, make a written request to the Owner for an extension of time setting forth the reasons which the Contractor believes will justify the granting of their own request. Requests for extension of time, caused by inclement weather, shall be supported with National Weather Bureau data showing the actual amount of inclement weather exceeded what could normally be expected during the contract period. The Contractor's plea that insufficient time was specified is not a valid reason for extension of time. If the supporting documentation justify the work was delayed because of conditions beyond the control and without the fault of the Contractor, the Owner may extend the time for completion by a change order that adjusts the contract time or completion date. The extended time for completion shall then be in full force and effect, the same as though it were the original time for completion. ] Select the appropriate method identifying contract time for the contract. 80-08 Failure to complete on time. For each calendar day or working day, as specified in the contract, that any work remains uncompleted after the contract time (including all extensions and adjustments as provided in paragraph 80-07, Determination and Extension of Contract Time) the sum specified in the contract and proposal as liquidated damages (LD) will be deducted from any money due or to become due the Contractor or their own surety. Such deducted sums shall not be deducted as a penalty but shall be considered as liquidation of a reasonable portion of damages including but not limited to additional engineering services that will be incurred by the Owner should the Contractor fail to complete the work in the time provided in their contract. Schedule Liquidated Damages Cost Allowed Construction Time The Engineer should list the liquidated damages cost and allowed construction time in the proposal form or other appropriate contract document to clarify when more than one schedule of work is bid, or in the event all schedules bid cannot be Section 80 Execution and Progress 51 12/21/2018 AC 150/5370-1OH awarded. If LD's are listed elsewhere in the contract, provide the cross-reference link. The amount of the liquidated damages should not be unreasonable, excessive, or punitive. Liquidated damages must reflect a reasonable estimate of the actual costs which will be incurred by the Owner and users of the airport and must not be punitive. An excessive value for liquidated damages may not be enforceable. The maximum construction time allowed for Schedules [_] will be the sum of the time allowed for individual schedules but not more than [_] days. Permitting the Contractor to continue and finish the work or any part of it after the time fixed for its completion, or after the date to which the time for completion may have been extended, will in no way operate as a wavier on the part of the Owner of any of its rights under the contract. The Engineer shall modify this paragraph for each project. The contract time is an essential part of each contract for construction on airports and should be considered carefully in the preparation of plans and specifications. In selecting the method of specifying the contract time (working days, calendar days, or a specified completion date), the primary consideration should be the impact on the operations of the airport should the Contractor be unable to complete the work within the time specified. These considerations should be coordinated with the airport users as indicated in AC 150/5370-12, Quality Management for Federally Funded Airport Construction Projects. The amount of liquidated damages to be specified should be tailored to each contract and should be based on the cost per day incurred by the Owner should the Contractor overrun the contract time. For large airports (where the impact on airport operations may be great), it is not practical for the Owner to attempt to recover all loss of revenue through liquidated damages. Consequently, the amount of liquidated damages specified must be balanced somewhere between the cost per day incurred for a time overrun and the cost that bidders would have to add to their bids to cover the contingency of a time overrun. Generally speaking, contract time is based on working days when completion is not critical to operation of the airport. As the impact on airport operations increases, the use of calendar days will give more control. Use of a specified completion date should be used only in cases where the construction operations require long-range rescheduling of airport operations. Also, generally speaking, the amount of liquidated damages would be greater for a calendar day contract than for a working day contract and would be greatest for a specified completion date contract. 80-09 Default and termination of contract. The Contractor shall be considered in default of their contract and such default will be considered as cause for the Owner to terminate the contract for any of the following reasons, if the Contractor: a. Fails to begin the work under the contract within the time specified in the Notice to Proceed, or Section 80 Execution and Progress 52 12/21/2018 AC 150/5370-1OH b. Fails to perform the work or fails to provide sufficient workers, equipment and/or materials to assure completion of work in accordance with the terms of the contract, or c. Performs the work unsuitably or neglects or refuses to remove materials or to perform anew such work as may be rejected as unacceptable and unsuitable, or d. Discontinues the execution of the work, or e. Fails to resume work which has been discontinued within a reasonable time after notice to do so, or f. Becomes insolvent or is declared bankrupt, or commits any act of bankruptcy or insolvency, or g. Allows any final judgment to stand against the Contractor unsatisfied for a period of 10 days, or h. Makes an assignment for the benefit of creditors, or i. For any other cause whatsoever, fails to carry on the work in an acceptable manner. Should the Owner consider the Contractor in default of the contract for any reason above, the Owner shall immediately give written notice to the Contractor and the Contractor's surety as to the reasons for considering the Contractor in default and the Owner's intentions to terminate the contract. If the Contractor or surety, within a period of 10 days after such notice, does not proceed in accordance therewith, then the Owner will, upon written notification from the RPR of the facts of such delay, neglect, or default and the Contractor's failure to comply with such notice, have full power and authority without violating the contract, to take the execution of the work out of the hands of the Contractor. The Owner may appropriate or use any or all materials and equipment that have been mobilized for use in the work and are acceptable and may enter into an agreement for the completion of said contract according to the terms and provisions thereof, or use such other methods as in the opinion of the RPR will be required for the completion of said contract in an acceptable manner. All costs and charges incurred by the Owner, together with the cost of completing the work under contract, will be deducted from any monies due or which may become due the Contractor. If such expense exceeds the sum which would have been payable under the contract, then the Contractor and the surety shall be liable and shall pay to the Owner the amount of such excess. 80-10 Termination for national emergencies. The Owner shall terminate the contract or portion thereof by written notice when the Contractor is prevented from proceeding with the construction contract as a direct result of an Executive Order of the President with respect to the execution of war or in the interest of national defense. When the contract, or any portion thereof, is terminated before completion of all items of work in the contract, payment will be made for the actual number of units or items of work completed at the contract price or as mutually agreed for items of work partially completed or not started. No claims or loss of anticipated profits shall be considered. Reimbursement for organization of the work, and other overhead expenses, (when not otherwise included in the contract) and moving equipment and materials to and from the job will be considered, the intent being that an equitable settlement will be made with the Contractor. Acceptable materials, obtained or ordered by the Contractor for the work and that are not incorporated in the work shall, at the option of the Contractor, be purchased from the Contractor at actual cost as shown by receipted bills and actual cost records at such points of delivery as may be designated by the RPR. Termination of the contract or a portion thereof shall neither relieve the Contractor of their responsibilities for the completed work nor shall it relieve their surety of its obligation for and concerning any just claim arising out of the work performed. Section 80 Execution and Progress 53 12/21/2018 AC 150/5370-1OH 80-11 Work area, storage area and sequence of operations. The Contractor shall obtain approval from the RPR prior to beginning any work in all areas of the airport. No operating runway, taxiway, or air operations area (AOA) shall be crossed, entered, or obstructed while it is operational. The Contractor shall plan and coordinate work in accordance with the approved CSPP and SPCD. END OF SECTION 80 Section 80 Execution and Progress 54 12/21/2018 AC 150/5370-1OH Section 90 Measurement and Payment 90-01 Measurement of quantities. All work completed under the contract will be measured by the RPR, or their authorized representatives, using[ United States Customary Units of Measurement ][ the International System of Units ]. The method of measurement and computations to be used in determination of quantities of material furnished and of work performed under the contract will be those methods generally recognized as conforming to good engineering practice. Unless otherwise specified, longitudinal measurements for area computations will be made horizontally, and no deductions will be made for individual fixtures (or leave -outs) having an area of 9 square feet (0.8 square meters) or less. Unless otherwise specified, transverse measurements for area computations will be the neat dimensions shown on the plans or ordered in writing by the RPR. Unless otherwise specified, all contract items which are measured by the linear foot such as electrical ducts, conduits, pipe culverts, underdrains, and similar items shall be measured parallel to the base or foundation upon which such items are placed. The term "lump sum" when used as an item of payment will mean complete payment for the work described in the contract. When a complete structure or structural unit (in effect, "lump sum" work) is specified as the unit of measurement, the unit will be construed to include all necessary fittings and accessories. When requested by the Contractor and approved by the RPR in writing, material specified to be measured by the cubic yard (cubic meter) may be weighed, and such weights will be converted to cubic yards (cubic meters) for payment purposes. Factors for conversion from weight measurement to volume measurement will be determined by the RPR and shall be agreed to by the Contractor before such method of measurement of pay quantities is used. Measurement and Payment Terms Term Description Excavation and In computing volumes of excavation, the average end area method will be used Embankment unless otherwise specified. Volume Measurement and The term "ton" will mean the short ton consisting of 2,000 pounds (907 km) Proportion by avoirdupois. All materials that are measured or proportioned by weights shall be Weight weighed on accurate, independently certified scales by competent, qualified personnel at locations designated by the RPR. If material is shipped by rail, the car weight may be accepted provided that only the actual weight of material is paid for. However, car weights will not be acceptable for material to be passed through mixing plants. Trucks used to haul material being paid for by weight shall be weighed empty daily at such times as the RPR directs, and each truck shall bear a plainly legible identification mark. Section 90 Measurement and Payment 55 12/21/2018 AC 150/5370-1OH Term Description Measurement by Materials to be measured by volume in the hauling vehicle shall be hauled in Volume approved vehicles and measured therein at the point of delivery. Vehicles for this purpose may be of any size or type acceptable for the materials hauled, provided that the body is of such shape that the actual contents may be readily and accurately determined. All vehicles shall be loaded to at least their water level capacity, and all loads shall be leveled when the vehicles arrive at the point of delivery. Asphalt Material Asphalt materials will be measured by the gallon (liter) or ton (kg). When measured by volume, such volumes will be measured at 60°F (16°C) or will be corrected to the volume at 60°F (16°C) using ASTM D1250 for asphalts. Net certified scale weights or weights based on certified volumes in the case of rail shipments will be used as a basis of measurement, subject to correction when asphalt material has been lost from the car or the distributor, wasted, or otherwise not incorporated in the work. When asphalt materials are shipped by truck or transport, net certified weights by volume, subject to correction for loss or foaming, will be used for computing quantities. Cement Cement will be measured by the ton (kg) or hundredweight (km). Structure Structures will be measured according to neat lines shown on the plans or as altered to fit field conditions. Timber Timber will be measured by the thousand feet board measure (MFBM) actually incorporated in the structure. Measurement will be based on nominal widths and thicknesses and the extreme length of each piece. Plates and Sheets The thickness of plates and galvanized sheet used in the manufacture of corrugated metal pipe, metal plate pipe culverts and arches, and metal cribbing will be specified and measured in decimal fraction of inch. Miscellaneous When standard manufactured items are specified such as fence, wire, plates, Items rolled shapes, pipe conduit, etc., and these items are identified by gauge, unit weight, section dimensions, etc., such identification will be considered to be nominal weights or dimensions. Unless more stringently controlled by tolerances in cited specifications, manufacturing tolerances established by the industries involved will be accepted. Scales Scales must be tested for accuracy and serviced before use. Scales for weighing materials which are required to be proportioned or measured and paid for by weight shall be furnished, erected, and maintained by the Contractor, or be certified permanently installed commercial scales. Platform scales shall be installed and maintained with the platform level and rigid bulkheads at each end. Scales shall be accurate within 0.5% of the correct weight throughout the range of use. The Contractor shall have the scales checked under the observation of the RPR before beginning work and at such other times as requested. The intervals shall be uniform in spacing throughout the graduated or marked length of the beam or dial and shall not exceed 0.1 % of the nominal rated capacity of the Section 90 Measurement and Payment 56 12/21/2018 AC 150/5370-1OH Term Description scale, but not less than one pound (454 grams). The use of spring balances will not be permitted. In the event inspection reveals the scales have been "overweighing" (indicating more than correct weight) they will be immediately adjusted. All materials received subsequent to the last previous correct weighting -accuracy test will be reduced by the percentage of error in excess of 0.5%. In the event inspection reveals the scales have been under -weighing (indicating less than correct weight), they shall be immediately adjusted. No additional payment to the Contractor will be allowed for materials previously weighed and recorded. Beams, dials, platforms, and other scale equipment shall be so arranged that the operator and the RPR can safely and conveniently view them. Scale installations shall have available ten standard 50-pound (2.3 km) weights for testing the weighing equipment or suitable weights and devices for other approved equipment. All costs in connection with furnishing, installing, certifying, testing, and maintaining scales; for furnishing check weights and scale house; and for all other items specified in this subsection, for the weighing of materials for proportioning or payment, shall be included in the unit contract prices for the various items of the project. Rental Equipment Rental of equipment will be measured by time in hours of actual working time and necessary traveling time of the equipment within the limits of the work. Special equipment ordered in connection with extra work will be measured as agreed in the change order or supplemental agreement authorizing such work as provided in paragraph 90-05 Payment for Extra Work. Pay Quantities When the estimated quantities for a specific portion of the work are designated as the pay quantities in the contract, they shall be the final quantities for which payment for such specific portion of the work will be made, unless the dimensions of said portions of the work shown on the plans are revised by the RPR. If revised dimensions result in an increase or decrease in the quantities of such work, the final quantities for payment will be revised in the amount represented by the authorized changes in the dimensions. 90-02 Scope of payment. The Contractor shall receive and accept compensation provided for in the contract as full payment for furnishing all materials, for performing all work under the contract in a complete and acceptable manner, and for all risk, loss, damage, or expense of whatever character arising out of the nature of the work or the execution thereof, subject to the provisions of Section 70, paragraph 70-18, No Waiver of Legal Rights. When the "basis of payment" subsection of a technical specification requires that the contract price (price bid) include compensation for certain work or material essential to the item, this same work or material will not also be measured for payment under any other contract item which may appear elsewhere in the contract, plans, or specifications. 90-03 Compensation for altered quantities. When the accepted quantities of work vary from the quantities in the proposal, the Contractor shall accept as payment in full, so far as contract items are Section 90 Measurement and Payment 57 12/21/2018 AC 150/5370-1OH concerned, payment at the original contract price for the accepted quantities of work actually completed and accepted. No allowance, except as provided for in Section 40, paragraph 40-02, Alteration of Work and Quantities, will be made for any increased expense, loss of expected reimbursement, or loss of anticipated profits suffered or claimed by the Contractor which results directly from such alterations or indirectly from their own unbalanced allocation of overhead and profit among the contract items, or from any other cause. 90-04 Payment for omitted items. As specified in Section 40, paragraph 40-03, Omitted Items, the RPR shall have the right to omit from the work (order nonperformance) any contract item, except major contract items, in the best interest of the Owner. Should the RPR omit or order nonperformance of a contract item or portion of such item from the work, the Contractor shall accept payment in full at the contract prices for any work actually completed and acceptable prior to the RPR's order to omit or non -perform such contract item. Acceptable materials ordered by the Contractor or delivered on the work prior to the date of the RPR's order will be paid for at the actual cost to the Contractor and shall thereupon become the property of the Owner. In addition to the reimbursement hereinbefore provided, the Contractor shall be reimbursed for all actual costs incurred for the purpose of performing the omitted contract item prior to the date of the RPR's order. Such additional costs incurred by the Contractor must be directly related to the deleted contract item and shall be supported by certified statements by the Contractor as to the nature the amount of such costs. 90-05 Payment for extra work. Extra work, performed in accordance with Section 40, paragraph 40-04, Extra Work, will be paid for at the contract prices or agreed prices specified in the change order or supplemental agreement authorizing the extra work. 90-06 Partial payments. Partial payments will be made to the Contractor at least once each month as the work progresses. Said payments will be based upon estimates, prepared by the RPR, of the value of the work performed and materials complete and in place, in accordance with the contract, plans, and specifications. Such partial payments may also include the delivered actual cost of those materials stockpiled and stored in accordance with paragraph 90-07, Payment for Materials on Hand. No partial payment will be made when the amount due to the Contractor since the last estimate amounts to less than five hundred dollars. [ Insert retainage option here. ] The Owner has three options in determining whether retainage will be withheld on the project. The Owner must insert the clauses for the option that applies and delete the clauses for the other two options. Proper use of this language assists with meeting the requirements of 49 CFR § 26.29. Option 1: The Owner may decline to hold retainage from prime Contractors and prohibit prime Contractors from holding retainage from subcontractors. Insert this clause if Option 1 is selected: a. Retainage will not be withheld on this project. No retainage will be withheld by the Owner from progress payments due the prime Contractor. Retainage by the prime or subcontractors is prohibited, and no retainage will be held by the prime from progress due subcontractors. Section 90 Measurement and Payment 58 12/21/2018 AC 150/5370-1OH b. The Contractor is required to pay all subcontractors for satisfactory performance of their contracts no later than 30 days after the Contractor has received a partial payment. A subcontractor's work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the Owner. When the Owner has made an incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed. c. When at least 95% of the project work has been completed to the satisfaction of the RPR, the RPR shall, at the Owner's discretion and with the consent of the surety, prepare estimates of both the contract value and the cost of the remaining work to be done. Option 2: The Owner may decline to hold retainage from prime Contractors and require a contract clause obligating prime Contractors to make prompt and full payment of any retainage kept by prime Contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. Insert this clause if Option 2 is selected: a. No retainage will be held by the Owner from progress payments due the prime. b. The Contractor is required to pay all subcontractors for satisfactory performance of their contracts no later than 30 days after the Contractor has received a partial payment. Contractor must provide the Owner evidence of prompt and full payment of retainage held by the prime Contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. A subcontractor's work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the Owner. When the Owner has made an incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed. c. When at least 95% of the project work has been completed to the satisfaction of the RPR, the RPR shall, at the Owner's discretion and with the consent of the surety, prepare estimates of both the contract value and the cost of the remaining work to be done. Option 3: The Owner may hold retainage from prime Contractors and provide for prompt and regular incremental acceptances of portions of the prime contract, pay retainage to prime Contractors based on these acceptances, and require a contract clause obligating the prime Contractor to pay all retainage owed to the subcontractor for satisfactory completion of the accepted work within 30 days after the Owner's payment to the prime Contractor. If Option 3 is selected, the percent withheld may range from 0% to 10% but in no case may it exceed 10%. When establishing a suitable retainage value that protects the Owner's interests, give consideration that the performance and payment bonds also provide similar protection of Owner interests. Owner may elect to incrementally release retainage if owner is satisfied its interest with completion of the project are protected in an adequate manner. If Option 3 is selected, insert the following clause and specify a suitable value where indicated: Section 90 Measurement and Payment 59 12/21/2018 AC 150/5370-1OH a. From the total of the amount determined to be payable on a partial payment, [ insert amount of retainage, not to exceed 10% ] percent of such total amount will be deducted and retained by the Owner for protection of the Owner's interests. Unless otherwise instructed by the Owner, the amount retained by the Owner will be in effect until the final payment is made except as follows: (1) Contractor may request release of retainage on work that has been partially accepted by the Owner in accordance with Section 50-14. Contractor must provide a certified invoice to the RPR that supports the value of retainage held by the Owner for partially accepted work. (2) In lieu of retainage, the Contractor may exercise at its option the establishment of an escrow account per paragraph 90-08. b. The Contractor is required to pay all subcontractors for satisfactory performance of their contracts no later than 30 days after the Contractor has received a partial payment. Contractor must provide the Owner evidence of prompt and full payment of retainage held by the prime Contractor to the subcontractor within 30 days after the subcontractor's work is satisfactorily completed. A subcontractor's work is satisfactorily completed when all the tasks called for in the subcontract have been accomplished and documented as required by the Owner. When the Owner has made an incremental acceptance of a portion of a prime contract, the work of a subcontractor covered by that acceptance is deemed to be satisfactorily completed. c. When at least 95% of the work has been completed to the satisfaction of the RPR, the RPR shall, at the Owner's discretion and with the consent of the surety, prepare estimates of both the contract value and the cost of the remaining work to be done. The Owner may retain an amount not less than twice the contract value or estimated cost, whichever is greater, of the work remaining to be done. The remainder, less all previous payments and deductions, will then be certified for payment to the Contractor. It is understood and agreed that the Contractor shall not be entitled to demand or receive partial payment based on quantities of work in excess of those provided in the proposal or covered by approved change orders or supplemental agreements, except when such excess quantities have been determined by the RPR to be a part of the final quantity for the item of work in question. No partial payment shall bind the Owner to the acceptance of any materials or work in place as to quality or quantity. All partial payments are subject to correction at the time of final payment as provided in paragraph 90-09, Acceptance and Final Payment. The Contractor shall deliver to the Owner a complete release of all claims for labor and material arising out of this contract before the final payment is made. If any subcontractor or supplier fails to furnish such a release in full, the Contractor may furnish a bond or other collateral satisfactory to the Owner to indemnify the Owner against any potential lien or other such claim. The bond or collateral shall include all costs, expenses, and attorney fees the Owner may be compelled to pay in discharging any such lien or claim. Section 90 Measurement and Payment 60 12/21/2018 AC 150/5370-1OH In some areas, release of liens prior to paying the full amount to the prime Contractor may void the contract. In those areas, revise the previous paragraph as required to meet all state and local regulations. 90-07 Payment for materials on hand. Partial payments may be made to the extent of the delivered cost of materials to be incorporated in the work, provided that such materials meet the requirements of the contract, plans, and specifications and are delivered to acceptable sites on the airport property or at other sites in the vicinity that are acceptable to the Owner. Such delivered costs of stored or stockpiled materials may be included in the next partial payment after the following conditions are met: a. The material has been stored or stockpiled in a manner acceptable to the RPR at or on an approved site. b. The Contractor has furnished the RPR with acceptable evidence of the quantity and quality of such stored or stockpiled materials. c. The Contractor has furnished the RPR with satisfactory evidence that the material and transportation costs have been paid. d. The Contractor has furnished the Owner legal title (free of liens or encumbrances of any kind) to the material stored or stockpiled. e. The Contractor has furnished the Owner evidence that the material stored or stockpiled is insured against loss by damage to or disappearance of such materials at any time prior to use in the work. It is understood and agreed that the transfer of title and the Owner's payment for such stored or stockpiled materials shall in no way relieve the Contractor of their responsibility for furnishing and placing such materials in accordance with the requirements of the contract, plans, and specifications. In no case will the amount of partial payments for materials on hand exceed the contract price for such materials or the contract price for the contract item in which the material is intended to be used. No partial payment will be made for stored or stockpiled living or perishable plant materials. The Contractor shall bear all costs associated with the partial payment of stored or stockpiled materials in accordance with the provisions of this paragraph. 90-08 Payment of withheld funds. At the Contractor's option, if an Owner withholds retainage in accordance with the methods described in paragraph 90-06 Partial Payments, the Contractor may request that the Owner deposit the retainage into an escrow account. The Owner's deposit of retainage into an escrow account is subject to the following conditions: a. The Contractor shall bear all expenses of establishing and maintaining an escrow account and escrow agreement acceptable to the Owner. b. The Contractor shall deposit to and maintain in such escrow only those securities or bank certificates of deposit as are acceptable to the Owner and having a value not less than the retainage that would otherwise be withheld from partial payment. c. The Contractor shall enter into an escrow agreement satisfactory to the Owner. d. The Contractor shall obtain the written consent of the surety to such agreement. 90-09 Acceptance and final payment. When the contract work has been accepted in accordance with the requirements of Section 50, paragraph 50-15, Final Acceptance, the RPR will prepare the final estimate of the items of work actually performed. The Contractor shall approve the RPR's final estimate or advise the Section 90 Measurement and Payment 61 12/21/2018 AC 150/5370-1OH RPR of the Contractor's objections to the final estimate which are based on disputes in measurements or computations of the final quantities to be paid under the contract as amended by change order or supplemental agreement. The Contractor and the RPR shall resolve all disputes (if any) in the measurement and computation of final quantities to be paid within 30 calendar days of the Contractor's receipt of the RPR's final estimate. If, after such 30-day period, a dispute still exists, the Contractor may approve the RPR's estimate under protest of the quantities in dispute, and such disputed quantities shall be considered by the Owner as a claim in accordance with Section 50, paragraph 50-16, Claims for Adjustment and Disputes. After the Contractor has approved, or approved under protest, the RPR's final estimate, and after the RPR's receipt of the project closeout documentation required in paragraph 90-11, Contractor Final Project Documentation, final payment will be processed based on the entire sum, or the undisputed sum in case of approval under protest, determined to be due the Contractor less all previous payments and all amounts to be deducted under the provisions of the contract. All prior partial estimates and payments shall be subject to correction in the final estimate and payment. If the Contractor has fled a claim for additional compensation under the provisions of Section 50, paragraph 50-16, Claims for Adjustments and Disputes, or under the provisions of this paragraph, such claims will be considered by the Owner in accordance with local laws or ordinances. Upon final adjudication of such claims, any additional payment determined to be due the Contractor will be paid pursuant to a supplemental final estimate. 90-10 Construction warranty. a. In addition to any other warranties in this contract, the Contractor warrants that work performed under this contract conforms to the contract requirements and is free of any defect in equipment, material, workmanship, or design furnished, or performed by the Contractor or any subcontractor or supplier at any tier. b. This warranty shall continue for a period of one year from the date of final acceptance of the work, except as noted. If the Owner takes possession of any part of the work before final acceptance, this warranty shall continue for a period of one year from the date the Owner takes possession. [ However, this will not relieve the Contractor from corrective items required by the final acceptance of the project work. Light Emitting Diode emitting diode (LED) light fixtures with the exception of obstruction lighting, must be warranted by the manufacturer for a minimum of four (4) years after date of installation inclusive of all electronics. ] [1 Delete LED item if not included in the project. Include any project specific materials that have a greater than one-year warranty period. c. The Contractor shall remedy at the Contractor's expense any failure to conform, or any defect. In addition, the Contractor shall remedy at the Contractor's expense any damage to Owner real or personal property, when that damage is the result of the Contractor's failure to conform to contract requirements; or any defect of equipment, material, workmanship, or design furnished by the Contractor. Section 90 Measurement and Payment 62 12/21/2018 AC 150/5370-1OH d. The Contractor shall restore any work damaged in fulfilling the terms and conditions of this clause. The Contractor's warranty with respect to work repaired or replaced will run for one year from the date of repair or replacement. e. The Owner will notify the Contractor, in writing, within[ seven (7) ] days after the discovery of any failure, defect, or damage. f. If the Contractor fails to remedy any failure, defect, or damage within [ 14 ] days after receipt of notice, the Owner shall have the right to replace, repair, or otherwise remedy the failure, defect, or damage at the Contractor's expense. g. With respect to all warranties, express or implied, from subcontractors, manufacturers, or suppliers for work performed and materials furnished under this contract, the Contractor shall: (1) Obtain all warranties that would be given in normal commercial practice; (2) Require all warranties to be executed, in writing, for the benefit of the Owner, as directed by the Owner, and (3) Enforce all warranties for the benefit of the Owner. h. This warranty shall not limit the Owner's rights with respect to latent defects, gross mistakes, or fraud. Notification times in Items a and f may be changed to meet specific project requirements. Airport Improvement Program (AIP) will not typically participate in extended warranties beyond one (1) year. Note that Engineering Brief (EB) #67, Light Sources Other than Incandescent and Xenon for Airport and Obstruction Lighting Fixtures, requires that all light - emitting diode (LED) light fixtures with the exception of obstruction lighting, (advisory circular (AC) 150/5345-43) must be warranted by the manufacturer for a minimum of four (4) years after date of installation inclusive of all electronics. It is recommended the Owner and Engineer perform a warranty inspection with the Contractor approximately three (3) months before the end of the one year warranty period. 90-11 Contractor Final Project Documentation. Approval of final payment to the Contractor is contingent upon completion and submittal of the items listed below. The final payment will not be approved until the RPR approves the Contractor's final submittal. The Contractor shall: a. Provide two (2) copies of all manufacturers warranties specified for materials, equipment, and installations. b. Provide weekly payroll records (not previously received) from the general Contractor and all subcontractors. c. Complete final cleanup in accordance with Section 40, paragraph 40-08, Final Cleanup. d. Complete all punch list items identified during the Final Inspection. e. Provide complete release of all claims for labor and material arising out of the Contract. f. Provide a certified statement signed by the subcontractors, indicating actual amounts paid to the Disadvantaged Business Enterprise (DBE) subcontractors and/or suppliers associated with the project. Section 90 Measurement and Payment 63 12/21/2018 AC 150/5370-1OH g. When applicable per state requirements, return copies of sales tax completion forms. h. Manufacturer's certifications for all items incorporated in the work. i. All required record drawings, as -built drawings or as -constructed drawings. j. Project Operation and Maintenance (O&M) Manual(s). k. Security for Construction Warranty. 1. Equipment commissioning documentation submitted, if required. [—1 Additional items may be added as necessary to address State requirements and specific project requirements. The intent of this section is to withhold final project payment until all necessary paperwork, project work, and cleanup of work/staging areas have been completed. END OF SECTION 90 Section 90 Measurement and Payment 64 12/21/2018 AC 150/5370-1OH Part 2 — General Construction Items Item C-100 Contractor Quality Control Program (CQCP) It is strongly encouraged that a Contractor Quality Control Program (CQCP) be developed for all projects. All federally funded projects over $500K dollars where paving is the major work item must have a CQCP. The intent of the CQCP is to ensure that quality of materials and production is monitored to be within acceptance limits and that as soon as materials or production processes vary beyond pre -established limits that the Contractor implements corrective action plans. Rather than waiting to develop the corrective action plan after the problem is identified it is preferable to implement a preapproved plan. In addition, the purpose of the CQCP is to ensure that Contractor Quality Control (CQC) personnel are coordinating with owners Quality Assurance (QA) personnel throughout the project, not just when disputes arise. QA is the Owner's responsibility to assure payment is only for acceptable work. 100-1 General. Quality is more than test results. Quality is the combination of proper materials, testing, workmanship, equipment, inspection, and documentation of the project. Establishing and maintaining a culture of quality is key to achieving a quality project. The Contractor shall establish, provide, and maintain an effective Contractor Quality Control Program (CQCP) that details the methods and procedures that will be taken to assure that all materials and completed construction required by this contract conform to contract plans, technical specifications and other requirements, whether manufactured by the Contractor, or procured from subcontractors or vendors. Although guidelines are established and certain minimum requirements are specified here and elsewhere in the contract technical specifications, the Contractor shall assume full responsibility for accomplishing the stated purpose. The Contractor shall establish a CQCP that will: a. Provide qualified personnel to develop and implement the CQCP. b. Provide for the production of acceptable quality materials. c. Provide sufficient information to assure that the specification requirements can be met. d. Document the CQCP process. The Contractor shall not begin any construction or production of materials to be incorporated into the completed work until the CQCP has been reviewed and approved by the Resident Project Representative (RPR). No partial payment will be made for materials subject to specific quality control (QC) requirements until the CQCP has been reviewed and approved. The QC requirements contained in this section and elsewhere in the contract technical specifications are in addition to and separate from the quality assurance (QA) testing requirements. QA testing requirements are the responsibility of the RPR or Contractor as specified in the specifications. A Quality Control (QC)/Quality Assurance (QA) workshop with the Engineer, Resident Project Representative (RPR), Contractor, subcontractors, testing laboratories, and Owner's representative must Item C-100 Contractor Quality Control Program (CQCP) 65 12/21/2018 AC 150/5370-1OH be held prior to start of construction. The QC/QA workshop will be facilitated by the Contractor. The Contractor shall coordinate with the Airport and the RPR on time and location of the QC/QA workshop. Items to be addressed, at a minimum, will include: a. Review of the CQCP including submittals, QC Testing, Action & Suspension Limits for Production, Corrective Action Plans, Distribution of QC reports, and Control Charts. b. Discussion of the QA program. c. Discussion of the QC and QA Organization and authority including coordination and information exchange between QC and QA. d. Establish regular meetings to discuss control of materials, methods and testing. e. Establishment of the overall QC culture. 100-2 Description of program. a. General description. The Contractor shall establish a CQCP to perform QC inspection and testing of all items of work required by the technical specifications, including those performed by subcontractors. The CQCP shall ensure conformance to applicable specifications and plans with respect to materials, off - site fabrication, workmanship, construction, finish, and functional performance. The CQCP shall be effective for control of all construction work performed under this Contract and shall specifically include surveillance and tests required by the technical specifications, in addition to other requirements of this section and any other activities deemed necessary by the Contractor to establish an effective level of QC. b. Contractor Quality Control Program (CQCP). The Contractor shall describe the CQCP in a written document that shall be reviewed and approved by the RPR prior to the start of any production, construction, or off -site fabrication. The written CQCP shall be submitted to the RPR for review and approval at least [ 10 ] calendar days before the CQCP Workshop. The Contractor's CQCP and QC testing laboratory must be approved in writing by the RPR prior to the Notice to Proceed (NTP). The Engineer should choose an adequate period for review. Submittal of the written CQCP will allow the Engineer to review the contents and make suggestions prior to the CQCP Workshop. Submittal of the written CQCP prior to the start of work will allow for detailed discussion of the requirements before the NTP is issued. When selecting the required days for the Contractor to submit the CQCP, adequate time should be allowed for the CQCP to be a supplement to the Owner's Construction Management Plan (CMP). The CQCP shall be organized to address, as a minimum, the following: 1. QC organization and resumes of key staff 2. Project progress schedule 3. Submittals schedule 4. Inspection requirements 5. QC testing plan 6. Documentation of QC activities and distribution of QC reports Item C-100 Contractor Quality Control Program (CQCP) 66 12/21/2018 AC 150/5370-1OH 7. Requirements for corrective action when QC and/or QA acceptance criteria are not met Material quality and construction means and methods. Address all elements applicable to the project that affect the quality of the pavement structure including subgrade, subbase, base, and surface course. Some elements that must be addressed include, but is not limited to mix design, aggregate grading, stockpile management, mixing and transporting, placing and finishing, quality control testing and inspection, smoothness, laydown plan, equipment, and temperature management plan. The Contractor must add any additional elements to the CQCP that is necessary to adequately control all production and/or construction processes required by this contract. 100-3 CQCP organization. The CQCP shall be implemented by the establishment of a QC organization. An organizational chart shall be developed to show all QC personnel, their authority, and how these personnel integrate with other management/production and construction functions and personnel. The organizational chart shall identify all QC staff by name and function, and shall indicate the total staff required to implement all elements of the CQCP, including inspection and testing for each item of work. If necessary, different technicians can be used for specific inspection and testing functions for different items of work. If an outside organization or independent testing laboratory is used for implementation of all or part of the CQCP, the personnel assigned shall be subject to the qualification requirements of paragraphs 100-03a and 100-03b. The organizational chart shall indicate which personnel are Contractor employees and which are provided by an outside organization. The QC organization shall, as a minimum, consist of the following personnel: a. Program Administrator. The Contractor Quality Control Program Administrator (CQCPA) must be a full-time [ on -site ] employee of the Contractor, or a consultant engaged by the Contractor. The CQCPA must have a minimum of five (5) years of experience in QC pavement construction with prior QC experience on a project of comparable size and scope as the contract. Included in the five (5) years of paving/QC experience, the CQCPA must meet at least one of the following requirements: (1) Professional Engineer with one (1) year of airport paving experience. (2) Engineer -in -training with two (2) years of airport paving experience. (3) National Institute for Certification in Engineering Technologies (NICET) Civil Engineering Technology Level IV with three (3) years of airport paving experience. (4) An individual with four (4) years of airport paving experience, with a Bachelor of Science Degree in Civil Engineering, Civil Engineering Technology or Construction. The CQCPA must have full authority to institute any and all actions necessary for the successful implementation of the CQCP to ensure compliance with the contract plans and technical specifications. The CQCPA authority must include the ability to immediately stop production until materials and/or processes are in compliance with contract specifications. The CQCPA must report directly to a principal officer of the construction firm. The CQCPA may supervise the Quality Control Program on more than one project provided that person can be at the job site within two (2) hours after being notified of a problem. If the project is of sufficient scope and size to warrant a full time, on -site CQCPA, modify paragraph 100-03a accordingly. Item C-100 Contractor Quality Control Program (CQCP) 67 12/21/2018 AC 150/5370-1OH b. QC technicians. A sufficient number of QC technicians necessary to adequately implement the CQCP must be provided. These personnel must be either Engineers, engineering technicians, or experienced craftsman with qualifications in the appropriate field equivalent to NICET Level 11 in Civil Engineering Technology or higher, and shall have a minimum of two (2) years of experience in their area of expertise. The QC technicians must report directly to the CQCPA and shall perform the following functions: (1) Inspection of all materials, construction, plant, and equipment for conformance to the technical specifications, and as required by paragraph 100-6. (2) Performance of all QC tests as required by the technical specifications and paragraph100-8. (3) Performance of tests for the RPR when required by the technical specifications. Certification at an equivalent level of qualification and experience by a state or nationally recognized organization will be acceptable in lieu of NICET certification. c. Staffing levels. The Contractor shall provide sufficient qualified QC personnel to monitor each work activity at all times. Where material is being produced in a plant for incorporation into the work, separate plant and field technicians shall be provided at each plant and field placement location. The scheduling and coordinating of all inspection and testing must match the type and pace of work activity. The CQCP shall state where different technicians will be required for different work elements. 100-4 Project progress schedule. Critical QC activities must be shown on the project schedule as required by Section 80, paragraph 80-03, Execution and Progress. 100-5 Submittals schedule. The Contractor shall submit a detailed listing of all submittals (for example, mix designs, material certifications) and shop drawings required by the technical specifications. The listing can be developed in a spreadsheet format and shall include as a minimum: a. Specification item number b. Item description c. Description of submittal d. Specification paragraph requiring submittal e. Scheduled date of submittal 100-6 Inspection requirements. QC inspection functions shall be organized to provide inspections for all definable features of work, as detailed below. All inspections shall be documented by the Contractor as specified by paragraph 100-9. Inspections shall be performed as needed to ensure continuing compliance with contract requirements until completion of the particular feature of work. Inspections shall include the following minimum requirements: a. During plant operation for material production, QC test results and periodic inspections shall be used to ensure the quality of aggregates and other mix components, and to adjust and control mix proportioning to meet the approved mix design and other requirements of the technical specifications. All equipment used in proportioning and mixing shall be inspected to ensure its proper operating condition. The CQCP shall detail how these and other QC functions will be accomplished and used. b. During field operations, QC test results and periodic inspections shall be used to ensure the quality of all materials and workmanship. All equipment used in placing, finishing, and compacting shall be inspected to ensure its proper operating condition and to ensure that all such operations are in conformance to the technical specifications and are within the plan dimensions, lines, grades, and Item C-100 Contractor Quality Control Program (CQCP) 68 12/21/2018 AC 150/5370-1OH tolerances specified. The CQCP shall document how these and other QC functions will be accomplished and used. 100-7 Contractor QC testing facility. a. For projects that include Item P-401, Item P-403, and Item P-404, the Contractor shall ensure facilities, including all necessary equipment, materials, and current reference standards, are provided that meet requirements in the following paragraphs of ASTM D3666, Standard Specification for Minimum Requirements for Agencies Testing and Inspecting Road and Paving Materials: • 8.1.3 Equipment Calibration and Checks; • 8.1.9 Equipment Calibration, Standardization, and Check Records; 8.1.12 Test Methods and Procedures b. For projects that include P-501, the Contractor shall ensure facilities, including all necessary equipment, materials, and current reference standards, are provided that meet requirements in the following paragraphs of ASTM C1077, Standard Practice for Agencies Testing Concrete and Concrete Aggregates for Use in Construction and Criteria for Testing Agency Evaluation: • 7 Test Methods and Procedures 0 8 Facilities, Equipment, and Supplemental Procedures 100-8 QC testing plan. As a part of the overall CQCP, the Contractor shall implement a QC testing plan, as required by the technical specifications. The testing plan shall include the minimum tests and test frequencies required by each technical specification Item, as well as any additional QC tests that the Contractor deems necessary to adequately control production and/or construction processes. The QC testing plan can be developed in a spreadsheet fashion and shall, as a minimum, include the following: a. Specification item number (e.g., P-401) b. Item description (e.g., Hot Mix Asphalt Pavements) c. Test type (e.g., gradation, grade, asphalt content) d. Test standard (e.g., ASTM or American Association of State Highway and Transportation Officials (AASHTO) test number, as applicable) e. Test frequency (e.g., as required by technical specifications or minimum frequency when requirements are not stated) f. Responsibility (e.g., plant technician) g. Control requirements (e.g., target, permissible deviations) The QC testing plan shall contain a statistically -based procedure of random sampling for acquiring test samples in accordance with ASTM D3665. The RPR shall be provided the opportunity to witness QC sampling and testing. All QC test results shall be documented by the Contractor as required by paragraph 100-9. 100-9 Documentation. The Contractor shall maintain current QC records of all inspections and tests performed. These records shall include factual evidence that the required QC inspections or tests have been performed, including type and number of inspections or tests involved; results of inspections or tests; nature of defects, deviations, causes for rejection, etc.; proposed remedial action; and corrective actions taken. Item C-100 Contractor Quality Control Program (CQCP) 69 12/21/2018 AC 150/5370-1OH These records must cover both conforming and defective or deficient features, and must include a statement that all supplies and materials incorporated in the work are in full compliance with the terms of the contract. Legible copies of these records shall be furnished to the RPR daily. The records shall cover all work placed subsequent to the previously furnished records and shall be verified and signed by the CQCPA. Contractor QC records required for the contract shall include, but are not necessarily limited to, the following records: a. Daily inspection reports. Each Contractor QC technician shall maintain a daily log of all inspections performed for both Contractor and subcontractor operations. These technician's daily reports shall provide factual evidence that continuous QC inspections have been performed and shall, as a minimum, include the following: (1) Technical specification item number and description (2) Compliance with approved submittals (3) Proper storage of materials and equipment (4) Proper operation of all equipment (5) Adherence to plans and technical specifications (6) Summary of any necessary corrective actions (7) Safety inspection. [ (8) Photographs and/or video ] The daily inspection reports shall identify all QC inspections and QC tests conducted, results of inspections, location and nature of defects found, causes for rejection, and remedial or corrective actions taken or proposed. The daily inspection reports shall be signed by the responsible QC technician and the CQCPA. The RPR shall be provided at least one copy of each daily inspection report on the work day following the day of record. When QC inspection and test results are recorded and transmitted electronically, the results must be archived. b. Daily test reports. The Contractor shall be responsible for establishing a system that will record all QC test results. Daily test reports shall document the following information: (1) Technical specification item number and description (2) Test designation (3) Location (4) Date of test (5) Control requirements (6) Test results (7) Causes for rejection (8) Recommended remedial actions (9) Retests Test results from each day's work period shall be submitted to the RPR prior to the start of the next day's work period. When required by the technical specifications, the Contractor shall maintain statistical QC charts. When QC daily test results are recorded and transmitted electronically, the results must be archived. 100-10 Corrective action requirements. The CQCP shall indicate the appropriate action to be taken when a process is deemed, or believed, to be out of control (out of tolerance) and detail what action will Item C-100 Contractor Quality Control Program (CQCP) 70 12/21/2018 AC 150/5370-1OH be taken to bring the process into control. The requirements for corrective action shall include both general requirements for operation of the CQCP as a whole, and for individual items of work contained in the technical specifications. The CQCP shall detail how the results of QC inspections and tests will be used for determining the need for corrective action and shall contain clear rules to gauge when a process is out of control and the type of correction to be taken to regain process control. When applicable or required by the technical specifications, the Contractor shall establish and use statistical QC charts for individual QC tests. The requirements for corrective action shall be linked to the control charts. 100-11 Inspection and/or observations by the RPR. All items of material and equipment are subject to inspection and/or observation by the RPR at the point of production, manufacture or shipment to determine if the Contractor, producer, manufacturer or shipper maintains an adequate QC system in conformance with the requirements detailed here and the applicable technical specifications and plans. In addition, all items of materials, equipment and work in place shall be subject to inspection and/or observation by the RPR at the site for the same purpose. Inspection and/or observations by the RPR does not relieve the Contractor of performing QC inspections of either on -site or off -site Contractor's or subcontractor's work. 100-12 Noncompliance. a. The Resident Project Representative (RPR) will provide written notice to the Contractor of any noncompliance with their CQCP. After receipt of such notice, the Contractor must take corrective action. b. When QC activities do not comply with either the CQCP or the contract provisions or when the Contractor fails to properly operate and maintain an effective CQCP, and no effective corrective actions have been taken after notification of non-compliance, the RPR will recommend the Owner take the following actions: and/or (1) Order the Contractor to replace ineffective or unqualified QC personnel or subcontractors (2) Order the Contractor to stop operations until appropriate corrective actions are taken. METHOD OF MEASUREMENT 100-13 Basis of measurement and payment. [Not Used] [Contractor Quality Control Program (CQCP) is for the personnel, tests, facilities and documentation required to implement the CQCP. The CQCP will be paid as a lump sum with the following schedule of partial payments:] [ a. With first pay request, 25% with approval of CQCP and completion of the Quality Control (QC)/Quality Assurance (QA) workshop. b. When 25% or more of the original contract is earned, an additional 25%. c. When 50% or more of the original contract is earned, an additional 20%. d. When 75% or more of the original contract is earned, an additional 20% e. After final inspection and acceptance of project, the final 10%. ] Item C-100 Contractor Quality Control Program (CQCP) 71 12/21/2018 AC 150/5370-1OH The payment schedule and percentages of payment can be altered based on the size and complexity of the project. BASIS OF PAYMENT 100-14 Payment will be made under: [ Item C-100 Contractor Quality Control Program (CQCP) ] REFERENCES The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only. National Institute for Certification in Engineering Technologies (NICET) ASTM International (ASTM) ASTM C 1077 Standard Practice for Agencies Testing Concrete and Concrete Aggregates for Use in Construction and Criteria for Testing Agency Evaluation ASTM D3665 Standard Practice for Random Sampling of Construction Materials ASTM D3666 Standard Specification for Minimum Requirements for Agencies Testing and Inspecting Road and Paving Materials END OF ITEM C-100 Item C-100 Contractor Quality Control Program (CQCP) 72 12/21/2018 AC 150/5370-1OH Item C-102 Temporary Air and Water Pollution, Soil Erosion, and Siltation Control DESCRIPTION The Engineer may add or edit this item as necessary to address any temporary erosion control means and methods required by Federal, state or local authorities. The Engineer shall place all erosion control devices outside the safety areas of active runways or taxiways. All erosion control devices located within a runway safety area must be removed prior to re -activation of the runway or taxiway and upon approval of the RPR. Refer to advisory circular (AC) 150/5200-33, Hazardous Wildlife Attractants on or Near Airports, and the FAA/USDA Wildlife Hazard Management at Airports, A Manual for Airport Personnel, for information on hazardous wildlife attractants. The documents are available at the following website: www.faa. og v/aip2orts/airport_ safety/wildlife/. Coordinate modifications in accordance with Order 5300.1. 102-1. This item shall consist of temporary control measures as shown on the plans or as ordered by the Resident Project Representative (RPR) during the life of a contract to control pollution of air and water, soil erosion, and siltation through the use of silt fences, berms, dikes, dams, sediment basins, fiber mats, gravel, mulches, grasses, slope drains, and other erosion control devices or methods. Temporary erosion control shall be in accordance with the approved erosion control plan; the approved Construction Safety and Phasing Plan (CSPP) and AC 150/5370-2, Operational Safety on Airports During Construction. The temporary erosion control measures contained herein shall be coordinated with the permanent erosion control measures specified as part of this contract to the extent practical to assure economical, effective, and continuous erosion control throughout the construction period. Temporary control may include work outside the construction limits such as borrow pit operations, equipment and material storage sites, waste areas, and temporary plant sites. Temporary control measures shall be designed, installed and maintained to minimize the creation of wildlife attractants that have the potential to attract hazardous wildlife on or near public -use airports. MATERIALS 102-2.1 Grass. Grass that will not compete with the grasses sown later for permanent cover per Item T- 901 shall be a quick -growing species (such as ryegrass, Italian ryegrass, or cereal grasses) suitable to the area providing a temporary cover. Selected grass species shall not create a wildlife attractant. 102-2.2 Mulches. Mulches may be hay, straw, fiber mats, netting, bark, wood chips, or other suitable material reasonably clean and free of noxious weeds and deleterious materials per Item T-908. Mulches shall not create a wildlife attractant. Item C-102 Temporary Air and Water Pollution, Soil Erosion, and Siltation Control 73 12/21/2018 AC 150/5370-1OH 102-2.3 Fertilizer. Fertilizer shall be a standard commercial grade and shall conform to all federal and state regulations and to the standards of the Association of Official Agricultural Chemists. 102-2.4 Slope drains. Slope drains may be constructed of pipe, fiber mats, rubble, concrete, asphalt, or other materials that will adequately control erosion. 102-2.5 Silt fence. Silt fence shall consist of polymeric filaments which are formed into a stable network such that filaments retain their relative positions. Synthetic filter fabric shall contain ultraviolet ray inhibitors and stabilizers to provide a minimum of six months of expected usable construction life. Silt fence shall meet the requirements of ASTM D6461. 102-2.6 Other. All other materials shall meet commercial grade standards and shall be approved by the RPR before being incorporated into the project. CONSTRUCTION REQUIREMENTS 102-3.1 General. In the event of conflict between these requirements and pollution control laws, rules, or regulations of other federal, state, or local agencies, the more restrictive laws, rules, or regulations shall apply. The RPR shall be responsible for assuring compliance to the extent that construction practices, construction operations, and construction work are involved. Some states, municipalities, and pollution control authorities have very specific regulations for air and water pollution controls. Check state and local requirements. 102-3.2 Schedule. Prior to the start of construction, the Contractor shall submit schedules in accordance with the approved Construction Safety and Phasing Plan (CSPP) and the plans for accomplishment of temporary and permanent erosion control work for clearing and grubbing; grading; construction; paving; and structures at watercourses. The Contractor shall also submit a proposed method of erosion and dust control on haul roads and borrow pits and a plan for disposal of waste materials. Work shall not be started until the erosion control schedules and methods of operation for the applicable construction have been accepted by the RPR. 102-3.3 Construction details. The Contractor will be required to incorporate all permanent erosion control features into the project at the earliest practicable time as outlined in the plans and approved CSPP. Except where future construction operations will damage slopes, the Contractor shall perform the permanent seeding and mulching and other specified slope protection work in stages, as soon as substantial areas of exposed slopes can be made available. Temporary erosion and pollution control measures will be used to correct conditions that develop during construction that were not foreseen during the design stage; that are needed prior to installation of permanent control features; or that are needed temporarily to control erosion that develops during normal construction practices, but are not associated with permanent control features on the project. Where erosion may be a problem, schedule and perform clearing and grubbing operations so that grading operations and permanent erosion control features can follow immediately if project conditions permit. Temporary erosion control measures are required if permanent measures cannot immediately follow grading operations. The RPR shall limit the area of clearing and grubbing, excavation, borrow, and embankment operations in progress, commensurate with the Contractor's capability and progress in keeping the finish grading, mulching, seeding, and other such permanent control measures current with Item C-102 Temporary Air and Water Pollution, Soil Erosion, and Siltation Control 74 12/21/2018 AC 150/5370-1OH the accepted schedule. If seasonal limitations make such coordination unrealistic, temporary erosion control measures shall be taken immediately to the extent feasible and justified as directed by the RPR. The Contractor shall provide immediate permanent or temporary pollution control measures to minimize contamination of adjacent streams or other watercourses, lakes, ponds, or other areas of water impoundment as directed by the RPR. If temporary erosion and pollution control measures are required due to the Contractor's negligence, carelessness, or failure to install permanent controls as a part of the work as scheduled or directed by the RPR, the work shall be performed by the Contractor and the cost shall be incidental to this item. The RPR may increase or decrease the area of erodible earth material that can be exposed at any time based on an analysis of project conditions. The erosion control features installed by the Contractor shall be maintained by the Contractor during the construction period. Provide temporary structures whenever construction equipment must cross watercourses at frequent intervals. Pollutants such as fuels, lubricants, bitumen, raw sewage, wash water from concrete mixing operations, and other harmful materials shall not be discharged into any waterways, impoundments or into natural or manmade channels. Coordinate with the approved CSPP and wildlife hazard assessment plan. Check state and local requirements for Stormwater Prevention Plan Best management practices. 102-3.4 Installation, maintenance and removal of silt fence. Silt fences shall extend a minimum of 16 inches (41 cm) and a maximum of 34 inches (86 cm) above the ground surface. Posts shall be set no more than 10 feet (3 m) on center. Filter fabric shall be cut from a continuous roll to the length required minimizing joints where possible. When joints are necessary, the fabric shall be spliced at a support post with a minimum 12-inch (300-mm) overlap and securely sealed. A trench shall be excavated approximately 4 inches (100 mm) deep by 4 inches (100 mm) wide on the upslope side of the silt fence. The trench shall be backfilled and the soil compacted over the silt fence fabric. The Contractor shall remove and dispose of silt that accumulates during construction and prior to establishment of permanent erosion control. The fence shall be maintained in good working condition until permanent erosion control is established. Silt fence shall be removed upon approval of the RPR. METHOD OF MEASUREMENT 102-4.1 Temporary erosion and pollution control work required will be performed as scheduled or directed by the RPR. Completed and accepted work will be measured as follows: a. Temporary seeding and mulching will be measured by the square yard (square meter). b. Temporary slope drains will be measured by the linear foot (meter). c. Temporary benches, dikes, dams, and sediment basins will be measured by the cubic yard (cubic meter) of excavation performed, including necessary cleaning of sediment basins, and the cubic yard (cubic meter) of embankment placed as directed by the RPR. d. All fertilizing will be measured by the ton (kg). Item C-102 Temporary Air and Water Pollution, Soil Erosion, and Siltation Control 75 12/21/2018 AC 150/5370-1OH e. Installation and removal of silt fence will be measured by the[ linear foot (meter) ] Lump sum ]. 102-4.2 Control work performed for protection of construction areas outside the construction limits, such as borrow and waste areas, haul roads, equipment and material storage sites, and temporary plant sites, will not be measured and paid for directly but shall be considered as a subsidiary obligation of the Contractor. BASIS OF PAYMENT 102-5.1 Accepted quantities of temporary water pollution, soil erosion, and siltation control work ordered by the RPR and measured as provided in paragraph 102-4.1 will be paid for under: Item C-102-5.1a Temporary seeding and mulching - per square yard (square meter) Item C-102-5.1b Temporary slope drains - per linear foot (meter) Item C-102-5.1c Temporary benches, dikes, dams and sediment basins - per cubic yard (cubic meter) Item C-102-5.1d Fertilizing - per ton (kg) Item C-102-5.1e Installation and removal of silt fence[ per linear feet (meter) ] [ lump sum ] Where other directed work falls within the specifications for a work item that has a contract price, the units of work shall be measured and paid for at the contract unit price bid for the various items. Temporary control features not covered by contract items that are ordered by the RPR will be paid for in accordance with Section 90, paragraph 90-05 Payment for Extra Work. REFERENCES The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only. Advisory Circulars (AC) AC 150/5200-33 Hazardous Wildlife Attractants on or Near Airports AC 150/5370-2 Operational Safety on Airports During Construction ASTM International (ASTM) ASTM D6461 Standard Specification for Silt Fence Materials United States Department of Agriculture (USDA) FAA/USDA Wildlife Hazard Management at Airports, A Manual for Airport Personnel END OF ITEM C-102 Item C-102 Temporary Air and Water Pollution, Soil Erosion, and Siltation Control 76 12/21/2018 AC 150/5370-1OH Item C-105 Mobilization 105-1 Description. This item of work shall consist of, but is not limited to, work and operations necessary for the movement of personnel, equipment, material and supplies to and from the project site for work on the project except as provided in the contract as separate pay items. 105-2 Mobilization limit. Mobilization shall be limited to [ 10 ] percent of the total project cost. Coordinate with Section 20, paragraph 20-03, Contents of Proposal Forms. A percentage cap based on overall project price such as any mobilization costs over 10% of the project total must be documented and will be paid on an as -incurred basis. Any non -incurred costs will not be paid. 105-3 Posted notices. Prior to commencement of construction activities, the Contractor must post the following documents in a prominent and accessible place where they may be easily viewed by all employees of the prime Contractor and by all employees of subcontractors engaged by the prime Contractor: Equal Employment Opportunity (EEO) Poster "Equal Employment Opportunity is the Law" in accordance with the Office of Federal Contract Compliance Programs Executive Order 11246, as amended; Davis Bacon Wage Poster (WH 1321) - DOL "Notice to All Employees" Poster; and Applicable Davis -Bacon Wage Rate Determination. These notices must remain posted until final acceptance of the work by the Owner. The Owner may include additional posted notices as required by local and State law. Links to the posters available at: https://www.faa.gov/airports/engineering/ 105-4 Engineer/RPR field office.[ The Contractor shall provide dedicated space for the use of the field RPR and inspectors, as a field office for the duration of the project. This space shall be located conveniently near the construction and shall be separate from any space used by the Contractor. The Contractor shall furnish water, sanitary facilities, heat, air conditioning, and electricity in accordance with local building codes. ][ An Engineer/RPR field office is not required. ] Requirements for specifying the Engineer/RPR field office should be coordinated with the Owner and the Engineer/RPR since such facilities are not needed for all airport construction projects. If a field office is required for the project, a separate line item for payment may be established. Other equipment may be appropriate with approval of the owner based on the size and duration of the project. Item C-105 Mobilization 77 12/21/2018 AC 150/5370-1OH METHOD OF MEASUREMENT 105-5 Basis of measurement and payment. Based upon the contract lump sum price for "Mobilization" partial payments will be allowed as follows: [ a. With first pay request, 250. b. When 25% or more of the original contract is earned, an additional 250. c. When 50% or more of the original contract is earned, an additional 400. d. After Final Inspection, Staging area clean-up and delivery of all Project Closeout materials as required by Section 90, paragraph 90-11, Contractor Final Project Documentation, the final 100. ] The payment schedule and percentages of payment can be altered based on the size and complexity of the project. BASIS OF PAYMENT 105-6 Payment will be made under: [ Item C-105 Mobilization ] Item Mobilization may be added to project at Owner's discretion. Rather than paying Contractor 100% of mobilization on first pay request, many Owners have found a payment schedule to be an effective way to reimburse Contractor for mobilization and demobilization. It is recommended that the final 10% of this bid item not be paid until the Contractor has cleaned up the project staging area. The payment schedule can be altered, e.g., on small projects may not be appropriate to have more than two (2) payments. REFERENCES The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only. Office of Federal Contract Compliance Programs (OFCCP) Executive Order 11246, as amended EEOC-P/E-1 — Equal Employment Opportunity is the Law Poster Item C-105 Mobilization 78 12/21/2018 AC 150/5370-1OH United States Department of Labor, Wage and Hour Division (WHD) WH 1321 — Employee Rights under the Davis -Bacon Act Poster END OF ITEM G105 Item C-105 Mobilization 79 12/21/2018 AC 150/5370-1OH Page Intentionally Blank Item C-105 Mobilization 80 12/21/2018 AC 150/5370-1OH Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) I Item C-110 should be deleted in its entirety when Item P-401, Item P-501, and/or Item P-404 are not required. On very small projects, or on projects that are maintenance repair type projects, PWL may not be appropriate. The PWL concept works best when sufficient material is placed to have at least one lot per day. Spreadsheets for PWL calculations are available at the following website: http://www.faa.2ov/airports/en2ineerinp_/desii!n software/. Use Engineering Brief (EB) 57 Extended Q-Value Table for Estimating Percent of Lot Within Limits (PWL) and the MS Excel PWL Table when the number of samples (n) is greater than 10. The EBs are available at the following website: http://www.faa.2ov/airports/en2ineerin2/en2ineerin2 briefs/. 110-1 General. When the specifications provide for acceptance of material based on the method of estimating percentage of material within specification limits (PWL), the PWL will be determined in accordance with this section. All test results for a lot will be analyzed statistically to determine the total estimated percent of the lot that is within specification limits. The PWL is computed using the sample average (X) and sample standard deviation (Sn) of the specified number (n) of sublots for the lot and the specification tolerance limits, L for lower and U for upper, for the particular acceptance parameter. From these values, the respective Quality index, QL for Lower Quality Index and/or Qu for Upper Quality Index, is computed and the PWL for the lot for the specified n is determined from Table 1. All specification limits specified in the technical sections shall be absolute values. Test results used in the calculations shall be to the significant figure given in the test procedure. There is some degree of uncertainty (risk) in the measurement for acceptance because only a small fraction of production material (the population) is sampled and tested. This uncertainty exists because all portions of the production material have the same probability to be randomly sampled. The Contractor's risk is the probability that material produced at the acceptable quality level is rejected or subjected to a pay adjustment. The Owner's risk is the probability that material produced at the rejectable quality level is accepted. It is the intent of this section to inform the Contractor that, in order to consistently offset the Contractor's risk for material evaluated, production quality (using population average and population standard deviation) must be maintained at the acceptable quality specified or higher. In all cases, it is the responsibility of the Contractor to produce at quality levels that will meet the specified acceptance criteria when sampled and tested at the frequencies specified. 110-2 Method for computing PWL. The computational sequence for computing PWL is as follows: a. Divide the lot into n sublots in accordance with the acceptance requirements of the specification. b. Locate the random sampling position within the sublot in accordance with the requirements of the specification. Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 81 12/21/2018 AC 150/5370-1OH c. Make a measurement at each location, or take a test portion and make the measurement on the test portion in accordance with the testing requirements of the specification. d. Find the sample average (X) for all sublot test values within the lot by using the following formula: X=(X1+X2+X3+..An) /n Where: X = Sample average of all sublot test values within a lot xi, x2, ...xn= Individual sublot test values n = Number of sublot test values e. Find the sample standard deviation (Sn) by use of the following formula: S„ = Rd12 + d22 + d32 +. ..d 2)/(n-1)] 1/2 Where: S. = Sample standard deviation of the number of sublot test values in the set di, d2, ...dn = Deviations of the individual sublot test values xi, x2, ... from the average value X that is: di = (xi - X), d2 = (x2 - X) ... do = (xn - X) n = Number of sublot test values C For single sided specification limits (i.e., L only), compute the Lower Quality Index QL by use of the following formula: QL=(X-L)/So Where: L = specification lower tolerance limit Estimate the percentage of material within limits (PWL) by entering Table 1 with QL, using the column appropriate to the total number (n) of measurements. If the value of QL falls between values shown on the table, use the next higher value of PWL. g. For double -sided specification limits (i.e., L and U), compute the Quality Indexes QL and Qu by use of the following formulas: QL=(X-L)/So and QU=(U-X)/S„ Where: L and U = specification lower and upper tolerance limits Estimate the percentage of material between the lower (L) and upper (U) tolerance limits (PWL) by entering Table 1 separately with QL and Qu, using the column appropriate to the total number (n) of measurements, and determining the percent of material above PL and percent of material below Pu for each tolerance limit. If the values of QL fall between values shown on the table, use the next higher value Of PL or Pu. Determine the PWL by use of the following formula: PWL = (PU + PL) -100 Where: PL = percent within lower specification limit Pu = percent within upper specification limit Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 82 12/21/2018 AC 150/5370-1OH EXAMPLE OF PWL CALCULATION Project: Example Project Test Item: Item P-401, Lot A. A. PWL Determination for Mat Density. 1. Density of four random cores taken from Lot A. A-1 = 96.60 A-2 = 97.55 A-3 = 99.30 A-4 = 98.35 n=4 2. Calculate average density for the lot. X=(XI +x2+x3+...xn)/n X = (96.60 + 97.55 + 99.30 + 98.35) / 4 X = 97.95% density 3. Calculate the standard deviation for the lot. Sn = [((96.60 - 97.95)2 + (97.55 - 97.95)2 +(99.30-97.95)' + (98.35-97.95)')) / (4 - 1)]'/' Sn=[(1.82+0.16+1.82+0.16)/3]'/2 Sn= 1.15 4. Calculate the Lower Quality Index QL for the lot. (L=96.3) QL = (X -L) / Sn QL = (97.95 - 96.30) / 1.15 QL = 1.4348 5. Determine PWL by entering Table 1 with QL= 1.44 and n= 4 PWL = 98 B. PWL Determination for Air Voids. 1. Air Voids of four random samples taken from Lot A. A-1 = 5.00 A-2 = 3.74 A-3 = 2.30 A-4 = 3.25 2. Calculate the average air voids for the lot. X=(Xl+x2+x3... n)/n X = (5.00 + 3.74 + 2.30 + 3.25) / 4 X = 3.57% 3. Calculate the standard deviation Sn for the lot. Sn = [((3.57 - 5.00)2 + (3.57 - 3.74)2 + (3.57 - 2.30)2 + (3.57-3.25)2) / (4 - 1)]'/2 Sn=[(2.04+0.03+1.62+0.10)/3]'/2 Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 83 12/21/2018 AC 150/5370-1OH Sn= 1.12 4. Calculate the Lower Quality Index QL for the lot. (L= 2.0) QL=(X-L)/S„ QL = (3.57 - 2.00) / 1.12 QL = 1.3992 5. Determine PL by entering Table 1 with QL = 1.41 and n = 4. PL = 97 6. Calculate the Upper Quality Index Qu for the lot. (U= 5.0) Qu=(U-X)/S„ Qu = (5.00 - 3.57) / 1.12 Qu = 1.2702 7. Determine Pu by entering Table 1 with Qu = 1.29 and n = 4 Pu = 93 8. Calculate Air Voids PWL PWL = (PL + Pu) - 100 PWL = (97 + 93) - 100 = 90 EXAMPLE OF OUTLIER CALCULATION (REFERENCE ASTM E178) Project: Example Project Test Item: Item P-401, Lot A. A. Outlier Determination for Mat Density. 1. Density of four random cores taken from Lot A arranged in descending order. A-3 = 99.30 A-4 = 98.35 I:d•S'ir&sl A-1 = 96.60 2. From ASTM E178, Table 1, for n=4 an upper 5% significance level, the critical value for test criterion = 1.463. 3. Use average density, standard deviation, and test criterion value to evaluate density measurements. a. For measurements greater than the average: If (measurement - average)/(standard deviation) is less than test criterion, then the measurement is not considered an outlier. For A-3, check if (99.30 - 97.95) / 1.15 is greater than 1.463. Since 1.174 is less than 1.463, the value is not an outlier. b. For measurements less than the average: If (average - measurement)/(standard deviation) is less than test criterion, then the measurement is not considered an outlier. For A- 1, check if (97.95 - 96.60) / 1.15 is greater than 1.463. Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 84 12/21/2018 AC 150/5370-1OH Since 1.435 is less than 1.463, the value is not an outlier. Note: In this example, a measurement would be considered an outlier if the density were: Greater than (97.95 + 1.463 X 1.15) = 99.63% OR less than (97.95 - 1.463 X 1.15) = 96.27%. Table 1. Table for Estimating Percent of Lot Within Limits (PWL) Percent Within Positive Values of Q (QL and Qu) Limits (PLand Pu) n=3 n=4 n=5 n=6 n=7 n=8 n=9 n=10 99 1.1541 1.4700 1.6714 1.8008 1.8888 1.9520 1.9994 2.0362 98 1.1524 1.4400 1.6016 1.6982 1.7612 1.8053 1.8379 1.8630 97 1.1496 1.4100 1.5427 1.6181 1.6661 1.6993 1.7235 1.7420 96 1.1456 1.3800 1.4897 1.5497 1.5871 1.6127 1.6313 1.6454 95 1.1405 1.3500 1.4407 1.4887 1.5181 1.5381 1.5525 1.5635 94 1.1342 1.3200 1.3946 1.4329 1.4561 1.4717 1.4829 1.4914 93 1.1269 1.2900 1.3508 1.3810 1.3991 1.4112 1.4199 1.4265 92 1.1184 1.2600 1.3088 1.3323 1.3461 1.3554 1.3620 1.3670 91 1.1089 1.2300 1.2683 1.2860 1.2964 1.3032 1.3081 1.3118 90 1.0982 1.2000 1.2290 1.2419 1.2492 1.2541 1.2576 1.2602 89 1.0864 1.1700 1.1909 1.1995 1.2043 1.2075 1.2098 1.2115 88 1.0736 1.1400 1.1537 1.1587 1.1613 1.1630 1.1643 1.1653 87 1.0597 1.1100 1.1173 1.1192 1.1199 1.1204 1.1208 1.1212 86 1.0448 1.0800 1.0817 1.0808 1.0800 1.0794 1.0791 1.0789 85 1.0288 1.0500 1.0467 1.0435 1.0413 1.0399 1.0389 1.0382 84 1.0119 1.0200 1.0124 1.0071 1.0037 1.0015 1.0000 0.9990 83 0.9939 0.9900 0.9785 0.9715 0.9671 0.9643 0.9624 0.9610 82 0.9749 0.9600 0.9452 0.9367 0.9315 0.9281 0.9258 0.9241 81 0.9550 0.9300 0.9123 0.9025 0.8966 0.8928 0.8901 0.8882 80 0.9342 0.9000 0.8799 0.8690 0.8625 0.8583 0.8554 0.8533 79 0.9124 0.8700 0.8478 0.8360 0.8291 0.8245 0.8214 0.8192 78 0.8897 0.8400 0.8160 0.8036 0.7962 0.7915 0.7882 0.7858 77 0.8662 0.8100 0.7846 0.7716 0.7640 0.7590 0.7556 0.7531 76 0.8417 0.7800 0.7535 0.7401 0.7322 0.7271 0.7236 0.7211 75 0.8165 0.7500 0.7226 0.7089 0.7009 0.6958 0.6922 0.6896 74 0.7904 0.7200 0.6921 0.6781 0.6701 0.6649 0.6613 0.6587 73 0.7636 0.6900 0.6617 0.6477 0.6396 0.6344 0.6308 0.6282 72 0.7360 0.6600 0.6316 0.6176 0.6095 0.6044 0.6008 0.5982 71 0.7077 0.6300 0.6016 0.5878 0.5798 0.5747 0.5712 0.5686 70 0.6787 0.6000 0.5719 0.5582 0.5504 0.5454 0.5419 0.5394 69 0.6490 0.5700 0.5423 0.5290 0.5213 0.5164 0.5130 0.5105 68 0.6187 0.5400 0.5129 0.4999 0.4924 0.4877 0.4844 0.4820 67 0.5878 0.5100 0.4836 0.4710 0.4638 0.4592 0.4560 0.4537 66 0.5563 0.4800 0.4545 0.4424 0.4355 0.4310 0.4280 0.4257 65 0.5242 0.4500 0.4255 0.4139 0.4073 0.4030 0.4001 0.3980 64 0.4916 0.4200 0.3967 0.3856 0.3793 0.3753 0.3725 0.3705 63 0.4586 0.3900 0.3679 0.3575 0.3515 0.3477 0.3451 0.3432 62 0.4251 0.3600 0.3392 0.3295 0.3239 0.3203 0.3179 0.3161 61 0.3911 0.3300 0.3107 0.3016 0.2964 0.2931 0.2908 0.2892 60 0.3568 0.3000 0.2822 0.2738 0.2691 0.2660 0.2639 0.2624 59 0.3222 0.2700 0.2537 0.2461 0.2418 0.2391 0.2372 0.2358 58 0.2872 0.2400 0.2254 0.2186 0.2147 0.2122 0.2105 0.2093 57 0.2519 0.2100 0.1971 0.1911 0.1877 1 0.1855 0.1840 0.1829 56 0.2164 0.1800 0.1688 0.1636 0.1607 0.1588 0.1575 0.1566 55 0.1806 0.1500 0.1406 0.1363 0.1338 0.1322 0.1312 0.1304 54 0.1447 0.1200 0.1125 0.1090 0.1070 0.1057 0.1049 0.1042 53 0.1087 0.0900 0.0843 0.0817 0.0802 0.0793 0.0786 0.0781 52 0.0725 0.0600 0.0562 0.0544 0.0534 0.0528 0.0524 0.0521 51 0.0363 0.0300 0.0281 0.0272 0.0267 0.0264 0.0262 0.0260 50 0.0000 0.0000 0.0000 0.0000 0.0000 1 0.0000 0.0000 0.0000 Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 85 12/21/2018 AC 150/5370-1OH Percent Within Limits (PL and Pu) Negative Values of Q (QL and Qu) n=3 n=4 n=5 n=6 n=7 n=8 n=9 n=10 49 -0.0363 -0.0300 -0.0281 -0.0272 -0.0267 -0.0264 -0.0262 -0.0260 48 -0.0725 -0.0600 -0.0562 -0.0544 -0.0534 -0.0528 -0.0524 -0.0521 47 -0.1087 -0.0900 -0.0843 -0.0817 -0.0802 -0.0793 -0.0786 -0.0781 46 -0.1447 -0.1200 -0.1125 -0.1090 -0.1070 -0.1057 -0.1049 -0.1042 45 -0.1806 -0.1500 -0.1406 -0.1363 -0.1338 -0.1322 -0.1312 -0.1304 44 -0.2164 -0.1800 -0.1688 -0.1636 -0.1607 -0.1588 -0.1575 -0.1566 43 -0.2519 -0.2100 -0.1971 -0.1911 -0.1877 -0.1855 -0.1840 -0.1829 42 -0.2872 -0.2400 -0.2254 -0.2186 -0.2147 -0.2122 -0.2105 -0.2093 41 -0.3222 -0.2700 -0.2537 -0.2461 -0.2418 -0.2391 -0.2372 -0.2358 40 -0.3568 -0.3000 -0.2822 -0.2738 -0.2691 -0.2660 -0.2639 -0.2624 39 -0.3911 -0.3300 -0.3107 -0.3016 -0.2964 -0.2931 -0.2908 -0.2892 38 -0.4251 -0.3600 -0.3392 -0.3295 -0.3239 -0.3203 -0.3179 -0.3161 37 -0.4586 -0.3900 -0.3679 -0.3575 -0.3515 -0.3477 -0.3451 -0.3432 36 -0.4916 -0.4200 -0.3967 -0.3856 -0.3793 -0.3753 -0.3725 -0.3705 35 -0.5242 -0.4500 -0.4255 -0.4139 -0.4073 -0.4030 -0.4001 -0.3980 34 -0.5563 -0.4800 -0.4545 -0.4424 -0.4355 -0.4310 -0.4280 -0.4257 33 -0.5878 -0.5100 -0.4836 -0.4710 -0.4638 -0.4592 -0.4560 -0.4537 32 -0.6187 -0.5400 -0.5129 -0.4999 -0.4924 -0.4877 -0.4844 -0.4820 31 -0.6490 -0.5700 -0.5423 -0.5290 -0.5213 -0.5164 -0.5130 -0.5105 30 -0.6787 -0.6000 -0.5719 -0.5582 -0.5504 -0.5454 -0.5419 -0.5394 29 -0.7077 -0.6300 -0.6016 -0.5878 -0.5798 -0.5747 -0.5712 -0.5686 28 -0.7360 -0.6600 -0.6316 -0.6176 -0.6095 -0.6044 -0.6008 -0.5982 27 -0.7636 -0.6900 -0.6617 -0.6477 -0.6396 -0.6344 -0.6308 -0.6282 26 -0.7904 -0.7200 -0.6921 -0.6781 -0.6701 -0.6649 -0.6613 -0.6587 25 -0.8165 -0.7500 -0.7226 -0.7089 -0.7009 -0.6958 -0.6922 -0.6896 24 -0.8417 -0.7800 -0.7535 -0.7401 -0.7322 -0.7271 -0.7236 -0.7211 23 -0.8662 -0.8100 -0.7846 -0.7716 -0.7640 -0.7590 -0.7556 -0.7531 22 -0.8897 -0.8400 -0.8160 -0.8036 -0.7962 -0.7915 -0.7882 -0.7858 21 -0.9124 -0.8700 -0.8478 -0.8360 -0.8291 -0.8245 -0.8214 -0.8192 20 -0.9342 -0.9000 -0.8799 -0.8690 -0.8625 -0.8583 -0.8554 -0.8533 19 -0.9550 -0.9300 -0.9123 -0.9025 -0.8966 -0.8928 -0.8901 -0.8882 18 -0.9749 -0.9600 -0.9452 -0.9367 -0.9315 -0.9281 -0.9258 -0.9241 17 -0.9939 -0.9900 -0.9785 -0.9715 -0.9671 -0.9643 -0.9624 -0.9610 16 -1.0119 -1.0200 -1.0124 -1.0071 -1.0037 -1.0015 -1.0000 -0.9990 15 -1.0288 -1.0500 -1.0467 -1.0435 -1.0413 -1.0399 -1.0389 -1.0382 14 -1.0448 -1.0800 -1.0817 -1.0808 -1.0800 -1.0794 -1.0791 -1.0789 13 -1.0597 -1.1100 -1.1173 -1.1192 -1.1199 -1.1204 -1.1208 -1.1212 12 -1.0736 -1.1400 -1.1537 -1.1587 -1.1613 -1.1630 -1.1643 -1.1653 11 -1.0864 -1.1700 -1.1909 -1.1995 -1.2043 -1.2075 -1.2098 -1.2115 10 -1.0982 -1.2000 -1.2290 -1.2419 -1.2492 -1.2541 -1.2576 -1.2602 9 -1.1089 -1.2300 -1.2683 -1.2860 -1.2964 -1.3032 -1.3081 -1.3118 8 -1.1184 -1.2600 -1.3088 -1.3323 -1.3461 -1.3554 -1.3620 -1.3670 7 -1.1269 -1.2900 -1.3508 -1.3810 -1.3991 -1.4112 -1.4199 -1.4265 6 -1.1342 -1.3200 -1.3946 -1.4329 -1.4561 -1.4717 -1.4829 -1.4914 5 -1.1405 -1.3500 -1.4407 -1.4887 -1.5181 -1.5381 -1.5525 -1.5635 4 -1.1456 -1.3800 -1.4897 -1.5497 -1.5871 -1.6127 -1.6313 -1.6454 3 -1.1496 -1.4100 -1.5427 -1.6181 -1.6661 1 -1.6993 -1.7235 -1.7420 2 -1.1524 -1.4400 -1.6016 -1.6982 -1.7612 1 -1.8053 -1.8379 -1.8630 1 -1.1541 -1.4700 -1.6714 -1.8008 -1.8888 1 -1.9520 -1.9994 -2.0362 Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 86 12/21/2018 AC 150/5370-1OH REFERENCES The publications listed below form a part of this specification to the extent referenced. The publications are referred to within the text by the basic designation only. ASTM International (ASTM) ASTM E178 Standard Practice for Dealing with Outlying Observations END OF ITEM C-110 Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 87 12/21/2018 AC 150/5370-1OH Page Intentionally Blank Item C-110 Method of Estimating Percentage of Material Within Specification Limits (PWL) 88 p,t AVIRT 'IV i Z FAA Airports 'a o /NIS7RP� Note: Where portions of text have been lined through (example), this text has been deleted and does not apply to this project. Where portions of text have been bolded and shaded (example), this text has been added and is binding to this project. Contract Provision Guidelines for Obligated Sponsors and Airport Improvement Program Projects Contents Recordof Changes........................................................................................................................................ 2 ContractGuidance ........................................................................................................................................4 1. Purpose of this Document............................................................................................................4 2. Sponsor Requirements..................................................................................................................5 3. Typical Procurement Steps...........................................................................................................5 4. Applicability Matrix for Contract Provisions.................................................................................6 Appendix A — CONTRACT PROVISIONS......................................................................................................... 1 Al ACCESS TO RECORDS AND REPORTS.............................................................................................1 A2 AFFIRMATIVE ACTION REQUIREMENT..........................................................................................2 A3 BREACH OF CONTRACT TERMS.....................................................................................................5 A4 BUY AMERICAN PREFERENCE.......................................................................................................6 A5 CIVIL RIGHTS - GENERAL.............................................................................................................12 A6 CIVIL RIGHTS —TITLE VI ASSURANCE...........................................................................................14 A7 CLEAN AIR AND WATER POLLUTION CONTROL..........................................................................24 A8 CONTRACT WORKHOURS AND SAFETY STANDARDS ACT REQUIREMENTS................................25 A9 COPELAND "ANTI -KICKBACK" ACT..............................................................................................27 A10 DAVIS-BACON REQUIREMENTS...............................................................................................29 All DEBARMENT AND SUSPENSION..............................................................................................36 Al2 DISADVANTAGED BUSINESS ENTERPRISE...............................................................................38 A13 DISTRACTED DRIVING.............................................................................................................41 Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 1 A14 ENERGY CONSERVATION REQUIREMENTS.............................................................................42 A15 DRUG FREE WORKPLACE REQUIREMENTS..............................................................................43 A16 EQUAL EMPLOYEMENT OPPORTUNITY (EEO).........................................................................44 A17 FEDERAL FAIR LABOR STANDARDS ACT (FEDERAL MINIMUM WAGE)...................................51 A18 LOBBYING AND INFLUENCING FEDERAL EMPLOYEES.............................................................52 A19 PROHIBITION of SEGREGATED FACILITIES...............................................................................54 A20 OCCUPATIONAL SAFETY AND HEALTH ACT OF 1970..............................................................56 A21 PROCUREMENT OF RECOVERED MATERIALS..........................................................................57 A22 RIGHT TO INVENTIONS............................................................................................................59 A23SEISMIC SAFETY.......................................................................................................................60 A24 TAX DELINQUENCY AND FELONY CONVICTIONS....................................................................62 A25 TERMINATION OF CONTRACT.................................................................................................64 A26 TRADE RESTRICTION CERTIFICATION...................................................................................... 68 A27 VETERAN'S PREFERENCE.........................................................................................................70 RECORD OF CHANGES No. Date Item Change 1 1/29/2016 Entire Document Re -structured document to enhance user understanding of use and applicability; added suggested provisions for "Termination for Cause", "Recovered Materials", "Seismic Safety'. 2 6/10/2016 Table 1 Distracted Driving: Updated "Dollar Threshold" to $3,500 to reflect current micro -purchase threshold. 3 6/10/2016 A2, Affirmative Action Update the reference to the Department of Labor online document to be "Participation Goals for Minority and Females" 4 6/10/2016 Al2, Disadvantaged Al2.3: Changed Title to "Required Provisions" Business Enterprise Al2.3.1: Corrected starting timeframe for submitting written confirmation from "Owner Notice of Award" to "bid opening" Al2.3.1: Provided two sets of last paragraphs to reflect change (7 days to 5 days) that occurs on December 31, 2016. Al2.3.2: Moved Race/Gender Neutral language up and renamed heading to reflect text is solicitation language. Al2.3.3: Moved and renamed contract clause information and clarified it is for prime contract covered by a DBE program. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 2 No. Date Item Change 5 12/12/2017 Cover Change title of document for clarity 6 12/12/2017 1. Purpose of this Added clarifying text addressing purpose and limitations of this Document guidance. 1.7-1.9: Added definitions of contract, applicant, bid 7 12/12/2017 2. Sponsor Added clarifying text addressing sponsor responsibilities. requirements 8 12/12/2017 3. Typical Added clarifying text for typical procurement process steps. Procurement Steps 9 12/12/2017 Table 1— Applicability Re -arranged table in alphabetic order. Matrix Added "Solicitation" column to address solicitation provisions Item I, Seismic Safety: Added Limited Application Added note on Airport Concessions Disadvantaged Business Enterprises 10 12/12/2017 All Clauses Clarifying revisions made to applicability section. 11 12/12/2017 A5, Civil Rights - Rephrased General Civil Rights Provision to simplify language and to General clarify duration of obligation for tenant/concessionaire/lessee 12 12/12/2017 A6.3.1 Civil Rights — Added sponsor must select either DBE or ACDBE Solicitations 12 12/12/2017 Al2, Disadvantaged The deadline to submit DBE confirmation of participation is now 5 Business Enterprise days after bid opening or as a matter of bid responsiveness. Updated DBE contract assurance (12.3.3) to match language of 49 CFR § 26.13 13 12/12/2017 A24, Tax Delinquency New certification addressing contractor tax delinquency and felony and Felony Conviction conviction. 14 6/19/2018 6.2.1, Applicability of For Title VI Clauses for Compliance with Nondiscrimination Title VI Solicitation Requirements, change second sentence in second column to Notice changed "are already subject to nondiscrimination requirements" to "are not already subject to nondiscrimination requirements". 15 6/19/2018 A6.4.1, Title VI Clauses In second item, changed "are already subject to nondiscrimination for Compliance with requirements" to "are not already subject to nondiscrimination Nondiscrimination requirements". Requirements Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 3 CONTRACT GUIDANCE 1. Purpose of this Document 1) The purpose of this document is to establish a convenient resource for Sponsors that consolidates all possible provisions and clauses into one document that includes an applicability matrix. This document itself does not create, revise or delete requirements for participation in the Airport Improvement Program. The source of requirements addressed within this document are identified within the section for each individual clause. 2) Federal laws and regulations require that an sponsor (a recipient of federal assistance) include specific clauses in certain contracts, solicitations, or specifications regardless of whether or not the project is federally funded. 3) The term sponsor is used in this document to mean either an obligated sponsor on a project that is not federally funded, or a sponsor on an AIP funded project. The Sponsor for this project is the City of Lubbock, Texas. 4) The term Owner is generally used in the solicitation or contract clauses because of its common use in public contracts. The Owner for this project is the City of Lubbock, Texas. 5) An Owner becomes an obligated sponsor upon acceptance of the Airport Improvement Program (AIP) grant assurances associated with current or prior AIP grant funded projects. 6) For purposes of determining requirements for contract provisions, the term contract includes subcontracts and supplier contracts such as purchase orders. 7) For purpose of remaining compliant with its obligations, a sponsor must incorporate applicable contract provisions in all its procurements and contract documents. Unless otherwise stated, these provisions flow down to subcontracts and sub -tier agreements. 8) The term contractor is understood to mean a contractor, subcontractor, or consultant; and means one who participates, through a contract or subcontract (at any tier). 9) The term bid is understood to mean a bid, an offer, or a proposal. 10) Applicant: a. For the Equal Employment Opportunity (EEO) clause, the term applicant means an applicant for employment (whether or not the phrase, for employment, follows the word applicant or applicants). b. For all other clauses, the term applicant means a bidder, offeror, or proposer for a contract. The following mandatory provisions are required as part of this solicitation, and the Contractor is required to insert these contract provisions in each lower tier contract resulting from this contract. The Prime Contractor assumes responsibility for compliance with these contract provisions for itself and any subcontractors. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 4 2. Sponsor Requirements In general, the sponsor must take the following actions in order to remain consistent with its obligations: 1) Include in its procurements the provisions that are applicable to its project. 2) Not incorporate the entire contract provisions guidelines in its solicitation or contract documents, whether by reference or by inclusion in whole. Incorporation of this entire guidance document creates potential for ambiguous interpretation and may lead to improper application that unnecessarily increases price. A sponsor that fails to properly incorporate applicable contract clauses may place themselves at risk for audit findings or denial of Federal funding. 3) Incorporate applicable contract provisions using mandatory language as required. The subheading entitled Applicability advises whether a particular clause or provision has mandatory language that a sponsor must use. (a) Mandatory Language - Whenever a clause or provision has mandatory text, the sponsor must incorporate the text of the provision without change, except where specific adaptive input is necessary (e.g. such as the sponsor's name). (b) No Mandatory Language Provided - For provisions without mandatory language, this guidance provides model language acceptable to the FAA. Some sponsors may already have standard procurement language that is equivalent to those federal provisions. In these cases, sponsors may use their existing standard procurement provision language provided the text meets the intent and purpose of the Federal law or regulation. 4) Require the contractor (including all subcontractors) to insert these contract provisions in each lower tier contract (e.g. subcontract or sub -agreement). 5) Require the contractor (including all subcontractors) to incorporate the applicable requirements of these contract provisions by reference for work done under any purchase orders, rental agreements and other agreements for supplies or services. 6) Require that the prime contractor be responsible for compliance with these contract provisions by any subcontractor, lower -tier subcontractor or service provider. 7) Verify that any required local or State provision does not conflict with or alter a Federal law or regulation. 3, Typical Procurement Steps The usual procurement steps in a project are: 1) Solicitation, Request for Bids or Request for Proposals — This is also called the Advertisement or Notice to Bidders. 2) Bidding or Accepting Proposals —In this stage, the bidders receive a complete set of the procurement documents, also known as the project manual. The project manual will typically include a copy of the solicitation, instructions -to -bidders, bid forms, certifications and Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 5 representations, general provisions, contract conditions, copy of contract, project drawings, technical specifications and related project documents. 3) Bid/Proposal Evaluation — Period when Sponsor tabulates and reviews all proposals for bid responsiveness and bidder responsibility. 4) Award — Point when the Sponsor formally awards the contract to the successful bidder. 5) Execution of Contract — Point at which the Sponsor formally enters into a legally binding agreement to perform services or provide goods. 4. Applicability Matrix for Contract Provisions Table 1 summarizes the applicability of contract provisions based upon the type of contract or agreement. The dollar threshold represents the value at which, when equal to or exceeded, the sponsor must incorporate the provision in the contract or agreement. Supplemental information addressing applicability and use for each provision is located in Appendix A. Appendix A and the Matrix include notes indicating when the sponsor may incorporate references in the solicitation in lieu of including the entire text. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 6 Meaning of cell values • Info —Sponsor has discretion on whether to include clause in its contracts. • Limited — Provision with limited applicability depending on circumstances of the procurement. • n/a — Provision that is not applicable for that procurement type. • NIS — Provision that does not need to be included or referenced in the solicitation document • REF — Provision to be incorporated into the solicitation by reference. • REQD - Provision the sponsor must incorporate into procurement documents. Table 1— Applicability of Provisions Provisions/Clauses O t O ~ C M '^ FO O 71 ' o 0 i v° - E = "' v -O O S H Q CO C Z V Access to Records and Reports $ 0 NIS REQD REQD REQD REQD n/a Affirmative Action Requirement $10,000 REQD Limited REQD Limited Limited n/a Breach of Contract $150,000 NIS REQD REQD REQD REQD n/a Buy American Preferences $ 0 REF Limited REQD REQD Limited n/a (1) Buy American Statement $ 0 NIS Limited REQD REQD Limited n/a (2) BA —Total Facility $ 0 NIS Limited REQD REQD Limited n/a (3) B.A. — Manufactured Product $ 0 NIS Limited REQD REQD Limited n/a Civil Rights —General $ 0 NIS REQD REQD REQD REQD REQD Civil Rights - Title VI Assurances $ 0 REF REQD REQD REQD REQD REQD (1) Notice - Solicitation $ 0 REQD REQD REQD REQD REQD REQD (2) Clause - Contracts $ 0 NIS REQD REQD REQD REQD REQD (3) Clause —Transfer of U.S. Property $ 0 NIS n/a n/a n/a Limited REQD (4) Clause —Transfer of Real Property $ 0 NIS n/a n/a n/a REQD REQD (5) Clause - Construct/Use/Access to $ 0 NIS n/a n/a n/a REQD REQD Real Property (6) List —Pertinent Authorities $0 NIS REQD REQD REQD REQD REQD Clean Air/Water Pollution Control $150,000 NIS REQD REQD REQD REQD n/a Contract Work Hours and Safety Standards $100,000 NIS Limited REQD Limited Limited n/a Copeland Anti -Kickback $ 2,000 NIS Limited REQD Limited Limited n/a Davis Bacon Requirements $ 2,000 REF Limited REQD Limited Limited n/a Debarment and Suspension $25,000 REF REQD REQD REQD Limited n/a Disadvantaged Business Enterprise $ 0 REF REQD REQD REQD REQD n/a Distracted Driving $3,500 NIS REQD REQD REQD REQD n/a Energy Conservation Requirements $ 0 NIS REQD REQD REQD REQD n/a Equal Employment Opportunity $10,000 NIS Limited REQD Limited Limited n/a (1) EEO Contract Clause $10,000 NIS Limited REQD Limited Limited n/a (2) EEO Specification $10,000 NIS Limited REQD Limited Limited n/a Federal Fair Labor Standards Act $ 0 NIS REQD REQD REQD REQD Info Foreign Trade Restriction $ 0 REF REQD REQD REQD REQD n/a Lobbying Federal Employees $ 100,000 REF REQD REQD REQD REQD n/a Occupational Safety and Health Act $ 0 NIS REQD REQD REQD REQD Info Prohibition of Segregated Facilities $10,000 NIS Limited REQD Limited Limited n/a Recovered Materials $10,000 REF Limited REQD REQD Limited n/a Rights to Inventions $ 0 NIS Limited Limited Limited n/a n/a Seismic Safety $ 0 NIS Limited Limited Limited n/a n/a Tax Delinquency and Felony Conviction $ 0 NIS REQD REQD REQD REQD n/a Termination of Contract $10,000 NIS REQD REQD REQD REQD n/a Veteran's Preference $ 0 NIS REQD REQD REQD REQD n/a Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 7 Airport Concessions Disadvantage Business Enterprise (ACDBE) Notes: 1. Language relative to solicitation for ACDBEs does not need to be included in AIP funded solicitations, since in no case are concessions activities funded with federal funds. 2. Airport sponsors must include the appropriate Title VI language in their solicitation notices when they seek proposals for concessions. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 8 APPENDIX A - CONTRACT PROVISIONS Al ACCESS TO RECORDS AND REPORTS A1.1 SOURCE 2 CFR § 200.333 2 CFR § 200.336 FAA Order 5100.38 A1.2 APPLICABILITY 2 CFR § 200.333 requires a sponsor to retain records pertinent to a Federal award for a period of three years from submission of final closure documents. 2 CFR § 200.336 establishes that sponsors must provide Federal entities the right to access records pertinent to the Federal award. FAA policy extends these requirements to the sponsor's contracts and subcontracts of AIP funded projects. Contract Types —The sponsor must include this provision in all contracts and subcontracts of AIP funded projects. Use of Provision — No mandatory language provided. The following language is acceptable to the FAA with meeting the intent of this requirement. If the sponsor prefers to use different language, the sponsor's language must fully satisfy the requirements of §§ 200.333 and 200.336. A1.3 CONTRACT CLAUSE ACCESS TO RECORDS AND REPORTS The Contractor must maintain an acceptable cost accounting system. The Contractor agrees to provide the Owner, the Federal Aviation Administration and the Comptroller General of the United States or any of their duly authorized representatives access to any books, documents, papers and records of the Contractor which are directly pertinent to the specific contract for the purpose of making audit, examination, excerpts and transcriptions. The Contractor agrees to maintain all books, records and reports required under this contract for a period of not less than three years after final payment is made and all pending matters are closed. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 1 A2 AFFIRMATIVE ACTION REQUIREMENT A2.1 SOURCE 41 CFR part 60-4 Executive Order 11246 A2.2 APPLICABILITY Minority Participation. Sponsors are required to set goals for minority participation in AIP funded projects exceeding $10,000. The goals for minority participation derive from Economic Area (EA) and Standard Metropolitan Statistical Area (SMSA) as established in Volume 45 of the Federal Register dated 10/3/80. Page 65984 contains a table of all EAs and SMSAs and the associated minority participation goals. To find the goals for minority participation, a sponsor must either refer to the Federal Register Notice or to the Department of Labor online document, "Participation Goals for Minorities and Females". EAs and SMSAs span state boundaries. A sponsor may have to refer to entries for adjacent states in order to locate the goal for the project location. Female Participation. Executive Order 11246 has set a goal of 6.9% nationally for female participation for all construction projects. This value remains constant for all counties and states. Contract Types Construction — The sponsor must incorporate this notice in all solicitations for bids or requests for proposals for AIP funded construction work contracts and subcontracts that exceed $10,000. Construction work means construction, rehabilitation, alteration, conversion, extension, demolition or repair of buildings, highways or other changes or improvements to real property, including facilities providing utility services. The term also includes the supervision, inspection and other onsite functions incidental to the actual construction. Equipment —The sponsor must incorporate this notice in any equipment project exceeding $10,000 that involves installation of equipment onsite (e.g. electrical vault equipment). This provision does not apply to equipment acquisition projects where the manufacture of the equipment takes place offsite at a manufacturer's plant (e.g. firefighting and snow removal vehicles). Professional Services — The sponsor must incorporate this notice in any professional service agreement if the professional services agreement includes tasks that meet the definition of construction work [as defined by the U.S. Department of Labor (DOL)] and exceeds $10,000. Examples include installation of monitoring systems (e.g. noise, environmental, etc.). Property/Land —The sponsor must incorporate this notice in any agreement associated with land acquisition if the agreement includes construction work (defined above) that exceeds $10,000. Examples include demolition of structures or installation of boundary fencing. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 2 Use of Provision — MANDATORY TEXT. The sponsor must: (a) Incorporate the text of this provision in its solicitations without modification. (b) Incorporate the applicable minority participation goal and the covered area by geographic name. (c) Not simply insert a reference to the 1980 Federal Register Notice. A2.3 SOLICITATION CLAUSE NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION to ENSURE EQUAL EMPLOYMENT OPPORTUNITY 1. The Offeror's or Bidder's attention is called to the "Equal Opportunity Clause" and the "Standard Federal Equal Employment Opportunity Construction Contract Specifications" set forth herein. 2. The goals and timetables for minority and female participation, expressed in percentage terms for the Contractor's aggregate workforce in each trade on all construction work in the covered area, are as follows: Timetables Goals for minority participation for each trade: [19.6%] Goals for female participation in each trade: 6.9% These goals are applicable to all of the Contractor's construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the Contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the Contractor also is subject to the goals for both its federally involved and non -federally involved construction. The Contractor's compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Equal Opportunity Clause, specific affirmative action obligations required by the specifications set forth in 41 CFR 60-4.3(a) and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the Contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor or from project to project for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed. 3. The Contractor shall provide written notification to the Director of the Office of Federal Contract Compliance Programs (OFCCP) within 10 working days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the name, address, and telephone number of the subcontractor; employer identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 3 4. As used in this notice and in the contract resulting from this solicitation, the "covered area" is the [State of Texas, Potter County, City of Lubbock]. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 4 A3 BREACH OF CONTRACT TERMS A3.1 SOURCE 2 CFR § 200 Appendix II(A) F-M]WMa22111114Y_11 11111111111WA This provision requires sponsors to incorporate administrative, contractual or legal remedies if contractor violate or breach contract terms. The sponsor must also include appropriate sanctions and penalties. Contract Types —This provision is required for all contracts that exceed the simplified acquisition threshold as stated in 2 CFR Part 200, Appendix II (A). This threshold is occasionally adjusted for inflation and is now equal to $150,000. Use of Provision — No mandatory language provided. The following language is acceptable to the FAA as meeting the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of part 200. Select either "contractor" or "consultant" as applicable. A3.3 CONTRACT CLAUSE BREACH OF CONTRACT TERMS Any violation or breach of terms of this contract on the part of the [Contractor] or its subcontractors may result in the suspension or termination of this contract or such other action that may be necessary to enforce the rights of the parties of this agreement. Owner will provide [Contractor] written notice that describes the nature of the breach and corrective actions the [Contractor] must undertake in order to avoid termination of the contract. Owner reserves the right to withhold payments to Contractor until such time the Contractor corrects the breach or the Owner elects to terminate the contract. The Owner's notice will identify a specific date by which the [Contractor] must correct the breach. Owner may proceed with termination of the contract if the [Contractor] fails to correct the breach by the deadline indicated in the Owner's notice. The duties and obligations imposed by the Contract Documents and the rights and remedies available thereunder are in addition to, and not a limitation of, any duties, obligations, rights and remedies otherwise imposed or available by law. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 5 A4 BUY AMERICAN PREFERENCE A4.1 SOURCE Title 49 USC § 50101 I_[WM_ 22I DY_\ lIIIr9 The Buy American Preference requirement in 49 USC § 50101 requires that all steel and manufactured goods used on AIP projects be produced in the United States. The statute gives the FAA the ability to issue a waiver to a sponsor to use non -domestic material on an AIP funded project subject to meeting certain conditions. A sponsor may request that the FAA issue a waiver from the Buy American Preference requirements if the FAA finds that: 1) Applying the provision is not in the public interest; 2) The steel or manufactured goods are not available in sufficient quantity or quality in the United States; 3) The cost of components and subcomponents produced in the United States is more than 60 percent of the total components of a facility or equipment, and final assembly has taken place in the United States. Items that have an FAA standard specification item number (such as specific airport lighting equipment) are considered the equipment. 4) Applying this provision would increase the cost of the overall project by more than 25 percent. Timing of Waiver Requests. Sponsors desiring a Type 1 or Type 2 waiver must submit their waiver requests before issuing a solicitation for bids or a request for proposal for a project. The sponsor must submit Type 3 or Type 4 waiver requests prior to executing the contract. The FAA will generally not consider waiver requests after execution of the contract except where extraordinary and extenuating circumstances exist. The FAA cannot review waiver requests with incomplete information. Sponsors must assess the adequacy of the waiver request and associated information prior to forwarding a waiver request to the FAA for action. Buy American Conformance List. The FAA Office of Airports maintains a listing of equipment that has received a nationwide waiver from the Buy American Preference requirements or that fully meet the Buy American requirements. The Nationwide Buy American Waiver List is available online at www.faa.gov/airports/aip/buy american/. Products listed on the Buy American Conformance list do not require additional submittal of domestic content information under a project specific Buy American Preference waiver. Facility Waiver Requests. For construction of a facility, the sponsor may submit the waiver request after bid opening, but prior to contract execution. Examples of facility construction include terminal buildings, terminal renovation, and snow removal equipment buildings. Contract Types Construction and Equipment — The sponsor must meet the Buy American Preference requirements of 49 USC § 50101 for all AIP funded projects that require steel or manufactured Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 6 goods. The Buy America requirements flow down from the sponsor to first tier contractors, who are responsible for ensuring that lower tier contractors and subcontractors are also in compliance. Note: The Buy American Preference does not apply to equipment a contractor uses as a tool of its trade and which does not remain as part of the project. Professional Services — Professional service agreements (PSAs) do not normally result in a deliverable that meets the definition of a manufactured product. However, the emergence of various project delivery methods has created situations where task deliverables under a PSA may include a manufactured product. If a PSA includes providing a manufactured good as a deliverable under the contract, the sponsor must include the Buy American Preference provision in the agreement. Property— Most land transactions do not involve acquiring a manufactured product. However, under certain circumstances, a property acquisition project could result in the installation of a manufactured product. For example, the installation of property fencing, gates, doors and locks, etc. represent manufactured products acquired under an AIP funded land project that must comply with Buy American Preferences. Use of Provision — No mandatory language provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's revised language must fully comply with 49 USC § 50101. There are two types of Buy American certifications. The sponsor must incorporate the appropriate "Certificate of Buy America Compliance" in the solicitation: • Projects for a facility (buildings such as terminals, snow removal equipment (SRE) buildings, aircraft rescue and firefighting (ARFF) buildings, etc.) — Insert the Certificate of Compliance Based on Total Facility. • Projects for non -facility development (non -building construction projects such as runway or roadway construction or equipment acquisition projects) — Insert the Certificate of Compliance Based on Equipment and Materials Used on the Project. A4.3 SOLICITATION CLAUSE A4.3.1 Buy American Preference Statement BUY AMERICAN PREFERENCE The Contractor agrees to comply with 49 USC § 50101, which provides that Federal funds may not be obligated unless all steel and manufactured goods used in AIP funded projects are produced in the United States, unless the Federal Aviation Administration has issued a waiver for the product; the product is listed as an Excepted Article, Material Or Supply in Federal Acquisition Regulation subpart 25.108; or is included in the FAA Nationwide Buy American Waivers Issued list. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 7 A bidder or offeror must complete and submit the Buy America certification included herein with their bid or offer. The Owner will reject as nonresponsive any bid or offer that does not include a completed Certificate of Buy American Compliance. A4.3.2 Certificate of Buy American Compliance — Total Facility CERTIFICATE OF BUY AMERICAN COMPLIANCE FOR TOTAL FACILITY As a matter of bid responsiveness, the bidder or offeror must complete, sign, date, and submit this certification statement with its proposal. The bidder or offeror must indicate how it intends to comply with 49 USC § 50101 by selecting one of the following certification statements. These statements are mutually exclusive. Bidder must select one or the other (i.e. not both) by inserting a checkmark (✓) or the letter "X". ❑ Bidder or offeror hereby certifies that it will comply with 49 USC § 50101 by: a) Only installing steel and manufactured products produced in the United States; or b) Installing manufactured products for which the Federal Aviation Administration (FAA) has issued a waiver as indicated by inclusion on the current FAA Nationwide Buy American Waivers Issued listing; or c) Installing products listed as an Excepted Article, Material or Supply in Federal Acquisition Regulation Subpart 25.108. By selecting this certification statement, the bidder or offeror agrees: • To provide to the Owner evidence that documents the source and origin of the steel and manufactured product. • To faithfully comply with providing U.S. domestic products. • To refrain from seeking a waiver request after establishment of the contract, unless extenuating circumstances emerge that the FAA determines justified. ❑ The bidder or offeror hereby certifies it cannot comply with the 100 percent Buy American Preferences of 49 USC § 50101(a) but may qualify for either a Type 3 or Type 4 waiver under 49 USC § 50101(b). By selecting this certification statement, the apparent bidder or offeror with the apparent low bid agrees: a) To the submit to the Owner within 15 calendar days of the bid opening, a formal waiver request and required documentation that supports the type of waiver being requested. b) That failure to submit the required documentation within the specified timeframe is cause for a non -responsive determination that may result in rejection of the proposal. c) To faithfully comply with providing U.S. domestic products at or above the approved U.S. domestic content percentage as approved by the FAA. d) To furnish U.S. domestic product for any waiver request that the FAA rejects. e) To refrain from seeking a waiver request after establishment of the contract, unless extenuating circumstances emerge that the FAA determines justified. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 8 Required Documentation Type 3 Waiver — The cost of components and subcomponents produced in the United States is more than 60 percent of the cost of all components and subcomponents of the "facility". The required documentation for a Type 3 waiver is: a) Listing of all manufactured products that are not comprised of 100 percent U.S. domestic content (excludes products listed on the FAA Nationwide Buy American Waivers Issued listing and products excluded by Federal Acquisition Regulation Subpart 25.108; products of unknown origin must be considered as non -domestic products in their entirety). b) Cost of non -domestic components and subcomponents, excluding labor costs associated with final assembly and installation at project location. c) Percentage of non -domestic component and subcomponent cost as compared to total "facility" component and subcomponent costs, excluding labor costs associated with final assembly and installation at project location. Type 4 Waiver — Total cost of project using U.S. domestic source product exceeds the total project cost using non -domestic product by 25 percent. The required documentation for a Type 4 of waiver is: a) Detailed cost information for total project using U.S. domestic product b) Detailed cost information for total project using non -domestic product False Statements: Per 49 USC § 47126, this certification concerns a matter within the jurisdiction of the Federal Aviation Administration and the making of a false, fictitious or fraudulent certification may render the maker subject to prosecution under Title 18, United States Code. Date Company Name Signature Title Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 9 A4.3.3 Certificate of Buy American Compliance — Manufactured Product Certificate of Buy American Compliance for Manufactured Products As a matter of bid responsiveness, the bidder or offeror must complete, sign, date, and submit this certification statement with their proposal. The bidder or offeror must indicate how they intend to comply with 49 USC § 50101 by selecting one on the following certification statements. These statements are mutually exclusive. Bidder must select one or the other (not both) by inserting a checkmark (✓) or the letter "X". ❑ Bidder or offeror hereby certifies that it will comply with 49 USC § 50101 by: a) Only installing steel and manufactured products produced in the United States; b) Installing manufactured products for which the Federal Aviation Administration (FAA) has issued a waiver as indicated by inclusion on the current FAA Nationwide Buy American Waivers Issued listing; or c) Installing products listed as an Excepted Article, Material or Supply in Federal Acquisition Regulation Subpart 25.108. By selecting this certification statement, the bidder or offeror agrees: 1. To provide to the Owner evidence that documents the source and origin of the steel and manufactured product. 2. To faithfully comply with providing U.S. domestic product. 3. To furnish U.S. domestic product for any waiver request that the FAA rejects 4. To refrain from seeking a waiver request after establishment of the contract, unless extenuating circumstances emerge that the FAA determines justified. ❑ The bidder or offeror hereby certifies it cannot comply with the 100 percent Buy American Preferences of 49 USC § 50101(a) but may qualify for either a Type 3 or Type 4 waiver under 49 USC § 50101(b). By selecting this certification statement, the apparent bidder or offeror with the apparent low bid agrees: 1. To the submit to the Owner within 15 calendar days of the bid opening, a formal waiver request and required documentation that supports the type of waiver being requested. 2. That failure to submit the required documentation within the specified timeframe is cause for a non -responsive determination may result in rejection of the proposal. 3. To faithfully comply with providing U.S. domestic products at or above the approved U.S. domestic content percentage as approved by the FAA. 4. To refrain from seeking a waiver request after establishment of the contract, unless extenuating circumstances emerge that the FAA determines justified. Required Documentation Type 3 Waiver — The cost of the item components and subcomponents produced in the United States is more that 60 percent of the cost of all components and subcomponents of the "item". The required documentation for a Type 3 waiver is: Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 10 a) Listing of all product components and subcomponents that are not comprised of 100 percent U.S. domestic content (Excludes products listed on the FAA Nationwide Buy American Waivers Issued listing and products excluded by Federal Acquisition Regulation Subpart 25.108; products of unknown origin must be considered as non - domestic products in their entirety). b) Cost of non -domestic components and subcomponents, excluding labor costs associated with final assembly at place of manufacture. c) Percentage of non -domestic component and subcomponent cost as compared to total "item" component and subcomponent costs, excluding labor costs associated with final assembly at place of manufacture. Type 4 Waiver — Total cost of project using U.S. domestic source product exceeds the total project cost using non -domestic product by 25 percent. The required documentation for a Type 4 of waiver is: a) Detailed cost information for total project using U.S. domestic product b) Detailed cost information for total project using non -domestic product False Statements: Per 49 USC § 47126, this certification concerns a matter within the jurisdiction of the Federal Aviation Administration and the making of a false, fictitious or fraudulent certification may render the maker subject to prosecution under Title 18, United States Code. Date Company Name Signature Title Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 11 A5 CIVIL RIGHTS - GENERAL A5.1 SOURCE 49 USC § 47123 I1161W•l•11»4D1_11 1111r9 There are two separate civil rights provisions that apply to projects: 1. FAA General Civil Rights Provision and, 2. Title VI provisions, which are addressed in Appendix A6. Contract Types —The General Civil Rights Provisions found in 49 USC § 47123, derived from the Airport and Airway Improvement Act of 1982, Section 520, apply to all sponsor contracts regardless of funding source. Use of Provision — MANDATORY TEXT. There are two separate general civil rights provisions —one that is used for contracts, and one that is used for lease agreements or transfer agreements. The sponsor must incorporate the text of the appropriate provision without modification into the contract, or the lease or transfer agreement. A5.3 CONTRACT CLAUSE (Use the Correct Clause for the Situation) A5.3.1 Clause that is used for Contracts GENERAL CIVIL RIGHTS PROVISIONS The Contractor agrees to comply with pertinent statutes, Executive Orders and such rules as are promulgated to ensure that no person shall, on the grounds of race, creed, color, national origin, sex, age, or disability be excluded from participating in any activity conducted with or benefiting from Federal assistance. This provision binds the Contractor and subcontractors from the bid solicitation period through the completion of the contract. This provision is in addition to that required by Title VI of the Civil Rights Act of 1964. A5.3.2 Clause that is used for Lease Agreements or Transfer Agreements GENERAL CIVIL RIGHTS PROVISIONS The (tenant/concessionaire/lessee) agrees to comply with pertinent statutes, Executive Orders and such rules as are promulgated to ensure that no person shall, on the grounds of race, creed, color, national origin, sex, age, or disability be excluded from participating in any activity conducted with or benefiting from Federal assistance. If the (tenant/concessionaire/lessee) transfers its obligation to another, the transferee is obligated in the same manner as the (tenant/concessionaire/lessor). This provision obligates the (tenant/concessionaire/lessee) for the period during which the property is owned, used or possessed by the (tenant/concessionaire/lessee) and the airport remains obligated to the Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 12 Federal Aviation Administration. This provision is in addition to that required by Title VI of the Civil Rights Act of 1964. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 13 A6 CIVIL RIGHTS — TITLE VI ASSURANCE A6.1 SOURCE 49 USC § 47123 FAA Order 1400.11 A6.2 APPLICABILITY Title VI of the Civil Rights Act of 1964, as amended, (Title VI) prohibits discrimination on the grounds of race, color, or national origin under any program or activity receiving Federal financial assistance. Sponsors must include appropriate clauses from the Standard DOT Title VI Assurances in all contracts and solicitations. The text of each individual clause comes from the U.S. Department of Transportation Order DOT 1050.2, Standard Title VI Assurances and Nondiscrimination Provisions, effective April 24, 2013. These assurances require that the Recipient (the sponsor) insert the appropriate clauses in the form provided by the DOT. Where the clause refers to the applicable activity, project, or program, it means the AIP project. The clauses are as follows: A6.2.1 Applicability of Title VI Solicitation Notice Contract Clause The Sponsor must include the contract clause in: Clause Text is Included in Paragraph Title VI Solicitation Notice — 1) All AIP funded solicitations for bids, A6.3.1 • Assurance 2 of the DOT requests for proposals, or any work Standard Title VI Assurances subject to Title VI regulations; and and Nondiscrimination 2) All sponsor proposals for negotiated Clauses agreements regardless of funding source. • Assurance 30d of the Airport Sponsor Assurances Title VI Clauses for Compliance with Every contract or agreement (unless the A6.4.1 Nondiscrimination Requirements sponsor has determined, and the FAA • Assurance 3 of the DOT concurs, that the contract or agreement is Standard Title VI Assurances not subject to the Nondiscrimination Acts and Nondiscrimination and Authorities) Clauses It has been determined that service contracts with utility companies that are • Assurance 30e.1 of the not already subject to nondiscrimination Airport Sponsor Assurances requirements must include this clause. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 14 Contract Clause The Sponsor must include the contract Clause Text is clause in: Included in Paragraph Title VI Required Clause for Property As a covenant running with the land, in A6.4.2 Interests Transferred from the any deed from the United States effecting United States or recording a transfer of real property, • Assurance 4 of the DOT structures, use, or improvements thereon Standard Title VI Assurances or interest therein to a sponsor. and Nondiscrimination This is a rare occurrence and it will be the Clauses responsibility of the United States • Assurance 30e.3 of the government to include the clause in the Airport Sponsor Assurances contract. Title VI Required Clause for Transfer As a covenant running with the land, in A6.4.3 of Real Property Acquired or any future deeds, leases, licenses, permits, Improved Under the Activity, Facility or similar instruments entered into by the or Program — sponsor with other parties for all transfers • Assurance 5 of the DOT of real property acquired or improved Standard Title VI Assurances under Airport Improvement Program and Nondiscrimination This applies to agreements such as leases Clauses where a physical portion of the airport is transferred for use, for example a fuel • Assurance 30e.4a of the farm, apron space, or a parking facility. Airport Sponsor Assurances Clause for Construction/Use/Access In any future (deeds, leases, licenses, A6.4.4 to Real Property Acquired Under the permits, or similar instruments) entered Activity, Facility or Program into by the sponsor with other parties for • Assurance 6 of the DOT the construction or use of, or access to, Standard Title VI Assurances space on, over, or under real property and Nondiscrimination acquired or improved under Airport Clauses Improvement Program • Assurance 30e.4b of the This applies to agreements such as leases Airport Sponsor Assurances of concession space in a terminal. Title VI List of Pertinent Insert this list in every contract or A6.4.5 Nondiscrimination Acts and agreement, unless the sponsor has Authorities determined, and the FAA concurs, that the • Assurance 3 of the DOT contract or agreement is not subject to the Standard Title VI Assurances Nondiscrimination Acts and Authorities. and Nondiscrimination This list can be omitted if the FAA has Clauses determined that the contractor or • Assurance 30e.2 of the company is already subject to Airport Sponsor Assurances nondiscrimination requirements. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 15 A6.3 SOLICITATION CLAUSE The sponsor must include this clause in: 1) All AIP funded solicitations for bids, requests for proposals, or any work subject to Title VI regulations; and 2) All sponsor proposals for negotiated agreements regardless of funding source. A6.3.1 Title VI Solicitation Notice Title VI Solicitation Notice: The (Name of Sponsor), in accordance with the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252, 42 USC §§ 2000d to 2000d-4) and the Regulations, hereby notifies all bidders or offerors that it will affirmatively ensure that any contract entered into pursuant to this advertisement, [select disadvantaged business enterprises or airport concession disadvantaged business enterprises] will be afforded full and fair opportunity to submit bids in response to this invitation and will not be discriminated against on the grounds of race, color, or national origin in consideration for an award. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 16 A6.4 CONTRACT CLAUSES A6.4.1 Title VI Clauses for Compliance with Nondiscrimination Requirements The sponsor must include this contract clause in: 1) Every contract or agreement (unless the sponsor has determined, and the FAA concurs, that the contract or agreement is not subject to the Nondiscrimination Acts and Authorities); and 2) Service contracts with utility companies that are not already subject to nondiscrimination requirements. Compliance with Nondiscrimination Requirements: During the performance of this contract, the Contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the "Contractor"), agrees as follows: 1. Compliance with Regulations: The Contractor (hereinafter includes consultants) will comply with the Title VI List of Pertinent Nondiscrimination Acts and Authorities, as they may be amended from time to time, which are herein incorporated by reference and made a part of this contract. 2. Nondiscrimination: The Contractor, with regard to the work performed by it during the contract, will not discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The Contractor will not participate directly or indirectly in the discrimination prohibited by the Nondiscrimination Acts and Authorities, including employment practices when the contract covers any activity, project, or program set forth in Appendix B of 49 CFR part 21. Solicitations for Subcontracts, including Procurements of Materials and Equipment: In all solicitations, either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurements of materials, or leases of equipment, each potential subcontractor or supplier will be notified by the Contractor of the contractor's obligations under this contract and the Nondiscrimination Acts and Authorities on the grounds of race, color, or national origin. 4. Information and Reports: The Contractor will provide all information and reports required by the Acts, the Regulations, and directives issued pursuant thereto and will permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the sponsor or the Federal Aviation Administration to be pertinent to ascertain compliance with such Nondiscrimination Acts and Authorities and instructions. Where any information required of a contractor is in the exclusive possession of another who fails or refuses to furnish the information, the Contractor will so certify to the sponsor or the Federal Aviation Administration, as appropriate, and will set forth what efforts it has made to obtain the information. 5. Sanctions for Noncompliance: In the event of a Contractor's noncompliance with the non- discrimination provisions of this contract, the sponsor will impose such contract sanctions as it or the Federal Aviation Administration may determine to be appropriate, including, but not limited to: Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 17 a. Withholding payments to the Contractor under the contract until the Contractor complies; and/or b. Cancelling, terminating, or suspending a contract, in whole or in part. 6. Incorporation of Provisions: The Contractor will include the provisions of paragraphs one through six in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Acts, the Regulations, and directives issued pursuant thereto. The Contractor will take action with respect to any subcontract or procurement as the sponsor or the Federal Aviation Administration may direct as a means of enforcing such provisions including sanctions for noncompliance. Provided, that if the Contractor becomes involved in, or is threatened with litigation by a subcontractor, or supplier because of such direction, the Contractor may request the sponsor to enter into any litigation to protect the interests of the sponsor. In addition, the Contractor may request the United States to enter into the litigation to protect the interests of the United States. A6.4.2 Title VI Clauses for Deeds Transferring United States Property This is a rare occurrence, and it will be the responsibility of the United States government to include the clause in the contract. It will be included as a covenant running with the land, in any deed from the United States effecting or recording a transfer of real property, structures, use, or improvements thereon or interest therein to a sponsor. CLAUSES FOR DEEDS TRANSFERRING UNITED STATES PROPERTY The following clauses will be included in deeds effecting or recording the transfer of real property, structures, or improvements thereon, or granting interest therein from the United States pursuant to the provisions of the Airport Improvement Program grant assurances. NOW, THEREFORE, the Federal Aviation Administration as authorized by law and upon the condition that the (Title of Sponsor) will accept title to the lands and maintain the project constructed thereon in accordance with (Name of Appropriate Legislative Authority), for the (Airport Improvement Program or other program for which land is transferred), and the policies and procedures prescribed by the Federal Aviation Administration of the U.S. Department of Transportation in accordance and in compliance with all requirements imposed by Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non- discrimination in Federally -assisted programs of the U.S. Department of Transportation pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 USC § 2000d to 2000d-4), does hereby remise, release, quitclaim and convey unto the (Title of Sponsor) all the right, title and interest of the U.S. Department of Transportation/Federal Aviation Administration in and to said lands described in (Exhibit A attached hereto or other exhibit describing the transferred property) and made a part hereof. (HABENDUM CLAUSE) TO HAVE AND TO HOLD said lands and interests therein unto (Title of Sponsor) and its successors forever, subject, however, to the covenants, 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 will be binding on the (Title of Sponsor), its successors and assigns. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 18 The (Title of Sponsor), 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, that (1) no person will on the grounds of race, color, or national origin, 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 the (Title of Sponsor) will use the lands and interests in lands and interests in lands so conveyed, in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, U.S. Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Non-discrimination in Federally -assisted programs of the U.S. Department of Transportation, Effectuation of Title VI of the Civil Rights Act of 1964, and as said Regulations and Acts may be amended[, and (3) that in the event of breach of any of the above -mentioned nondiscrimination conditions, the Department will have a right to enter or re-enter said lands and facilities on said land, and that above described land and facilities will thereon revert to and vest in and become the absolute property of the Federal Aviation Administration and its assigns as such interest existed prior to this instruction].* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to make clear the purpose of Title VI.) A6.4.3 Title VI Clauses for Transfer of Real Property Acquired or Improved Under the Activity, Facility, or Program This applies to agreements such as leases where a physical portion of the airport is transferred for use —for example a fuel farm, apron space, or a parking facility —and will be included as a covenant running with the land, in any future deeds, leases, licenses, permits, or similar instruments entered into by the sponsor with other parties for all transfers of real property acquired or improved under the Airport Improvement Program. CLAUSES FOR TRANSFER OF REAL PROPERTY ACQUIRED OR IMPROVED UNDER THE AIRPORT IMPROVEMENT PROGRAM The following clauses will be included in (deeds, licenses, leases, permits, or similar instruments) entered into by the (Title of Sponsor) pursuant to the provisions of the Airport Improvement Program grant assurances. A. The (grantee, lessee, permittee, etc. as appropriate) for himself/herself, his/her 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 a covenant running with the land"] that: I . In the event facilities are constructed, maintained, or otherwise operated on the property described in this (deed, license, lease, permit, etc.) for a purpose for which a Federal Aviation Administration activity, facility, or program is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) will maintain and operate such facilities and services in compliance with all requirements imposed by the Nondiscrimination Acts and Regulations listed in the Pertinent List of Nondiscrimination Authorities (as may be amended) such that no person on the grounds of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities. B. With respect to licenses, leases, permits, etc., in the event of breach of any of the above Nondiscrimination covenants, (Title of Sponsor) will have the right to terminate the (lease, Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 19 license, permit, etc.) and to enter, re-enter, and repossess said lands and facilities thereon, and hold the same as if the (lease, license, permit, etc.) had never been made or issued.* C. With respect to a deed, in the event of breach of any of the above Nondiscrimination covenants, the (Title of Sponsor) will have the right to enter or re-enter the lands and facilities thereon, and the above described lands and facilities will there upon revert to and vest in and become the absolute property of the (Title of Sponsor) and its assigns.* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.) Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 20 A6.4.4 Title VI Clauses for Construction/Use/Access to Real Property Acquired Under the Activity, Facility or Program This applies to agreements such as leases of concession space in a terminal and any future deeds, leases, licenses, permits, or similar instruments entered into by the sponsor with other parties for the construction or use of, or access to, space on, over, or under real property acquired or improved under the Airport Improvement Program. CLAUSES FOR CONSTRUCTION/USE/ACCESS TO REAL PROPERTY ACQUIRED UNDER THE ACTIVITY, FACILITY OR PROGRAM The following clauses will be included in deeds, licenses, permits, or similar instruments/agreements entered into by (Title of Sponsor) pursuant to the provisions of the Airport Improvement Program grant assurances. A. The (grantee, licensee, permittee, etc., as appropriate) for himself/herself, his/her 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 a covenant running with the land") that (1) no person on the ground of race, color, or national origin, will be excluded from participation in, denied the benefits of, or be 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, or national origin, will be excluded from participation in, denied the benefits of, or otherwise be subjected to discrimination, (3) that the (grantee, licensee, lessee, permittee, etc.) will use the premises in compliance with all other requirements imposed by or pursuant to the List of discrimination Acts And Authorities. B. With respect to (licenses, leases, permits, etc.), in the event of breach of any of the above nondiscrimination covenants, (Title of Sponsor) will have the right to terminate the (license, permit, etc., as appropriate) and to enter or re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, permit, etc., as appropriate) had never been made or issued.* C. With respect to deeds, in the event of breach of any of the above nondiscrimination covenants, (Title of Sponsor) will there upon revert to and vest in and become the absolute property of (Title of Sponsor) and its assigns.* (*Reverter clause and related language to be used only when it is determined that such a clause is necessary to make clear the purpose of Title VI.) Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 21 A6.4.5 Title VI List of Pertinent Nondiscrimination Acts and Authorities Insert this list in every contract or agreement, unless the sponsor has determined and the FAA concurs, that the contract or agreement is not subject to the Nondiscrimination Acts and Authorities. This list can be omitted if the FAA has determined that the contractor or company is already subject to nondiscrimination requirements. Title VI List of Pertinent Nondiscrimination Acts and Authorities During the performance of this contract, the Contractor, for itself, its assignees, and successors in interest (hereinafter referred to as the "Contractor") agrees to comply with the following non- discrimination statutes and authorities; including but not limited to: • Title VI of the Civil Rights Act of 1964 (42 USC § 2000d et seq., 78 stat. 252) (prohibits discrimination on the basis of race, color, national origin); • 49 CFR part 21 (Non-discrimination in Federally -assisted programs of the Department of Transportation —Effectuation of Title VI of the Civil Rights Act of 1964); • The Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, (42 USC § 4601) (prohibits unfair treatment of persons displaced or whose property has been acquired because of Federal or Federal -aid programs and projects); • Section 504 of the Rehabilitation Act of 1973 (29 USC § 794 et seq.), as amended (prohibits discrimination on the basis of disability); and 49 CFR part 27; • The Age Discrimination Act of 1975, as amended (42 USC § 6101 et seq.) (prohibits discrimination on the basis of age); • Airport and Airway Improvement Act of 1982 (49 USC § 471, Section 47123), as amended (prohibits discrimination based on race, creed, color, national origin, or sex); • The Civil Rights Restoration Act of 1987 (PL 100-209) (broadened the scope, coverage and applicability of Title VI of the Civil Rights Act of 1964, the Age Discrimination Act of 1975 and Section 504 of the Rehabilitation Act of 1973, by expanding the definition of the terms "programs or activities" to include all of the programs or activities of the Federal -aid recipients, sub - recipients and contractors, whether such programs or activities are Federally funded or not); • Titles II and III of the Americans with Disabilities Act of 1990, which prohibit discrimination 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 USC § § 12131—12189) as implemented by U.S. Department of Transportation regulations at 49 CFR parts 37 and 38; • The Federal Aviation Administration's Nondiscrimination statute (49 USC § 47123) (prohibits discrimination on the basis of race, color, national origin, and sex); • Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low -Income Populations, which ensures nondiscrimination against minority populations by discouraging programs, policies, and activities with disproportionately high and adverse human health or environmental effects on minority and low-income populations; • Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, and resulting agency guidance, national origin discrimination includes discrimination because of limited English proficiency (LEP). To ensure compliance with Title VI, you must take reasonable steps to ensure that LEP persons have meaningful access to your programs (70 Fed. Reg. at 74087 to 74100); Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 22 • Title IX of the Education Amendments of 1972, as amended, which prohibits you from discriminating because of sex in education programs or activities (20 USC 1681 et seq). Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 23 A7 CLEAN AIR AND WATER POLLUTION CONTROL A7.1 SOURCE 2 CFR § 200, Appendix II(G) I►_VAWMa22414Y_11 1111111M Contract Types —This provision is required for all contracts and lower tier contracts that exceed $150,000. Use of Provision — No mandatory language provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of Appendix II to 2 CFR §200. A7.3 CONTRACT CLAUSE CLEAN AIR AND WATER POLLUTION CONTROL Contractor agrees to comply with all applicable standards, orders, and regulations issued pursuant to the Clean Air Act (42 USC § 740-7671q) and the Federal Water Pollution Control Act as amended (33 USC § 1251-1387). The Contractor agrees to report any violation to the Owner immediately upon discovery. The Owner assumes responsibility for notifying the Environmental Protection Agency (EPA) and the Federal Aviation Administration. Contractor must include this requirement in all subcontracts that exceeds $150,000. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 24 A8 CONTRACT WORKHOURS AND SAFETY STANDARDS ACT REQUIREMENTS A8.1 SOURCE 2 CFR § 200, Appendix II(E) A8.2 APPLICABILITY Contract Workhours and Safety Standards Act Requirements (CWHSSA) requires contractors and subcontractors on covered contracts to pay laborers and mechanics employed in the performance of the contracts one and one-half times their basic rate of pay for all hours worked over 40 in a workweek. CWHSSA prohibits unsanitary, hazardous, or dangerous working conditions on federally assisted projects. The Wage and Hour Division (WHD) within the U.S. Department of Labor (DOL) enforces the compensation requirements of this Act, while DOL's Occupational Safety and Health Administration (OSHA) enforces the safety and health requirements Contract Types — Construction — This provision applies to all contracts and lower tier contracts that exceed $100,000, and employ laborers, mechanics, watchmen, and guards. Equipment —This provision applies to any equipment project exceeding $100,000 that involves installation of equipment onsite (e.g. electrical vault equipment). This provision does not apply to equipment acquisition projects where the manufacture of the equipment takes place offsite at the vendor plant (e.g. ARFF and SRE vehicles). Professional Services — This provision applies to professional service agreements that exceed $100,000 and employs laborers, mechanics, watchmen, and guards. This includes members of survey crews and exploratory drilling operations. Property— While most land transactions do not involve employment of laborers, mechanics, watchmen, and guards, under certain circumstances, a property acquisition project could require such employment. Examples include the installation of property fencing or testing for environmental contamination Use of Provision — MANDATORY TEXT. Sponsors must incorporate this text without modification. A8.3 CONTRACT CLAUSE CONTRACT WORKHOURS AND SAFETY STANDARDS ACT REQUIREMENTS 1. Overtime Requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic, including watchmen and guards, in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 25 rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. 2. Violation; Liability for Unpaid Wages; Liquidated Damages. In the event of any violation of the clause set forth in paragraph (1) of this clause, the Contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1) of this clause, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1) of this clause. 3. Withholding for Unpaid Wages and Liquidated Damages. The Federal Aviation Administration (FAA) or the Owner shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other federally assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this clause. 4. Subcontractors. The Contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs (1) through (4) and also a clause requiring the subcontractor to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1) through (4) of this clause. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 26 A9 COPELAND "ANTI -KICKBACK" ACT A9.1 SOURCE 2 CFR § 200, Appendix II(D) 29 CFR Parts 3 and 5 A9.2 APPLICABILITY and PURPOSE The Copeland (Anti -Kickback) Act (18 USC 874 and 40 USC 3145) makes it unlawful to induce by force, intimidation, threat of dismissal from employment, or by any other manner, any person employed in the construction or repair of public buildings or public works, financed in whole or in part by the United States, to give up any part of the compensation to which that person is entitled under a contract of employment. The Copeland Act also requires each contractor and subcontractor to furnish weekly a statement of compliance with respect to the wages paid each employee during the preceding week. Contract Types — Construction — This provision applies to all construction contracts and subcontracts financed under the AIP that exceed $2,000. Equipment —This provision applies to all equipment installation projects (e.g. electrical vault improvements) financed under the AIP that exceed $2,000. This provision does not apply to equipment acquisitions where the equipment is manufactured at the vendor's plant (e.g. SRE and ARFF vehicles). Professional Services —The emergence of different project delivery methods has created situations where Professional Service Agreements (PSAs) include tasks that meet the definition of construction, alteration, or repair as defined in 29 CFR Part 5. If such tasks result in work that qualifies as construction, alteration, or repair and it exceeds $2,000, the PSA must incorporate the Copeland Anti -kickback provision. Property —Ordinarily, land acquisition projects would not involve employment of laborers or mechanics and thus the Copeland Anti -Kickback provision would not apply. However, land projects that involve installation of boundary fencing and demolition of structures would involve laborers and mechanics. The sponsor must include this provision if the land acquisition project involves employment of laborers or mechanics for a contract exceeding $2,000. Use of Provision — MANDATORY TEXT. 29 CFR Part 5 establishes specific language a sponsor must use in construction contracts. The sponsor may not make any modification to the standard language. Architectural/Engineering (A/E) firms that employ laborers and mechanics on a task that meets the definition of construction, alteration, or repair are acting as a contractor. The sponsor may not substitute the term "contractor" for "consultant" in such instances. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 27 A9.3 CONTRACT CLAUSE COPELAND "ANTI -KICKBACK" ACT Contractor must comply with the requirements of the Copeland "Anti -Kickback" Act (18 USC 874 and 40 USC 3145), as supplemented by Department of Labor regulation 29 CFR part 3. Contractor and subcontractors are prohibited from inducing, by any means, any person employed on the project to give up any part of the compensation to which the employee is entitled. The Contractor and each Subcontractor must submit to the Owner, a weekly statement on the wages paid to each employee performing on covered work during the prior week. Owner must report any violations of the Act to the Federal Aviation Administration. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 28 A10 DAVIS-BACON REQUIREMENTS A10.1 SOURCE 2 CFR § 200, Appendix II(D) 29 CFR Part 5 A10.2 APPLICABILITY The Davis -Bacon Act ensures that laborers and mechanics employed under the contract receive pay no less than the locally prevailing wages and fringe benefits as determined by the Department of Labor. Contract Types — Construction — Incorporate into all construction contracts and subcontracts that exceed $2,000 and include funding from the AIP. Equipment —This provision applies to all equipment installation projects (e.g. electrical vault improvements) financed under the AIP that exceed $ 2, 000. This provision does not apply to equipment acquisitions where the equipment is manufactured at the vendor's plant (e.g. SRE and ARFF vehicles) Professional Services — The emergence of different project delivery methods has created situations where Professional Service Agreements (PSAs) includes tasks that meet the definition of construction, alteration, or repair as defined in 29 CFR Part 5. If such tasks result in work that qualifies as construction, alteration, or repair and it exceeds $2,000, the PSA must incorporate this clause. Property— Ordinarily, land acquisition projects would not involve employment of laborers or mechanics and thus the provision would not apply. However, land projects that involve installation of boundary fencing and demolition of structures would involve laborers and mechanics. The sponsor must include this provision if the land acquisition project involves employment of laborers or mechanics for a contract exceeding $2,000. Fencing Projects — Fencing projects that exceed $2,000 must include this provision. Use of Provision — MANDATORY TEXT. 29 CFR part 5 establishes specific language a sponsor must use. The sponsor may not make any modification to the standard language. A/E firms that employ laborers and mechanics on a task that meets the definition of construction, alteration, or repair are acting as a contractor. The sponsor may not substitute the term "Contractor" for "Consultant" in such instances. A10.3 CONTRACT CLAUSE DAVIS-BACON REQUIREMENTS 1. Minimum Wages. (i) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 29 account (except such payroll deductions as are permitted by the Secretary of Labor under the Copeland Act (29 CFR Part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalent thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis -Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under (1)(ii) of this section) and the Davis -Bacon poster (WH-1321) shall be posted at all times by the Contractor and its subcontractors at the site of the work in a prominent and accessible place where it can easily be seen by the workers. (ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The contracting officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met: (1) The work to be performed by the classification requested is not performed by a classification in the wage determination; (2) The classification is utilized in the area by the construction industry; and (3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. (B) If the Contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (C) In the event the Contractor, the laborers, or mechanics to be employed in the classification, or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits where appropriate), the contracting officer shall Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 30 refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary. (D) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (1)(ii) (B) or (C) of this paragraph, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. (iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program: Provided that the Secretary of Labor has found, upon the written request of the Contractor, that the applicable standards of the Davis -Bacon Act have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. 2. Withholding. The Federal Aviation Administration or the sponsor shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the Contractor under this contract or any other Federal contract with the same prime contractor, or any other federally -assisted contract subject to Davis -Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of work, all or part of the wages required by the contract, the Federal Aviation Administration may, after written notice to the Contractor, Sponsor, Applicant, or Owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. 3. Payrolls and Basic Records. (i) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in I (b)(2)(B) of the Davis -Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section I (b)(2)(B) of the Davis -Bacon Act, the Contractor shall maintain records that show that the commitment to provide such benefits is Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 31 enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and that show the costs anticipated or the actual costs incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs. (ii)(A) The Contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the Federal Aviation Administration if the agency is a party to the contract, but if the agency is not such a party, the Contractor will submit the payrolls to the applicant, Sponsor, or Owner, as the case may be, for transmission to the Federal Aviation Administration. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g. the last four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at www.doLgov/whd/forms/wh347instr.htm or its successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker and shall provide them upon request to the Federal Aviation Administration if the agency is a party to the contract, but if the agency is not such a parry, the Contractor will submit them to the applicant, sponsor, or Owner, as the case may be, for transmission to the Federal Aviation Administration, the Contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for its own records, without weekly submission to the sponsoring government agency (or the applicant, Sponsor, or Owner). (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the Contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following: (1) The payroll for the payroll period contains the information required to be provided under 29 CFR § 5.5(a)(3)(ii), the appropriate information is being maintained under 29 CFR § 5.5 (a)(3)(i), and that such information is correct and complete; (2) Each laborer and mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations 29 CFR Part 3; (3) Each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 32 (C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (3)(ii)(B) of this section. (D) The falsification of any of the above certifications may subject the Contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code. (iii) The Contractor or subcontractor shall make the records required under paragraph (3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the sponsor, the Federal Aviation Administration, or the Department of Labor and shall permit such representatives to interview employees during working hours on the job. If the Contractor or subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the Contractor, Sponsor, applicant, or Owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12. 4. Apprentices and Trainees. (i) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the Contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 33 withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (ii) Trainees. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination that provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate that is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal Employment Opportunity. The utilization of apprentices, trainees, and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30. 5. Compliance with Copeland Act Requirements. The Contractor shall comply with the requirements of 29 CFR Part 3, which are incorporated by reference in this contract. 6. Subcontracts. The Contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR Part 5.5(a)(1) through (10) and such other clauses as the Federal Aviation Administration may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR Part 5.5. 7. Contract Termination: Debarment. A breach of the contract clauses in paragraph 1 through 10 of this section may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 34 8. Compliance with Davis -Bacon and Related Act Requirements. All rulings and interpretations of the Davis -Bacon and Related Acts contained in 29 CFR Parts 1, 3, and 5 are herein incorporated by reference in this contract. 9. Disputes Concerning Labor Standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the Contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives. 10. Certification of Eligibility. (i) By entering into this contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis -Bacon Act or 29 CFR 5.12(a)(1). (iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 USC 1001. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 35 All DEBARMENT AND SUSPENSION A11.1 SOURCE 2 CFR part 180 (Subpart C) 2 CFR part 1200 DOT Order 4200.5 A11.2 APPLICABILITY The sponsor must verify that the firm or individual that it is entering into a contract with is not presently suspended, excluded, or debarred by any Federal department or agency from participating in federally assisted projects. The sponsor accomplishes this by: 1) Checking the System for Award Management (SAM.gov) to verify that the firm or individual is not listed in SAM.gov as being suspended, debarred, or excluded; 2) Collecting a certification from the firm or individual that it is not suspended, debarred, or excluded; and 3) Incorporating a clause in the contract that requires lower tier contracts to verify that no suspended, debarred, or excluded firm or individual is included in the project. Contract Types —This requirement applies to covered transactions, which are defined in 2 CFR part 180. AIP funded contracts are non -procurement transactions, as defined by §180.970. Covered transactions include any AIP-funded contract, regardless of tier, that is awarded by a contractor, subcontractor, supplier, consultant, or its agent or representative in any transaction, if the amount of the contract is expected to equal or exceed $25,000. This includes contracts associated with land acquisition projects. Use of Provision — No mandatory language provided. The following language is acceptable to the FAA in meeting the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of 2 CFR part 180. For professional service agreements, sponsor may substitute bidder/offeror with consultant. A11.3 SOLICITATION CLAUSE A11.3.1 Bidder or Offeror Certification CERTIFICATION OF OFFERER/BIDDER REGARDING DEBARMENT By submitting a bid/proposal under this solicitation, the bidder or offeror certifies that neither it nor its principals are presently debarred or suspended by any Federal department or agency from participation in this transaction. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 36 A11.3.2 Lower Tier Contract Certification CERTIFICATION OF LOWER TIER CONTRACTORS REGARDING DEBARMENT The successful bidder, by administering each lower tier subcontract that exceeds $25,000 as a "covered transaction", must verify each lower tier participant of a "covered transaction" under the project is not presently debarred or otherwise disqualified from participation in this federally assisted project. The successful bidder will accomplish this by: 1. Checking the System for Award Management at website: http://www.sam.gov. 2. Collecting a certification statement similar to the Certification of Offerer /Bidder Regarding Debarment, above. 3. Inserting a clause or condition in the covered transaction with the lower tier contract. If the Federal Aviation Administration later determines that a lower tier participant failed to disclose to a higher tier participant that it was excluded or disqualified at the time it entered the covered transaction, the FAA may pursue any available remedies, including suspension and debarment of the non -compliant participant. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 37 Al2 DISADVANTAGED BUSINESS ENTERPRISE Al2.1 SOURCE 49 CFR part 26 A sponsor that anticipates awarding $250,000 or more in AIP funded prime contracts in a federal fiscal year must have an approved Disadvantaged Business Enterprise (DBE) program on file with the FAA Office of Civil Rights (§ 26.21). The approved DBE program will identify a 3-year overall program goal that the sponsor bases on the availability of ready, willing, and able DBEs relative to all businesses ready, willing, and able to participate on the project (§ 26.45). Contract Types — Sponsors with a DBE program on file with the FAA must include the three following provisions, if applicable: 1) Clause in all solicitations for proposals for which a contract goal has been established, 2) Clause in each prime contract, and 3) Clause in solicitations that are obtaining DBE participation through race/gender neutral means. Use of Provision — 1. Solicitations with a DBE Project Goal — No mandatory language provided. 49 CFR §26.53 requires a sponsor's solicitation to address what a contractor must submit on proposed DBE participation. The language of Al2.3.1 is acceptable to the FAA in meeting the intent of this requirement. If the sponsor uses different language, the sponsor's revised language must fully satisfy these requirements. The sponsor may require the contractor's submittal on proposed DBE participation either at bid opening as a matter of responsiveness or within five days of bid opening as a matter of responsibility. 2. Solicitations Relying on Race -gender Neutral Means — No mandatory language provided. The language of Al2.3.2 is acceptable to the FAA in meeting the intent of this requirement. If the sponsor uses different language, the sponsor's revised language must fully satisfy requirements for a sponsor that is not applying a project specific contract goal but is covered by a DBE program on file with the FAA. 3. Contracts Covered by DBE Program — MANDATORY TEXT PROVIDED. Sponsors must incorporate this language if they have a DBE program on file with the FAA. This includes projects where DBE participation is obtained through race -gender neutral means (i.e. no project goal). Sections §26.13 and §26.29 establish mandatory language for contractor assurance and prompt payment. The sponsor must not modify the language. 4. Sponsors that are not required to have a DBE program on file with the FAA are not required to include DBE provisions and clauses. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 38 Al2.3 REQUIRED PROVISIONS Al2.3.1 Solicitation Language (Solicitations that include a Project Goal) Information Submitted as a matter of bidder responsiveness: The Owner's award of this contract is conditioned upon Bidder or Offeror satisfying the good faith effort requirements of 49 CFR §26.53. As a condition of bid responsiveness, the Bidder or Offeror must submit the following information with its proposal on the forms provided herein: 1) The names and addresses of Disadvantaged Business Enterprise (DBE) firms that will participate in the contract; 2) A description of the work that each DBE firm will perform; 3) The dollar amount of the participation of each DBE firm listed under (1) 4) Written statement from Bidder or Offeror that attests their commitment to use the DBE firm(s) listed under (1) to meet the Owner's project goal; and 5) If Bidder or Offeror cannot meet the advertised project DBE goal, evidence of good faith efforts undertaken by the Bidder or Offeror as described in appendix A to 49 CFR part 26. Information submitted as a matter of bidder responsibility: The Owner's award of this contract is conditioned upon Bidder or Offeror satisfying the good faith effort requirements of 49 CFR §26.53. The successful Bidder or Offeror must provide written confirmation of participation from each of the DBE firms the Bidder or Offeror lists in its commitment within five days after bid opening. 1) The names and addresses of Disadvantaged Business Enterprise (DBE) firms that will participate in the contract; 2) A description of the work that each DBE firm will perform; 3) The dollar amount of the participation of each DBE firm listed under (1) 4) Written statement from Bidder or Offeror that attests their commitment to use the DBE firm(s) listed under (1) to meet the Owner's project goal; and 5) If Bidder or Offeror cannot meet the advertised project DBE goal, evidence of good faith efforts undertaken by the Bidder or Offeror as described in appendix A to 49 CFR part 26. Al2.3.2 Solicitation Language (Race/Gender Neutral Means) The requirements of 49 CFR part 26 apply to this contract. It is the policy of the [Insert Name of Owner] to practice nondiscrimination based on race, color, sex, or national origin in the award or performance of this contract. The Owner encourages participation by all firms qualifying under this solicitation regardless of business size or ownership. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 39 Al2.3.3 Prime Contracts (Projects Covered by a DBE Program) DISADVANTAGED BUSINESS ENTERPRISES Contract Assurance (§ 26.13) — The Contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of Department of Transportation -assisted contracts. Failure by the Contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the Owner deems appropriate, which may include, but is not limited to: 1) Withholding monthly progress payments; 2) Assessing sanctions; 3) Liquidated damages; and/or 4) Disqualifying the Contractor from future bidding as non -responsible. Prompt Payment (§26.29) — The prime contractor agrees to pay each subcontractor under this prime contract for satisfactory performance of its contract no later than [10] days from the receipt of each payment the prime contractor receives from [Owner]. The prime contractor agrees further to return retainage payments to each subcontractor within [10] days after the subcontractor's work is satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of the [Owner]. This clause applies to both DBE and non -DBE subcontractors. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 40 A13 DISTRACTED DRIVING A13.1 SOURCE Executive Order 13513 DOT Order 3902.10 A13.2 APPLICABILITY The FAA encourages recipients of Federal grant funds to adopt and enforce safety policies that decrease crashes by distracted drivers, including policies to ban text messaging while driving when performing work related to a grant or subgrant. Contract Types — Sponsors must insert this provision in all AIP funded contracts that exceed the micro - purchase threshold of 2 CFR §200.67 (currently set at $3,500). Use of Provision — No mandatory text provided. The following language is acceptable to the FAA in meeting the intent of this requirement. If the sponsor uses different language, the sponsor's revised language must fully satisfy these requirements. A13.3 CONTRACT CLAUSE TEXTING WHEN DRIVING In accordance with Executive Order 13513, "Federal Leadership on Reducing Text Messaging While Driving", (10/1/2009) and DOT Order 3902.10, "Text Messaging While Driving", (12/30/2009), the Federal Aviation Administration encourages recipients of Federal grant funds to adopt and enforce safety policies that decrease crashes by distracted drivers, including policies to ban text messaging while driving when performing work related to a grant or subgrant. In support of this initiative, the Owner encourages the Contractor to promote policies and initiatives for its employees and other work personnel that decrease crashes by distracted drivers, including policies that ban text messaging while driving motor vehicles while performing work activities associated with the project. The Contractor must include the substance of this clause in all sub -tier contracts exceeding $3,500 that involve driving a motor vehicle in performance of work activities associated with the project. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 41 A14 ENERGY CONSERVATION REQUIREMENTS A14.1 SOURCE 2 CFR § 200, Appendix II(H) I_1%111121 »4D1_\ 1141Wil The Energy Conservation Requirements of 2 CFR § 200 Appendix II(H) requires this provision on energy efficiency. Contract Types —The sponsor must include this provision in all AIP funded contracts and lower -tier contracts. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's revised language must fully satisfy these requirements. Sponsor may substitute "Contractor and subcontractor" with "Consultant and sub -consultant" for professional service agreements. A14.3 CONTRACT CLAUSE ENERGY CONSERVATION REQUIREMENTS Contractor and Subcontractor agree to comply with mandatory standards and policies relating to energy efficiency as contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 USC 620let seq). Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 42 A15 DRUG FREE WORKPLACE REQUIREMENTS A15.1 SOURCE 49 CFR part 32 Drug -Free Workplace Act of 1988 (41 U.S.C. 701 et seq., as amended) A15.2 APPLICABILITY The Drug -Free Workplace Act of 1988 requires some Federal contractors and all Federal grantees to agree that they will provide drug -free workplaces as a condition of receiving a contract or grant from a Federal agency. The Act does not apply to contractors, subcontractors, or subgrantees, although the Federal grantees workplace may be where the contractors, subcontractors, or subgrantees are working. Contract Types —This provision applies to all AIP funded projects, but not to the contracts between the grantee (the sponsor) and a contractor, subcontractors, suppliers, or subgrantees. Use of Provision — No mandatory or recommended text provided because the requirements do not extend beyond the sponsor level. A15.3 CONTRACT CLAUSE None. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 43 A16 EQUAL EMPLOYEMENT OPPORTUNITY (EEO) A16.1 SOURCE 2 CFR 200, Appendix II(C) 41 CFR § 60-1.4 41CFR §60-4.3 Executive Order 11246 A16.2 APPLICABILITY The purpose of this provision is to provide equal opportunity for all persons, without regard to race, color, religion, sex, or national origin who are employed or seeking employment with contractors performing under a federally assisted construction contract. There are two provisions — a construction clause and a specification clause. The equal opportunity contract clause must be included in any contract or subcontract when the amount exceeds $10,000. Once the equal opportunity clause is determined to be applicable, the contract or subcontract must include the clause for the remainder of the year, regardless of the amount or the contract. Contract Types — Construction — The sponsor must incorporate contract and specification language in all construction contracts and subcontracts as required above. Equipment —The sponsor must incorporate contract and specification language into all equipment contracts as required above that involves installation of equipment onsite (e.g. electrical vault equipment). This provision does not apply to equipment acquisition projects where the manufacture of the equipment takes place offsite at the vendor plant (e.g. ARFF and SRE vehicles). Professional Services — The sponsor must include contract and specification language into all professional service agreements as required above. Property —The sponsor must include contract and specification language into all land acquisition projects that include work that qualifies as construction work as defined by 41 CFR part 60 as required above. An example is installation of boundary fencing. Use of Provision — MANDATORY TEXT. 41 CFR § 60-1.4 provides the mandatory contract language. 41 CFR § 60-4.3 provides the mandatory specification language. The sponsor must incorporate these clauses without modification. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 44 A16.3 MANDATORY CONTRACT CLAUSE A16.3.1 EEO Contract Clause EQUAL OPPORTUNITY CLAUSE During the performance of this contract, the Contractor agrees as follows: (1) The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, religion, sex, sexual orientation, gender identify, or national origin. Such action shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff, or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause. (2) The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive considerations for employment without regard to race, color, religion, sex, or national origin. (3) The Contractor will send to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section and shall post copies of the notice in conspicuous places available to employees and applicants for employment. (4) The Contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor. (5) The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to his books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders. (6) In the event of the Contractor's noncompliance with the nondiscrimination clauses of this contract or with any of the said rules, regulations, or orders, this contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law. (7) The Contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (1) through (7) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 45 administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance: Provided, however, that in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency the Contractor may request the United States to enter into such litigation to protect the interests of the United States. A16.3.2 EEO Specification STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS 1. As used in these specifications: a. "Covered area" means the geographical area described in the solicitation from which this contract resulted; b. "Director" means Director, Office of Federal Contract Compliance Programs (OFCCP), U.S. Department of Labor, or any person to whom the Director delegates authority; c. "Employer identification number" means the Federal social security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941; d. "Minority" includes: (1) Black (all persons having origins in any of the Black African racial groups not of Hispanic origin); (2) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish culture or origin regardless of race); (3) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and (4) American Indian or Alaskan native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification). 2. Whenever the Contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted. 3. If the Contractor is participating (pursuant to 41 CFR part 60-4.5) in a Hometown Plan approved by the U.S. Department of Labor in the covered area either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals and timetables) shall be in accordance with that Plan for those trades which have unions participating in the Plan. Contractors shall be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each contractor or subcontractor participating in an approved plan is individually required to comply with its obligations under the EEO clause and to make a good faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good faith performance by other Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 46 contractors or subcontractors toward a goal in an approved Plan does not excuse any covered contractor's or subcontractor's failure to take good faith efforts to achieve the Plan goals and timetables. 4. The Contractor shall implement the specific affirmative action standards provided in paragraphs 7a through 7p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered construction contractors performing construction work in a geographical area where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form, and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal procurement contracting officers. The Contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified. 5. Neither the provisions of any collective bargaining agreement nor the failure by a union with whom the Contractor has a collective bargaining agreement to refer either minorities or women shall excuse the Contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto. 6. In order for the non -working training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees shall be employed by the Contractor during the training period and the Contractor shall have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees shall be trained pursuant to training programs approved by the U.S. Department of Labor. 7. The Contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the Contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully and shall implement affirmative action steps at least as extensive as the following: a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the Contractor's employees are assigned to work. The Contractor, where possible, will assign two or more women to each construction project. The Contractor shall specifically ensure that all foremen, superintendents, and other onsite supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities. b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses. c. Maintain a current file of the names, addresses, and telephone numbers of each minority and female off -the -street applicant and minority or female referral from a union, a recruitment source, or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the Contractor Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 47 by the union or, if referred, not employed by the Contractor, this shall be documented in the file with the reason therefore along with whatever additional actions the Contractor may have taken. d. Provide immediate written notification to the Director when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or female sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations. e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under 7b above. f. Disseminate the Contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the Contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the company EEO policy on bulletin boards accessible to all employees at each location where construction work is performed. g. Review, at least annually, the company's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination, or other employment decisions, including specific review of these items, with onsite supervisory personnel such superintendents, general foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter. h. Disseminate the Contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the Contractor's EEO policy with other contractors and subcontractors with whom the Contractor does or anticipates doing business. i. Direct its recruitment efforts, both oral and written, to minority, female, and community organizations, to schools with minority and female students; and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the Contractor shall send written notification to organizations, such as the above, describing the openings, screening procedures, and tests to be used in the selection process. j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer, and vacation employment to minority and female youth both on the site and in other areas of a contractor's workforce. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 48 k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR part 60-3. 1. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel, for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities. in. Ensure that seniority practices, job classifications, work assignments, and other personnel practices do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the EEO policy and the Contractor's obligations under these specifications are being carried out. n. Ensure that all facilities and company activities are non -segregated except that separate or single user toilet and necessary changing facilities shall be provided to assure privacy between the sexes. o. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations. p. Conduct a review, at least annually, of all supervisor's adherence to and performance under the Contractor's EEO policies and affirmative action obligations. 8. Contractors are encouraged to participate in voluntary associations, which assist in fulfilling one or more of their affirmative action obligations (7a through 7p). The efforts of a contractor association, joint contractor union, contractor community, or other similar groups of which the Contractor is a member and participant may be asserted as fulfilling any one or more of its obligations under 7a through 7p of these specifications provided that the Contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance. 9. A single goal for minorities and a separate single goal for women have been established. The Contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non -minority. Consequently, if the particular group is employed in a substantially disparate manner (for example, even though the Contractor has achieved its goals for women generally), the Contractor may be in violation of the Executive Order if a specific minority group of women is underutilized. 10. The Contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin. 11. The Contractor shall not enter into any subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246. 12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination, and cancellation of existing Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 49 subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended. 13. The Contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR part 60-4.8. 14. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government, and to keep records. Records shall at least include for each employee, the name, address, telephone number, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records. 15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g. those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program). Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 50 A17 FEDERAL FAIR LABOR STANDARDS ACT (FEDERAL MINIMUM WAGE) A17.1 SOURCE 29 USC § 201, et seq The U.S. Department of Labor (DOL) Wage and Hour Division administers the Fair Labor Standards Act (FLSA). This act prescribes federal standards for basic minimum wage, overtime pay, record keeping, and child labor standards. Contract Types — Per the Department of Labor, all employees of certain enterprises having workers engaged in interstate commerce; producing goods for interstate commerce; or handling, selling, or otherwise working on goods or materials that have been moved in or produced for such commerce by any person are covered by the FLSA. All consultants, sub -consultants, contractors, and subcontractors employed under this federally assisted project must comply with the FLSA. Professional Services — 29 CFR § 213 exempts employees in a bona fide executive, administrative or professional capacity. Because professional firms employ individuals that are not covered by this exemption, the sponsor's agreement with a professional services firm must include the FLSA provision. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of 29 USC § 201.The sponsor must select contractor or consultant, as appropriate for the contract. A17.3 SOLICITATION CLAUSE All contracts and subcontracts that result from this solicitation incorporate by reference the provisions of 29 CFR part 201, the Federal Fair Labor Standards Act (FLSA), with the same force and effect as if given in full text. The FLSA sets minimum wage, overtime pay, recordkeeping, and child labor standards for full and part-time workers. The [Contractor I Consultant] has full responsibility to monitor compliance to the referenced statute or regulation. The [Contractor I Consultant] must address any claims or disputes that arise from this requirement directly with the U.S. Department of Labor — Wage and Hour Division. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 51 A18 LOBBYING AND INFLUENCING FEDERAL EMPLOYEES A18.1 SOURCE 31 USC § 1352 — Byrd Anti -Lobbying Amendment 2 CFR part 200, Appendix II(J) 49 CFR part 20, Appendix A A18.2 APPLICABILITY Consultants and contractors that apply or bid for an award of $100,000 or more must certify that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant, or another award covered by 31 USC 1352. Each tier must also disclose any lobbying with non -Federal funds that takes place in connection with obtaining any Federal award. Contract Types —The sponsor must incorporate this provision into all contracts exceeding $100,000. Use of Provision — MANDATORY TEXT. Appendix A to 49 CFR Part 20 prescribes language the sponsor must use. The sponsor must incorporate this provision without modification. A18.3 CONTRACT CLAUSE CERTIFICATION REGARDING LOBBYING The Bidder or Offeror certifies by signing and submitting this bid or proposal, 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 Bidder or Offeror, 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 sub -awards at all tiers (including subcontracts, subgrants, and contracts under Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 52 grants, loans, and cooperative agreements) and that all sub -recipients shall certify and disclose accordingly. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 53 A19 PROHIBITION of SEGREGATED FACILITIES A19.1 SOURCE 41CFR §60 The contractor must comply with the requirements of the EEO clause by ensuring that facilities they provide for employees are free of segregation on the basis of race, color, religion, sex, sexual orientation, gender identity, or national origin. This clause must be included in all contracts that include the equal opportunity clause, regardless of the amount of the contract. Contract Types — AIP sponsors must incorporate the Prohibition of Segregated Facilities clause in any contract containing the Equal Employment Opportunity clause of 41 CFR §60.1. This obligation flows down to subcontract and sub -tier purchase orders containing the Equal Employment Opportunity clause. Construction — Construction work means construction, rehabilitation, alteration, conversion, extension, demolition or repair of buildings, highways, or other changes or improvements to real property, including facilities providing utility services. The term also includes the supervision, inspection, and other onsite functions incidental to the actual construction. Equipment— On site installation of equipment such as airfield lighting control equipment meets the definition of construction and thus this provision would apply. This provision does not apply to equipment projects involving manufacture of the item at a vendor's manufacturing plant. An example would be the manufacture of a SRE or ARFF vehicle. Professional Services — Professional services that include tasks that qualify as construction work as defined by 41 CFR part 60. Examples include the installation of noise monitoring equipment. Property/Land — Land acquisition contracts that include tasks that qualify as construction work as defined by 41 CFR part 60. Examples include demolition of structures or installation of boundary fencing. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of 41 CFR § 60. A19.3 CONTRACT CLAUSE PROHIBITION OF SEGREGATED FACILITIES (a) The Contractor agrees that it 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. The Contractor agrees that a breach of this clause is a violation of the Equal Employment Opportunity clause in this contract. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 54 (b) "Segregated facilities," as used in this clause, means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion, sex, or national origin because of written or oral policies or employee custom. The term does not include separate or single -user rest rooms or necessary dressing or sleeping areas provided to assure privacy between the sexes. (c) The Contractor shall include this clause in every subcontract and purchase order that is subject to the Equal Employment Opportunity clause of this contract. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 55 A20 OCCUPATIONAL SAFETY AND HEALTH ACT OF 1970 A20.1 SOURCE 29 CFR part 1910 A20.2 APPLICABILITY Contract Types — All contracts and subcontracts must comply with the Occupational Safety and Health Act of 1970 (OSH). The U.S. Department of Labor Occupational Safety and Health Administration (OSHA) oversees the workplace health and safety standards wage provisions from OSH. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of 20 CFR part 1910. A20.3 CONTRACT CLAUSE All contracts and subcontracts that result from this solicitation incorporate by reference the requirements of 29 CFR Part 1910 with the same force and effect as if given in full text. The employer must provide a work environment that is free from recognized hazards that may cause death or serious physical harm to the employee. The employer retains full responsibility to monitor its compliance and their subcontractor's compliance with the applicable requirements of the Occupational Safety and Health Act of 1970 (20 CFR Part 1910). The employer must address any claims or disputes that pertain to a referenced requirement directly with the U.S. Department of Labor — Occupational Safety and Health Administration. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 56 A21 PROCUREMENT OF RECOVERED MATERIALS A21.1 SOURCE 2 CFR § 200.322 40 CFR part 247 Solid Waste Disposal Act A21.2 APPLICABILITY Sponsors of AIP funded development and equipment projects must comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. Section 6002 emphasizes maximizing energy and resource recovery through use of affirmative procurement actions for recovered materials identified in the Environmental Protection Agency (EPA) guidelines codified at 40 CFR part 247. When acquiring items designated in the guidelines, the sponsor must procure items that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition. Contract Types —This provision applies to any contracts that include procurement of products designated in subpart B of 40 CFR part 247 where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the preceding fiscal year exceeded $10,000. Construction and Equipment — Include this provision in all construction and equipment projects. Professional Services and Property— Include this provision if the agreement includes procurement of a product that exceeds $10,000. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of 2 CFR § 200. A21.3 CONTRACT CLAUSE PROCUREMENT OF RECOVERED MATERIALS Contractor and subcontractor agree to comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act, and the regulatory provisions of 40 CFR Part 247. In the performance of this contract and to the extent practicable, the Contractor and subcontractors are to use products containing the highest percentage of recovered materials for items designated by the Environmental Protection Agency (EPA) under 40 CFR Part 247 whenever: 1) The contract requires procurement of $10,000 or more of a designated item during the fiscal year; or 2) The contractor has procured $10,000 or more of a designated item using Federal funding during the previous fiscal year. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 57 The list of EPA -designated items is available at www.epa.gov/smm/comprehensive-procurement- guidelines-construction-products. Section 6002(c) establishes exceptions to the preference for recovery of EPA -designated products if the contractor can demonstrate the item is: a) Not reasonably available within a timeframe providing for compliance with the contract performance schedule; b) Fails to meet reasonable contract performance requirements; or c) Is only available at an unreasonable price. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 58 A22 RIGHT TO INVENTIONS A22.1 SOURCE 2 CFR § 200, Appendix II(F) 37 CFR §401 A22.2 APPLICABILITY Contract Types —This provision applies to all contracts and subcontracts with small business firms or nonprofit organizations that include performance of experimental, developmental, or research work. This clause is not applicable to construction, equipment, or professional service contracts unless the contract includes experimental, developmental, or research work. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of Appendix II to 2 CFR part 200. A22.3 CONTRACT CLAUSE RIGHTS TO INVENTIONS Contracts or agreements that include the performance of experimental, developmental, or research work must provide for the rights of the Federal Government and the Owner in any resulting invention as established by 37 CFR part 401, Rights to Inventions Made by Non-profit Organizations and Small Business Firms under Government Grants, Contracts, and Cooperative Agreements. This contract incorporates by reference the patent and inventions rights as specified within 37 CFR §401.14. Contractor must include this requirement in all sub -tier contracts involving experimental, developmental, or research work. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 59 A23 SEISMIC SAFETY A23.1 SOURCE 49 CFR part 41 Contract Types —This provision applies to construction of new buildings and additions to existing buildings financed in whole or in part through the Airport Improvement Program. Professional Services— Sponsor must incorporate this clause in any contract involved in the construction of new buildings or structural addition to existing buildings. Construction — Sponsor must incorporate this clause in any contract involved in the construction of new buildings or structural addition to existing buildings. Equipment — Sponsor must include the construction provision if the project involves construction or structural addition to a building such as an electrical vault project to accommodate or install equipment. Land — This provision will not typically apply to a property/land project. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of 49 CFR part 41. A23.3 CONTRACT CLAUSE A23.3.1 Professional Service Agreements for Design SEISMIC SAFETY In the performance of design services, the Consultant agrees to furnish a building design and associated construction specification that conform to a building code standard that provides a level of seismic safety substantially equivalent to standards as established by the National Earthquake Hazards Reduction Program (NEHRP). Local building codes that model their building code after the current version of the International Building Code (IBC) meet the NEHRP equivalency level for seismic safety. At the conclusion of the design services, the Consultant agrees to furnish the Owner a "certification of compliance" that attests conformance of the building design and the construction specifications with the seismic standards of NEHRP or an equivalent building code. A23.3.2 Construction Contracts SEISMIC SAFETY The Contractor agrees to ensure that all work performed under this contract, including work performed by subcontractors, conforms to a building code standard that provides a level of seismic safety substantially equivalent to standards established by the National Earthquake Hazards Reduction Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 60 Program (NEHRP). Local building codes that model their code after the current version of the International Building Code (IBC) meet the NEHRP equivalency level for seismic safety. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 61 A24 TAX DELINQUENCY AND FELONY CONVICTIONS A24.1 SOURCE Sections 41S and 416 of Title IV, Division L of the Consolidated Appropriations Act, 2014 (Pub. L. 113-76), and similar provisions in subsequent appropriations acts. DOT Order 4200.6 - Requirements for Procurement and Non -Procurement Regarding Tax Delinquency and Felony Convictions A24.2 APPLICABILITY The sponsor must ensure that no funding goes to any contractor who: • Has been convicted of a Federal felony within the last 24 months; or • Has any outstanding tax liability for which all judicial and administrative remedies have lapsed or been exhausted. Contract Types —This provision applies to all contracts funded in whole or part with AIP. Use of Provision —The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of DOT Order 4200.6. A24.3 CONTRACT CLAUSE CERTIFICATION OF OFFERER/BIDDER REGARDING TAX DELINQUENCY AND FELONY CONVICTIONS The applicant must complete the following two certification statements. The applicant must indicate its current status as it relates to tax delinquency and felony conviction by inserting a checkmark (✓) in the space following the applicable response. The applicant agrees that, if awarded a contract resulting from this solicitation, it will incorporate this provision for certification in all lower tier subcontracts. Certifications 1) The applicant represents that it is ( _ ) is not ( _ ) a corporation that has any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability. 2) The applicant represents that it is ( _ ) is not ( _ ) is not a corporation that was convicted of a criminal violation under any Federal law within the preceding 24 months. Note If an applicant responds in the affirmative to either of the above representations, the applicant is ineligible to receive an award unless the sponsor has received notification from the agency suspension and debarment official (SDO) that the SDO has considered suspension or debarment and determined that further action is not required to protect the Government's interests. The applicant therefore must provide information to the owner about its tax liability or conviction to the Owner, who will then notify Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 62 the FAA Airports District Office, which will then notify the agency's SDO to facilitate completion of the required considerations before award decisions are made. Term Definitions Felony conviction: Felony conviction means a conviction within the preceding twentyfour (24) months of a felony criminal violation under any Federal law and includes conviction of an offense defined in a section of the U.S. code that specifically classifies the offense as a felony and conviction of an offense that is classified as a felony under 18 U.S.C. § 3559. Tax Delinquency: A tax delinquency is any unpaid Federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted, or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 63 A25 TERMINATION OF CONTRACT A25.1 SOURCE 2 CFR § 200 Appendix II(B) FAA Advisory Circular 150/5370-10, Section 80-09 A25.2 APPLICABILITY Contract Types — All contracts and subcontracts in excess of $10,000 must address termination for cause and termination for convenience by the sponsor. The provision must address the manner (i.e. notice, opportunity to cure, and effective date) by which the sponsor's contract will be affected and the basis for settlement (i.e. incurred expenses, completed work, profit, etc.). Use of Provision — Termination for Default— MANDATORY TEXT. Section 80-09 of FAA Advisory Circular 150/5370- 10 establishes standard language for Termination for Default under a construction contract. The sponsor must not make any changes to this standard language. Termination for Convenience — No mandatory text provided. The sponsor must include a clause for termination for convenience. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of Appendix II to 2 CFR part 200. Equipment, Professional Services, and Property— No mandatory text provided. The sponsor may use their established clause language provided that it adequately addresses the intent of Appendix II(B) to Part 200, which addresses termination for fault and for convenience. A25.3 CONTRACT CLAUSE A25.3.1 Termination for Convenience TERMINATION FOR CONVENIENCE (CONSTRUCTION & EQUIPMENT CONTRACTS) The Owner may terminate this contract in whole or in part at any time by providing written notice to the Contractor. Such action may be without cause and without prejudice to any other right or remedy of Owner. Upon receipt of a written notice of termination, except as explicitly directed by the Owner, the Contractor shall immediately proceed with the following obligations regardless of any delay in determining or adjusting amounts due under this clause: 1. Contractor must immediately discontinue work as specified in the written notice. 2. Terminate all subcontracts to the extent they relate to the work terminated under the notice. 3. Discontinue orders for materials and services except as directed by the written notice. 4. Deliver to the Owner all fabricated and partially fabricated parts, completed and partially completed work, supplies, equipment and materials acquired prior to termination of the work, and as directed in the written notice. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 64 5. Complete performance of the work not terminated by the notice. 6. Take action as directed by the Owner to protect and preserve property and work related to this contract that Owner will take possession. Owner agrees to pay Contractor for: 1) completed and acceptable work executed in accordance with the contract documents prior to the effective date of termination; 2) documented expenses sustained prior to the effective date of termination in performing work and furnishing labor, materials, or equipment as required by the contract documents in connection with uncompleted work; 3) reasonable and substantiated claims, costs, and damages incurred in settlement of terminated contracts with Subcontractors and Suppliers; and 4) reasonable and substantiated expenses to the Contractor directly attributable to Owner's termination action. Owner will not pay Contractor for loss of anticipated profits or revenue or other economic loss arising out of or resulting from the Owner's termination action. The rights and remedies this clause provides are in addition to any other rights and remedies provided by law or under this contract. TERMINATION FOR CONVENIENCE (PROFESSIONAL SERVICES) The Owner may, by written notice to the Consultant, terminate this Agreement for its convenience and without cause or default on the part of Consultant. Upon receipt of the notice of termination, except as explicitly directed by the Owner, the Contractor must immediately discontinue all services affected. Upon termination of the Agreement, the Consultant must deliver to the Owner all data, surveys, models, drawings, specifications, reports, maps, photographs, estimates, summaries, and other documents and materials prepared by the Engineer under this contract, whether complete or partially complete. Owner agrees to make just and equitable compensation to the Consultant for satisfactory work completed up through the date the Consultant receives the termination notice. Compensation will not include anticipated profit on non -performed services. Owner further agrees to hold Consultant harmless for errors or omissions in documents that are incomplete as a result of the termination action under this clause. A25.3.2 Termination for Default TERMINATION FOR DEFAULT (CONSTRUCTION) Section 80-09 of FAA Advisory Circular 150/5370-10 establishes conditions, rights, and remedies associated with Owner termination of this contract due to default of the Contractor. TERMINATION FOR DEFAULT (EQUIPMENT) The Owner may, by written notice of default to the Contractor, terminate all or part of this Contract if the Contractor: Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 65 1. Fails to commence the Work under the Contract within the time specified in the Notice- to - Proceed; 2. Fails to make adequate progress as to endanger performance of this Contract in accordance with its terms; 3. Fails to make delivery of the equipment within the time specified in the Contract, including any Owner approved extensions; 4. Fails to comply with material provisions of the Contract; 5. Submits certifications made under the Contract and as part of their proposal that include false or fraudulent statements; or 6. Becomes insolvent or declares bankruptcy. If one or more of the stated events occur, the Owner will give notice in writing to the Contractor and Surety of its intent to terminate the contract for cause. At the Owner's discretion, the notice may allow the Contractor and Surety an opportunity to cure the breach or default. If within [10] days of the receipt of notice, the Contractor or Surety fails to remedy the breach or default to the satisfaction of the Owner, the Owner has authority to acquire equipment by other procurement action. The Contractor will be liable to the Owner for any excess costs the Owner incurs for acquiring such similar equipment. Payment for completed equipment delivered to and accepted by the Owner shall be at the Contract price. The Owner may withhold from amounts otherwise due the Contractor for such completed equipment, such sum as the Owner determines to be necessary to protect the Owner against loss because of Contractor default. Owner will not terminate the Contractor's right to proceed with the Work under this clause if the delay in completing the work arises from unforeseeable causes beyond the control and without the fault or negligence of the Contractor. Examples of such acceptable causes include: acts of God, acts of the Owner, acts of another Contractor in the performance of a contract with the Owner, and severe weather events that substantially exceed normal conditions for the location. If, after termination of the Contractor's right to proceed, the Owner determines that the Contractor was not in default, or that the delay was excusable, the rights and obligations of the parties will be the same as if the Owner issued the termination for the convenience the Owner. The rights and remedies of the Owner in this clause are in addition to any other rights and remedies provided by law or under this contract. TERMINATION FOR DEFAULT (PROFESSIONAL SERVICES) Either party may terminate this Agreement for cause if the other party fails to fulfill its obligations that are essential to the completion of the work per the terms and conditions of the Agreement. The party initiating the termination action must allow the breaching party an opportunity to dispute or cure the breach. The terminating party must provide the breaching party [7] days advance written notice of its intent to terminate the Agreement. The notice must specify the nature and extent of the breach, the conditions Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 66 necessary to cure the breach, and the effective date of the termination action. The rights and remedies in this clause are in addition to any other rights and remedies provided by law or under this agreement. a) Termination by Owner: The Owner may terminate this Agreement in whole or in part, for the failure of the Consultant to: 1. Perform the services within the time specified in this contract or by Owner approved extension; 2. Make adequate progress so as to endanger satisfactory performance of the Project; or 3. Fulfill the obligations of the Agreement that are essential to the completion of the Project. Upon receipt of the notice of termination, the Consultant must immediately discontinue all services affected unless the notice directs otherwise. Upon termination of the Agreement, the Consultant must deliver to the Owner all data, surveys, models, drawings, specifications, reports, maps, photographs, estimates, summaries, and other documents and materials prepared by the Engineer under this contract, whether complete or partially complete. Owner agrees to make just and equitable compensation to the Consultant for satisfactory work completed up through the date the Consultant receives the termination notice. Compensation will not include anticipated profit on non -performed services. Owner further agrees to hold Consultant harmless for errors or omissions in documents that are incomplete as a result of the termination action under this clause. If, after finalization of the termination action, the Owner determines the Consultant was not in default of the Agreement, the rights and obligations of the parties shall be the same as if the Owner issued the termination for the convenience of the Owner. b) Termination by Consultant: The Consultant may terminate this Agreement in whole or in part, if the Owner: 1. Defaults on its obligations under this Agreement; 2. Fails to make payment to the Consultant in accordance with the terms of this Agreement; Suspends the Project for more than [1801 days due to reasons beyond the control of the Consultant. Upon receipt of a notice of termination from the Consultant, Owner agrees to cooperate with Consultant for the purpose of terminating the agreement or portion thereof, by mutual consent. If Owner and Consultant cannot reach mutual agreement on the termination settlement, the Consultant may, without prejudice to any rights and remedies it may have, proceed with terminating all or parts of this Agreement based upon the Owner's breach of the contract. In the event of termination due to Owner breach, the Engineer is entitled to invoice Owner and to receive full payment for all services performed or furnished in accordance with this Agreement and all justified reimbursable expenses incurred by the Consultant through the effective date of termination action. Owner agrees to hold Consultant harmless for errors or omissions in documents that are incomplete as a result of the termination action under this clause. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 67 A26 TRADE RESTRICTION CERTIFICATION A26.1 SOURCE 49 USC § 50104 49 CFR part 30 A26.2 APPLICABILITY Unless waived by the Secretary of Transportation, sponsors may not use AIP funds on a product or service from a foreign country included in the current list of countries that discriminate against U.S. firms as published by the Office of the United States Trade Representative (USTR). Contract Types —The trade restriction certification and clause applies to all AIP funded projects. Use of Provision — MANDATORY TEXT. 49 CFR part 30 prescribes the language for this model clause. The sponsor must include this certification language in all contracts and subcontracts without modification. A26.3 SOLICITATION CLAUSE TRADE RESTRICTION CERTIFICATION By submission of an offer, the Offeror certifies that with respect to this solicitation and any resultant contract, the Offeror — 1) is not owned or controlled by one or more citizens of a foreign country included in the list of countries that discriminate against U.S. firms as published by the Office of the United States Trade Representative (USTR); 2) has not knowingly entered into any contractor subcontract for this project with a person that is a citizen or national of a foreign country included on the list of countries that discriminate against U.S. firms as published by the USTR; and 3) has not entered into any subcontract for any product to be used on the Federal project that is produced in a foreign country included on the list of countries that discriminate against U.S. firms published by the USTR. This certification concerns a matter within the jurisdiction of an agency of the United States of America and the making of a false, fictitious, or fraudulent certification may render the maker subject to prosecution under Title 18 USC Section 1001. The Offeror/Contractor must provide immediate written notice to the Owner if the Offeror/Contractor learns that its certification or that of a subcontractor was erroneous when submitted or has become erroneous by reason of changed circumstances. The Contractor must require subcontractors provide immediate written notice to the Contractor if at any time it learns that its certification was erroneous by reason of changed circumstances. Unless the restrictions of this clause are waived by the Secretary of Transportation in accordance with 49 CFR 30.17, no contract shall be awarded to an Offeror or subcontractor: Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 68 1) who is owned or controlled by one or more citizens or nationals of a foreign country included on the list of countries that discriminate against U.S. firms published by the USTR or 2) whose subcontractors are owned or controlled by one or more citizens or nationals of a foreign country on such USTR list or 3) who incorporates in the public works project any product of a foreign country on such USTR list. 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 provision. The knowledge and information of a contractor is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings. The Offeror agrees that, if awarded a contract resulting from this solicitation, it will incorporate this provision for certification without modification in all lower tier subcontracts. The Contractor may rely on the certification of a prospective subcontractor that it is not a firm from a foreign country included on the list of countries that discriminate against U.S. firms as published by USTR, unless the Offeror has knowledge that the certification is erroneous. This certification is a material representation of fact upon which reliance was placed when making an award. If it is later determined that the Contractor or subcontractor knowingly rendered an erroneous certification, the Federal Aviation Administration (FAA) may direct through the Owner cancellation of the contract or subcontract for default at no cost to the Owner or the FAA. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 69 A27 VETERAN'S PREFERENCE A27.1 SOURCE 49 USC § 47112(c) Contract Types —This provision applies to all AIP funded projects that involve labor to carry out the project. This preference, which excludes executive, administrative, and supervisory positions, applies to covered veterans (as defined under § 47112(c)) only when they are readily available and qualified to accomplish the work required by the project. Use of Provision — No mandatory text provided. The following language is acceptable to the FAA and meets the intent of this requirement. If the sponsor uses different language, the sponsor's language must fully satisfy the requirements of 49 USC § 47112. A27.3 CONTRACT CLAUSE VETERAN'S PREFERENCE In the employment of labor (excluding executive, administrative, and supervisory positions), the Contractor and all sub -tier contractors must give preference to covered veterans as defined within Title 49 United States Code Section 47112. Covered veterans include Vietnam -era veterans, Persian Gulf veterans, Afghanistan -Iraq war veterans, disabled veterans, and small business concerns (as defined by 15 USC 632) owned and controlled by disabled veterans. This preference only applies when there are covered veterans readily available and qualified to perform the work to which the employment relates. Guidelines for Contract Provisions for Obligated Sponsors and Airport Improvement Program Projects Issued on June 19, 2018 Page 70 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SUPPLEMENTAL PROVISIONS NOTE: Revisions, supplements or notes, if any, to the General Provisions will be made and found in these Supplementary Provisions. Unless revisions, supplements or notes addressing the General Provisions are found in these Supplementary Provisions, the General Provisions remain as presented in their entirety. LAWS TO BE OBSERVED The Contractor is required to be familiar with all laws, ordinances and regulations which may in any manner affect the equipment or materials used in the proposed construction, those employed on the work or the conduct of the work, and he shall save harmless and indemnify the Owner and his representatives against any claim arising from violation thereof. PERMITS AND LICENSES The Contractor shall procure all permits and licenses and pay all charges and fees necessary and incidental to the due and lawful prosecution of the work. SANITATION PROVISIONS The Contractor shall observe all rules and regulations of the State and Local health officials and must take such precautions as are necessary to avoid creating unsanitary conditions. PUBLIC CONVENIENCE AND SAFETY The Contractor shall, at all times, so conduct his work as to ensure the least possible obstruction to traffic. The safety and convenience of the general public and the residents along the highway and the protection of persons and property shall be provided by the Contractor at all times in accordance with the authority which has jurisdiction over the highway. PROTECTION AND RESTORATION OF PROPERTY The Contractor shall restore, at his own expense, any public or private property damaged or injured in consequence of any act or omission on his part or on the part of his employees or agents, to a condition similar and equal to that existing before such damage or injury was done. If the Contractor neglects to repair or to make restoration within twenty-four (24) hours after receiving notice that such repair or restoration is necessary, the Owner shall proceed to make such repairs or restoration and will deduct the cost thereof from any monies that are or may become due to the Contractor. PROTECTION OF WORK The Contractor shall assume full responsibility for the safe -guarding and protection of all buildings, poles, conduits, manholes, catchbasins, valve boxes, trees, water mains and services, storm and sanitary sewers, gas mains and services, or other structures which may occur near his work or which in any way may be affected by any of his work under this contract except as otherwise specifically stated in the contract or specifications. RESPONSIBILITY FOR MOVING OF STRUCTURES Any buildings, poles, conduits, manholes, catchbasins, valve boxes, trees, water mains and services, storm and sanitary sewers, gas mains and services or other structures which in the opinion of the Engineer will have to be moved or changed in order to permit the proper construction of the work, will be moved or changed by the respective owners at the insistence of the Owner, unless otherwise specifically stated in SUPPLEMENTAL PROVISIONS PAGE 1 of 6 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B the contract, but any such structures which, in the opinion of the Architect / Engineer, can be left without being disturbed, shall be left and the Contractor shall take all necessary precautions for their protection and he will be held fully responsible for their protection. All costs resulting from the moving of such structures shall be borne by the Contractor and shall be included in the unit prices or lump sums bid for the work included in the contract. QUALIFICATIONS FOR EMPLOYMENT No person under the age of sixteen (16) years, and no person currently serving sentence in a penal correctional institution shall be employed to perform any work on the project under this contract. No person whose age or physical condition is such as to make his employment dangerous to his health or safety or to the health and safety of others shall be employed to perform any work on the project under this contract, provided that this sentence shall not operate against the employment of physically handicapped persons, otherwise employable, where such persons may be safely assigned to work which they can ably perform. There shall be no discrimination because of race, creed, color, national origin or political affiliations in the employment of persons for work on the project under this contract. LABOR PREFERENCE AND EMPLOYMENT SERVICE (With respect to all skilled, semi -skilled and unskilled workers employed on the project under this contract.) To the fullest extent possible, appropriate workers, to be secured through employment services, shall be chosen from the list of qualified workers submitted by local employment agencies designated by the United States Employment Service, provided that Union workers shall not be required to register at such local employment agencies, but if such workers are desired by the employer, they shall be obtained through union locals in a customary manner. In the event, however, employers who wish to employ union workers are not furnished with qualified workers by the union locals within fourty-eight (48) hours (Sunday and Holidays excluded) after request is filed by the employer, all workers shall be chosen from lists of qualified workers submitted by local agencies designated by the United States Employment Service. NON-DISCRIMINATION Except as specifically provided above, workers who are qualified by training and experience and who, as above outlined, are referred for any work on the project under this contract, shall not be discriminated against on any grounds whatsoever. CONTRACTOR'S ORGANIZATION The Contractor shall give his personal supervision to the faithful prosecution of the work and in case of his absence shall have a competent, experienced and reliable foreman or superintendent, acceptable to the Owner on the site who shall follow without delay all instructions of the Engineer or his assistants in the prosecution and completion of the work and every part thereof, in full authority to supply men, materials and labor, immediately. He shall keep on hand at all times copies of the Contract Documents. MATERIALS AND WORKMANSHIP The Contractor shall furnish suitable tools and equipment and employ competent labor to perform the work to be done. Any labor or tools or equipment that shall not, in the judgment of the Engineer, be suitable or competent to produce the desired results may be ordered from the work by him. When required by the specifications, or when called for by the Engineer, the Contractor shall furnish the Engineer for approval full information concerning the materials which he SUPPLEMENTAL PROVISIONS PAGE 2 of 6 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B contemplates incorporating in the work. Samples of materials shall be submitted for approval when so directed. Materials furnished by the Contractor which shall not, in the judgment of the Engineer, be equal to the requirements of the plans or specifications, may be rejected by the Engineer, and such rejected materials shall not be used, but shall be immediately removed by the Contractor from the site of the work. ENGINEERING INSPECTION AND OBSERVATION OF THE WORK During construction based on the Engineer's recommendations, plans or specifications, the Engineer shall provide full time inspector(s) who shall have the authority to observe the work of the Contractor or Contractors involved and to regularly report his / her opinions of that work to the Owner. Generally, one inspector shall be assigned to each Contractor's work crew. Such observation shall not be relied upon by the Contractor or others as acceptance of the work nor shall it in any manner relieve any Contractor or any other party from his / her obligations and responsibilities under the construction contract or generally accepted industry custom. When indicated in the Proposal, an inspector day shall be defined as the normal 8-hour Monday through Friday work periods when a construction working crew appropriately consisting of an acting foreman, machine operator(s), skilled tradesmen, laborer(s) and construction equipment have been assembled at the job site to actively perform the work required of the contract. For underground utility projects, such as water main, sanitary and storm sewers, this would include periods of observation time when the working crew is performing typical pipe construction activities, such as, but not limited to, excavation to grade, pipe laying, backfill, compaction, location and installation of services, installation of appurtenances such as manholes, catchbasins, meter pits, pump stations, retention / detention basins, blow off and air relief manholes and junction chambers etc. and quality control testing, such as compaction and leak (air and / or hydraulic) testing. The inspector day shall also include checking before, during and after such things as boring / jacking pits, casing pipe line and grade, stripping, grubbing and cleanup. For paving projects, such as streets, highways and parking lots, the inspector day would include observation of excavation to grade, subgrade undercutting, planning / grinding / grooving existing payment, scarifying, edge or underdrains, roadbed construction, such as subbase, base and pavement courses, curb and gutter and quality control testing for all phases. The inspector day shall include checking before, during and after such activities as clearing, grubbing, stripping and cleanup. Generally, one inspector shall be assigned to each working crew. In the matter of multi -crew projects, this shall apply regardless of the working crews' proximity to each other or the work tasks that the working crews are performing. There shall be one inspector per working crew. This quantity of inspector days has been indicated in the Proposal where required and shall be a part of the Contract. If, during the course of construction when there may be multiple working crews and the Engineer and Contractor mutually agree that one inspector may be capable of observing more than one working crew because of the crew's proximity to each other or their work tasks, then the indicated amount of inspector days may be adjusted by formal change order. The change order shall define the adjustment to the amount of inspector days shown in the Proposal. In the opinion of the Engineer, if the situation whereby the inspector's ability to observe more than one working crew is not longer valid, then the one inspector per working crew shall govern. SUPPLEMENTAL PROVISIONS PAGE 3 of 6 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B The Engineer will set suitable stakes and marks showing the locations and elevations of the various parts of the work. No work shall be undertaken until such stakes and marks shall have been set by the Engineer. The Contractor shall take due and proper precautions for the preservations of these stakes and marks and shall see to it that the work at all times proceeds in accordance therewith. The Engineer may provide for the inspection of any or all materials or workmanship used or intended to be used under this contract, by assistants under his direction, or otherwise, as he may deem to be advisable or expedient. The Engineer and his duly authorized agents and employees may, at any time and for any purpose, enter upon the work and upon the premises occupied by the Contractor, and the Contractor shall provide proper and safe facilities by which they have convenient access to such parts of the work as may be required. PROTECTION AGAINST ACCIDENTS The Contractor shall erect and shall maintain during the continuance of the work, such barricades, lights, signs and other protective devices which comply with the laws of the State of Texas and the Texas Manual for Uniform Traffic Control Devices. The Contractor shall also furnish such watchmen as will effectually prevent any accident in consequence of his work and he shall be liable for all accidents and damages occasioned in any way by his acts or neglect, or by the acts or neglect of his subcontractors, agents or workmen. DISORDERLY EMPLOYEES Disorderly, intemperate or incompetent persons must not be allowed upon the work. SANITARY REGULATIONS The Contractor shall provide at convenient points, properly secluded from observation, a sufficient number of toilets for the use of the personnel, and shall maintain them strictly without nuisance and without offense to the public or to residents in the vicinity of the work. The number, location, character and conditions of maintenance of these utilities shall at all times be such as will meet with the approval of the Engineer. WATER SUPPLY The Contractor shall make all necessary arrangements for securing an adequate water supply for use in construction and for drinking water for his employees. Water may be taken from municipality water mains by making suitable application to the municipal water department. If municipal water is used on the work, the Contractor shall make the necessary application and shall pay all costs involved. Connections, piping and fittings for conveying water shall be furnished and maintained by the Contractor. Payment for water used shall be made by the Contractor to the municipality in accordance with regular established municipal rates. PERMITS Before construction begins, the Contractor shall obtain from the governmental agency who has jurisdiction over the road right-of-way or area in which the work is located a written permit to occupy and construct within the road right-of-way or area. PROTECTION OF LAND MONUMENTS AND PROPERTY STAKES Land monuments or stakes marking property corners shall not be moved or otherwise disturbed except as directed by the Engineer. When they occur within the area of concrete base or SUPPLEMENTAL PROVISIONS PAGE 4 of 6 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B pavement, they shall be enclosed as specified by the Engineer; such work to be paid for by the Owner. When, in the judgment of the Engineer, land monuments or property lot stakes can be saved, all such stakes shall be marked by the Contractor in a manner agreed to by the Engineer and Contractor, after which the Contractor shall protect such land monuments or lot stakes from injury. If any land monuments or lot stakes are moved or disturbed by the Contractor after their location has been marked in a manner acceptable to the Engineer and Contractor, then the Contractor agrees that $500.00 for each and every land monument or lot stake so moved or disturbed may be deducted from any money due him as a payment to the Owner for the cost of replacing said land monument or lot stake. CLEANING UP The Contractor shall, at all times, keep the premises free from accumulations of waste material or rubbish caused by his employees or work. Upon completion of the actual work of construction, the Contractor shall cleanup and leave in a neat condition all the premises which he has occupied during the construction period. Before the time of the final estimate, the Contractor shall remove from the premises all surplus excavation, debris and rubbish and all unused materials, together with all tools and equipment, or shall deposit them at such points and in such a manner as the Engineer may require. DISCOVERY OF UNANTICIPATED HAZARDOUS MATERIALS Hazardous or toxic materials may exist where there is no reason to believe they could or should be present. The Contractor and the Owner agree that the discovery of unanticipated hazardous or toxic materials constitutes a changed condition mandating a renegotiation of the scope of work or termination of services. The Contractor agrees to notify the Owner and Engineer as soon as practically possible should unanticipated hazardous materials or suspected hazardous materials be encountered. The Contractor agrees to waive any claim against the Engineer, and agrees to indemnify, defend and hold the Engineer harmless from any claim or liability for injury or loss arising from the encounter of unanticipated hazardous or toxic materials or suspected hazardous or toxic materials. DISCOVERY OF UNANTICIPATED HAZARDOUS MATERIALS ON SITE NOT OWNED BY OWNER Contractor recognizes that it is his responsibility to inform the property owner, Engineer and project Owner as soon as possible of the discovery of unanticipated hazardous materials or suspected hazardous materials. DISPUTE RESOLUTION All claims, disputes or controversies arising out of, or in relation to, the interpretation, application or enforcement of the Agreement shall be decided through mediation as adopted and described by the American Arbitration Association. The parties further agree that the Contractor will require, as a condition for participation in the project and their agreement to perform labor or services, that all Subcontractors, Sub -subcontractors and Material Persons, whose portion of the work amounts to one thousand dollars ($1,000) or more, and their insurers and sureties shall also agree to this procedure. JOB SITE SAFETY Insofar as job site safety is concerned, the Engineer is responsible solely for his or her own and his or her employees' activities on the job site, but this shall not be construed to relieve the SUPPLEMENTAL PROVISIONS PAGE 5 of 6 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Contractor from its responsibility for maintaining a safe job site. Neither the professional activities of the Engineer, nor the presence of the Engineer or his or her employees and Subcontractors, shall be construed to imply the Engineer has any responsibility for methods of work performance, superintendence, sequencing of construction, or safety in, on or about the job site. The Owner and Contractor agree that the Contractor is solely responsible for job site safety. The Contractor also warrants that the Engineer and Owner shall be made an additional insured under the Contractor's general liability insurance policy. STANDARD OF CARE Professional services provided by Engineer will be performed in accordance with generally accepted engineering principles and practices, in a manner consistent with that level of care and skill ordinarily exercised by members of the profession currently practicing under similar conditions. SUPPLEMENTAL PROVISIONS PAGE 6 of 6 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT klxQJYW.1CM6T.T"D.yl1.Tili11r1l.7:\Y 1.1 DESIGN PROFESSIONALS OF RECORD A. Engineer: 1. Randy L. Musser 2. 52864 END OF SECTION 00 0107.1 SEALS PAGE — STRUCTURAL SECTION 00 0107.1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SEALS PAGE - STRUCTURAL SECTION 00 0107.1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1.1 DESIGN PROFESSIONALS OF RECORD A. Architect: 1. Mark A. Wilcer 2. 26025 3. Responsible for Divisions 00 — 02, and 07. END OF SECTION 00 0107.2 SEALS PAGE - ARCHITECTURAL SECTION 00 0107.2 Page 1 of 2 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SEALS PAGE - ARCHITECTURAL SECTION 00 0107.2 Page 2 of 2 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 011000 - SUMMARY OF WORK PART 1 — GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including General and Supplementary Conditions apply to this section. 1.2 PROJECT INFORMATION A. The Lubbock Preston Smith International Airport (LBB) has numerous hangar buildings with metal roofs. The buildings listed below require removal and replacement of the existing metal roof systems per these specifications: 1. Warehouse 720 Information provided below is approximate and should be independently verified by Contractor. B. Warehouse 720 (aka Air Spares) 1. Warehouse 720 is a pre-engineered metal building (PEMB) used for storage of airport maintenance equipment and materials. We understand that the building was constructed over 30 years ago with materials manufactured by Metallic Building Systems of Houston, Texas. Imagery ©2021 Google, Map data © 2021 SUMMARYOFWORK 01 10 00 - 1 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. Structural framing consisted of steel frames with girts and purlins. The roof was constructed with corrugated steel roof panels with exposed fasteners. The Scope of Work for Warehouse 720 includes removal and replacement of the metal roof. 3. The roof appeared to consist of corrugated galvanized or galvalume steel roof panels and fiberglass skylights. The roof panels slope at approximately 4 inches per foot from a center ridge to gutters on each side of the building. The panels appeared to be secured to the purlins with wires wrapped around the bottom flange of the purlins. Most of the roof panels have visible surface corrosion. Many of the skylight panels are cracked or broken. The gutters are damaged and downspouts are missing 4. Purlins appeared to be spaced less than 5-feet on center. 5. The ridge of the roof has non -powered roof ventilators along the ridge line. 6. Roof height near the eaves is approximately 16-feet above grade. C. Information in this Section is provided only to establish general description and is not necessarily exact. The Contractor shall be responsible for becoming satisfied as to the existing conditions, size of roof and adjacent areas, etc. before preparation and submission of bid. Receipt of bid will be considered evidence Contractor has inspected project or otherwise become satisfied on all details relating to the work. The building area of approximately 10,200 square feet must be verified in the field. SUMMARYOFWORK O1 10 00 - 2 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1.3 SUMMARY OF WORK A. Furnish all labor, supervision, materials, tools, equipment, devices, appliances, utilities, transportation, and other facilities and services necessary to accomplish the work described in these specifications. Unless noted otherwise, the "Base Bid" Scope of Work consists of roof system replacements repairs for the Warehouse Building 720 at the Lubbock Preston Smith International Airport in Lubbock, Texas. B. The Scope of Work includes removing and replacing the metal roofing systems for the listed buildings. The roof areas are indicated on the attached schematic roof plans. Generally, the Scope of Work shall include: If necessary, remove and protect any roof mounted equipment that might become damaged during the course of the work. After the work is complete, reinstall any affected equipment and return to operating condition. 2. Remove existing metal roof panels, wood blocking, and insulation materials down to the existing beams or purlins. Properly dispose of all materials. 3. THE PROJECT OWNER IS NOT AWARE OF THE EXISTENCE OF ANY HAZARDOUS MATERIALS LOCATED WITHIN WAREHOUSE 720. SHOULD THE CONTRACTOR ENCOUNTER ANY MATERIAL THEY BELIEVE COULD BE HAZARDOUS, THEY ARE TO NOTIFY THE PROJECT REPRESENTATIVE. 4. The existing structural framing shall remain in place. a. Since the existing roof system may contribute to the diaphragm support and lateral bracing of the structural framing system, the contractor shall furnish and install any and all bracing that may be required during construction and after. b. If necessary, based on design uplift calculations, furnish and install additional clips and/or fasteners as required to secure the existing beams and/or purlins to the structural steel framing. If necessary, add purlins and fasteners to provide additional wind uplift capacity. 5. Furnish and install a new complete trapezoidal standing seam panel system per Specification Section 074113. a. Materials used for the roof panels, rake edges, gutters, downspouts, and other trim materials shall be Aluminum -Zinc Alloy -Coated Steel Sheet: ASTM A-792, structural quality, Grade 50, unpainted Galvalume Plus coating. b. Panels shall be 22-gage with 3-inch standing seams. Standing seams shall have factory -applied sealant in the seam. SUMMARYOFWORK 01 10 00 - 3 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Clips shall be fastened to existing purlins or beams. Clips shall be designed to resist wind loads and accommodate thermal expansion and contraction of the roof panels. d. To the extent possible, fabricate roof panels in lengths that will not require transverse or panel end laps. Exposed fasteners at lapped panels shall be hot dipped galvanized with integral neoprene or EPDM washers. Panel lap joints shall be backed up with manufacturer's fabricated 18-gage back up plates. e. For building spaces that are not air-conditioned, furnish and install continuous ridge vents. Manufacturer shall demonstrate that ridge vents have been designed and passed testing for wind driven rain resistance according to the Florida Testing Application Standard (TAS) No. 100(A)- 95 — Test Procedure for Wind and Wind Driven Rain Resistance. f. Pipe penetrations through the roof shall be flashed with flexible boots per roof panel manufacturer standard details. Flashing and sealing all existing penetrations of the roofing and associated flashing systems are considered to be part of the scope of work even if the penetration is not specifically identified on the roof plans 6. Remove and replace all gutters and downspouts with new material per Specification Section 076200. a. Materials shall match roof panel system. If painted finish, color will be selected by Owner from manufacturer's standard colors. b. Gutter, downspout and expansion joint details shall be based on SMACNA details. C. Before commencement of work, the contractor shall prepare and submit the following documents for approval: 1. Design calculations for wind uplift and lateral bracing. 2. International Building Code recognized testing data indicating that the proposed roof assembly has been satisfactorily tested for the code required wind load uplift pressures. 3. Shop fabrication and erection drawings. 4. Design drainage calculations to verify adequacy of gutter and downspout sizes. 5. Letter from the manufacturer stating that the contractor is authorized and certified by the manufacturer to install proposed system. 6. Sample warranty documents. 7. Contractor's safety plan and planned work schedule. SUMMARYOFWORK 01 10 00 - 4 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT D. All materials shall be installed according to the manufacturer's written application instructions unless noted otherwise. E. All installed materials shall be covered by the Contractor's two-year installation warranty and the Manufacturer's 20-year weather tightness warranty. The manufacturer shall provide 3 quality assurance inspections to verify conformance with manufacturer's standards. Inspections shall be performed by the manufacturer's warranty technician or 3rd party inspector and documented with written reports. 1.4 BUILDING CODE REFERENCES A. 2015 Int'l Building Code per City of Lubbock, TX Ordinance 2020-00016 (2/11/2020). B. 2015 Int'l Existing Building Code PART 2 - PRODUCTS (NOT APPLICABLE) PART 3 - EXECUTION (NOT APPLICABLE) END OF SECTION 011000 SUMMARYOFWORK O1 10 00 - 5 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SUMMARYOFWORK O1 10 00 - 6 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0125 00 — PRODUCTS AND SUBSTITUTIONS PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract including other Division 1 Specification Sections, apply to this section. 1.2 SUMMARY A. This section includes administrative and procedural requirements for handling requests for substitutions made after award of the Contract. The contract drawings and specifications define the required components of the Work. Substitutions will only be considered if there is a clearly demonstrated benefit to the Owner, financially or functionally. The processing of substitution requests will be at Contractor's cost. The Architect will record the time required by him or his consultants in reviewing and approving substitution requests and notify the Contractor of the charges therefore. The Owner shall deduct any such expenses of the Architect from the Contractor's monthly periodic pay requests in accordance with the compensation terms for cost, overhead and profit in the Owner / Architect- Engineer agreement. B. Related Sections: The following sections contain requirements that relate to this section: 1. Division 1, Section 014200 - REFERENCE STANDARDS AND DEFINITIONS specifies the applicability of industry standards to products specified. 2. Division 1, Section 013300 - SUBMITTALS specifies requirements for submitting the Contractor's Construction Schedule and the Submittal Schedule. 1.3 DEFINITIONS A. Definitions in this Article do not change or modify the meaning of other terms used in the Contract Documents. 1. "Products" are items purchased for incorporation in the work, whether purchased for the Project or taken from previously purchased stock. The term "product" includes the terms "material," "equipment," "system," and terms of similar intent. a. "Named Products" are items identified by the manufacturer's product name, including make or model number or other designation, shown or listed in the manufacturer's published product literature that is current as of the date of the Contract Documents. 2. "Materials" are products substantially shaped, cut, worked, mixed, finished, refined or otherwise fabricated, processed, or installed to form a part of the work. 3. "Equipment" is a product with operational parts, whether motorized or manually operated, that requires service connections, such as wiring or piping. PRODUCTS AND SUBSTITUTIONS 01 25 00-1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B B. Substitutions: Changes in products, materials, equipment, and methods of construction required by the Contract Documents proposed by the Contractor after award ofthe Contract are considered to be requests for substitutions. The following are not considered to be requests for substitutions: 1. Substitutions requested by bidders during the bidding period, and accepted prior to award of Contract, are considered as included in the Contract Documents and are not subject to requirements specified in this section for substitutions. 2. Revisions to the Contract Documents requested by the Owner or Architect. 3. Specified options of products and construction methods included in the Contract Documents. 4. The Contractor's determination of and compliance with governing regulations and orders issued by governing authorities. 1.4 SUBMITTALS A. Materials, products, equipment and systems are specified in the Contract Documents by manufacturer, trade name or distributor to establish a standard of the required criteria, including function,performance, dimension, appearance and quality to be met by any proposed substitution. Unless otherwise specified, application for substitutions will be considered by the Owner and the Architect after execution of the agreement. The burden of proof of merit of proposed substitute is upon the proposer. Substitute items shall not be incorporated in the work without prior written approval of the item by the Architect. Substitution requests must be submitted as Section 01631 submittals. Submittal as a shop drawing under the product's section number or as an RFI will be returned without action. After the substitution is approved fully detailed shop drawing submittals shall be made under the products section number. B. Where an item is specified by one or more manufacturer's model number or specific item identification and "or approved equal" is included, only the item(s) that is specified by manufacturer's model number or specific identification is approved and any other item must be submitted for approval as a substitution. C. Where an item is specified by a referenced standard, the item must be submitted for approval same as a substitute. D. Submit three (3) copies of each request for substitution for consideration. Submit requests in the form and according to procedures required for change -order proposals. E. Identify the product or the fabrication or installation method to be replaced in each request. Include related Specification Section and drawing numbers. F. Provide complete documentation showing compliance with the requirements for substitutions, and the following information, as appropriate: 1. Coordination information, including a list of changes or modifications needed to other parts of the work and to construction performed by the Owner and separate contractors that will be necessary to accommodate theproposed substitution. 2. A detailed comparison of significant qualities of the proposed substitution with those of the work specified. Significant qualities may include elements such as performance, weight, size, durability, and visual effect. PRODUCTS AND SUBSTITUTIONS 01 25 00-2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 3. Product Data, including drawings and descriptions of products and fabrication and installation procedures. 4. Samples, where applicable or requested. 5. A statement indicating the substitution's effect on the Contractor's Construction Schedule compared to the schedule without approval of the substitution. Indicate the effect of the proposed substitution on overall Contract Time. 6. Cost information, including a proposal of the net change, if any in the Contract Sum. 7. The Contractor's certification that the proposed substitution conforms toor exceeds requirements in the Contract Documents in every respect and is appropriate for the applications indicated. Include the Contractor's waiver of rights to additional payment or time that may subsequently become necessary because of the failure of the substitution to perform adequately. G. Architect's Action: If necessary, the Architect will request additional information or documentation for evaluation within one week of receipt of a request for substitution. The Architect will notify the Contractor of acceptance or rejection of the substitution within two (2) weeks of receipt of the request, or one (1) week of receipt of additional information or documentation, whichever is later. Acceptance will be in the form of a change order. If a decision on use of a proposed substitute cannot be made or obtained within the time allocated, use the product specified. PART 2 - PRODUCTS 2.1 PRODUCT SELECTION A. General Product Requirements: Provide products that comply with the Contract Documents, that are undamaged and, unless otherwise indicated, new at the time of installation. 1. Provide products complete with accessories, trim, finish, safety guards, and other devices and details needed for a complete installation and the intended use and effect. 2. Standard Products: Where available, provide standard products of types that have been produced and used successfully in similar situations on other projects. 3. Compliance with Standards, Codes, and Regulations: Where Specifications only require compliance with an imposed code, standard, or regulation, select a product that complies with the standards, codes, or regulations specified. 4. Visual Matching: Where Specifications require matching an established Sample, the Architect's decision will be final on whether a proposed product matches satisfactorily. a. Where no product available within the specified category matches satisfactorily and complies with other specified requirements, comply with provisions of the Contract Documents concerning "substitutions" for selection of a matching product in another product category. 5. Visual Selection: Where specified product requirements include the phrase "... as selected from manufacturer's standard colors, patterns, textures ..." or a similar phrase, select a product and manufacturer that complies with other specified requirements. The Architect will select the color, pattern, and texture from the product line selected. PRODUCTS AND SUBSTITUTIONS 01 25 00-3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B B. Nameplates: Except for required labels and operating data, do not attach or imprint manufacturers' or producer's nameplates or trademarks on exposed surfaces of products that will be exposed to view in occupied spaces or on the exterior. 1. Labels: Locate required product labels and stamps on concealed surfaces or, where required for observation after installation, on accessible surfaces that are not conspicuous. 2. Equipment Nameplates: Provide a permanent nameplate on each item of service - connected or power -operated equipment. Locate on an easily accessible surface that is inconspicuous in occupied spaces. The nameplate shall contain the following information and other essential operating data: a. Name of product and manufacturer. b. Model and serial number. C. Capacity. d. Speed. e. Ratings. 2.2 SUBSTITUTIONS A. Conditions: The Architect will receive and consider the Contractor's request for substitution when one or more of the following conditions are satisfied, as determined by the Architect. If the following conditions are not satisfied, the Architect will return the requests without action except to record noncompliance with these requirements. 1. The specified product or method of construction cannot be providedwithin the Contract Time. The Architect will not consider the request if the product or method cannot be provided as a result of failure to pursue the work promptly or coordinate activities properly. 2. The request is directly related to an "or -equal" clause or similar language in the Contract Documents. 3. The requested substitution offers the Owner a substantial advantage, in cost, time, energy conservation, or other considerations, after deducting offsetting responsibilities the Owner may be required to bear. The Owner's additional responsibilities may include additional compensation to the Architect for redesign and evaluation services, increased cost ofotherconstructionbythe Owner or separate Contractors, and similar considerations. 4. The specified product or method of construction cannot receive necessary approval by a governing authority, and the requested substitution can be approved. 5. The specified product or method of construction cannot be provided in a manner that is compatible with other materials and where the Contractor certifies that the substitution will overcome the incompatibility. 6. The specified product or method of construction cannot be coordinated with other materials and where the Contractor certifies that the proposed substitution can be coordinated. 7. The specified product or method of construction cannot provide a warranty required by the Contract Documents and where the Contractor certifies that the proposed substitution provides the required warranty. B. The Contractor's submittal and the Architect's acceptance of shop drawings, product data, or samples for construction activities not complying with the Contract Documents do not constitute an acceptable or valid request for substitution, nor do they constitute approval. PRODUCTS AND SUBSTITUTIONS 01 25 00-4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B C. Whether or not the Architect and Owner accept a proposed substitution, the Contractor shall reimburse the Owner for the Architect's cost for the Architect and the Architect's consultants for evaluating any proposed substitute including changes required in the Contract Documents for the substitute. D. The Architect's decision of approval or disapproval of a proposed substitution shall be final. E. All costs that may be incurred associated with a substitution proposed by the Contractor shall be borne by the Contractor. This shall apply to all interfacing components recognized prior to or after approval of the substitution by the Architect. PART 3 - EXECUTION (Not Applicable) END SECTION 0125 00 PRODUCTS AND SUBSTITUTIONS 01 25 00-5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK. PRODUCTS AND SUBSTITUTIONS 01 25 00-6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0126 00 — CONTRACT MODIFICATION PROCEDURES PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this Section. 1.2 SUMMARY A. This Section specifies administrative and procedural requirements for handling and processing contract supplements and modifications. B. Related Sections: The following Sections contain requirements that relate to this Section: 1. Division 1, Section 012900 - APPLICATIONS FOR PAYMENT for administrative procedures governing Applications for Payment. 2. Division 1, Section 013300 - SUBMITTALS for requirements for the Contractor's Construction Schedule. 3. Division 1, Section 012500 - PRODUCTS AND SUBSTITUTIONS for administrative procedures for handling requests for substitutions made after award of the Contract. C. The Architect / Engineer will be reimbursed for an unreasonable number of RFI's and CCA's. 1.3 CONTRACT DOCUMENT SUPPLEMENTS A. Clarification / Supplemental Instructions (C): Shall provide further detail to requirements inferred in the Contract Documents or authorize minor changes in the work, not involving an adjustment to the Contract Sum or Contract Time and will be issued by the Architect with supplemental or revised drawings and specifications, if necessary. Clarifications / Supplemental Instructions issued by the Architect -Engineer shall become binding and a part of the Contract as minor changes in the work unless the Contractor notifies the Architect - Engineer within twenty-one (21) days that the instructions result in changes that affect the Contract Cost or Contract Time. B. Request for Information / Supplemental Instructions (RFI): Shall be initiated by the Contractor when necessary for performance of the work. The Architect's reply will constitute further detail to requirements if inferred in the Contract Documents or interpretations of the requirements. Requests for information must describe all document references that pertain to the issue and any conflicts and must include the contractor's interpretation or proposed action that would be made if there was not a process to obtain the information from the Architect. Requests for information that do not include this, or that request information already included in the contract documents without conflict, will be returned without action (RWA). The Architect will record the time expended to process such requests and notify the Contractor of the charges. The owner shall deduct any such compensation due the Architect from the Contractor's monthly periodic pay requests in CONTRACT MODIFICATION PROCEDURES 01 26 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B accordance with the compensation terms for cost, overhead and profit in the Owner / Architect agreement. C. Contractor Corrective Action Proposals (CCA): Shall be initiated by the Contractor when deviation from the contract requirements has been constructed. The Contractor shall provide a fully detailed proposal for his corrective or remedial work. The Architect's reply will indicate approval of the proposed action as detailed, approval with certain modifications, or rejection of the proposal. Use forms provided by the Architect. The Contractor shall maintain a sequentially numbered log of all such proposals. Upon notification of a deviation and request for a CCA the Contractor shall submit one promptly. Should this not occur in a timely fashion which, in the judgment of the Architect, will allow time for processing and correction ahead of other advancing elements of work, the Architect will initiate a CCA giving direction for correction. If the Architect initiates the CCA or must provide significant direction to a Contractor initiated CCA, due to a lack of a fully detailed proposal, the Architect will record the time expended and notify the Contractor of the charges. The owner shall deduct any such compensation due the Architect from the Contractor's monthly periodic pay requests in accordance with the compensation terms for cost, overhead and profit in the Owner / Architect agreement. 1.4 PROPOSAL / CHANGE ORDER REQUESTS A. Request for Proposal (RFP): The Architect will issue a detailed description of proposed changes in the Work that will require adjustment to the Contract Sum or Contract Time. If necessary, the description will include supplemental or revised Drawings and Specifications. 1. Proposal requests issued by the Architect are for information only. Do not consider them as an instruction either to stop work in progress or to execute the proposed change. 2. Unless otherwise indicated in the proposal request, within twenty (20) days of receipt of a proposal request, submit an estimate of cost necessary to execute the change to the Architect for the Owner's review. a. Include a list of quantities of products to be purchased and unit costs, along with the total amount of purchases to be made. Where requested, furnish survey data to substantiate quantities. b. Itemize labor charges by time and category. C. Indicate applicable taxes, delivery charges, equipment rental, and amounts of trade discounts. d. Indicate overhead and profit charges. e. Include a statement indicating the effect the proposed change in the work will have on the Contract Time. B. Contractor -Initiated Change Order Requests (RCO): When latent or unforeseen conditions require modifications to the Contract, the Contractor may propose changes by submitting a request for a change to the Architect. 1. Include a statement outlining the reasons for the change and the effect of the change on the Work. Provide a complete description of the proposed change. Indicate the effect of the proposed change on the Contract Sum and Contract Time. 2. Include a list of quantities of products to be purchased and unit costs along with the total amount of purchases to be made. Where requested, furnish survey data to substantiate quantities. CONTRACT MODIFICATION PROCEDURES 01 26 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 3. Indicate applicable taxes, delivery charges, equipment rental, and amounts of trade discounts. 4. Comply with requirements in Section 012500 - PRODUCTS AND SUBSTITUTIONS if the proposed change requires substitution of one product or system for a product or system specified. 5. Change Order Request Form: Use forms provided by the Architect. The Contractor shall maintain a sequential log of all Requests for Change Orders. 1.5 ALLOWANCES A. Allowance Adjustment: For allowance -cost adjustment, base each Change Order Proposal on the difference between the actual purchase amount and the allowance, multiplied by the final measurement of work -in -place. Where applicable, include reasonable allowances for cutting losses, tolerances, mixing wastes, normal product imperfections, and similar margins. 1. Include installation costs in the purchase amount only where indicated as part of the allowance. 2. When requested, prepare explanations and documentation to substantiate the margins claimed. 3. The Owner reserves the right to establish the actual quantity of work -in -place by independent quantity survey, measure, or count. B. Submit claims for increased costs because of a change in scope or nature of the allowance described in the Contract Documents, whether for the purchase order amount or the Contractor's handling, labor, installation, overhead, and profit. Submit claims within twenty (20) days of receipt of the Change Order or Construction Change Directive authorizing work to proceed. The Owner will reject claims submitted later than 20 days. 1. Do not include the Contractor's or subcontractor's indirect expense in the Change Order cost amount unless it is clearly shown that the nature or extent of work has changed from what could have been foreseen from information in Contract Documents. 2. No change to the Contractor's indirect expense is permitted for selection ofhigher or lower -priced materials or systems of the same scope and nature as originally indicated. 1.6 CONSTRUCTION CHANGE DIRECTIVE A. Construction Change Directive: When the Owner and the Contractor are not in total agreement on the terms of a Change Order Proposal Request, the Architect may issue a Construction Change Directive. The Construction Change Directive instructs the Contractor to proceed with a change in the Work, for subsequent inclusion in a Change Order. 1. The Construction Change Directive will contain a complete description of the change in the work and designate the method to be followed to determine change in the Contract Sum or Contract Time. B. Documentation: Maintain detailed records on a time and material basis of work required by the Construction Change Directive. 1. After completion of the change, submit an itemized account and supporting data necessary to substantiate cost and time adjustments to the Contract. 1.7 CHANGE ORDER PROCEDURES CONTRACT MODIFICATION PROCEDURES 01 26 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B A. Upon the Owner's approval of a Change Order Proposal Request, the Architect will issue a Change Order for signatures of the Owner and the Contractor on AIA Form G701, or similar, as provided in the Conditions of the Contract. Submit claims within twenty (20) days of receipt of the Change Order or Construction Change Directive authorizing work to proceed. The Owner will reject claims submitted later than twenty (20) days. A. The amount of overhead and profit allowed to the Contractor on a contract modification will be as follows: 1. Unit Price - If there is a proposed increase or decrease in a scope item that has a Unit Price in the Contract Documents, no additional mark-up will be allowed for overhead, profit, safety, insurance or bonds. In addition, no reduction in overhead and profit will be taken for the scope change. 2. Proposal Basis (Additive) — If there is a proposed increase in the scope of work, the Contractor will be allowed a 10% mark-up for overhead and profit for all direct work (work by his/her own forces) and for subcontractors' costs. This mark-up includes overhead, profit, safety and insurance costs. The Contractor will be paid for the increase in Bond amount equal to his / her actual bonding rate as stated in the bid form. This is to be added for all scope / cost changes. 3. Proposal Basis (Deductive) — If there is a proposed decrease in the scope of work, the Contractor will be required to provide a 0% mark-down for overhead and profit for all direct work (work by his / her own forces) and subcontractors' costs. This mark-down includes overhead, profit, safety and insurance costs. The Contractor will provide a deduction for the decrease in Bond amount equal to his / her actual bonding rate as stated in the bid form. This is to be deducted for all scope / cost changes. 4. Time & Material (Additive) - If there is a proposed increase in the scope of work due to time and material work directed by the Owner, the Contractor will be allowed a 10% mark-up for overhead and profit for all direct work (work by his/her own forces) and subcontractors' costs. This mark-up includes overhead, profit, safety and insurance costs. The Contractor will be paid for the increase in Bond amount equal to his / her actual bonding rate as stated in the bid form. This is to be added for all scope / cost changes. B. All Subcontractors will be required to adhere to the same allowable mark-ups / downs as the Contractor. The Contractor is responsible for reviewing and confirming that all Subcontractors have adhered to the allowable mark-ups / downs as stated above. C. The Contractor will be required to provide detailed back-up for all costs associated with the scope change. This includes, but is not limited to material invoices from suppliers, hourly wage rate sheets including all fringe benefits, certified payrolls, and bonding amount certification from his / her bonding company. D. Equipment — The Contractor will be paid for all equipment (other than small hand tools) as currently defined by the Illinois Department of Transportation "Schedule of Average Annual Equipment Ownership Expense with Operation Cost." No additional mark-up for overhead and profit will be allowed over and above the costs listed in this book. If equipment is not listed in this book, the Contractor is to provide rental agreement / invoices for the equipment. PART 2 - PRODUCTS (Not Applicable) CONTRACT MODIFICATION PROCEDURES 01 26 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT PART 3 - EXECUTION (Not Applicable) END OF SECTION 0126 00 CONTRACT MODIFICATION PROCEDURES 01 26 00 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK CONTRACT MODIFICATION PROCEDURES 01 26 00 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0129 00 — APPLICATIONS FOR PAYMENT PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this Section. 1.2 SUMMARY A. This Section specifies administrative and procedural requirements governing the Contractor's Applications for Payment. 1. Coordinate the Schedule of Values and Applications for Payment with the Contractor's Construction Schedule, Submittal Schedule, and List of Subcontracts. B. Related Sections: The following Sections contain requirements that relate to this Section. 1. Schedules: The Contractor's Construction Schedule and Submittal Schedule are specified in Division 1 Section 013300 - SUBMITTALS. 1.3 SCHEDULE OF VALUES A. Coordination: Coordinate preparation of the Schedule of Values with preparation of the Contractor's Construction Schedule. 1. Correlate line items in the Schedule of Values with other required administrative schedules and forms, including: a. Contractor's Construction Schedule. b. Application for Payment forms, including Continuation Sheets. C. List of subcontractors. d. Schedule of allowances. e. Schedule of alternates. f. Schedule of submittals. 2. Submit 3 copies of the Schedule of Values to the Architect for approval at the earliest possible date but no later than twenty-one (21) days before the date scheduled for submittal of the initial Applications for Payment. 3. Subschedules: Where Work is separated into phases requiring separately phased payments, provide Subschedules showing values correlated with each phase of payment. B. Format and Content: Use the Project Manual Table of Contents as a guide to establish the format for the Schedule of Values. 1. Identification: Include the following Project identification on the Schedule of Values: a. Project name and location. b. Name of the Architect. C. Project number. d. Contractor's name and address. e. Date of submittal. APPLICATIONS FOR PAYMENT 01 29 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. Arrange the Schedule of Values in tabular form with separate columns to indicate the following for each item listed: a. Related Specification Section and Division. b. Description of Work / generic name of the item. C. Name of subcontractor. d. Name of manufacturer or fabricator. e. Name of supplier. f. Change Orders (numbers) that affect value. g. Dollar value. h. Percentage of Contract Sum to nearest one -hundredth percent, adjusted to total 100 percent. 3. Provide a breakdown of the Contract Sum in sufficient detail, acceptable to the Architect, to facilitate continued evaluation of Applications for Payment and progress reports. Break principal subcontract amounts down into several line items. 4. Round amounts to nearest whole dollar; the total shall equal the Contract Sum. 5. Provide a separate line item in the Schedule of Values for each part of the Work where Applications for Payment may include materials or equipment, purchased or fabricated and stored, but not yet installed. a. Differentiate between items stored on -site and items stored off -site. Include requirements for insurance and bonded warehousing, if required. 6. Provide separate line items on the Schedule of Values for initial cost of the materials, for each subsequent stage of completion, and for total installed value of that part of the Work. 7. Margins of Cost: Show line items for indirect costs and margins on actual costs only when such items are listed individually in Applications for Payment. Each item in the Schedule of Values and Applications for Payment shall be complete. Include the total cost and proportionate share of general overhead and profit margin for each item. a. Temporary facilities and other major cost items that are not direct cost of actual work -in -place may be shown either as separate line items in the Schedule of Values or distributed as general overhead expense, at the Contractor's option. 8. Schedule Updating: Update and resubmit the Schedule of Values prior to the next Applications for Payment when Change Orders or Construction Change Directives result in a change in the Contract Sum. 1.4 APPLICATIONS FOR PAYMENT A. Each Application for Payment shall be consistent with previous applications and payments as certified by the Architect and paid for by the Owner. 1. The initial Application for Payment, the Application for Payment at time of Substantial Completion, and the final Application for Payment involve additional requirements. B. Payment Application Times: The "date" for each progress payment is as indicated in the Owner -Contractor Agreement or, if none is indicated therein, it is the 25th day of each month. The period of construction work covered by each payment request is the period indicated in the Owner -Contractor agreement or, if none is indicated therein, starting the day following the end of the preceding period. Refer to General Conditions and other Contract Documents for other dates related to payment application times. APPLICATIONS FOR PAYMENT 01 29 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT C. Payment -Application Forms: Use AIA Document G702 and Continuation Sheets G703 as the form for Applications for Payment. D. Application Preparation: Complete every entry on the form. Include notarization and execution by a person authorized to sign legal documents on behalf of the Contractor. The Architect will return incomplete applications without action. 1. Entries shall match data on the Schedule of Values and the Contractor's Construction Schedule. Use updated schedules if revisions were made. 2. Include amounts of Change Orders and Construction Change Directives issued prior to the last day of the construction period covered by the application. E. Transmittal: Submit five (5) signed and notarized original copies of each Application for Payment to the Architect by a method ensuring receipt within twenty-four (24) hours. One copy shall be complete, including waivers of lien and similar attachments. 1. Transmit each copy with a transmittal form listing attachments and recording appropriate information related to the application, in a manner acceptable to the Architect. F. Waivers of Mechanics Lien: With each Application for Payment, submit waivers of mechanics liens from every entity who may lawfully be entitled to file a mechanics lien arising out of the Contract, including but not limited to subcontractors, sub -subcontractors and suppliers, for the construction period covered by the previous application. 1. Submit partial waivers on each item for the amount requested, prior to deduction for retainage, on each item. 2. When an application shows completion of an item, submit final or full waivers. 3. The Owner reserves the right to designate which entities involved in the Work must submit waivers. 4. Waiver Delays: Submit each Application for Payment with the Contractor's waiver of mechanics lien for the period of construction covered by the application. a. Submit final Applications for Payment with or proceeded by final waivers from every entity involved with performance of the Work covered by the application who is lawfully entitled to a lien. 5. Waiver Forms: Submit waivers of lien on forms and executed in a manner acceptable to Owner. G. Initial Application for Payment: Administrative actions and submittals, that must precede or coincide with submittal of the first Application for Payment, include the following: 1. List of subcontractors. 2. List of principal suppliers and fabricators. 3. Schedule of Values. 4. Contractor's Construction Schedule (preliminary if not final). 5. Schedule of principal products. 6. Schedule of unit prices. 7. Submittal Schedule (preliminary if not final). 8. List of Contractor's staff assignments. 9. List of Contractor's principal consultants. 10. Copies of building permits. 11. Copies of authorizations and licenses from governing authorities for performance of the Work. APPLICATIONS FOR PAYMENT 01 29 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 12. Certificates of insurance and insurance policies. 13. Performance and payment bonds. 14. Data needed to acquire the Owner's insurance. 15. Initial settlement survey and damage report, if required. H. Application for Payment at Substantial Completion: Following issuance of the Certificate of Substantial Completion, submit an Application for Payment. 1. This application shall reflect any Certificates of Partial Substantial Completion issued previously for Owner occupancy of designated portions of the Work. 2. Administrative actions and submittals that shall precede or coincide with this application include: a. Occupancy permits and similar approvals or certifications by governing authorities, assuring Owner=s full access and use of the completed work. b. Warranties (guarantees) and maintenance agreements. C. Test / adjust / balance records. d. Maintenance instructions. e. Meter readings. f. Start-up performance reports. g. Change -over information related to Owner's occupancy, use, operation, and maintenance. h. Final cleaning. i. Application for reduction of retainage and consent of surety. j. Advice on shifting insurance coverages, including proof of extended coverages as required. k. Final progress photographs. 1. List of incomplete Work recognized to be completed by the Contractor, as exceptions to Architect's Certificate of Substantial Completion. I. Final Payment Application: Administrative actions and submittals that must precede or coincide with submittal of the final Application for Payment include the following: 1. Completion of Project closeout requirements. 2. Completion of items specified for payment application at time of Substantial Completion (regardless of whether such application was made). 3. Assurance, satisfactory to Owner, that unsettled claims will be settled and that work not actually completed or accepted will be completed without undue delay. 4. Transmittal of required Project construction records to the Owner. 5. Certified property, building, foundation, site improvements survey in an electronic format. 6. Proof, satisfactory to Owner, that taxes, fees, and similar obligations of the Contractor have been paid. 7. Removal of temporary facilities and services. 8. Removal of surplus materials, rubbish, and similar elements. 9. Change of door locks and other Contractor access to Owner's property. 10. Consent of Surety for Final Payment. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION (Not Applicable) APPLICATIONS FOR PAYMENT 01 29 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT END OF SECTION O1 29 00 APPLICATIONS FOR PAYMENT 01 29 00 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK APPLICATIONS FOR PAYMENT 01 29 00 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT E.�� � [��►i17<C3[III ' : ���:�►/:��1<'_SK�Z� : � 1► :�[�)► PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 1.2 SUMMARY A. This section includes administrative and supervisory requirements necessary for coordinating construction operations including, but not necessarily limited to, the following: 1. General project coordination procedures. 2. Coordination Drawings. 3. Administrative and supervisory personnel. 4. Cleaning and protection. B. Related Sections: Refer to other Division 1 sections for coordination requirements regarding field engineering services, project meetings, Contractor's construction schedule, general installation, and contract closeout. 1.3 COORDINATION A. Coordinate construction operations included in various sections of these Specifications to assure efficient and orderly installation of each part of the work. Coordinate construction operations included under different sections that are dependent upon each other for proper installation, connection, and operation. 1. Schedule construction operations in the sequence required to obtain the best results where installation of one part of the work depends on installation of other components, before or after its own installation. 2. Coordinate installation of different components to assure maximum accessibility for required maintenance, service, and repair. 3. Make provisions to accommodate items scheduled for later installation. B. Where necessary, prepare memoranda for distribution to each party involved, outlining special procedures required for coordination. Include such items as required notices, reports, and attendance at meetings. 1. Prepare similar memoranda for the Owner and separate contractors where coordination of their work is required. C. Administrative Procedures: Coordinate scheduling and timing of required administrative procedures with other construction activities to avoid conflicts and assure orderly progress of the work. Such administrative activities include, but are not limited to, the following: 1. Preparation of schedules. 2. Installation and removal of temporary facilities. 3. Delivery and processing of submittals. 4. Progress meetings. PROJECT MANAGEMENT & COORDINATION 01 31 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT Project closeout activities. 1.4 SUBMITTALS A. Coordination Drawings: Prepare coordination drawings as careful coordination is needed for installation of products and materials fabricated by separate entities. Prepare coordination drawings where limited space availability necessitates maximum utilization of space for efficient installation of different components. 1. Show the relationship of components shown on separate Shop Drawings. 2. Indicate required installation sequences. 3. Comply with requirements contained in Section 01300 - SUBMITTALS. 4. Refer to Divisions 15 and 16 for additional requirements. B. Staff Names: Within 15 days of commencement of construction operations, submit a list of the Contractor's principal staff assignments, including the superintendent and other personnel in attendance at the Project Site. Identify individuals and their duties and responsibilities. List their addresses and telephone numbers. 1. Post copies of the list in the Project meeting room, the temporary field office, and each temporary telephone. C. Subcontractor / Supplier Names: Within 15 days of commencement of construction operations, submit a listing of Contractor's principal subcontractors and suppliers, naming persons and listing their addresses and phone numbers. 1.5 SITE USE PLAN A. Within ten (10) working days of Contract award, the Contractor shall develop and submit for Owner's approval a site use plan. This plan shall clearly describe the proposed temporary facilities, staging areas, ramps and major traffic ways, hazardous material storage, provisions for site services, safety and security. Changes to the site plan shall be submitted for review and approval five (5) working days prior to effecting the changes. 1.6 TRADESPERSONS AND WORKMANSHIP STANDARDS A. General: Instigate and maintain procedures to ensure that persons performing work at site are skilled and knowledgeable in methods and craftsmanship needed to produce required quality levels for workmanship in completed work. Remove and replace work which does not comply with workmanship standards as specified and as recognized in the construction industry for applications indicated. Remove and replace other work damaged or deteriorated by faulty workmanship or its replacement. B. Availability of Tradespersons: At each progress or coordination meeting, review availability of tradespersons and projected needs to accomplish work as scheduled. Require each entity employing personnel to report on events which might affect progress of work. Where possible, consider alternatives and take actions to avoid disputes and delays. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION PROJECT MANAGEMENT & COORDINATION 0131 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 3.1 GENERAL COORDINATION PROVISIONS A. Inspection of Conditions: Require the Installer of each major component to inspect both the substrate and conditions under which work is to be performed. Do not proceed until unsatisfactory conditions have been corrected in an acceptable manner. B. Coordinate temporary enclosures with required inspections and tests to minimize the necessity of uncovering completed construction for that purpose. C. Manufacturer's Instructions: Comply with manufacturer's installation instructions and recommendations, to the extent that those instructions and recommendations are more explicit or stringent than requirements contained in Contract Documents. D. Inspect materials or equipment immediately upon delivery and again prior to installation. Reject damaged and defective items. E. Provide attachment and connection devices and methods necessary for securing work. Secure work true to line and level. Allow for expansion and building movement. F. Visual Effects: Provide uniform joint widths in exposed work. Arrange joints in exposed work to obtain the best visual effect. Refer questionable choices to the Architect for final decision. G. Recheck measurements and dimensions, before starting each installation. H. Install each component during conditions of temperature, humidity, exposure, forecasted weather and status of project completion that will ensure the best possible results, in coordination with entire work. Isolate each part of the completed construction from incompatible material as necessary to prevent deterioration. I. Mounting Heights: Where mounting heights are not indicated, install individual components at standard mounting heights recognized within the industry for the particular application indicated. Refer questionable mounting height decisions to the Architect for final decision. 3.2 CLEANING AND PROTECTION A. Clean and protect construction in progress and adjoining materials in place, during handling and installation. Apply protective covering where required to assure protection from damage or deterioration at Substantial Completion. B. Clean and maintain completed construction as frequently as necessary through the remainder of the construction period. Adjust and lubricate operable components to assure operability without damaging effects. C. Limiting Exposures: Supervise construction operations to assure that no part of the construction, completed or in progress, is subject to harmful, dangerous, damaging, or otherwise deleterious exposure during the construction period. Where applicable, such exposures include, but are not limited to, the following: 1. Excessive static or dynamic loading. 2. Excessive internal or external pressures. PROJECT MANAGEMENT & COORDINATION 01 31 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 3. Excessively high or low temperatures. 4. Thermal shock. 5. Excessively high or low humidity. 6. Air contamination or pollution. 7. Water or ice. 8. Solvents. 9. Chemicals. 10. Light. 11. Radiation. 12. Puncture. 13. Abrasion. 14. Heavy traffic. 15. Soiling, staining, and corrosion. 16. Bacteria. 17. Rodent and insect infestation. 18. Combustion. 19. Electrical current. 20. High-speed operation. 21. Improper lubrication. 22. Unusual wear or other misuse. 23. Contact between incompatible materials. 24. Destructive testing. 25. Misalignment. 26. Excessive weathering. 27. Unprotected storage. 28. Improper shipping or handling. 29. Theft. 30. Vandalism. 3.3 ENVIRONMENTAL PROTECTION 2231874.005 B A. Soil Disposal and / or Borrow: Conduct all soil disposal and / or borrow work in accordance with requirements of local regulatory authorities. Dispose of all excess soil in a legal manner off site. B. Solid, Liquid and Gaseous Contaminants: Contractor shall be responsible for the proper disposal of all solid, liquid and gaseous contaminants in accordance with all local codes and regulations, together with the following requirements. 1. Discharge gaseous contaminants so that they will be sufficiently diluted with fresh air to reduce the toxicity to an acceptable level. 2. Liquid contaminants may, subject to local utility standards, be diluted with water to a level of quality acceptable in the local sewer system or shall be contained in approved vessels for disposal at approved sites. C. Disposal of Refuse: Remove refuse resulting from construction operations from the site. Burning on the site is not permissible. D. Hazardous Waste: All hazardous waste generated by the Contractor and the Contractor's subcontractors during the course of construction shall be stored, transported and disposed of in accordance with 40 CFR 260. The Contractor and his subcontractors shall be responsible for all PROJECT MANAGEMENT & COORDINATION 01 31 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B documentation related to hazardous waste generated as a result of this Contract and that documentation shall be in accordance with 40 CFR 260. E. Construction Site Maintenance: 1. Store all supplies and equipment on project site so as to preclude mechanical and climatic damage. Maintain site in a neat and orderly manner. 2. Contractor shall be responsible for maintaining the temporary structures and construction enclosure (fence) in good repair and visually pleasant. Contractor shall further provide adequate security, supplementing the existing fencing as necessary, to prevent the presence of unauthorized persons on the site and to keep gates secured when not in actual use to ensure the integrity of the barrier as well as for property security. F. Noise Control: Comply with all applicable state and local laws, ordinances and regulations relative to noise control. END OF SECTION 01 31 00 PROJECT MANAGEMENT & COORDINATION 01 31 00 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH 1NT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK PROJECT MANAGEMENT & COORDINATION 01 31 00 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0132 00 — PROJECT MEETINGS PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 1.2 SUMMARY A. This section specifies administrative and procedural requirements for project meetings, including, but not limited to, the following: 1. Preconstruction conferences. 2. Preinstallation conferences. 3. Progress meetings. B. Contractor's Construction Schedule requirements are specified in another Division 1 section. C. Refer to individual sections for the portions of the project requiring preinstallation conferences. 1.3 PRECONSTRUCTION CONFERENCE A. The Owner and / or Architect will schedule a preconstruction conference and organizational meeting prior to the start of construction, but no later than fifteen (15) days after the execution of the Owner -Contractor Agreement. The preconstruction conference will be held at the project site, or an otherwise convenient location. The meeting shall be conducted to review responsibilities and personnel assignments. B. Attendees: Authorized representatives of the Owner, Architect and their consultants, the Contractor and its superintendent, major subcontractors, manufacturers, suppliers, and other concerned parties shall attend the conference. All participants at the conference shall be familiar with the Project and authorized to conclude matters relating to the work. C. Agenda: Discuss items of significance that could affect progress, including the following: 1. Tentative construction schedule. 2. Critical work sequencing. 3. Designation of responsible personnel. 4. Procedures for processing field decisions and Change Orders. 5. Procedures for processing Applications for Payment. 6. Distribution of Contract Documents, if not previously distributed. 7. Submittal of Shop Drawings, Product Data, and Samples. 8. Preparation of record documents. 9. Use of the premises. 10. Parking availability. 11. Office, work, storage areas and temporary facilities. 12. Equipment deliveries and priorities. 13. Safety procedures. PROJECT MEETINGS 01 32 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 14. First aid. 15. Security. 16. Housekeeping. 17. Working hours. 18. Coordination with work of concurrent and subsequent contracts under other Contractors. 19. Other appropriate topics. D. Schedule of Values: The Contractor shall provide an outline or draft copy of the Schedule of Values, in accordance with the requirements of Section 01027 - APPLICATIONS FOR PAYMENT, for initial review. The intent of this submittal is to review the Schedule of Values for organization and content with respect to the construction progress and work requirements, such that the review time of the formal submittal may be minimized. No dollar values or other monetary breakdowns are required with this outline. The formal submittal of the Schedule of Values with all monetary breakdowns and other requirements shall be in accordance with Section 01027 - APPLICATIONS FOR PAYMENT. E. The Architect shall record the results of the meeting and distribute copies to attendees and other interested parties. 1.4 PREINSTALLATION CONFERENCES A. The Contractor shall conduct a preinstallation conference at the Project Site before each construction activity that requires coordination with other construction. B. Attendees: The Installer and representatives of manufacturers and fabricators involved in or affected by the installation, and its coordination or integration with other materials and installations that have preceded or will follow, shall attend the meeting. Advise the Architect at least ten (10) working days in advance of scheduled meeting dates. C. Do not schedule conferences until the submittals required by the Contract Documents for work associated with the construction activity requiring the conference have been approved and returned to the Contractor. D. Review the progress of other construction activities and preparations for the particular activity under consideration at each preinstallation conference, including requirements for the following: 1. Contract Documents. 2. Options. 3. Related Change Orders. 4. Purchases. 5. Deliveries. 6. Shop Drawings, Product Data, and quality -control samples. 7. Review of mockups. 8. Possible conflicts. 9. Compatibility problems. 10. Time schedules. 11. Weather limitations. 12. Manufacturer's recommendations. 13. Warranty requirements. 14. Compatibility of materials. PROJECT MEETINGS 01 32 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 15. Acceptability of substrates. 16. Temporary facilities. 17. Space and access limitations. 18. Governing regulations. 19. Safety. 20. Inspecting and testing requirements. 21. Required performance results. 22. Recording requirements. 23. Protection. 2231874.005 B E. The Contractor shall record the results of the meeting and distribute copies to attendees and other interested parties. F. Do not proceed with the installation if the conference cannot be successfully concluded. Initiate whatever actions are necessary to resolve impediments to performance of work and reconvene the conference at the earliest feasible date. 1.5 PROGRESS MEETINGS A. The Contractor shall conduct progress meetings at the Project Site at regularly scheduled times on a weekly interval. Notify the Owner and the Architect of scheduled meeting dates. Coordinate dates of meetings with preparation of the payment request and in conjunction with any coordination meetings. B. Attendees: In addition to representatives of the Owner and the Architect, each subcontractor, supplier, or other entity concerned with current progress or involved in planning, coordination, or performance of future activities shall be represented at these meetings. All participants at the conference shall be familiar with the Project and authorized to conclude matters relating to progress. C. Agenda: Review and correct or approve minutes of the previous progress meeting. Review other items of significance that could affect progress. Include topics for discussion as appropriate to the status of the Project. 1. Contractor's Construction Schedule: Review progress since the last meeting. Determine where each activity is in relation to the Contractor's Construction Schedule, whether on time or ahead or behind schedule. Determine how construction behind schedule will be expedited; secure commitments from parties involved to do so. Discuss whether schedule revisions are required to ensure that current and subsequent activities will be completed within the Contract Time. 2. Review the present and future needs of each entity present, including the following: a. Interface requirements. b. Time. C. Sequences. d. Status of submittals. e. Deliveries. f. Off -site fabrication problems. g. Access. h. Site utilization. i. Temporary facilities and services. j. Hours of work. k. Hazards and risks. PROJECT MEETINGS 01 32 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1. Housekeeping. M. Quality and work standards. n. Change Orders. o. Documentation of information for payment requests. D. Reporting: Contractor shall record minutes of the meeting and distribute to each party present and to parties who should have been present. Contractor shall revise the construction schedule after each progress meeting where revisions to the schedule have been made or recognized. Contractor shall issue the revised schedule to attendees and others who should have been present no later than 3 days after the meeting. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION (Not Applicable) END OF SECTION 01 32 00 PROJECT MEETINGS 01 32 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0133 00 — SUBMITTAL PROCEDURES PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 1.2 SUMMARY A. This section includes administrative and procedural requirements for submittals required for performance of the work, including the following: 1. Contractor's construction schedule. 2. Submittal schedule. 3. Daily construction reports. 4. Construction photographs. 5. Shop Drawings. 6. Product Data. 7. Samples. 8. Quality assurance submittals. B. Administrative Submittals: Refer to other Division 1 Sections and other Contract Documents for requirements for administrative submittals. Such submittals include, but are not limited to, the following: 1. Permits. 2. Applications for Payment. 3. Performance and payment bonds. 4. Insurance certificates. 5. List of subcontractors. C. Related Sections: The following sections contain requirements that relate to this section: 1. Division 1, Section 012900 - APPLICATIONS FOR PAYMENT specifies requirements for submittal of the Schedule of Values. 2. Division 1, Section 013100 - COORDINATION specifies requirements governing preparation and submittal of required Coordination Drawings. 3. Division 1, Section 013200 - PROJECT MEETINGS specifies requirements for submittal and distribution of meeting and conference minutes. 4. Division 1, Section 014000 - QUALITY CONTROL specifies requirements for submittal of inspection and test reports. 5. Division 1, Section 017700 - CONTRACT CLOSEOUT specifies requirements for submittal of Project Record Documents at project closeout. 1.3 QUALITY ASSURANCE A. Compatibility of Options: When the Contractor is given the option of selecting between 2 or more products for use on the Project, the product selected shall be compatible with products previously selected, even if previously selected products were also options. SUBMITTAL PROCEDURES 01 33 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1.4 SUBMITTAL PROCEDURES A. Coordination: Coordinate preparation and processing of submittals with performance of construction activities. Transmit each submittal sufficiently in advance of performance of related construction activities to avoid delay. 1. Coordinate each submittal with fabrication, purchasing, testing, delivery, other submittals, and related activities that require sequential activity. 2. Coordinate transmittal of different types of submittals for related elements of the work so processing will not be delayed by the need to review submittals concurrently for coordination. a. The Architect reserves the right to withhold action on a submittal requiring coordination with other submittals until all related submittals are received. 3. Processing: Allow sufficient review time so that installation will not be delayed as a result of the time required to process submittals, including time for resubmittals. a. Allow 2 weeks plus time in transit for initial review. Allow additional time if processing must be delayed, to allow for coordination with subsequent submittals. The Architect will advise the Contractor when a submittal being processed must be delayed for coordination. b. If an intermediate submittal is necessary, process the same as the initial submittal. C. Allow two (2) weeks plus time in transit for reprocessing each submittal. d. No extension of Contract Time will be authorized because of failure to transmit submittals to the Architect sufficiently in advance of the work to permit processing. 4. The Architect will review up to 2 submissions (original and one resubmission) of shop drawings and other data submitted by the Contractor. Thereafter, additional reviews will be at the expense of the Contractor. These two referenced submissions shall be the only two whose associated review costs shall be borne by the Owner, regardless of whether a different product is submitted in subsequent submittals and regardless of whether a product is submitted as an equal product or substitution. The Architect will record the time required by him or his consultants in reviewing and approving submission in excess of the original and one 1 resubmission and notify the Contractor of the charges therefore. The Owner shall deduct any such expenses of the Architect from the Contractor's monthly periodic pay requests in accordance with the compensation terms for cost, overhead and profit in the Owner / Architect -Engineer agreement. B. Submittal Preparation: Place a permanent label or title block on each submittal for identification. Indicate the name of the entity that prepared each submittal on the label or title block. 1. Provide a space approximately 4 by 5 inches on the label or beside the title block on Shop Drawings to record the Contractor's review and approval markings and the action taken. 2. Include the following information on the label for processing and recording action taken. a. Project name. b. Date. C. Name and address of the Architect. d. Name and address of the Contractor. SUBMITTAL PROCEDURES 01 33 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT e. Name and address of the Subcontractor. f. Name and address of the supplier. g. Name of the manufacturer. h. Number and title of appropriate Specification section. i. Drawing number and detail references, as appropriate. C. Submittal Transmittal: Package each submittal appropriately for transmittal and handling. Transmit each submittal from Contractor to Architect using the standard transmittal form. Submittals received from sources other than the Contractor will be returned without action. A separate transmittal shall be used for each required submittal and the contents shall be itemized separately thereon to allow indication of disposition for each element of the submittal. D. Contractor's Action: Each shop drawing sheet and the cover sheet of bound packets of product data shall bear a stamp indicating the Contractor's disposition following the Contractor's review and checking. The disposition shall be indicated as "approved," "approved as noted," or similar as applicable. The stamp shall include the Contractor's name, the signature of the reviewer and the date checked. The notated sample shall be construed as evidence the Contractor has performed the review, check, verification, and coordination as required by the Owner. Shop drawing submittals received without this stamp (executed) will be returned to the Contractor with no action taken. 1.5 CONTRACTOR'S CONSTRUCTION SCHEDULE A. Bar -Chart Schedule: Prepare a fully developed, horizontal bar -chart -type, Contractor's construction schedule. Submit within thirty (30) days after the date established for "Commencement of the Work." 1. Provide a separate time bar for each significant construction activity. Provide a continuous vertical line to identify the first working day of each week. 2. Within each time bar, indicate estimated completion percentage in 10 percent increments. As work progresses, place a contrasting mark in each bar to indicate actual completion. 3. Prepare the schedule on a sheet, or series of sheets, of stable transparency, or other reproducible media, of sufficient width to show data for the entire construction period. 4. Secure time commitments for performing critical elements of the work from parties involved. Coordinate each element on the schedule with other construction activities; include minor elements involved in the sequence of the work. Show each activity in proper sequence. Indicate graphically the sequences necessary for completion of related portions of the work. 5. Coordinate the Contractor's construction schedule with the schedule of values, list of subcontracts, submittal schedule, progress reports, payment requests, and other schedules. 6. Indicate completion in advance of the date established for Substantial Completion. Indicate Substantial Completion on the schedule to allow time for the Architect's procedures necessary for certification of Substantial Completion. B. Phasing: On the schedule, show how requirements for phased completion to permit work by separate Contractors and partial occupancy by the Owner affect the sequence of work. SUBMITTAL PROCEDURES 01 33 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT C. Work Stages: Indicate important stages of construction for each major portion of the work, including submittal review, testing, and installation. D. Area Separations: Provide a separate time bar to identify each major construction area for each major portion of the work. Indicate where each element in an area must be sequenced or integrated with other activities. E. Cost Correlation: At the head of the schedule, provide a cost correlation line, indicating planned and actual costs. On the line, show dollar volume of work performed as of the dates used for preparation of payment requests. 1. Refer to Division 1, Section 012900 - APPLICATIONS FOR PAYMENT for cost reporting and payment procedures. F. Distribution: Following response to the initial submittal, print and distribute copies to the Architect, Owner, subcontractors, and other parties required to comply with scheduled dates. Post copies in the Project meeting room and temporary field office. 1. When revisions are made, distribute to the same parties and post in the same locations. Delete parties from distribution when they have completed their assigned portion of the work and are no longer involved in construction activities. G. Schedule Updating: Revise the schedule after each meeting, event, or activity where revisions have been recognized or made. Issue the updated schedule concurrently with the report of each meeting. 1.6 SUBMITTAL SCHEDULE A. After development and acceptance of the Contractor's Construction Schedule, prepare a complete schedule of submittals. Submit the schedule within ten (10) days of the date required for establishment of the Contractor's Construction Schedule. 1. The submittal schedule shall include all product data, shop drawings, samples, inspection reports, test reports and similar items as called out in the individual specification sections, to be submitted by the Contractor during the project. 2. Coordinate Submittal Schedule with the list of subcontracts, Schedule of Values, and the list of products as well as the Contractor's Construction Schedule. 3. Prepare the schedule in chronological order; include submittals required during the first 90 days of construction. Provide the following information: a. Scheduled date for the first submittal. b. Related section number. C. Submittal category. d. Name of the subcontractor. e. Description of the part of the work covered. f. Scheduled date for resubmittal. g. Scheduled date for the Architect's final release or approval. B. Distribution: Following response to the initial submittal, print and distribute copies to the Architect, Owner, subcontractors, and other parties required to comply with submittal dates indicated. Post copies in the project meeting room and field office. 1. When revisions are made, distribute to the same parties and post in the same locations. Delete parties from distribution when they have completed their assigned portion of the work and are no longer involved in construction activities. SUBMITTAL PROCEDURES 01 33 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT C. Schedule Updating: Revise the schedule after each meeting or activity where revisions have been recognized or made. Issue the updated schedule concurrently with the report of each meeting. 1.7 DAILY CONSTRUCTION REPORTS A. Prepare a daily construction report recording the following information concerning events at the site, and submit duplicate copies to the Architect at weekly intervals: 1. List of subcontractors at the site. 2. Approximate count of personnel at the site. 3. High and low temperatures, general weather conditions. 4. Accidents and unusual events. 5. Meetings and significant decisions. 6. Stoppages, delays, shortages, and losses. 7. Meter readings and similar recordings. 8. Emergency procedures. 9. Orders and requests of governing authorities. 10. Change Orders received, implemented. 11. Services connected, disconnected. 12. Equipment or system tests and startups. 13. Partial Completions, occupancies. 14. Substantial Completions authorized. A. Submit newly prepared information drawn accurately to scale. Highlight, encircle, or otherwise indicate deviations from the Contract Documents. Do not reproduce Contract Documents or copy standard information as the basis of Shop Drawings. Standard information submitted without being specifically tailored to this Project is not a Shop Drawing. B. Shop Drawings include fabrication and installation Drawings, setting diagrams, schedules, patterns, templates, and similar drawings. Include the following information: 1. Dimensions. 2. Identification of products and materials included. 3. Compliance with specified standards. 4. Notation of coordination requirements. 5. Notation of dimensions established by field measurement. 6. Sheet Size: Except for templates, patterns and similar full-size drawings, submit Shop Drawings on sheets at least 8-1/2 by 11 inches but no larger than 36 by 48 inches. 7. Submittal Quantity and Type: Submit one correctable, translucent, reproducible print and three blueline or blackline prints for the Architect's review. The Architect will return the reproducible print. 8. Do not use Shop Drawings without an appropriate final stamp indicating action taken in connection with construction. 1.9 PRODUCT DATA SUBMITTAL PROCEDURES 01 33 00 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B A. Collect product data into a single submittal for each element of construction or system. Product data includes printed information, such as manufacturer's installation instructions, catalog cuts, standard color charts, roughing -in diagrams and templates, standard wiring diagrams, and performance curves. Where product data must be specially prepared because standard printed data is not suitable for use, submit as "shop drawings." 1. Mark each copy to show applicable choices and options. Where printed product data includes information on several products, some of which are not required, mark copies to indicate the applicable information. Include the following information: a. Manufacturer's printed recommendations. b. Compliance with recognized trade association standards. C. Compliance with recognized testing agency standards. d. Application of testing agency labels and seals. e. Notation of dimensions verified by field measurement. f. Notation of coordination requirements. 2. Do not submit product data until compliance with requirements of the Contract Documents has been confirmed. 3. Submittals: Submit 6 copies of each required submittal. The Architect will retain 3 and will return the others marked with action taken and corrections or modifications required. 4. Distribution: Furnish copies of final submittal to installers, subcontractors, suppliers, manufacturers, fabricators, and others required for performance of construction activities. Show distribution on transmittal forms. a. Do not proceed with installation until an applicable copy of product data is in the Installer's possession. b. Do not permit use of unmarked copies of product data in connection with construction. 1.10 SAMPLES A. Submit full-size, fully fabricated samples cured and finished as specified and physically identical with the material or product proposed. Samples include partial sections of manufactured or fabricated components, cuts or containers of materials, color range sets, and swatches showing color, texture, and pattern. 1. Mount, display or package samples in the manner to facilitate review of qualities indicated. Prepare samples to match the Architect's sample. Include the following: a. Specification section number and reference. b. Generic description of the sample. C. Sample source. d. Product name or name of the manufacturer. e. Compliance with recognized standards. f. Availability and delivery time. 2. Submit samples for review of size, kind, color, pattern, and texture. Submit samples for a final check of these characteristics with other elements and a comparison of these characteristics between the final submittal and the actual component as delivered and installed. a. Where variation in color, pattern, texture, or other characteristic is inherent in the material or product represented, submit at least 3 multiple units that show approximate limits of the variations. b. Refer to other Specification sections for requirements for samples that illustrate workmanship, fabrication techniques, details of assembly, connections, operation, and similar construction characteristics. SUBMITTAL PROCEDURES 01 33 00 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 3. Preliminary Submittals: Where samples are for selection of color, pattern, texture, or similar characteristics from a range of standard choices, submit a full set of choices for the material or product. a. Preliminary submittals will be reviewed and returned with the Architect's notation indicating selection and other action. 4. Submittals: Except for samples illustrating assembly details, workmanship, fabrication techniques, connections, operation, and similar characteristics, submit 3 sets. The Architect will return one set marked with the action taken. 5. Maintain sets of samples, as returned, at the Project Site, for quality comparisons throughout the course of construction. a. Unless noncompliance with Contract Document provisions is observed, the submittal may serve as the final submittal. b. Sample sets may be used to obtain final acceptance of the construction associated with each set. B. Distribution of Samples: Prepare and distribute additional sets to subcontractors, manufacturers, fabricators, suppliers, installers, and others as required for performance of the work. Show distribution on transmittal forms. 1. Field samples specified in individual sections are special types of samples. Field samples are full-size examples erected on -site to illustrate finishes, coatings, or finish materials and to establish the standard by which the work will be judged. a. Comply with submittal requirements to the fullest extent possible. Process transmittal forms to provide a record of activity. 1.11 QUALITY ASSURANCE SUBMITTALS A. Submit quality -control submittals, including design data, certifications, manufacturer's instructions, manufacturer's field reports, and other quality -control submittals as required under other sections of the Specifications. B. Certifications: Where other sections of the Specifications require certification that a product, material, or installation complies with specified requirements, submit a notarized certification from the manufacturer certifying compliance with specified requirements. 1. Signature: Certification shall be signed by an officer of the manufacturer or other individual authorized to sign documents on behalf of the company. C. Inspection and Test Reports: Requirements for submittal of inspection and test reports from independent testing agencies are specified in Division 1, Section 01400 - QUALITY CONTROL. 1.12 CONSTRUCTION PHOTOGRAPHS A. General: Provide construction progress photographs taken one day each month to coincide with monthly pay request, until Substantial Completion. Take photographs at Substantial Completion as specified. B. Photographer Qualifications: A professional commercial photographer acceptable to the Owner. SUBMITTAL PROCEDURES 01 33 00 - 7 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B C. Format: Color photographic prints in 8-inch by 10-inch size, smooth surface, glossy finish and in a plastic j acket with a left-hand binding margin. Digital photo documentation will also be acceptable, provided all images are documented and labeled per below. 1. Provide 3 copies of each monthly set, with negatives, to the Architect, within five (5) working days of taking photograph. 2. Label each photograph, in lower right-hand corner, with the name of the project, date and time of the exposure, description of the view, Contractor's name and other pertinent data. 3. Consecutively number each exposure from beginning of project through Substantial Completion. D. Quantity: 1. Monthly: Until Substantial Completion, take photographs of four (4) representative views of the project showing, as much as possible, the work installed during the previous month. Architect reserves the right to determine location of photographs. 2. At Substantial Completion: Take photographs of the project from ten (10) locations as selected by the Owner and Architect. 1.13 ARCHITECT'S ACTION A. Except for submittals for the record, information or similar purposes, where action and return is required or requested, the Architect will review each submittal, mark to indicate action taken, and return in accordance with the Article "Submittal Procedures." 1. Compliance with specified characteristics is the Contractor's responsibility. B. Action Stamp: The Architect will stamp each submittal with a uniform, self-explanatory action stamp. The stamp will be appropriately marked, as follows, to indicate the action taken: 1. Final Unrestricted Release: When submittals are marked "Approved," the work covered by the submittal may proceed provided it complies with requirements of the Contract Documents. Final acceptance and payment depend on that compliance. 2. Final -But -Restricted Release: When submittals are marked "Approved as Noted," the work covered by the submittal may proceed provided it complies with notations or corrections on the submittal and requirements of the Contract Documents. Final acceptance and payment depend on that compliance. 3. Returned for Resubmittal: When submittals are marked "Not Approved" or "Returned for Correction", do not proceed with work covered by the submittal, including purchasing, fabrication, delivery, or other activity. Revise or prepare a new submittal according to the notations; resubmit without delay. Repeat if necessary to obtain different action mark. Do not permit submittals so marked to be used at the project site or elsewhere where work is in progress. 4. Other Action: Where a submittal is for information or record purposes, special processing or other activity, the submittal will be returned marked "Returned Without Action." C. Unsolicited Submittals: The Architect will return unsolicited submittals to the sender without action. D. Except for verification of finishes, colors and other aesthetic matters left to the Architect's discretion by the Contract Documents, Architect's review of shop drawings is only for the convenience of the Owner in following the work and shall not relieve the Contractor from SUBMITTAL PROCEDURES 01 33 00 - 8 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B responsibility for any deviations from the requirements of the Contract Documents. The Architect's review shall not be construed as a complete check, nor shall it relieve the Contractor from responsibility for errors of any sort in shop drawings or schedules or from the necessity of furnishing any work required by the Contract Documents which may have been omitted on the shop drawings. The Architect's review of a separate item shall not indicate review of the complete assembly in which it functions. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION (Not Applicable) END OF SECTION 01 33 00 SUBMITTAL PROCEDURES 01 33 00 - 9 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SUBMITTAL PROCEDURES 01 33 00 - 10 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0140 00 — QUALITY CONTROL PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 1.2 SUMMARY A. This section includes administrative and procedural requirements for quality -control services. B. Quality -control services include inspections, tests, and related actions, including reports performed by Contractor, by independent agencies, and by governing authorities. They do not include contract enforcement activities performed by Architect. C. Inspection and testing services are required to verify compliance with requirements specified or indicated. These services do not relieve Contractor of responsibility for compliance with Contract Document requirements. D. Requirements of this section relate to customized fabrication and installation procedures, not production of standard products. 1. Specific quality -control requirements for individual construction activities are specified in the sections that specify those activities. Those requirements, including inspections and tests, cover production of standard products as well as customized fabrication and installation procedures. 2. Specified inspections, tests, and related actions do not limit Contractor's quality - control procedures that facilitate compliance with Contract Document requirements. 3. Requirements for Contractor to provide quality -control services required by Architect, Owner, or authorities having jurisdiction are not limited by provisions of this section. 1.3 RESPONSIBILITIES A. Contractor Responsibilities: Owner shall provide inspections, tests, and similar quality - control services where specifically indicated to be provided by Owner elsewhere in the Contract Documents. Costs are not included under the contract sum. The contractor shall be responsible for all other inspections, tests and similar quality control services specified in the Contract Documents or required by authorities having jurisdiction and for coordination of the Owner' agencies. B. Contractor's Convenience Testing: Inspecting and testing performed exclusively for the Contractor's convenience shall be the sole responsibility of the Contractor. C. Retesting: The Contractor is responsible for retesting where results of inspections, tests, or other quality -control services prove unsatisfactory and indicate noncompliance with Contract Document requirements, regardless of whether the original test was Contractor's responsibility. QUALITY CONTROL 01 40 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B The cost of retesting construction, revised or replaced by the Contractor, is the Contractor's responsibility where required tests were performed on original construction. D. Associated Services: Cooperate with agencies performing required inspections, tests, and similar services, and provide reasonable auxiliary services as requested. Notify the agency sufficiently in advance of operations to permit assignment of personnel. Auxiliary services required include, but are not limited to, the following: 1. Provide access to the work. 2. Furnish incidental labor and facilities necessary to facilitate inspections and tests. 3. Take adequate quantities of representative samples of materials that require testing or assist the agency in taking samples. 4. Provide facilities for storage and curing of test samples. 5. Deliver samples to testing laboratories. 6. Provide the agency with a preliminary design mix proposed for use for materials mixes that require control by the testing agency. 7. Provide security and protection of samples and test equipment at the Project Site. E. Duties of the Testing Agency: The independent testing agency engaged to perform inspections, sampling, and testing of materials and construction specified in individual sections shall cooperate with the Architect and the Contractor in performance of its duties and shall provide qualified personnel to perform required inspections and tests. 1. The agency shall notify the Architect and the Contractor promptly of irregularities or deficiencies observed in the work during performance of its services. 2. The agency is not authorized to release, revoke, alter, or enlarge requirements of the Contract Documents or approve or accept any portion of the work. 3. The agency shall not perform any duties of the Contractor. F. Coordination: The Contractor and each agency engaged to perform inspections, tests and similar services shall coordinate the sequence of activities to accommodate required services with a minimum of delay. In addition, the Contractor and each agency shall coordinate activities to avoid the necessity of removing and replacing construction to accommodate inspections and tests. 1. The Contractor is responsible for scheduling times for inspections, tests, taking samples, and similar activities. 1.4 SUBMITTALS A. The independent testing agency shall submit a certified written report, in duplicate, of each inspection, test, or similar service to the Architect and the Contractor. 1. Submit additional copies of each written report directly to the governing authority, when the authority so directs. 2. Report Data: Written reports of each inspection, test, or similar service shall include, but not be limited to, the following: a. Date of issue. b. Project title and number. C. Name, address, and telephone number of testing agency. d. Dates and locations of samples and tests or inspections. e. Names of individuals making the inspection or test. f. Designation of the work and test method. g. Identification of product and specification section. QUALITY CONTROL 01 40 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B h. Complete inspection or test data. i. Test results and an interpretation of test results. j. Ambient conditions at the time of sample taking and testing. k. Comments or professional opinion on whether inspected or tested work complies with Contract Document requirements. 1. Name and signature of laboratory inspector. M. Recommendations on retesting. 1.5 QUALITY ASSURANCE A. Qualifications for Service Agencies: Engage inspection and testing service agencies, including independent testing laboratories, that are prequalified as complying with the American Council of Independent Laboratories' "Recommended Requirements for Independent Laboratory Qualification" and that specialize in the types of inspections and tests to be performed. 1. Each independent inspection and testing agency engaged on the Project shall be authorized by authorities having jurisdiction to operate in the state where the Project is located. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION 3.1 REPAIR AND PROTECTION A. General: Upon completion of inspection, testing, sample taking and similar services, repair damaged construction and restore substrates and finishes to eliminate deficiencies including deficiencies in visual qualities of exposed finishes. Comply with Contract Document requirements for "Cutting and Patching." B. Protect construction exposed by or for quality -control service activities and protect repaired construction. C. Repair and protection is Contractor's responsibility, regardless of the assignment of responsibility for inspection, testing, or similar services. END OF SECTION 0140 00 QUALITY CONTROL 01 40 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK. QUALITY CONTROL 01 40 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0142 00 — REFERENCES PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 1.2 DEFINITIONS A. General: Basic contract definitions are included in the Conditions of the Contract. B. "Indicated:" The term "indicated" refers to graphic representations, notes, or schedules on the Drawings; or to other paragraphs or schedules in the Specifications and similar requirements in the Contract Documents. Terms such as "shown," "noted," "scheduled," and "specified" are used to help the user locate the reference. No limitation on location is intended. C. "Directed:" Terms such as "directed," "requested," "authorized," "selected," "approved," "required," and "permitted" mean directed by the Architect, requested by the Architect, and similar phrases. However, no such implied meaning will be interpreted to extend the Architect's responsibility into Contractor's area of construction supervision. D. "Approved:" The term "approved," when used in conjunction with the Architect's action on the Contractor's submittals, applications, and requests, is limited to the Architect's duties and responsibilities as stated in the Conditions of the Contract. E. "Regulations:" The term "regulations" includes laws, ordinances, statutes, and lawful orders issued by authorities having jurisdiction, as well as rules, conventions, and agreements within the construction industry that control performance of the Work. F. "Furnish:" The term "furnish" means to supply and deliver to the Project site, ready for unloading, unpacking, assembly, installation, and similar operations. G. "Install:" The term "install" describes operations at the Project site including the actual unloading, temporary storage, unpacking, assembling, erecting, placing, anchoring, applying, working to dimension, finishing, curing, protecting, cleaning, and similar operations. H. "Provide:" The term "provide" means to furnish and install, complete and ready for the intended use. I. "Installer:" An installer is the Contractor or another entity engaged by the Contractor, either as an employee, subcontractor, or contractor of lower tier, to perform a particular construction activity, including installation, erection, application, or similar operations. Installers are required to be experienced in the operations they are engaged to perform. 1. Trades: Using a term such as "carpentry" does not imply that certain construction activities must be performed by accredited or unionized individuals of a corresponding generic name, such as "carpenter." It also does not imply that requirements specified apply exclusively to tradespersons of the corresponding generic name. REFERENCES 01 42 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT J. "Project Site" is the space available to the Contractor for performing construction activities, either exclusively or in conjunction with others performing other work as part of the Project. The extent of the Project site is shown on the Drawings and may or may not be identical with the description of the land on which the Project is to be built. K. "Testing Agencies, Laboratories or Service:" All terms interchangeably refer to an independent entity engaged to perform specific inspections or tests, either at the Project site or elsewhere, and to report on and, if required, to interpret results of those inspections or tests. L. "Nationally Recognized Testing Laboratories:" The term "nationally recognized testing laboratory (NRTL)" shall mean a firm or organization which is recognized by OSHA in accordance with 29 CFR Part 1910.7 to test and approve (i.e., certify, label or list) equipment or materials as being safe for the intended use. Labeling and / or listing of products by NRTL is acceptable wherever a reference to the UL or FMRC label is made in the specifications. M. "Label:" The label must be provided by a nationally recognized testing laboratory. The Contractor shall provide a statement from the testing laboratory attesting that the laboratory has been approved by OSHA to certify the category of product(s) being submitted for approval. 1.3 SPECIFICATION FORMAT AND CONTENT EXPLANATION A. Specification Content: These Specifications use certain conventions for the style of language and the intended meaning of certain terms, words, and phrases when used in particular situations. These conventions are as follows: 1. Abbreviated Language: Language used in the Specifications and other Contract Documents is abbreviated. Words and meanings shall be interpreted as appropriate. Words implied, but not stated, shall be interpolated as the sense requires. Singular words shall be interpreted as plural and plural words interpreted as singular where applicable as the context of the Contract Documents indicates. 2. Imperative mood and streamlined language are generally used in the Specifications. Requirements expressed in the imperative mood are to be performed by the Contractor. At certain locations in the Text, subjective language is used for clarity to describe responsibilities that must be fulfilled indirectly by the Contractor or by others when so noted. a. The words "shall," "shall be," or "shall comply with," depending on the context, are implied where a colon (:) is used within a sentence or phrase. 1.4 INDUSTRY STANDARDS A. Applicability of Standards: Unless the Contract Documents include more stringent requirements, applicable construction industry standards have the same force and effect as if bound or copied directly into the Contract Documents to the extent referenced. Such standards are made a part of the Contract Documents by reference. 1. Reference standards (standards referenced directly in the contract documents) take precedence over standards that are not referenced but generally recognized in the industry for applicability to the work. 2. Unreferenced Standards: Except as otherwise limited by the contact documents, standards not referenced but recognized in the construction industry as having direct applicability will be enforced for performance of the work. The decision as to whether an industry code or standard is applicable, or as to which of several standards are applicable, is the sole responsibility of the Architect. B. Publication Dates: Comply with the standards in effect as of the date of the Contract Documents. REFERENCES 01 42 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 1. Updated Standards: Submit a change order proposal where an applicable industry code or standard has been revised and reissued after the date of the Contract Documents and before the performance of the work affected. The Architect will decide whether to issue a change order to proceed with the updated standard. C. Conflicting Requirements: Where compliance with two or more standards is specified and the standards establish different or conflicting requirements for minimum quantities or quality levels, comply with the most stringent requirement. Refer uncertainties and requirements that are different but apparently equal to the Architect for a decision before proceeding. 1. Minimum Quantity or Quality Levels: The quantity or quality level shown or specified shall be the minimum provided or performed. The actual installation may comply exactly with the minimum quantity or quality specified, or it may exceed the minimum within reasonable limits. To comply with these requirements, indicated numeric values are minimum or maximum, as appropriate, for the context of the requirements. Refer uncertainties to the Architect for a decision before proceeding. 2. The Architect is the sole interpreter of what constitutes "minimum requirements" in any given situation. Exceeding minimum requirements in one or more aspects of any given specification does not cancel or replace the need to meet minimum requirements of any other aspect of that specification. D. Copies of Standards: Each entity engaged in construction on the Project must be familiar with industry standards applicable to its construction activity. Copies of applicable standards are not bound with the Contract Documents. 1. Where copies of standards are needed to perform a required construction activity, the Contractor shall obtain copies directly from the publication source and make them available on request. E. Abbreviations and Names: Trade association names and titles of general standards are frequently abbreviated. Where abbreviations and acronyms are used in the Specifications or other Contract Documents, they mean the recognized name of the trade association, standards -generating organization, authorities having jurisdiction, or other entity applicable to the context of the text provision. Refer to Gale Research's "Encyclopedia of Associations" or Columbia Books' "National Trade & Professional Associations of the U.S.," which are available in most libraries. 1.5 GOVERNING REGULATIONS AND AUTHORITIES A. The Architect has contacted authorities having jurisdiction where necessary to obtain information necessary for preparation of Contract Documents. Contact authorities having jurisdiction directly for information and decision having a bearing on the work. 1.6 SUBMITTALS A. Permits, Licenses, and Certificates: For the Owner's records, submit copies of permits, licenses, certifications, inspection reports, releases, jurisdictional settlements, notices, receipts for fee payments, judgments, correspondence, records, and similar documents, established for compliance with standards and regulations bearing on performance of the Work. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION (Not Applicable) REFERENCES 01 42 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT END OF SECTION 0142 00 REFERENCES 01 42 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT kiX011III) eDjCSYIIIII.IIIFN10401Ole I&I]ON] X61Ela1&119XONI[$]►[I PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provision of the Contract, including Form of Agreement between Owner and Contractor and Division 1 Specification Sections, apply to this Section. 1.2 DESCRIPTION A. In compliance with the current Building Code, the Owner will employ a Special Inspector (hereinafter Inspector) to observe construction of the structural components of the Project identified in this Section. 1.3 RESPONSIBILITIES A. The Inspector will be responsible to keep records of inspections and furnish inspection reports to the building official and Architect -Engineer. Copies of the inspection reports will be submitted to Building Department, Owner, Architect -Engineer and Contractor. B. The Contractor shall furnish the Inspector, and keep current, a schedule of construction so the Inspector can be present to observe structural work. Contractor shall make all areas available and safe for inspection. C. The acceptance of any structural component by the Inspector in no way relieves the Contractor of responsibility for complying with the requirements of the Contract Documents. D. Specified tests, inspections, and related actions do not limit the Contractor's other quality -assurance and control procedures that facilitate compliance with the Contract Document requirements. E. Requirements for the Contractor to provide quality -assurance and control services required by the Architect -Engineer, Owner or authorities having jurisdiction are not limited by the provisions of this Section. 1.4 SPECIAL INSPECTION PLAN A. As required by the Building Code, the Inspector shall be present and observe the installation and construction of each type of structural component as follows: B. Following are representative examples of the above: 1. Earthwork: Inspections and verifications of earthwork shall be as required by the current Building Code: a. Required verification and continuous inspection: STATEMENT OF SPECIAL INSPECTIONS 01 45 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B i. Verify use of proper materials, densities and lift thicknesses during placement and compaction of controlled fill. b. Required verification and periodic inspection: i. Verify materials below footings are adequate to achieve the design bearing capacity. ii. Verify excavations are extended to proper depth and have reached proper material. iii. Perform classification and testing of controlled fill materials. iv. Prior to placement of controlled fill, observe subgrade and verify that site has been prepared properly. 2. Concrete: Inspections and verifications of concrete construction shall be as required by current Building Code: a. Required verification and continuous inspection: i. Inspect bolts to be installed in concrete prior to and during placement of concrete where allowable loads have been increased. ii. At the time fresh concrete is sampled to fabricate specimens for strength tests, perform slump and air content tests, and determine the temperature of the concrete. Refer to Specification 033000. iii. Inspection of concrete and shotcrete placement for proper application techniques. iv. Inspection of pre -stressed concrete: application of pre -stressing forces and grouting of bonded pre -stressing tendons in the seismic -force -resisting system. b. Required verification and periodic inspection: 1. Inspection of reinforcing steel, including pre -stressing tendons, and placement. 2. Verifying use of required design mix. 3. Inspection for maintenance of specified curing temperature and techniques. 4. Erection of precast concrete members. 5. Verification of in -situ concrete strength, prior to stressing of tendons in post -tensioned concrete and prior to removal of shores and forms from beams and structural slabs. 6. Inspect formwork for shape, location, and dimensions of the concrete member being formed. Structural Steel: Inspections and verifications of steel construction shall be as required by current Building Code" a. Required verification and continuous inspection: 1. Inspection of high -strength bolting in slip -critical connections. 2. Complete and partial penetration groove welds. 3. Multi -pass fillet welds. 4. Single -pass fillet welds > 5/16". b. Required verification and periodic inspection: 1. For high -strength bolts, nuts and washers, identification markings to conform to ASTM standards specified in the approved construction documents. STATEMENT OF SPECIAL INSPECTIONS 01 45 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. For high -strength bolts, nuts and washers, manufacturer's certificate of compliance required. 3. Inspection of high -strength bolting in bearing -type connections. 4. Single -pass fillet welds < 5/16". 5. Floor and roof deck welds. 6. Verification of weldability of reinforcing steel other than ASTM A 706. 7. Inspection of steel frame joint details for compliance with approved construction documents: details such as bracing and stiffening, member locations, and application of joint details at each connection. C. Inspection of steel fabricators shall be performed in compliance with current Building Code unless the steel fabricator can demonstrate certification in compliance with current Building Code. 4. Masonry Construction: Inspections and verifications of masonry construction shall be as required by current Building Code a. Required verification and continuous inspection: i. Grout placement shall be verified to ensure compliance with code and construction document provisions ii. Preparation of any required grout specimens, mortar specimens and/or prisms. b. Required verification and periodic inspection: i. As masonry construction begins: A. Proportions of site -prepared mortar B. Construction of mortar joints C. Location of reinforcement, connectors, and anchorages D. Grade and size of anchorages ii. Size and locations of structural elements iii. Type, size, and locations of anchors, including other details of anchorage of masonry to structural members, frames or other construction iv. Specified size, grade and type of reinforcement V. Protection of masonry during cold or hot weather vi. Prior to grouting: A. Ensure grout space is clean B. Placement of reinforcement and connectors and anchorages C. Proportions of site -prepared grout D. Construction of mortar joints vii. Compliance with required inspection provisions of the construction documents and the approved submittals 1.4 INSPECTION REPORTS A. General: Reports of special inspection shall be in conformance with current Building Code. PART 2 - PRODUCTS (NOT APPLICABLE) STATEMENT OF SPECIAL INSPECTIONS 01 45 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT PART 3 - EXECUTION (NOT APPLICABLE) END OF SECTION 01 45 00 STATEMENT OF SPECIAL INSPECTIONS 01 45 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0150 00 — TEMPORARY FACILITIES AND CONTROLS PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 1.2 SUMMARY A. This section includes requirements for temporary services and facilities, including temporary utilities, support facilities, security, and protection. B. Temporary utilities include, but are not limited to, the following: 1. Water service and distribution. 2. Temporary electric power and light. 3. Temporary heat. 4. Ventilation. 5. Telephone service. 6. Sanitary facilities, including drinking water. 7. Storm and sanitary sewer. C. Temporary construction and support facilities include, but are not limited to, the following: 1. Field offices and storage sheds. 2. Temporary roads and paving. 3. Dewatering facilities and drains. 4. Temporary enclosures. 5. Temporary project identification signs and bulletin boards. 6. Waste disposal services. 7. Rodent and pest control. 8. Construction aids and miscellaneous services and facilities. D. Security and protection facilities include, but are not limited to, the following: 1. Temporary fire protection. 2. Barricades, warning signs, and lights. 3. Sidewalk bridge or enclosure fence for the site. 4. Environmental protection. 1.3 QUALITY ASSURANCE A. Regulations: Comply with industry standards and applicable laws and regulations of authorities having jurisdiction including, but not limited to, the following: 1. Building Code requirements. 2. Health and safety regulations. 3. Utility company regulations. 4. Police, Fire Department, and Rescue Squad rules. 5. Environmental protection regulations. TEMPORARY FACILITIES AND CONTROLS 01 50 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT B. Inspections: Arrange for authorities having jurisdiction to inspect and test each temporary utility before use. Obtain required certifications and permits. 1.4 PROJECT CONDITIONS A. Conditions of Use: Keep temporary services and facilities clean and neat in appearance. Operate in a safe and efficient manner. Relocate temporary services and facilities as the work progresses. Do not overload facilities or permit them to interfere with progress. Take necessary fire -prevention measures. Do not allow hazardous, dangerous, or unsanitary conditions, or public nuisances to develop or persist on -site. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION 3.1 INSTALLATION A. Use qualified personnel for installation of temporary facilities. Locate facilities where they will serve the Project adequately and result in minimum interference with performance of the work. Relocate and modify facilities as required. B. Provide each facility ready for use when needed to avoid delay. Maintain and modify as required. Do not remove until facilities are no longer needed or are replaced by authorized use of completed permanent facilities. 3.2 TEMPORARY UTILITY INSTALLATION A. General: Engage the appropriate local utility company to install temporary service or connect to existing service. Where company provides only part of the service, provide the remainder with matching, compatible materials and equipment. Comply with company recommendations. 1. Arrange with company and existing users for a time when service can be interrupted, if necessary, to make connections for temporary services. 2. Provide adequate capacity at each stage of construction. Prior to temporary utility availability, provide trucked -in services. 3. Obtain easements to bring temporary utilities to the site where the Owner's easements cannot be used for that purpose. 4. Use Charges: Cost or use charges for temporary facilities are not chargeable to the Owner or Architect. Neither the Owner nor Architect will accept cost or use charges as a basis of claims for Change Orders. B. Water Service: Install water service and distribution piping of sizes and pressures adequate for construction until permanent water service is in use. 1. Sterilization: Sterilize temporary water piping prior to use. 2. When nonpotable water is used, mark each outlet with hazardous warning signs. C. Temporary Electric Power Service: For temporary power alignment and cost, contractor shall contact applicable local electrical utility. TEMPORARY FACILITIES AND CONTROLS O1 50 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 1. Provide weatherproof, grounded electric power service and distribution system of sufficient size, capacity, and power characteristics during construction period. Include meters, transformers, overload -protected disconnects, automatic ground -fault interrupters, and main distribution switch gear. 2. Power Distribution System: Install wiring overhead and rise vertically where least exposed to damage. Where permitted, wiring circuits not exceeding 125 Volts, AC 20 Ampere rating, and lighting circuits may be nonmetallic sheathed cable where overhead and exposed for surveillance. D. Temporary Lighting: When overhead floor or roof deck has been installed, provide temporary lighting with local switching. 1. Install and operate temporary lighting that will fulfill security and protection requirements without operating the entire system. Provide temporary lighting that will provide adequate illumination for construction operations and traffic conditions. E. Temporary Heat: Provide temporary heat required by construction activities for curing or drying of completed installations or for protection of installed construction from adverse effects of low temperatures or high humidity. Select safe equipment that will not have a harmful effect on completed installations or elements being installed. Coordinate ventilation requirements to produce the ambient condition required and minimize consumption of energy. F. Heating Facilities: Except where the Owner authorizes use of the permanent system, provide vented, self-contained, LP -gas or fuel -oil heaters with individual space thermostatic control. Use of gasoline -burning space heaters, open flame, or salamander heating units is prohibited. G. Temporary Telephones: Provide temporary telephone service throughout the construction period for all personnel engaged in construction activities. Install telephone on a separate line for each temporary office and first -aid station. 1. Separate Telephone Lines: Provide additional telephone lines for the following: a. Where an office has more than 2 occupants, install a telephone for each additional occupant or pair of occupants. b. Provide a dedicated telephone line for a fax machine in the field office. C. Provide a separate line for the Owner's use. 2. At each telephone, post a list of important telephone numbers. H. Sanitary facilities include temporary toilets, wash facilities, and drinking -water fixtures. Comply with regulations and health codes for the type, number, location, operation, and maintenance of fixtures and facilities. Install where facilities will best serve the Project's needs. 1. Provide toilet tissue, paper towels, paper cups, and similar disposable materials for each facility. Provide covered waste containers for used material. I. Toilets: Install self-contained toilet units. Shield toilets to ensure privacy. Use of pit -type privies will not be permitted. 1. Provide separate facilities for male and female personnel. Wash Facilities: Install wash facilities supplied with potable water at convenient locations for personnel involved in handling materials that require wash-up for a healthy and sanitary condition. Dispose of drainage properly. Supply cleaning compounds appropriate for each condition. TEMPORARY FACILITIES AND CONTROLS O1 50 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1. Provide safety showers, eyewash fountains, and similar facilities for convenience, safety, and sanitation of personnel. K. Drinking -Water Facilities: Provide containerized, tap -dispenser, bottled -water drinking - water units, including paper supply. 1. Where power is accessible, provide electric water coolers to maintain dispensed water temperature at 45 to 55 deg F. L. Sewers and Drainage: If sewers are available, provide temporary connections to remove effluent that can be discharged lawfully. If sewers are not available or cannot be used, provide drainage ditches, dry wells, stabilization ponds, and similar facilities. If neither sewers nor drainage facilities can be lawfully used for discharge of effluent, provide containers to remove and dispose of effluent off -site in a lawful manner. 1. Filter out excessive amounts of soil, construction debris, chemicals, oils, and similar contaminants that might clog sewers or pollute waterways before discharge. 2. Connect temporary sewers to the municipal system, as directed by sewer department officials. 3. Maintain temporary sewers and drainage facilities in a clean, sanitary condition. Following heavy use, restore normal conditions promptly. M. Provide earthen embankments and similar barriers in and around excavations and subgrade construction, sufficient to prevent flooding by runoff of storm water from heavy rains. 3.3 TEMPORARY CONSTRUCTION AND SUPPORT FACILITIES INSTALLATION A. Locate field offices, storage sheds, and other temporary construction and support facilities for easy access. 1. Maintain support facilities until near Substantial Completion. Remove prior to Substantial Completion. Personnel remaining after Substantial Completion will be permitted to use permanent facilities, under conditions acceptable to the Owner. B. Contractors Facilities: Provide a field office building and sheds adequate in size and accommodation for all Contractors offices, supply and storage. 1. Within the Contractors facilities, provide enclosed space adequate for holding project meetings. Furnish with all required tables, chairs and utilities. 2. The entire facilities, including furniture, will remain the property of the Contractor and shall be removed from the site after completion of the work. C. Architects Field Office: Provide separate air-conditioned space field office building to accommodate Architect and Staff with telephone, power, bytes, water and internet line (non - phone line internet). Provide a minimum size to accommodate a meeting with table and twelve (12) folding chairs in one (1) room and a separate room with desk and file cabinets in each room. Also provide full size drawing storage and hanging files. D. Temporary Paving: Construct and maintain temporary roads and paving to adequately support the indicated loading and to withstand exposure to traffic during the construction period. Locate temporary paving for roads, storage areas, and parking where the same permanent facilities will be located. Review proposed modifications to permanent paving with the Architect. 1. Paving: Comply with Division 2 sections for construction and maintenance of temporary paving. TEMPORARY FACILITIES AND CONTROLS O1 50 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. Coordinate temporary paving development with subgrade grading, compaction, installation and stabilization of subbase, and installation of base and finish courses of permanent paving. 3. Install temporary paving to minimize the need to rework the installations and to result in permanent roads and paved areas without damage or deterioration when occupied by the Owner. 4. Delay installation of the final course of permanent asphalt concrete paving until immediately before Substantial Completion. Coordinate with weather conditions to avoid unsatisfactory results. 5. Extend temporary paving in and around the construction area as necessary to accommodate delivery and storage of materials, equipment usage, administration, and supervision. E. Dewatering Facilities and Drains: Provide drainage and dewatering facilities as required by conditions, future work applicable requirements. Maintain the site, excavations, and construction free of water. F. Temporary Enclosures: Provide temporary enclosures for protection of construction, in progress and completed, from exposure, foul weather, other construction operations, and similar activities. 1. Where heat is needed and the permanent building enclosure is not complete, provide temporary enclosures where there is no other provision for containment of heat or as required by conditions to allow continuation of scheduled construction activities. Coordinate enclosure with ventilating and material drying or curing requirements to avoid dangerous conditions and effects. 2. Protection and temporary closures shall be provided at all exterior openings in the building including doors, walls and roof to maintain the building weather and dust tight. All protection shall be substantial so that it will not be disturbed by wind and weather normal to the area and season. 3. Openings in floors shall be protected and closures provided to prevent floor to floor transfer of dust, debris and conditioned air. Conform to fire and safety regulations of the authorities having jurisdiction. G. Project Identification and Temporary Signs: A ground mounted project identification sign 4' x 8' in size, has been provided, Contractor has been awarded an area to place his identification. 1. Finishes and painting materials shall be adequate to resist weathering and fading for the scheduled construction period. 2. Location: Unless noted otherwise, erect on the site at a lighted location of high public visibility, adjacent to the main entrance to the site, as approved by the Architect. 3. Informational Signs: Provide informational signs with painted lettering, or standard products. Size of signs and lettering shall be as required by regulatory agencies, or as appropriate to the usage. Colors as required by regulatory agencies, otherwise of uniform colors throughout the project. Erect at appropriate locations to provide the required information and at a height for optimum visibility. 4. Materials: Structure and framing may be preservative -treated wood or steel, in sound condition and structurally adequate to the work and suitable specified finish. Paint is specified in Division 9. 5. Maintenance: Maintain signs and supports in a neat, clean condition, and repair damages to structure, framing or sign as required. TEMPORARY FACILITIES AND CONTROLS O1 50 00 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 6. Relocate informational signs as required by progress of the work. 7. Remove signs, framing, supports and foundations at project completion. H. No other signs or advertising of any kind shall be allowed on the job site, except as specifically approved by the Architect. I. Temporary Exterior Lighting: Install exterior yard and sign lights so signs are visible when work is being performed. Rodent and Pest Control: Before deep foundation work has been completed, retain a local exterminator or pest control company to recommend practices to minimize attraction and harboring of rodents, roaches, and other pests. Employ this service to perform extermination and control procedures at regular intervals so the Project will be free of pests and their residues at Substantial Completion. Perform control operations lawfully, using environmentally safe materials. 3.4 SECURITY AND PROTECTION FACILITIES INSTALLATION A. Except for use of permanent fire protection as soon as available, do not change over from use of temporary security and protection facilities to permanent facilities until Substantial Completion, or longer, as requested by the Architect. B. Temporary Fire Protection: Until fire -protection needs are supplied by permanent facilities, install and maintain temporary fire -protection facilities of the types needed to protect against reasonably predictable and controllable fire losses. Comply with NFPA 10 "Standard for Portable Fire Extinguishers" and NFPA 241 "Standard for Safeguarding Construction, Alterations, and Demolition Operations." 1. Locate fire extinguishers where convenient and effective for their intended purpose, but not less than one extinguisher on each floor at or near each usable stairwell. 2. Store combustible materials in containers in fire -safe locations. 3. Maintain unobstructed access to fire extinguishers, fire hydrants, temporary fire - protection facilities, stairways, and other access routes for fighting fires. Prohibit smoking in hazardous fire -exposure areas. 4. Provide supervision of welding operations, combustion -type temporary heating units, and similar sources of fire ignition. C. Permanent Fire Protection: At the earliest feasible date in each area of the Project, complete installation of the permanent fire -protection facility, including connected services, and place into operation and use. Instruct key personnel on use of facilities. D. Barricades, Warning Signs, and Lights: Comply with standards and code requirements for erection of structurally adequate barricades. Paint with appropriate colors, graphics, and warning signs to inform personnel and the public of the hazard being protected against. Where appropriate and needed, provide lighting, including flashing red or amber lights. E. Enclosure Fence: Before excavation begins, install an enclosure fence with lockable entrance gates as per drawings. Install in a manner that will prevent people, dogs, and other animals from easily entering the site, except by the entrance gates. 1. Maintain fence and gates throughout the construction period and remove at the end of the project, unless otherwise indicated by Architect. TEMPORARY FACILITIES AND CONTROLS O1 50 00 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. Repair any damage caused by installation and removal and restore area to original or specified condition. F. Covered Walkway: Comply with regulations of authorities having jurisdiction as necessary if determined required by applicable codes erect a structurally adequate, protective covered walkway for passage of persons along the adjacent public street. Coordinate with entrance gates, other facilities, and obstructions. 1. Construct covered walkways using scaffold or shoring framing. Provide wood plank overhead decking, protective plywood enclosure walls, handrails, barricades, warning signs, lights, safe and well -drained walkways, and similar provisions for protection and safe passage. Extend the back wall beyond the structure to complete the enclosure fence. Paint and maintain in a manner acceptable to the Owner and the Architect. G. Security Enclosure and Lockup: Install substantial temporary enclosure of partially completed areas of construction. Provide locking entrances to prevent unauthorized entrance, vandalism, theft, and similar violations of security. H. Environmental Protection: Provide protection, operate temporary facilities, and conduct construction in ways and by methods that comply with environmental regulations, and minimize the possibility that air, waterways, and subsoil might be contaminated or polluted or that other undesirable effects might result. Avoid use of tools and equipment that produce harmful noise. Restrict use of noise -making tools and equipment to hours that will minimize complaints from persons or firms near the site. 3.5 OPERATION, TERMINATION, AND REMOVAL A. Supervision: Enforce strict discipline in use of temporary facilities. Limit availability of temporary facilities to essential and intended uses to minimize waste and abuse. B. Maintenance: Maintain facilities in good operating condition until removal. Protect from damage by freezing temperatures and similar elements. 1. Maintain operation of temporary enclosures, heating, cooling, humidity control, ventilation, and similar facilities on a 24-hour basis where required to achieve indicated results and to avoid possibility of damage. 2. Protection: Prevent water -filled piping from freezing. Maintain markers for underground lines. Protect from damage during excavation operations. C. Termination and Removal: Unless the Architect requests that it be maintained longer, remove each temporary facility when the need has ended, when replaced by authorized use of a permanent facility, or no later than Substantial Completion. Complete or, if necessary, restore permanent construction that may have been delayed because of interference with the temporary facility. Repair damaged work, clean exposed surfaces, and replace construction that cannot be satisfactorily repaired. 1. Materials and facilities that constitute temporary facilities are the Contractor's property. The Owner reserves the right to take possession of project identification signs. 2. Remove temporary paving not intended for or acceptable for integration into permanent paving. Where the area is intended for landscape development, remove soil and aggregate fill that do not comply with requirements for fill or subsoil in the area. Remove materials contaminated with road oil, asphalt and other petrochemical TEMPORARY FACILITIES AND CONTROLS O1 50 00 - 7 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B compounds, and other substances that might impair growth of plant materials or lawns. Repair or replace street paving, curbs, and sidewalks at the temporary entrances, as required by the governing authority. At Substantial Completion, clean and renovate permanent facilities used during the construction period including, but not limited to, the following: a. Replace air filters and clean inside of ductwork and housings. b. Replace significantly worn parts and parts subject to unusual operating conditions. C. Replace lamps burned out or noticeably dimmed by hours of use. END OF SECTION 01 50 00 TEMPORARY FACILITIES AND CONTROLS 01 50 00 - 8 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0155 00 — FIELD ENGINEERING PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 11W� 1Yf uiul: 'M A. General: This section specifies administrative and procedural requirements for field - engineering services including, but not limited to, the following: 1. Land survey work. 2. Structural survey work. 1.3 SUBMITTALS A. Certificates: Submit a certificate signed by the land surveyor or professional engineer certifying the location and elevation of improvements or other pertinent documentation. B. Final Foundation, Anchor Bolt, Structural Steel and Masonry and Ledge Property Survey: Submit ten (10) copies of the final surveys of the overall site and building components as required and outlined by boundaries of this project. C. Project Record Documents: Submit a record of work performed and record survey data as required under provisions of Section 013300 - SUBMITTALS and Section 017700 - CONTRACT CLOSEOUT sections. 1.4 QUALITY ASSURANCE A. Surveyor Qualifications: Engage a land or structural surveyor registered in the state where the Project is located, to perform required surveying services. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION 3.1 EXAMINATION A. Verify layout information shown on the Drawings, in relation to the property survey and existing benchmarks, before proceeding to lay out the work. Locate and protect existing benchmarks and control points. Preserve permanent reference points during construction. 1. Do not change or relocate benchmarks or control points without prior written approval. Promptly report lost or destroyed reference points or requirements to relocate reference points because of necessary changes in grades or locations. FIELD ENGINEERING 01 55 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. Promptly replace lost or destroyed Project control points. Base replacements on the original survey control points. 3. Failure to verify layout information before proceeding to lay out the work shall not be grounds for a claim for an increase in the Contract Sum or the Contract Time. The Architect will in no case assume any responsibilities related to laying out the work. B. Establish and maintain a minimum of four (4) permanent benchmarks on the site, referenced to data established by survey control points. 1. Record benchmark locations, with horizontal and vertical data, on Project Record Documents. C. Existing Utilities and Equipment: The existence and location of underground and other utilities and construction indicated as existing are not guaranteed. Before beginning sitework, investigate and verify the existence and location of underground utilities and other construction. 1. Prior to construction, verify the location and invert elevation at points of connection of sanitary sewer, storm sewer, and water -service piping. 3.2 PERFORMANCE A. Work from lines and levels established by the property survey. Establish benchmarks and markers to set lines and levels at each story of construction and elsewhere as needed to locate each element of the Project. Calculate and measure required dimensions within indicated or recognized tolerances. Do not scale Drawings to determine dimensions. 1. Advice entities engaged in construction activities of marked lines and levels provided for their use. 2. As construction proceeds, check every major element for line, level, and plumb. B. Surveyor's Log: Maintain a surveyor's log of control and other survey work. Make this log available for reference. 1. Record deviations from required lines and levels, and advice the Architect when deviations that exceed indicated or recognized tolerances are detected. On Project Record Drawings, record deviations that are accepted and not corrected. 2. On completion of foundation walls, major site improvements, and other work requiring field -engineering services, prepare a certified survey showing dimensions, locations, angles, and elevations of construction and site work. C. Site Improvements: Locate and lay out site improvements, including pavements, stakes for grading, fill and topsoil placement, utility slopes, and invert elevations by instrumentation and similar appropriate means. D. Building Lines and Levels: Locate and lay out batter boards for structures, building foundations, column grids and locations, floor levels, and control lines and levels required for mechanical and electrical work. E. Existing Utilities: Furnish information necessary to adjust, move, or relocate existing structures, utility poles, lines, services, or other appurtenances located in or affected by construction. Coordinate with local authorities having jurisdiction. END OF SECTION 0155 00 FIELD ENGINEERING 01 55 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 01 61 16 — VOC CONTENT RESTRICTIONS PART 1 GENERAL 1.1 SECTION INCLUDES A. Requirements for Indoor -Emissions -Restricted products. B. Requirements for VOC-Content-Restricted products. C. Requirement for installer certification that they did not use any non -compliant products. 12 RELATED REQUIREMENTS A. Section 013000 - Administrative Requirements: Submittal procedures. B. Section 01 4000 - Quality Requirements: Procedures for testing and certifications. C. Section 016000 - Product Requirements: Fundamental product requirements, substitutions and product options, delivery, storage, and handling. 13 DEFINITIONS A. Indoor -Emissions -Restricted Products: All products in the following product categories, whether specified or not: 1. Interior paints and coatings. 2. Interior adhesives and sealants, including flooring adhesives. 3. Flooring. 4. Composite wood. 5. Products making up wall and ceiling assemblies. 6. Thermal and acoustical insulation. 7. Other products when specifically stated in the specifications. B. VOC-Content-Restricted Products: All products in the following product categories, whether specified or not: 1. Interior paints and coatings. 2. Interior adhesives and sealants, including flooring adhesives. C. Interior of Building: Anywhere inside the exterior weather barrier. D. Adhesives: All gunnable, trowelable, liquid -applied, and aerosol adhesives, whether specified or not; including flooring adhesives, resilient base adhesives, and pipe jointing adhesives. E. Sealants: All gunnable, trowelable, and liquid -applied joint sealants and sealant primers, whether specified or not; including firestopping sealants and duct joint sealers. F. Inherently Non -Emitting Materials: Products composed wholly of minerals or metals, unless they include organic -based surface coatings, binders, or sealants; and specifically the following: 1. Concrete. 2. Clay brick. 3. Metals that are plated, anodized, or powder -coated. 4. Glass. 5. Ceramics. 6. Solid wood flooring that is unfinished and untreated. 1.4 REFERENCE STANDARDS A. 40 CFR 59, Subpart D - National Volatile Organic Compound Emission Standards for Architectural Coatings; U.S. Environmental Protection Agency; current edition. VOC CONTENT RESTRICTIONS 01 61 16 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B B. ASTM D3960 - Standard Practice for Determining Volatile Organic Compound (VOC) Content of Paints and Related Coatings; 2005 (Reapproved 2013). C. BIFMA e3 - Furniture Sustainability Standard; Business and Institutional Furniture Manufacturers Association; 2012. D. BIFMA M7.1 - Standard Test Method for Determining VOC Emissions; Business and Institutional Furniture Manufacturers Association; 2011. E. CAL (CDPH SM) - Standard Method for the Testing and Evaluation of Volatile Organic Chemical Emissions From Indoor Sources Using Environmental Chambers; California Department of Public Health; v1.1, 2010. F. CARB (ATCM) - Airborne Toxic Control Measure to Reduce Formaldehyde Emissions from Composite Wood Products; California Air Resources Board; current edition. G. CARB (SCM) - Suggested Control Measure for Architectural Coatings; California Air Resources Board; 2007. H. CHPS (HPPD) - High Performance Products Database; Current Edition atwww.chps.net/. I. CRI (GLP) - Green Label Plus Testing Program - Certified Products; www.carpet- rug.org; current edition. J. SCAQMD 1113 - South Coast Air Quality Management District Rule No.1113; current edition. K. SCAQMD 1168 - South Coast Air Quality Management District Rule No.1168; current edition. L. SCS (CPD) - SCS Certified Products; current listings at www.scscertified.com. M. UL (GGG) - GREENGUARD Gold Certified Products; current listings at http://http://productguide.ulenvironment.com/QuickSearch.aspx. "61=181:3LMUw1F."IW A. See Section 013300 for submittal procedures. B. Product Data: For each VOC-restricted product used in the project, submit evidence of compliance. C. Installer Certifications Regarding Prohibited Content: Require each installer of any type of product (not just the products for which VOC restrictions are specified) to certify that either 1) no adhesives, joint sealants, paints, coatings, or composite wood or agrifiber products have been used in the installation of his products, or 2) that such products used comply with these requirements. 1.6 QUALITY ASSURANCE A. Indoor Emissions Standard and Test Method: CAL (CDPH SM), using Standard Private Office exposure scenario and the allowable concentrations specified in the method, and range of total VOC's after 14 days. 1. Wet -Applied Products: State amount applied in mass per surface area. 2. Paints and Coatings: Test tinted products, not just tinting bases. 3. Evidence of Compliance: Acceptable types of evidence are the following; a. Current UL (GGG) certification. b. Current SCS (CPD) Floorscore certification. c. Current SCS (CPD) Indoor Advantage Gold certification. d. Current listing in CHPS (HPPD) as a low -emitting product. e. Current CRI (GLP) certification. f. Test report showing compliance and stating exposure scenario used. 4. Product data submittal showing VOC content is NOT acceptable evidence. VOC CONTENT RESTRICTIONS 01 61 16 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 5. Manufacturer's certification without test report by independent agency is NOT acceptable evidence. B. VOC Content Test Method: 40 CFR 59, Subpart D (EPA Method 24), or ASTM D3960, unless otherwise indicated. 1. Evidence of Compliance: Acceptable types of evidence are: a. Report of laboratory testing performed in accordance with requirements. C. Composite Wood Emissions Standard: CARB (ATCM) for ultra -low emitting formaldehyde (ULEF) resins. 1. Evidence of Compliance: Acceptable types of evidence are: a. Current SCS "No Added Formaldehyde (NAF)" certification; www.scscertified.com. b. Report of laboratory testing performed in accordance with requirements. c. Published product data showing compliance with requirements. D. Furnishings Emissions Standard and Test Method: BIFMA e3 Sections 7.6.1 and 7.6.2, tested in accordance with BIFMA M7.1. 1. Evidence of Compliance: a. Test report showing compliance and stating exposure scenario used. E. Testing Agency Qualifications: Independent firm specializing in performing testing and inspections of the type specified in this section. ' IPA 903bills] Ky 2.1 MATERIALS A. All Products: Comply with the most stringent of federal, State, and local requirements, or these specifications. B. Indoor -Emissions -Restricted Products: Comply with Indoor Emissions Standard and Test Method, except for: 1. Composite Wood, Wood Fiber, and Wood Chip Products: Comply with Composite Wood Emissions Standard or contain no added formaldehyde resins. 2. Inherently Non -Emitting Materials. C. VOC-Content-Restricted Products: VOC content not greater than required by the following: 1. Adhesives, Including Flooring Adhesives: SCAQMD 1168 Rule. 2. Joint Sealants: SCAQMD 1168 Rule. 3. Paints and Coatings: Each color; most stringent of the following: a. 40 CFR 59, Subpart D. b. SCAQMD 1113 Rule. c. CARB (SCM). PART 3 EXECUTION 3.1 FIELD QUALITY CONTROL A. Owner reserves the right to reject non -compliant products, whether installed or not, and require their removal and replacement with compliant products at no extra cost to Owner. B. Additional costs to restore indoor air quality due to installation of non -compliant products will be borne by Contractor. VOC CONTENT RESTRICTIONS 0161 16 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT END OF SECTION 01 61 16 VOC CONTENT RESTRICTIONS 01 61 16 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0174 00 — WARRANTIES PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including other Division 1 Specification Sections, apply to this section. 01Yi uiul: 'M A. This section specifies general administrative and procedural requirements for warranties required by the Contract Documents, including manufacturers' standard warranties on products and special warranties. 1. Refer to the General Conditions for terms of the Contractor's period for correction of the work and special warranty of workmanship and materials. B. The Contractor will provide a warranty on all project work (including that added by subsequent change order after execution of the construction contract) for a period of one (1) year following the formal declaration of Substantial Completion. This one (1) year warranty will be separate from and in no way affect other standard product / manufacturer or workmanship warranties that extend beyond this one (1) year period for goods and services provided to this project. C. Related Sections: The following sections contain requirements that relate to this section: 1. Division 1, Section 013300 - SUBMITTALS specifies procedures for submitting warranties. 2. Division 1, Section 017700 - CONTRACT CLOSEOUT specifies contract closeout procedures. 3. Divisions 2 through 41 sections for specific requirements for warranties on products and installations specified to be warranted. 4. Certifications and other commitments and agreements for continuing services to Owner are specified elsewhere in the Contract Documents. D. Disclaimers and Limitations: Manufacturer's disclaimers and limitations on product warranties do not relieve the Contractor of the warranty on the work that incorporates the products. Manufacturer's disclaimers and limitations on product warranties do not relieve suppliers, manufacturers, and subcontractors required to countersign special warranties with the Contractor. 1.3 WARRANTY REQUIREMENTS A. Related Damages and Losses: When correcting failed or damaged warranted construction, remove and replace other work that has been damaged as a result of such failure or must be removed and replaced to provide access for correction of warranted construction. WARRANTIES 01 74 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B B. Reinstatement of Warranty: When work covered by a warranty has failed and been corrected by replacement or rebuilding, reinstate the warranty by written endorsement. The reinstated warranty shall be equal to the original warranty with an equitable adjustment for depreciation. C. Replacement Cost: Upon determination that work covered by a warranty has failed, replace, or rebuild the work to an acceptable condition complying with requirements of the Contract Documents. The Contractor is responsible for the cost of replacing or rebuilding defective work regardless of whether the Owner has benefited from use of the work through a portion of its anticipated useful service life. D. Owner's Recourse: Expressed warranties made to the Owner are in addition to implied warranties and shall not limit the duties, obligations, rights, and remedies otherwise available under the law. Expressed warranty periods shall not be interpreted as limitations on the time in which the Owner can enforce such other duties, obligations, rights, or remedies. 1. Rejection of Warranties: The Owner reserves the right to reject warranties and to limit selection to products with warranties not in conflict with requirements of the Contract Documents. E. Where the Contract Documents require a special warranty, or similar commitment on the work or part of the work, the Owner reserves the right to refuse to accept the work, until the Contractor presents evidence that entities required to countersign such commitments are willing to do so. 1.4 SUBMITTALS A. Submit written warranties to the Architect prior to the date certified for Substantial Completion. If the Architect's Certificate of Substantial Completion designates a commencement date for warranties other than the date of Substantial Completion for the work, or a designated portion of the work, submit written warranties upon request of the Architect. 1. When a designated portion of the work is completed and occupied or used by the Owner, by separate agreement with the Contractor during the construction period, submit properly executed warranties to the Architect within fifteen (15) days of completion of that designated portion of the work. B. When the Contract Documents require the Contractor, or the Contractor and a subcontractor, supplier, or manufacturer to execute a special warranty, prepare a written document that contains appropriate terms and identification, ready for execution by the required parties. Submit a draft in digital pdf form to the Owner, through the Architect, for approval prior to final execution. 1. Refer to Divisions 2 through 41 sections for specific content requirements and particular requirements for submitting special warranties. C. Form of Submittal: At Final Completion compile two (2) copies of each required warranty properly executed by the Contractor, or by the Contractor, subcontractor, supplier, or manufacturer. Organize the warranty documents into an orderly sequence based on the table of contents of the Project Manual. Provide digital (pdf) copy of all binder contents (in order described herein) to Owner and A/E. D. Bind warranties and bonds in heavy-duty, commercial -quality, durable 3-ring, vinyl -covered loose-leaf binders, thickness as necessary to accommodate contents, and sized to receive 8- 1/2-by- 11 -inch paper. WARRANTIES 01 74 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 1. Provide heavy paper dividers with celluloid covered tabs for each separate warranty. Mark the tab to identify the product or installation. Provide a typed description of the product or installation, including the name of the product, and the name, address, and telephone number of the Installer. 2. Identify each binder on the front and spine with the typed or printed title "WARRANTIES AND BONDS," Project title or name, and name of the Contractor. 3. When warranted construction requires operation and maintenance manuals, provide additional copies of each required warranty, as necessary, for inclusion in each required manual. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION (Not Applicable) END OF SECTION O1 74 00 WARRANTIES O1 74 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK WARRANTIES 01 74 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 0177 00— CLOSEOUT PROCEDURES PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, other Division 1 Specification Sections, apply to this section. 1.2 SUMMARY A. This section includes administrative and procedural requirements for contract closeout including, but not limited to, the following: 1. Inspection procedures. 2. Project record document submittal. 3. Operation and maintenance manual submittal. 4. Submittal of warranties. 5. Final cleaning. B. Closeout requirements for specific construction activities are included in the appropriate sections in Divisions 2 through 41. C. Definitions: Closeout is hereby defined to include general requirements near the end of Contract time, in preparation for final acceptance, final payment, normal termination of contract, occupancy by Owner and similar actions evidencing completion of the work. Specific requirements for individual units of work are specified in sections of Division 2 through 41. Special requirements for mechanical and electrical work are specified in Divisions 23 and 26 sections, respectively. Time of closeout is directly related to "Substantial Completion" and, therefore, may be either a single time -period for entire work or a series of time periods for individual parts of the work which have been certified as substantially complete at different dates. That time variation (if any) shall be applicable to other provisions of this section, regardless of whether resulting from "phased completion" originally specified by the Contract Documents or subsequently agreed upon by Owner and Contractor. 1.3 SUBSTANTIAL COMPLETION A. Certificates of Substantial Completion: Certificates of Substantial Completion will be filled out with punch lists attached and shall define the areas of the work which are being accepted. Procedures required to call for inspections and to request certificates shall be as required in this section. B. Preliminary Procedures: Before requesting inspection for certification of Substantial Completion, for either the entire work or portions thereof, complete the following. List exceptions in the request. CLOSEOUT PROCEDURES 01 77 00 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 1. In the Application for Payment that coincides with, or first follows, the date Substantial Completion is claimed, show 100 percent completion for the portion of the work claimed as substantially complete. a. Include supporting documentation for completion as indicated in these Contract Documents and a statement showing an accounting of changes to the Contract Sum. b. If 100 percent completion cannot be shown, include a list of incomplete items, the value of incomplete construction, and reasons the work is not complete. 2. Advise the Owner of pending insurance changeover requirements. 3. Submit specific warranties, workmanship bonds, maintenance agreements, final certifications, and similar documents. 4. Obtain and submit releases enabling the Owner unrestricted use of the work and access to services and utilities. Include occupancy permits, operating certificates, and similar releases. 5. Deliver tools, spare parts, extra stock, and similar items. 6. Make final changeover of permanent locks and transmit keys to the Owner. Advise the Owner's personnel of changeover in security provisions. 7. Complete startup testing of systems and instruction of the Owner's operation and maintenance personnel. Discontinue or change over and remove temporary facilities and services from the site, along with mockups, construction tools, and similar elements. 8. Complete final cleanup requirements, including touchup painting. Touch up and otherwise repair and restore marred, exposed finishes. C. Inspection Procedures: On receipt of a request for inspection, the Architect will either proceed with inspection or advise the Contractor of unfilled requirements. The Architect will prepare the Certificate of Substantial Completion following inspection or advise the Contractor of construction that must be completed or corrected before the certificate will be issued. 1. The Architect will repeat inspection when requested and assured that the work is substantially complete. 2. Results of the completed inspection will form the basis of requirements for final acceptance. 1.4 FINAL ACCEPTANCE A. Preliminary Procedures: Before requesting final inspection for certification of final acceptance and final payment, complete the following. List exceptions in the request. 1. Submit the final payment request with releases and supporting documentation not previously submitted and accepted. Include certificates of insurance for products and completed operations where required. 2. Submit an updated final statement, accounting for final additional changes to the Contract Sum. 3. Submit a certified copy of the Architect's final inspection list of items to be completed or corrected, stating that each item has been completed or otherwise resolved for acceptance, endorsed and dated by the Architect. 4. Submit final meter readings for utilities, a measured record of stored fuel, and similar data as of the date of Substantial Completion or when the Owner took CLOSEOUT PROCEDURES O1 77 00 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B possession of and assumed responsibility for corresponding elements of the work. 5. Submit consent of surety to final payment. 6. Submit a final liquidated damages settlement statement. 7. Submit evidence of final, continuing insurance coverage complying with insurance requirements. 8. Submit record documents, final project photographs, property survey and similar final record information. B. Reinspection Procedure: The Architect will reinspect the work upon receipt of notice that the work, including inspection list items from earlier inspections, has been completed, except for items whose completion is delayed under circumstances acceptable to the Architect. 1. Upon completion of reinspection, the Architect will prepare a certificate of final acceptance. If the work is incomplete, the Architect will advise the Contractor of work that is incomplete or of obligations that have not been fulfilled but are required for final acceptance. 2. If necessary, reinspection will be repeated. Contractor will promptly reimburse the Architect for all incurred costs. 1.5 RECORD DOCUMENT SUBMITTALS A. General: Do not use record documents for construction purposes. Protect record documents from deterioration and loss in a secure, fire-resistant location. Provide access to record documents for the Architect's reference during normal working hours. B. Record Drawings: Maintain a clean, undamaged set of blue or black line white -prints of Contract Drawings and Shop Drawings. Maintain digital pdf copies of all construction documentation. Mark the set to show the actual installation where the installation varies substantially from the work as originally shown. Mark which drawing is most capable of showing conditions fully and accurately. Where Shop Drawings are used, record a cross- reference at the corresponding location on the Contract Drawings. Give particular attention to concealed elements that would be difficult to measure and record at a later date. 1. Mark physical record sets with red erasable pencil. Use other colors to distinguish between variations in separate categories of the work. Digital copies should be similarly noted. 2. Mark new information that is important to the Owner but was not shown on Contract Drawings or Shop Drawings. 3. Note related change -order numbers where applicable. 4. Organize record drawing sheets into manageable sets. Bind sets with durable - paper cover sheets; print suitable titles, dates, and other identification on the cover of each set. Provide digital pdf copies of the same. 5. Preparation of Transparencies: In preparation for certification of Substantial Completion on the last major portion of the work, review completed markup of record drawings with Architect. When authorized, proceed with preparation of a full set of corrected transparencies for Contract Drawings and shop drawings. Incorporate changes and additional information previously marked -up on print sets, by erasing and redrawing where applicable, and by adding details and CLOSEOUT PROCEDURES 01 77 00 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B notations where applicable; refer instances of uncertainty to Architect for determination. Identify and date each updated drawing. 6. A digital pdf copy of the Contract Drawings will be furnished by Architect to Contractor for use in recording changes and additional information. Any printing as required herein is Contractor's responsibility. 7. Review of Transparencies: Prior to forwarding to Architect, submit corrected transparencies to Architect for review and acceptance. Architect will review each transparency for general scope of changes and information recorded thereon, and of the general quality of draftsmanship thereon (erasures and drafting). Transparencies will be returned to Contractor for organizing into a set and for final submittal. 8. Copies, Distribution: At the completion of the Work the Contractor shall forward one set of original marked -up transparencies to Architect for distribution to Owner. Organize transparencies into matching print sets, place set in a durable tube -type drawing container (with end caps), and mark end cap with suitable identification. Option to provide digital pdfs, in lieu of the above shall be agreed upon by all parties in advance of Close -Out. C. Record Specifications: Maintain one complete copy of the Project Manual, including addenda. Include with the Project Manual one copy of other written construction documents, such as Change Orders and modifications issued in printed form during construction. 1. Mark these documents to show substantial variations in actual work performed in comparison with the text of the Specifications and modifications. 2. Give particular attention to substitutions and selection of options and information on concealed construction that cannot otherwise be readily discerned later by direct observation. 3. Note related record drawing information and Product Data. 4. Upon completion of the work, submit record Specifications to the Architect for the Owner's records. D. Record Sample Submitted: Immediately prior to the date or dates of Substantial Completion, the Contractor shall meet with the Architect and the Owner's personnel to determine which of the submitted samples that have been maintained during progress of the work are to be transmitted to the Owner for record purposes. Comply with the Owner's instructions regarding packaging, identification marking and delivery to the Owner's designated storage area. Return samples to manufacturers where possible and recycle/dispose of other samples in a manner specified for disposal of surplus and waste materials, unless otherwise indicated by the Architect. E. Miscellaneous Record Submittals: Refer to other Specification Sections for requirements of miscellaneous record keeping and submittals in connection with actual performance of the work. Immediately prior to the date or dates of Substantial Completion, complete miscellaneous records, and place in good order. Identify miscellaneous records properly and bind or file, ready for continued use and reference. Submit to the Architect for the Owner's records. F. Maintenance Manuals: Organize operation and maintenance data into suitable sets of manageable size. Bind properly indexed data in individual, heavy-duty, 2-inch, 3-ring, vinyl -covered binders, with pocket folders for folded sheet information. Mark CLOSEOUT PROCEDURES O1 77 00 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B appropriate identification on front and spine of each binder. Provide binders to Owner for record. Provide digital pdf set of binders to Owner and Architect/Engineer. Include the following types of information: 1. Emergency instructions. 2. Spare parts list. 3. Copies of warranties. 4. Wiring diagrams. 5. Recommended "turn -around" cycles. 6. Inspection procedures. 7. Shop Drawings and Product Data. 8. Fixture lamping schedule. PART 2 - PRODUCTS (Not Applicable) PART 3 - EXECUTION 3.1 CLOSEOUT PROCEDURES A. Operation and Maintenance Instructions: Arrange for each Installer of equipment that requires regular maintenance to meet with the Owner's personnel to provide instruction in proper operation and maintenance. Provide instruction by manufacturer's representatives if installers are not experienced in operation and maintenance procedures. Include a detailed review of the following items: 1. Maintenance manuals. 2. Record documents. 3. Spare parts and materials. 4. Tools. 5. Lubricants. 6. Fuels. 7. Identification systems. 8. Control sequences. 9. Hazards. 10. Cleaning. 11. Warranties and bonds. 12. Maintenance agreements and similar continuing commitments. B. As part of instruction for operating equipment, demonstrate the following procedures: 1. Startup. 2. Shutdown. 3. Emergency operations. 4. Noise and vibration adjustments. 5. Safety procedures. 6. Economy and efficiency adjustments. 7. Effective energy utilization. 3.2 FINAL CLEANING CLOSEOUT PROCEDURES 01 77 00 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT A. General: The General Conditions require general cleaning during construction. Regular site cleaning is included in Division 1, Section 01500 - CONSTRUCTION FACILITIES AND TEMPORARY CONTROLS. B. Cleaning: Employ experienced workers or professional cleaners for final cleaning. Clean each surface or unit to the condition expected in a normal, commercial building cleaning and maintenance program. Comply with manufacturers' instructions. 1. Complete the following cleaning operations before requesting inspection for certification of Substantial Completion. a. Remove labels that are not permanent labels. b. Clean transparent materials, including mirrors and glass in doors and windows. Remove glazing compounds and other substances that are noticeable vision -obscuring materials. Replace chipped or broken glass and other damaged transparent materials. C. Clean exposed exterior and interior hard -surfaced finishes to a dust -free condition, free of stains, films, and similar foreign substances. Restore reflective surfaces to their original condition. Except as otherwise indicated, avoid disturbance of natural weathering of exterior surfaces. Leave concrete floors broom clean. Vacuum carpeted surfaces. d. Wipe surfaces of mechanical and electrical equipment. Remove excess lubrication and other substances. Clean plumbing fixtures to a sanitary condition. Clean light fixtures and lamps. e. Clean the site, including landscape development areas, of rubbish, litter, and other foreign substances. Sweep paved areas broom clean; remove stains, spills, and other foreign deposits. Rake grounds that are neither paved nor planted to a smooth, even -textured surface. f. Remove debris and surface dust from limited access spaces including roofs, plenums, shafts, trenches, equipment vaults, manholes, attics and similar spaces. C. Pest Control: Engage an experienced, licensed exterminator to make a final inspection and rid the Project of rodents, insects, and other pests. Submit report (letter) of compliance from exterminator. D. Removal of Protection: Remove temporary protection and facilities installed for protection of the work during construction, where applicable. E. Compliance: Comply with regulations of authorities having jurisdiction and safety standards for cleaning. Do not burn waste materials. Do not bury debris or excess materials on the Owner's property. Do not discharge volatile, harmful, or dangerous materials into drainage systems. Remove waste materials from the site and dispose of in a lawful manner. 1. Where extra materials of value remain after completion of associated work, they become the Owner's property. Dispose of these materials as directed by the Owner. END OF SECTION 01 77 00 CLOSEOUT PROCEDURES 01 77 00 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-101 EXISTING CONDITION INFORMATION DESCRIPTION 101-1.1 The Contract Documents with their referenced attachments are part of the procurement and contracting requirements for the Project. They provide the Owner's information for Bidders' convenience and are intended to supplement rather than serve in lieu of the Bidders' own investigations. They are made available for the Bidders' convenience and information but are not a warranty of existing conditions. 101-1.2 Existing drawings that include information on existing conditions including previous construction at Project site are not available. 101-1.3 Existing specifications and submittals that include information on existing conditions including previous construction are not available. 101-1.4 Existing condition of structural supports and accessories which are not visible to the naked eye, are unknown and must be field verified by the awarded Contractor. If any structure is deemed unsuitable, the Contractor will submit a proposal to have a Structural Engineer who holds a valid licensed in the State of Texas, design, provide calculations, procure permits (as required) and sign and seal for appropriate structural support of signage. Contractor to confirm that the signage designed for this project can be safely supported and comply with local code requirements. END OF SECTION G-101 EXISTING CONDITION INFORMATION G-101-1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT EXISTING CONDITION INFORMATION G-101-2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-103 PROJECT COORDINATION GENERAL 103-1.1 Summary. This item includes the minimum administrative and supervisory requirements necessary for coordination of work on the project including but not limited to the following: a. Administrative and supervisory personnel. b. Expediting of Project materials. C. Limitations for use of site. d. Safety and security of site. e. General installation provisions. f. Cleaning and protection. g. Coordination of Work of each Subcontract by Contractor. Coordinate scheduling, submittals, and work of the various requirements of the Contract Documents (plans, Project Manual, technical specifications, referenced information and standards, appendices, and addenda) to ensure efficient and orderly sequence of installation of construction elements, with provisions for accommodating items to be installed later. Prepare a written memorandum of required coordination activities. Include such items as required notices, site regulations, permits, approvals, submittals, schedules, reports and attendance at meeting. Distribute this memorandum to each entity performing work at the Project Site. Furnish a copy to the RPR. Prepare similar memorandum for separate contractors where interfacing of their work is required. Coordinate sequence of Work to accommodate Owner occupancy. 103-1.2 Other Projects. The Owner reserves the right to contract for and perform other or additional work on or near the work covered by this contract. When separate contracts are let within the limits of any one project, each Contractor must conduct the work not to interfere with or hinder the progress of completion of the work being performed by other Contractors. Contractors working on the same project must cooperate with each other as directed. Each Contractor involved must assume all liability, financial or otherwise, in connection with their own contract and must protect and hold harmless the Owner and Owner's representatives from any and all damages or claims that may arise because of inconvenience, delays, or loss experienced because of the presence and operations of other Contractors working within the limits of the same project. The Contractor must arrange their work to not interfere with the operations of the other Contractors within the limits of the same project. The Contractor must join their work with that of the others in an acceptable manner and must perform it in proper sequence to that of the others. PROJECT COORDINATION G-103 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 103-1.3 Contract Documents Directives. The Contractor is hereby made aware that the notes within the Contract Documents are written for the Contractor's action. It is understood that the requirements of the Contract Documents are meant as required actions of the Contractor unless explicitly noted as the required action of another individual. 103-1.4 Administrative / Supervisory Personnel. The Contractor must furnish a competent and adequate staff as necessary for the proper administration, coordination, supervision, and superintendence of the Work; organize the procurement of all materials and equipment so that they will be available at the time they are needed for the Work; and keep an adequate force of skilled workmen on the job to complete the Work in the best and most sound manner in accordance with all requirements of the Contract Documents and in the most expeditious and economical manner consistent with the interests of the Owner. The Contractor must identify in writing a Project Superintendent who will have full responsibility for the prosecution of the Work, with full authority to act in all matters as necessary for the proper coordination, direction and technical administration of the Work. In addition, the Contractor must identify in writing its Project management staff, including but not limited to supervisory staff, shift leaders, etc. Project management staff must be satisfactory to the Owner based upon credentials to be submitted by Contractor. Project management staff must be changed at the request of the Owner for cause and must not be changed except with the consent of the Owner. All communications to the Project Superintendent(s) will be as binding as if given to the Contractor. The Contractor must so designate enough representatives to ensure representation on the site at all times when Work is being performed. The Contractor must always enforce strict discipline and good order among its employees and must not employ in the performance of any portion of the work any unfit person or anyone not skilled in the task assigned to said person. a. Project Superintendent. Provide a full-time Project Superintendent experienced in administration and supervision of similar construction. The Project Superintendent must be authorized to act as general coordinator of interfaces between units of work. For this provision, "interface" is defined to include scheduling and sequencing of work, sharing of access to workspaces, installations, protection of each other's work, cutting and patching, tolerances, cleaning, preparation of coordination drawings, inspection, tests, and temporary facilities and services. 103-1.5 Meetings. In addition to progress meetings specified in Section G-104, Project Meetings, hold weekly general Project coordination meetings at regularly scheduled times convenient for all parties involved. These meetings are in addition to specific meetings held for other purposes, such as regular project meetings and special pre -installation meetings. Request representation at each meeting by every party currently involved in coordination or planning for the Work of the entire project. Conduct meetings in a manner which will resolve coordination problems. Record results of the meeting and distribute copies to everyone in attendance and to others affected by decisions or actions resulting from each meeting. 103-1.6 Coordination of Submittals. Schedule and coordinate submittals specified in Section G-106, Submittals. PROJECT COORDINATION G-103 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Coordinate work of various sections having interdependent responsibilities for installing, connecting to, and placing in service, such equipment. Coordinate requests for substitutions to assure compatibility of space, of operating elements, and effect on work of other sections. 103-1.7 Coordination of Drawings. Prepare coordination drawings where work by separate entities requires fabrication off -site of products and materials which must accurately interface. Coordination drawings must indicate how work shown by separate shop drawings will interface and must indicate sequence for installation. Comply with all requirements of Section G-106, Submittals. 103-1.8 Coordination of Contract Closeout. Coordinate completion and cleanup of work of separate sections in preparation for Substantial Completion. After Owner occupancy of premises, coordinate access to site by various sections for corrections of defective work and work not in accordance with Contract Documents, to minimize disruption of Owner's activities. Assemble and coordinate closeout submittals specified in Section G-112, Project Closeout. 103-1.9 Means and Methods. Neither the Owner, Architect/Engineer nor RPR will participate in any way in the administration or supervision of the Work. The means, methods, techniques, sequences, procedures and safety measures utilized in the performance of the Work are the sole responsibility of the Contractor. Any means, method, techniques, sequence or procedure set forth in the Contract Documents is solely to specify the desired end product; and if the means, method, technique, sequence or procedure will not result in the desired end product or is unsafe or illegal, it is the Contractor's responsibility to select an appropriate means, method, technique, sequence or procedure. Nothing in the Owner's, Architect/Engineer's or RPR's review of the general quality and progress of the Work (in accordance with Design Intent), including acceptance (review) of submittals and Work, will be construed as the assumption of authority or supervision over the performance of the Work. EXECUTION 103-2.1 Responsibilities. The following requirements are minimum responsibilities of the Contractor and are not to be construed as setting limits on the Contractor's responsibilities: a. Establish lines of authority and communication for the Project. Schedule and conduct meetings among the Owner, Architect/Engineer, RPR, and Contractor for the proper and timely completion of the Work. Meetings to be held on a scheduled basis. b. Coordinate work of all Subcontractors and material suppliers; this includes but is not limited to shop drawing coordination and timely submittals, expediting of materials, deliveries and hoisting, and coordination of all field work. C. Attend a pre -construction conference. d. Construction Schedules: Prepare, monitor and update detailed schedules of the Work for the Project. Monitor schedules as Work progresses, identifying potential variances PROJECT COORDINATION G-103 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B between scheduled completion dates, make any adjustments in field work plan and schedule necessary to meet required completion dates, provide monthly summary reports of each monitoring and document all changes in schedule. Observe Work to monitor compliance with schedule. Verify that labor and equipment are adequate to meet and maintain the Schedule for the Work. Verify that product deliveries are adequate to meet and maintain the schedule for the Work including but not limited to timely visits to manufacturing and fabrication facilities. Report any noncompliance to Architect/Engineer and/or RPR with recommendations for remedy. Ensure that adequate services are provided to comply with requirements for Work and climatic conditions. Ensure proper maintenance and operation of temporary facilities. e. Changes: Recommend necessary or desirable changes to the Owner, Architect/Engineer and RPR. Assemble and submit the change proposals in a timely fashion to prevent delays in the Work. Analyze Subcontractor's and Suppliers' requests for changes and submit with recommendations. Submit complete back-up information with all Change Proposals including but not limited to quantity and cost of materials to be purchased, labor hours by trade to be expended, subcontractor overhead and profit. f. Permits and Fees: Ensure that all the proper permits are obtained, and inspections made. Verify that subcontractors have obtained permits for inspections. g. Inspections and Testing: Inspect Work to assure that it is performed in accordance with requirements of the Contract Documents. Arrange with the Architect/Engineer/RPR and Owner for special inspections for testing when required. Correct Work which does not conform to requirements of the Contract Documents. Installer's Inspection of Conditions: Require the installer of each major unit of work to inspect the substrate to receive work and conditions under which the work is to be performed. The Installer must report all unsatisfactory conditions in writing to the Contractor. Do not proceed with the work until unsatisfactory conditions have been corrected in a manner acceptable to the Installer. 2. Manufacturer's Instructions: Where installations include manufactured products, comply with the manufacturer's applicable instructions and recommendations for installation, to the extent that these instructions and recommendations are more explicit or more stringent that requirements indicated in the Contract Documents. Inspect each item of materials or equipment immediately prior to installation. Reject damaged and defective items. 4. Provide attachment and connection devices and methods for securing work. Secure work true to line and level, and within recognized industry tolerances. Allow for expansion and building movement. Provide uniform joint width in exposed work. Arrange joints in exposed work to obtain the best visual effect. Refer questionable visual effect choices to the RPR for final decision. PROJECT COORDINATION G-103 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 5. Recheck measurements and dimensions of the Work as an integral step of starting each installation. 6. Install each unit of Work during weather conditions and Project status which will ensure the best possible results in coordination with the entire Work. Isolate each unit of work from incompatible work as necessary to prevent deterioration. 7. Coordinate enclosure of the Work with required inspections and tests, so as to minimize the necessity of uncovering work for that purpose. h. Limiting Exposure of Work: To the extent possible through reasonable control and protection methods, supervise performance of the Work in such a manner and by such means which will ensure that none of the Work, whether completed or in progress, will be subjected to harmful, dangerous, damaging or otherwise deleterious exposure during the construction period. Such exposure includes, where applicable, but not by way of limitation the following: Replace and/or repair to like new condition, at no cost to Owner, all materials suffering from deleterious effects of the conditions described above Coordinate testing laboratory services for both testing required by the Contract Documents and those ordered additionally by the Architect/Engineer/RPR and Owner. Notify laboratory of test schedules. Verify that required personnel are present, that specified tasks are made as scheduled, and compliance of test results with specified criteria. Determine need for testing and submit recommendations to Architect/Engineer/RPR. Administer and cooperate with testing service; assist as may be required, in the performance of the required testing. Provide casual labor, storage and access (scaffolding, ladders, etc.) to testing laboratory as required. Promptly submit test results to the Architect/Engineer/RPR when received. Coordinate with Separate Contractors: Separate Contractors must be afforded access to the entire site for the purpose of installing their Work. Provide general requirements services in accordance with the contract for Construction. Coordinate Contractor's Work with Separate Contractor's Work to ensure best, most economical completion of the total Project. Participate in coordination meetings with Separate Contractors, Owner, Architect/Engineer/RPR or other design consultants as required. k. Interpretation of Contract Documents: Consult with Architect/Engineer/RPR to obtain interpretation or clarification for any portions of Technical Specifications or plans which may be unclear or ambiguous. Suggest resolutions if appropriate. Assist in answering of questions which may arise and transmit written interpretation to interested parties. Coordinate, review, administer, and process shop drawings, product data and samples between Subcontractors, material suppliers, and RPR in accordance with Section G-106, Submittals. PROJECT COORDINATION G-103 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT in. Owner -Furnished Products for Installation by Contractor: Accept delivery; assume responsibility for handling, storage, protection and security for Owner -furnished products listed in the Contract Documents, if any. n. Assume full charge of the entire building premises and site for the storage of materials allotting space between Subcontractors for the various materials in such a manner as will facilitate the Work, avoid overloading the structure being constructed on the Site, and maintain order and good and safe housekeeping within said building and on the Site. Assume responsibility for the proper care and protection against damage and theft of all materials, equipment and tools delivered, and of materials, equipment, and tools in Contractor's custody whether on or off the site, and whether or not title was passed to Owner. Schedule and coordinate the unloading, hoisting and storage of materials and access and hoisting of labor for Separate Contractors. Maintain Contact Documents at the Site: For Architect/Engineer/RPR's and Owner's use, maintain in good order one copy of all Drawings, Specifications, Addenda, approved shop drawings, Change Orders, and other modifications. Marked copy to record all field changes made during construction. These documents must be available to the Architect/Engineer/RPR and Owner as required for their use and reference. 1. Prepare, maintain, and submit daily log of Progress of the Work including description of Work performed, weather conditions, number of workmen by trade, visitors, City / State inspections and other significant information. 2. Upon completion of the Work in total, coordinate record documents with the RPR to provide a full and comprehensive set of record prints and reproducible tracings indicating all changes for the Owner's use. Refer to Section G-112, Project Closeout, for additional requirements. P. Maintain Reports and Records at Job Site: Daily log of progress of Work and other pertinent data shall be made accessible for Architect/Engineer/RPR. Maintain the following records: Contracts, purchases, materials and equipment records, including record of Owner -furnished products, applicable handbooks, codes and standards, and such additional records as may be properly required. Obtain information from Subcontractors and maintain similar record documents. At Substantial Completion of Project, deliver copies of all records to owner for Owner's records. q. Daily Field Reports: Daily reports must be issued to record a chronological, day-to-day account of the work force, the respective activities performed, the weather conditions, and any specific events that take place on the Project. Daily reports will not be used as a communication tool. Any situations requiring specific action must be brought to the attention of the appropriate party by means of written correspondence, memoranda, or meeting minutes. Photographs must be used with daily reports to clarify or confirm statements and concerns. Provide copies of daily reports to the Architect/Engineer/RPR at weekly progress meetings. Include the following information in daily reports: Date; Weather, temperature, wind, precipitation; Number of workers on site by subcontractor PROJECT COORDINATION G-103 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B and trade; Material and equipment deliveries; Construction quantities placed; General description of the work accomplished; Specific problems encountered; Meetings held; List of visitors to site and their companies; Construction photographs; any other pertinent data. Ensure that Project is kept clean during progress of Work and at completion of Contract. 0LTA IIk`Y81;7g1STIgoe01 103-3.1 No direct measurement will be made for the items of this specification. BASIS OF PAYMENT 103-4.1 No direct payment will be made for the items of this specification. Costs will be considered subsidiary to the various bid items of the project. END OF ITEM G-103 PROJECT COORDINATION G-103 - 7 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK PROJECT COORDINATION G-103 - 8 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-104 PROJECT MEETINGS DESCRIPTION 1.1 This item specifies administrative and procedural requirements for project meetings including but not limited to: a. Pre -Construction Conference. The Architect/Engineer/RPR will schedule a pre -construction conference and organizational meeting, at a time convenient to the Owner and the Contractor, at the Project site or other convenient location after notification of execution of the Agreement and prior to commencement of construction activities. The meeting will be conducted to review responsibilities and personnel assignments. The meeting will be held within ten (10) calendar days of the Contractor's executed contract date. 2. Attendees: The Owner, Architect/Engineer/RPR and their consultants, the Contractor and its superintendent, major subcontractors, manufacturers, suppliers and other concerned parties must each be represented at the conference by persons familiar with and authorized to conclude matters relating to the Work. Agenda: Discuss items of significance that could affect progress including such topics as: tentative construction schedule; critical work sequencing and phasing requirements; designation of responsible personnel; procedures for processing field decisions and change orders; procedures for processing applications for payment; distribution of contract documents; submittal of shop drawings, product data and samples; general correspondence requirements; preparation of record documents; use of the premises; owner's requirements; parking availability; office, work and storage areas; equipment deliveries and priorities; temporary utilities; temporary facilities; safety procedures; first aid; security; housekeeping; and working hours. b. Special Coordination Meetings. The Architect/Engineer/RPR will conduct Special Coordination Meetings as needed. These meetings are intended to facilitate the needs of specific project coordination items (i.e. utility installations / connections with utility owners). 2. Attendees: In addition to the Owner and Architect/Engineer/RPR, each subcontractor, supplier or other entity concerned with the scope of the Special Coordination Meetings must be represented at these meetings. C. Weekly Progress Meetings. The Architect/Engineer/RPR will conduct weekly Project Progress Meetings at regularly scheduled times convenient for all parties involved. Project coordination meetings are in addition to specific meetings held for other PROJECT MEETINGS G-104 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B purposes, such as regular progress meetings and special pre -installation meetings. Meetings will take place from the "Notice to Proceed" through the completion of the punch list. 2. Attendees: In addition to the Owner and Architect/Engineer/RPR, each subcontractor, supplier or other entity concerned with current progress or involved in planning, coordination or performance of future activities must be represented at these meetings by persons familiar with the Project and authorized to conclude matters relating to progress. Agenda: Review and correct or approve minutes of the previous progress meeting. Review other items of significance that could affect progress. Include topics for discussion as appropriate to the current status of the Project. a. Contractor's Construction Schedule: Review progress since the last meeting. Determine where each activity is in relation to the Contractor's Construction Schedule, whether on time or ahead or behind schedule. Determine how construction behind schedule will be expedited; secure commitments from parties involved to do so. Discuss whether schedule revisions are required to ensure that current and subsequent activities will be completed within the Contract Time. Revise the construction schedule after each progress meeting where revisions to the schedule have been made or recognized. Issue the revised schedule concurrently with the report of each meeting. d. In addition to the Weekly Contractor Progress Meetings, the Contractor must conduct a weekly Safety Meeting for all Contractor personnel. These meetings must be open to the Owner, Architect/Engineer/RPR, and any other governing authority that would like to attend. These meetings must be conducted bilingually in English and Spanish if any Spanish-speaking employees are working on the Project. e. Pre -Final Inspection: Before the Architect/Engineer/RPR recommends the issuance of a Certificate of Completion, the Contractor must attend one (1) pre -final inspection with the Owner, the Architect/Engineer/RPR, and other authorities to determine if construction work has been completed in general conformance with the Construction Documents. The Architect/Engineer/RPR will prepare a punchlist of visually non -conforming items and un-completed items of work for the Contractor to complete prior to final acceptance. f. Final Inspection: The Contractor must attend one (1) Final Inspection with the Owner, the Architect/Engineer/RPR, and other authorities to determine if the punchlist items from the pre -final inspection have been appropriately completed. g. Warranty Inspection: The Contractor must attend one (1) Warranty Inspection with the Owner, the Architect/Engineer/RPR, and other authorities prior to the expiration of the warranty period. The Architect/Engineer/RPR will advise the Contractor of any required action to be taken under the terms of the warranty. METHOD OF MEASUREMENT PROJECT MEETINGS G-104 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 2.1 No direct measurement will be made for the items of this specification. BASIS OF PAYMENT 3.1 No direct payment will be made for the items of this specification. Costs will be considered subsidiary to the various bid items of the project. I II\I IZI] a I I Did [!ff[II! PROJECT MEETINGS G-104 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTINONALLY LEFT BLANK PROJECT MEETINGS G-104 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-106 SUBMITTALS DESCRIPTION 106-1.1 Summary. The Contractor must furnish all labor, materials, tools, equipment, and perform all work and services necessary for or incidental to the furnishing, processing, delivery, reproduction and other necessary functions incidental to scheduling and handling of shop drawings, project data, and samples as indicated on the plans and/or as specified, in accordance with provisions of the Contract Documents, and completely coordinated with work of all trades. Contractor must produce, maintain and regularly supply a current submittal schedule which projects a minimum of two weeks in advance of intended submittal issuance. The schedule must be supplied to the Architect/Engineer/RPR for review. A log of a. Although such work is not specifically shown or specified, all supplementary or miscellaneous items, appurtenances, and devices incidental to or necessary for completion of work under this item must be furnished and performed as part of this item. 106-1.2 Submittal, Address. All items must be submitted electronically. The Contractor must submit one electronic copy of the submittal to the Architect/Engineer/RPR contact provided to the Contractor at the pre -Construction conference. 106-1.3 Submittal, General. a. The Contractor must be responsible for and make all submissions. All items must be transmitted electronically and include a Contractor's review stamp. b. Each transmittal will be sequentially numbered starting with No. 1. 1. An item that is resubmitted will retain the original number but with an added suffix starting with A. 2. Only one submittal item should be covered by one submittal transmittal. 3. Sufficient catalog information together with catalog cuts and technical data must be submitted to allow an evaluation to be made to determine whether the item in question is acceptable. C. No submittals will be returned to subcontractors. Submittals transmitted to the Architect/Engineer/RPR by anyone other than the Contractor will be returned to the Contractor. d. Submit items sufficiently in advance of date required to allow reasonable time for review, and to allow for resubmission if necessary. Items submitted without Contractor's approval stamp will be returned, without action, for resubmission. Items that are not submitted in accordance with the provisions of this item will be returned, without action, for resubmission. 106-1.4 Submittals, Procedure. SUBMITTALS G-106 -I ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT a. Submit as indicated above. Identify submittals as to manufacturer, item, use, type, project designation, specification section or drawing detail reference, and other pertinent information. b. Submit an electronic copy of each submittal until approval is obtained. C. Contractor must stamp his approval on drawings prior to submission to Architect/Engineer/RPR as indication of his checking and verification of dimensions and coordination with interrelated items. d. Submit standard items like equipment brochures, cuts of fixtures, or standard catalog items (reproducible not required). Indicate exact item or model and all proposed options. Include scale details, sizes, dimensions, performance characteristics, capacities, wiring diagrams, controls, installation information, applicable warranty samples and other pertinent data. e. Submit all required items as shown in its respective specification section at one time. Submittals should not be broken up into multiple submittal review packages. Incomplete submittal packages will be returned without action. 106-1.5 Submittals, Approval or Rejection. a. Transmittals returned with Approval are considered ready for fabrication and/or installation. If for any reason an approved transmittal is resubmitted, it must be accompanied by a letter pointing out the changes that have been made and the reason for the re -submittal. It is the Contractor's responsibility to assure that the previously approved documents are destroyed when they are superseded by a re -submittal as such. b. Transmittals with approval combined with Action "Revise and Resubmit" or "Not Approved" will be individually analyzed giving consideration as follows: If the items or system proposed is acceptable and the majority of the major individual components (Drawings or Documents) comply; however, there are some minor items not in compliance. The portion of the transmittal given "Revise and Resubmit" or "Not Approved" will not be distributed (unless previously agreed to otherwise). Copies of the "Revise and Resubmit" or "Not Approved" drawings will be marked up and returned to the Contractor electronically. It is the Contractor's responsibility to ensure that these items are corrected and resubmitted. 2. If the items or system proposed are acceptable; however, a major part of the individual drawings or documents are incomplete or require revision, the entire submittal will be given "Revise and Resubmit" or "Not Approved" action. Again, it is reiterated that this is at the sole discretion of the Architect/Engineer/RPR and some drawings may contain relatively few or no comments for the statement. Resubmit to maintain a complete package. Distribution to the Owner and field will not be made unless previously agreed to otherwise. 3. "Approval" is general and does not permit departure from Contract Documents; relieve Contractor from responsibility for errors in detail, dimensions, field SUBMITTALS G-106 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B verification, coordination, or related items. Nor does the designation approve departure from previous instructions or details (components, wiring, etc.), required to make item operational or usable. 4. "Approved as Noted" encompasses the same requirements as an "Approved" designation and includes all additional markings and comments noted on the submittal. Any review markings noted must be incorporated and coordinated. A revised "Record" copy of the submittal which clearly shows that all previously noted comments have been addressed must be supplied to Architect/Engineer/RPR and Owner prior to distribution to subcontractors. 5. Manufacture or fabrication of items prior to final approval is at Contractor's own risk. 106-1.6 Required Shop Drawings, Certificate, or Reports. The Contractor must supply all submittals required by the plans and specifications. The Contractor must also supply submittals for any other materials used in the performance of construction operations. METHOD OF MEASUREMENT 106-2.1 No direct measurement will be made for the items of this specification. BASIS OF PAYMENT 106-3.1 No direct payment will be made for the items of this specification. Costs will be considered subsidiary to the various bid items of the project. END OF ITEM G-106 SUBMITTALS G-106 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SUBMITTALS G-106 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-107 SUBSTITUTION PROCEDURES DESCRIPTION 107-1.1 Summary. This item includes administrative and procedural requirements for substitutions. Substitutions are changes in products, materials, equipment, and methods of construction from those required by the Contract Documents and proposed by the Contractor. a. Substitutions for Cause: Changes proposed by Contractor that are required due to changed Project conditions, such as unavailability of product, regulatory changes, or unavailability of required warranty terms. b. Substitutions for Convenience: Changes proposed by Contractor or Owner that are not required in order to meet other Project requirements but may offer advantage to Contractor or Owner. 107-1.2 Substitution Requests. Submit electronic copies of each request for consideration via Request for Information (RFI). Identify product or fabrication or installation method to be replaced. Include Specification Section number and title and plan numbers and titles. a. Documentation: Show compliance with requirements for substitutions and the following, as applicable: 1. Statement indicating why specified product(s) or fabrication, or installation cannot be provided, if applicable. 2. Coordination information, including a list of changes or revisions needed to other parts of the Work and to construction performed by Owner and separate contractors, that will be necessary to accommodate proposed substitution. Detailed comparison of significant qualities of proposed substitution with those of the Work/Product specified. Include annotated copy of applicable Specification Section. Significant qualities may include attributes such as performance, weight, size, durability, visual effect, sustainable design characteristics, warranties, and specific features and requirements indicated. Indicate by highlighting, circling and/or clearly demarcating all deviations, if any, from the Work/Product specified. 4. Product Data, including drawings and descriptions of products and fabrication and installation procedures. 5. Samples, where applicable or requested. 6. Certificates and qualification data, where applicable or requested. 7. List of similar installations for completed projects with project names and addresses and names and addresses of Owners. 8. Material test reports from a qualified testing agency indicating and interpreting test results for compliance with requirements indicated. SUBSTITUTION PROCEDURES G-107 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 9. Research reports evidencing compliance with building code in effect for Project. 10. Detailed comparison of Contractor's construction schedule using proposed substitution with products specified for the Work, including effect on the overall Contract Time. If specified product or method of construction cannot be provided within the Contract Time, include letter from manufacturer, on manufacturer's letterhead, stating date of receipt of purchase order, lack of availability, or delays in delivery. 11. Cost information, including a proposal of change, if any, in the Contract Sum. 12. Contractor's certification that proposed substitution complies with requirements in the Contract Documents except as indicated in substitution request, is compatible with related materials, and is appropriate for applications indicated. 13. Contractor's waiver of rights to additional payment or time that may subsequently become necessary because of failure of proposed substitution to produce indicated results. b. Action of Architect/Engineer/RPR: If necessary, the Architect/Engineer/RPR will request additional information or documentation for evaluation within seven (7) days of receipt of a request for substitution. The Architect/Engineer/RPR will notify Contractor of acceptance or rejection of proposed substitution within 15 days of receipt of request, or seven (7) days of receipt of additional information or documentation, whichever is later. 1. Forms of Acceptance: Change Order, Construction Change Directive, or Architect/Engineer/RPR's Supplemental Instructions for minor changes in the Work. 2. Use product specified if RPR does not issue a decision on use of a proposed substitution within time allocated. 107-1.3 Compatibility of Substitutions. Investigate and document compatibility of proposed substitution with related products and materials. Engage a qualified testing agency to perform compatibility tests recommended by manufacturers. 107-1.4 Coordination. Revise or adjust affected work as necessary to integrate work of the approved substitutions. PRODUCTS 107-2.1 Substitutions. a. Substitutions for Cause: Submit requests for substitution immediately on discovery of need for change, but not later than 15 days prior to time required for preparation and review of related submittals. 1. Conditions: The Architect/Engineer/RPR will consider Contractor's request for substitution when the following conditions are satisfied. If the following conditions are not satisfied, the Architect/Engineer/RPR will return requests without action, except to record noncompliance with these requirements: SUBSTITUTION PROCEDURES G-107 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT i. Requested substitution is consistent with the Contract Documents and will produce indicated results. ii. Substitution request is fully documented and properly submitted. iii. Requested substitution will not adversely affect Contractor's construction schedule. iv. Requested substitution has received necessary approvals of authorities having jurisdiction. V. Requested substitution is compatible with other portions of the Work. vi. Requested substitution has been coordinated with other portions of the Work. vii. Requested substitution provides specified warranty. viii. If requested substitution involves more than one contractor, requested substitution has been coordinated with other portions of the Work, is uniform and consistent, is compatible with other products, and is acceptable to all contractors involved. b. Substitutions for Convenience: Not allowed. METHOD OF MEASUREMENT 107-3.1 No direct measurement will be made for the items of this specification. BASIS OF PAYMENT 4.1 No direct payment will be made for the items of this specification. Costs will be considered subsidiary to the various bid items of the project. END OF ITEM G-107 SUBSTITUTION PROCEDURES G-107 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SUBSTITUTION PROCEDURES G-107 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-108 MATERIALS AND EQUIPMENT DESCRIPTION 108-1.1 Summary. This item includes administrative and procedural requirements governing the Contractor's selection of products for use in the Project. The Contractor must provide all equipment, products, and materials required to complete the work of the project. This is subsidiary to the various bid items of the project. 108-1.2 Definitions. a. "Products" are items purchased for incorporation in the Work, whether purchased for the Project or taken from previously purchased stock. The term "product" includes the terms "material," "equipment," "system," and terms of similar intent. b. "Named Products" are items identified by the manufacturer's product name, including make or model number or other designation, shown or listed in the manufacturer's published product literature that is current as of the date of the Contract Documents. C. "Materials" are products substantially shaped, cut, worked, mixed, finished, refined or otherwise fabricated, processed, or installed to form a part of the Work. d. "Equipment" is a product with operational parts, whether motorized or manually operated, that requires service connections, such as wiring or piping. 108-1.3 Quality Assurance. a. Source Limitations: To the fullest extent possible, provide products of the same kind from a single source. b. Compatibility of Options: When the Contractor is given the option of selecting between two (2) or more products for use on the Project, the product selected must be compatible with products previously selected, even if previously selected products were also options. C. Compatibility of Materials: The Contractor must ensure that all products selected for use on the Project are compatible with other products selected for use on the Project. 108-1.4 Product Delivery, Storage, and Handling. Deliver, store, and handle products according to the manufacturer's recommendations, using means and methods that will prevent damage, deterioration, and loss, including theft. Schedule delivery to minimize long-term storage at the site and to prevent overcrowding of construction spaces. Coordinate delivery with installation time to assure minimum holding time for items that are flammable, hazardous, easily damaged, or sensitive to deterioration, theft, and other losses. Deliver products to the site in an undamaged condition in the manufacturer's original sealed container or other packaging system, complete with labels and instructions for handling, storing, unpacking, protecting, and installing. MATERIALS AND EQUIPMENT G-108 -I ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Inspect products upon delivery to ensure compliance with the Contract Documents and to ensure that products are undamaged and properly protected. Store products at the site in a manner that will facilitate inspection and measurement of quantity or counting of units. Store heavy materials away from the Project structure in a manner that will not endanger the supporting construction. Store products subject to damage by the elements above ground, under cover in a weathertight enclosure, with ventilation adequate to prevent condensation. Maintain temperature and humidity within range required by manufacturer's instructions. 19-0]bill" V 108-2.1 Product Selection. a. General Product Requirements: Provide products that comply with the Contract Documents, that are undamaged and, unless otherwise indicated, new at the time of installation. Provide products complete with accessories, trim, finish, safety guards, and other devices and details needed for a complete installation and the intended use and effect. 2. Standard Products: Where available, provide standard products of types that have been produced and used successfully in similar situations on other projects. b. Product Selection Procedures: The Contract Documents and governing regulations govern product selection. Procedures governing product selection include the following: Semi -proprietary Requirements: Where specifications or plans name two (2) or more products by certain brand, make, or manufacturer, provide one (1) of the products indicated. Wherever in a particular specification or plan sheet the name of a certain brand, make, manufacturer, or definite product specification is utilized, accompanied by the term "or equal" or "or approved equal," it is only to denote the quality standard of the product desired and in no way will the Bidder be restricted to the specific brand, make, manufacturer, or specification named. They are used only to set forth and convey to prospective Bidders the general style, type, character, and quality of products desired; prior approved equivalent products will be acceptable. 2. Nonproprietary Specifications: When specifications or plans list products or manufacturers that are available and may be incorporated in the Work, but do not restrict the Contractor to use of these products only, the Contractor may propose any available product that complies with Contract requirements. Comply with Contract Document provisions concerning "substitutions" to obtain approval for use of an unnamed product. MATERIALS AND EQUIPMENT G-108 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 3. Descriptive Specification Requirements: Where specifications or plans describe a product or assembly, listing exact characteristics required, with or without use of a brand or trade name, provide a product or assembly that provides the characteristics and otherwise complies with Contract requirements. 4. Performance Specification Requirements: Where specifications or plans require compliance with performance requirements, provide products that comply with these requirements and are recommended by the manufacturer for the application indicated. Manufacturer's recommendations may be contained in published product literature or by the manufacturer's certification of performance. 5. Compliance with Standards, Codes, and Regulations: Where specifications or plans only require compliance with an imposed code, standard, or regulation, select a product that complies with the standards, codes, or regulations specified. Any reference to standards (such as ASTM, ANSI, ACI, etc.) where the date is not specified refers to the latest edition of such standards published prior to the date of the Contract Documents. Where such a reference is made, the applicable standard is hereby made a part of the specifications or plans which refers to it to the same extent as if it was written out in that specification or plan sheet in full. 6. Visual Matching: Where specifications or plans require matching an established Sample, the Owner's decision will be final on whether a proposed product matches satisfactorily. 7. Visual Selection: Where specified product requirements include the phrase "... as selected from manufacturer's standard colors, patterns, textures ..." or a similar phrase, select a product and manufacturer that complies with other specified requirements. The Architect/Engineer/RPR will select the color, pattern, and texture from the product line selected. C. Product Substitutions. 1. Substitution Requests: Substitutions are only allowed by approval prior to Bid Date as stipulated in the Instructions to Bidders. Submit a separate request to the Architect/Engineer/RPR for each product, supported with complete data, with drawings and samples as appropriate, including the following items: i. Comparison of the qualities of the proposed substitutions with that specified. ii. Changes required in other elements of the Work because of the substitution. 2. Contractor's Requests: A request for a product substitution will constitute a representation that the Contractor: MATERIALS AND EQUIPMENT G-108 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT i. Has investigated the proposed product and determined that it is equal to or superior in all respects to that specified. ii. Will provide the same warranties for the substitution as for the Products specified. iii. Will coordinate the installation of an accepted substitution into the Work and make such other changes as may be required to make the Work complete in all respects. iv. Waives all claims for additional costs, under his responsibility, which may subsequently become apparent. 10:4x418111100 108-3.1 Installation of Products. a. Comply with manufacturer's instructions and recommendations for installation of products in the applications indicated. Anchor each product securely in place, accurately located and aligned with other Work. 1. Clean exposed surfaces and protect as necessary to ensure freedom from damage and deterioration at time of Substantial Completion. METHOD OF MEASUREMENT 108-4.1 No direct measurement will be made for the items of this specification. BASIS OF PAYMENT 108-5.1 No direct payment will be made for the items of this specification. Costs will be considered subsidiary to the various bid items of the project. END OF ITEM G-108 MATERIALS AND EQUIPMENT G-108 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-109 INCLEMENT WEATHER DELAYS DESCRIPTION 109-1.1 The Contractor must anticipate the number of workdays below lost due to inclement weather in determining his / her contract schedule. Extension of contract time due to inclement weather will be considered in accordance with FAA General Provision 80-07, Determination and Extension of Contract Time. No extension of time will be considered until the anticipated number of inclement weather days has been exceeded and the Architect/Engineer/RPR has agreed that the status of construction was such that there was an impact detrimental to the construction schedule. Excerpted from FAA General Provision 80- 07: "Requests for extension of time, caused by inclement weather, shall be supported with National Weather Bureau data showing the actual amount of inclement weather exceeded what could normally be expected during the contract period. The Contractor's plea that insufficient time was specified is not a valid reason for extension of time. If the supporting documentation justify the work was delayed because of conditions beyond the control and without the fault of the Contractor, the Owner may extend the time for completion by a change order that adjusts the contract time or completion date. The extended time for completion shall then be in full force and effect, the same as though it were the original time for completion." INCLEMENT WEATHER DELAY CALCULATION 109-2.1 For each inclement weather delay accepted by the Architect/Engineer/RPR, the actual number accepted inclement weather days will be compared to the monthly average. Any month which has less than the specified average will carry over the difference to the following month. Any month which has more than the specified average will be considered as an "Abnormal Inclement Weather Delay". At the end of the project the Total Abnormal Inclement Weather Delays will be calculated by subtracting the Total Average Inclement Weather Delays by the Total Actual Inclement Weather Delays Accepted. The difference between the two values will correspond to the number of "Abnormal Inclement Weather Delays". Total Abnormal Inclement Weather Delays which result in a number less than the Total Average Inclement Weather Delays will not alter the total contract time. Contract Time Extensions for Inclement weather Delays may only be requested when the Total number of Abnormal Inclement Weather Delays exceeds the Total Average Inclement Weather Delays. Total Average Inclement Weather Delays - Total Actual Inclement Weather Delays Accepted = X Abnormal Inclement Weather Delays X Abnormal Inclement Weather Delays > Total Average Inclement Weather Delays = X Addition Days to Contract Time X Abnormal Inclement Weather Delays < Total Average Inclement Weather Delays = 0 Addition Days to Contract Time INCLEMENT WEATHER DAYS G-109 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT METHOD OF MEASUREMENT 109-3.1 No direct measurement will be made for the items of this specification. BASIS OF PAYMENT 109-4.1 In accordance with FAA General Provision 80-06, Temporary Suspension of the Work, the Contractor is not entitled to compensation for delays due to inclement weather. No direct payment will be made for Inclement Weather Delays. END OF ITEM G-109 INCLEMENT WEATHER DAYS G-109 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-112 PROJECT CLOSEOUT DESCRIPTION 112-1.1 Summary. This item specifies administrative and procedural requirements for project closeout, including but not limited to: a. Contractor's certifications relative to claimed status. b. Inspection procedures. C. Project record document submittal. d. Operating and maintenance manual submittal. e. Submittal of warranties. f. Final clean up. Closeout requirements for specific construction activities are included in the appropriate specification section related to that activity. 112-1.2 Substantial Completion. a. Preliminary Procedures: Before requesting inspection for certification of Substantial Completion, complete the following: 1. In the Application for Payment that coincides with, or first follows, the date Substantial Completion is claimed, show 100 percent completion for the portion of the Work claimed as substantially complete. i. Include supporting documents for completion as indicated in these Contract Documents and a statement showing an accounting of changes to the Contract Sum. ii. If 100 percent completion cannot be shown, include a list of incomplete items, the value of incomplete construction, and reasons the Work is not complete. 2. Submit specific warranties, maintenance agreements, final certifications and similar documents. 3. Advise Owner of pending insurance change -over requirements. 4. Submit record drawings, maintenance manuals, damage or settlement surveys, and similar final record information. 5. Complete final clean-up requirements. 6. Touch-up and otherwise repair and restore marred exposed finishes. b. Inspection Procedures: On receipt of a written request for inspection complete with associated copy of Contractor's Certification of Substantial Completion, the PROJECT CLOSEOUT G-112 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Architect/Engineer/RPR will either proceed with inspection or advise the Contractor of unfilled requirements. The Architect/Engineer/RPR will prepare the Certificate of Substantial Completion following inspection or advise the Contractor in writing of construction that must be completed or corrected before the certificate will be issued. Should the Architect/Engineer/RPR be required to perform any re -inspections due to failure of the Work to comply with the claims of status of completion made by the Contractor, the Contractor will compensate the Owner for such additional services. The Owner will deduct the amount of such compensation from the final payment to the Contractor. C. Results of the completed inspection will form the basis of requirements for final acceptance. 112-1.3 Final Acceptance. a. Preliminary Procedures: Before requesting final inspection for certification of final acceptance and final payment, complete the following. List exceptions in the request. 1. Submit the final payment request with releases and supporting documentation not previously submitted and accepted. 2. Submit an updated final statement, accounting for final additional changes to the Contract Sum. 3. Submit a certified copy of the Architect/Engineer/RPR's final inspection list of items to be completed or corrected, stating that each item has been completed or otherwise resolved for acceptance, and the list has been endorsed and dated by the Architect/Engineer/RPR. 4. Submit consent of surety to final payment. 5. Submit a final liquidated damages settlement statement. b. Inspection Procedure: On receipt of a written request for inspection for Final Acceptance, complete with associated copy of Contractor's Certification of Completion for Final Acceptance, the Architect/Engineer/RPR will either proceed with inspection or advise the Contractor of unfilled requirements. The Architect/Engineer/RPR will reinspect the Work upon receipt of notice that the Work, including listed items from Substantial Completion inspection, has been completed, except items whose completion has been delayed because of circumstances acceptable to the Architect/Engineer/RPR. I . Upon completion of inspection, the Architect/Engineer/RPR will prepare a certificate of final acceptance, or advice the Contractor of Work that is incomplete or of obligations that have not been fulfilled but are required for final acceptance. 2. If the Architect/Engineer/RPR does not find the work acceptable under the Contract Documents, the Architect/Engineer/RPR will make one additional inspection. PROJECT CLOSEOUT G-112 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 3. Should Architect/Engineer/RPR be required to perform any reinspection due to failure of the Work to comply with claims of status of completion made by the Contractor after the above reinspection, the Contractor will compensate the Owner for such additional services. The Owner will deduct the amount of such compensation from the final payment to the Contractor. C. Maintenance Manuals: Organize operating and maintenance data into suitable sets of manageable size. Bind properly indexed data in individual heavy-duty 2-inch, 3-ring vinyl -covered binders, with pocket folders for folded sheet information. Mark appropriate identification on front and spine of each binder. Include the following types of information: 1. Shop Drawings and Product Data. 1 WX 9141811 to] ► I 112-2.1 For equipment items not specified to receive specialized training sessions as enumerated by the specifications, arrange for each installer of equipment that requires regular maintenance to meet with the Owner's personnel to provide instruction in proper start-up, operation, and maintenance. If installers are not experienced in procedures, provide instruction by manufacturer's authorized representatives. Include a detailed review of the following items. a. Maintenance manuals. b. Record documents. C. Identification systems. d. Control sequences. e. Hazards. f. Cleaning. g. Warranties and bonds. h. Maintenance agreements and similar continuing commitments. METHOD OF MEASUREMENT 112-3.1 No direct measurement will be made for the items of this specification. BASIS OF PAYMENT 112-4.1 No direct payment will be made for the items of this specification. Costs will be considered subsidiary to the various bid items of the project. END OF ITEM G-112 PROJECT CLOSEOUT G-112 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK PROJECT CLOSEOUT G-112 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-201 SAFETY AND SECURITY GENERAL 201-1.1 Scope of Work. a. General. The provisions of this specification and associated procedures are applicable within the boundaries of the Airport only. This work consists of complying with the provisions of this specification, the Construction Safety and Phasing Plan (CSPP), and other safety and security requirements of the contract documents. A complete understanding of all safety and security procedures and requirements contained in the contract documents is required to ensure safety during construction. The CSPP is a part of this contract and deviations from the requirements established herein will be sufficient cause for contract termination. The CSPP can be found as an attachment to the Project Manual. b. Standards and Regulations: Required reference material associated with this specification and CSPP includes the current versions of the following documents: 1. FAA AC 15015370-2, Operational Safety on Airports During Construction, current edition, latest change. 2. FAA AC 15015210-5, Painting, Marking and Lighting of Vehicles Used on an Airport, current edition, latest change. 3. FAA AC 15015340-1, Standards for Airport Markings, current edition, latest change. C. Copies of these documents are available for download at www.faa.gov. 201-1.2 Contractor Safety and Security Officer (CSSO). a. The Contractor must appoint its onsite construction superintendent or other qualified individual(s) as its duly authorized representative to serve as Contractor Safety and Security Officer (CSSO) for the duration of the project. The CSSO must thoroughly understand the safety and security requirements of the project, the necessity for them and must have sufficient authority to implement its provisions without significant deviation. The Contractor must notify the Architect/Engineer/RPR in writing of the name of the individual(s) selected for the assignment. The CSSO must represent the Contractor on safety and security requirements compliance. The CSSO must be especially knowledgeable regarding the requirements of FAA AC 15015370-2. b. Responsibilities of the CSSO: Prior to the desired date for commencement of any work on the project, the CSSO must accomplish the following: 1. Develop and submit in writing a detailed work sequence schedule with dates and times specified for all milestone events. This sequence schedule is subject to the SAFETY AND SECURITY G-201 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B approval of the Architect/Engineer/RPR. To assure adequate time for coordination, this document must be submitted no later than the date of the pre - construction conference. 2. Develop and submit in writing a Safety Plan Compliance Document (SPCD). See the Contract Documents for requirements and guidelines regarding the SPCD. The SPCD must, as a minimum, be a detailed outline of the procedures to be followed showing how the Contractor will comply with the CSPP. The SPCD must detail, but not be limited to, how the Contractor plans to maintain safety and security of both Contractor operations and the integrity of airport landside and airside operations during the prosecution of contract work and the procedures to be followed in the event of an emergency or accident. These procedures will be subject to the approval of the Architect/Engineer/RPR and reflect any change as may be deemed necessary. To assure adequate time for coordination, this document must be submitted no later than the date of the pre -construction conference. The development of the required SPCD is considered incidental to the work of this specification. 3. The Contractor must always maintain a copy of the CSPP and SPCD at the project site for reference by the Architect/Engineer/RPR and by all Contractor and subcontractor employees. 4. Conduct at least one (1) meeting of all Contractor supervisory personnel prior to the start of contract work. The purpose of this meeting is to review the approved work sequence, schedule, and safety and security procedures. Attendance at this meeting by the CSSO and all Contractor supervisory personnel is mandatory. This meeting must also be open to the Owner, Architect/Engineer/RPR, and any other governing authority that would like to attend. Minutes of this meeting must be taken by the CSSO, copies provided to each supervisor, and kept on file in the Contractor's construction office for periodic review and updating. 5. Brief all employees of the Contractor and subcontractors that will be used on the project. A similar briefing will be given to new employees prior to their use on contract work. In addition, the CSSO will be responsible for briefing, from time to time, all Contractor personnel on any changes to safety and security measures deemed necessary. 201-1.3 Contractor Badging. a. The Contractor is responsible for Owner -issued security badging as follows: The Contractor is responsible for obtaining photo -identification security badges issued by the Owner for each superintendent of each work crew working within the AOA. The Contractor must obtain Owner -issued security badges for at least one (1) member of each work crew working in separate areas of the AOA. All Contractor personnel must either obtain and display an Owner -issued security badge or be escorted and under the responsibility of an individual displaying a SAFETY AND SECURITY G-201 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B current Owner -issued security badge. Badges issued for construction will be good for the duration of the project. 2. The Contractor is responsible for completing the required Owner -issued security badge application forms, and for submitting the forms to the Owner for their review as early in the project as possible to avoid construction delays. Forms must be submitted at least two (2) weeks in advance of issuance of an Owner - issued security badge. Forms will be available through the Owner after award of the project. The Contractor must designate an authorized signature holder (ASH) responsible for all Contractor badge applications. The ASH designee must complete training to become the authorized ASH, after which all Owner -issued security badge applications must be reviewed and approved via signature by the ASH. The Contractor may obtain Owner -issued security badges from the operations department at the Airport. The Owner reserves the right to limit the number of security badges issued to the Contractor. The Owner will charge the Contractor a non-refundable fifty -dollar ($50.00) fee for each Owner -issued security badge issued. An additional non-refundable fifty -dollar ($50.00) fee will be charged for lost or destroyed badges. Individuals that lose two (2) badges will not be issued a third badge. 4. Owner -issued security badges must be worn in an easily visible location on the person to whom the badge was issued. Badges must be worn at all times while working within the AOA. The badge holder must be familiar with and must obey all security and safety rules and regulations. Owner -issued security badges may be confiscated, and all security rights revoked by the Owner upon the breach of any security or safety regulations at the discretion of the Owner. The holder of an Owner -issued security badge must surrender the badge at the completion of this project, upon transfer or termination of employment, or at any other time at the request of the Owner. 5. Badge holders may only use Owner -issued security badges for access to the AOA when actively working on this specific project. 6. Any expired or altered badge, or any badge bearing a photograph not matching the bearer, must be brought to the attention of the Owner and will be immediately confiscated by the Owner or the airport police. 7. At the completion of this project, the Contractor must return all Owner -issued security badges to the Owner. All Owner -issued security badges must be accounted for and surrendered at the completion of this project. Failure to account for and surrender all Owner -issued security badges will constitute grounds for withholding retainage from the final pay estimate amount. EXECUTION 201-2.1 Construction Sequencing. SAFETY AND SECURITY G-201 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT a. Construction Sequence: The Contractor must prepare a construction schedule and submit to the Architect/Engineer/RPR no later than the date of the pre -construction conference. b. Closing Work Areas: The Contractor must acquaint his / her supervisors and employees with the sequence of construction and its relationship to airport activity and aircraft operations that are inherent to this airport. No runway, taxiway, apron, aircraft gate, passenger boarding bridge, any portion of the terminal, or airport roadway may be closed without the written approval of the Owner, to enable necessary NOTAMS and/or advisories to airport fixed based operators (FBOs), tenants and users. Contractor personnel and equipment are not allowed within project work areas until the area has been closed to aircraft and NOTAMS have been issued. The CSPP and plans detail the work areas of the project with respect to impacted or adjacent Runway Safety Areas (RSA), Taxiway / Taxilane Object Free Areas (TOFA / TLOFA), and Taxiway / Taxilane Safety Areas (TSA). 201-2.2 Airfield Marking and Lighting. Proper marking and lighting of areas on the airfield associated with construction is the responsibility of the Contractor. This will include properly marking and lighting closed pavements, the limits of construction, material storage areas, equipment storage areas, haul routes, parking areas, and other areas defined as required for the Contractor's exclusive use. The Contractor must erect and maintain around the perimeter of these areas suitable marking and warning devices visible for day and night use. The type and location of marking and warning devices will be as shown on the plans and approved by the Architect/Engineer/RPR. Special emphasis must be given to open trenches, excavations, heavy equipment marshalling areas, and stockpiled material located in the Airport Operations Area (AOA), which must be predominantly marked by the Contractor with flags and lighted by approved light units during hours of restricted visibility and darkness. All markings must be in accordance with FAA AC 15015340-1. 201-2.3 SPCD Enforcement. a. Furnish and install the components of the SPCD at the appropriate times as specified in the Contract Documents. Inspect every aspect of the SPCD on at least a daily basis and ensure all components are functioning properly. Immediately correct deficiencies noted by the Architect/Engineer/RPR. Visually check barricade and / or temporary security fencing flashing lights daily, 30 minutes before sunset for proper operations. The system elements that must be inspected are as follows: 1. Barricades and / or temporary security fencing set properly and all flashing warning lights operating properly. 2. All Contractor personnel, AOA security gates manned, and security procedures in place. 3. All vehicles and equipment lighted / marked in accordance with the requirements of the Contract Documents. 4. Contractor use of unauthorized AOA security gates checked. The Owner' representative will notify the Contractor in writing of the above safety and security items identified as deficient. Make a concerted effort to ensure all safety and SAFETY AND SECURITY G-201 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B security items are in proper working order each day due to the security status of the airport. 201-2.4 Traffic Control. a. Vehicle and Equipment Identification: The Contractor must establish and maintain a list of Contractor and subcontractor vehicles and equipment authorized to operate on the site. Contractor employee vehicles will be restricted to the Contractor's temporary construction staging area or at otherwise shown on the plans and are not allowed in the AOA at any time. To be authorized to operate on the airport, each Contractor or subcontractor vehicles and equipment must: Display either: A yellow, flashing, dome -type light on the uppermost part of the vehicle structure. The light must be visible from any direction, day and night, including from the air. Lights must have peak intensity within the range of 40 to 400 candelas (effective) from zero (0) degrees (horizontal) up to 10 degrees above the horizontal and for 360 degrees horizontally. From 10 degrees to 15 degrees above the horizontal plane, the light output must be one -tenth of peak intensity or between four (4) and 40 candelas (effective). Lights must flash at 75 f 15 flashes per minute. ii. A three (3) feet x three (3) feet or larger, international orange and white checkerboard construction safety flag, each checkerboard color being one (1) foot x one (1) foot, fixed on a staff, may be attached to the vehicle so that the flag is readily visible to supplement the flashing light or for transient vehicles or those specifically onsite for the day to complete a specific task during daytime operations only. Vehicles and equipment operating in the AOA during the hours of darkness must be equipped with a yellow, flashing, dome -type light. 2. Be identified with a sign / placard with company logo and phone number of the Contractor and be of sufficient size to be identified at a distance of 150 feet. Vehicles needing intermittent identification could be marked with tape or with commercially available magnetically attached markers. Vehicles that are not appropriately identified must be escorted by a vehicle that conforms to this requirement. Vehicles requiring escort must be identified on the list furnished to the gate guard. All costs associated with vehicle and equipment identification are part of the equipment provided by the contractor and are subsidiary to the various bid items of the project. b. Contractor Escorts: Contractor escorts must meet the following requirements: 1. Contractor escort vehicle drivers must receive AOA driver training. 2. All vehicles responsible to the Contractor entering the AOA must be escorted by an Owner -approved Contractor escort vehicle from the point of AOA entry to the construction site. SAFETY AND SECURITY G-201 - 5 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 3. To facilitate safe movement of Contractor escort vehicles and escorted vehicles, drivers of Owner -approved Contractor escort vehicles must be approved for, issued, and display an Owner -issued security badge. Further, Owner -approved Contractor escort vehicle drivers must be familiar with Airport security and safety procedures. C. AOA Security Gate Control: A Contractor's gate guard must monitor and coordinate all Contractor traffic at the AOA security gate. The gate guard must be responsible for checking badges and inspecting vehicles of anyone entering and exiting through the gate at which the guard is posted. The Contractor must provide a gate guard at all AOA security gates used for Contractor access. The Contractor must provide a guard shack to be utilized by the Contractor's gate guard at all AOA security gates used for Contractor access. The guard shack must, at minimum: Have minimum dimensions of 4 feet by 6 feet. ii. Be weather-proof. iii. Be temperature -controlled and internally lighted for nighttime operations. iv. Provide 360-degree visibility and access to all vehicles approaching and exiting the AOA security gate. V. Include locking devices to secure the guard shack when not in use. vi. Secured against overturn by winds up to 100 mph. vii. Include a fire extinguisher. viii. Comply with all applicable building and safety codes. It is the Contractor's responsibility to prepare the site for installation of the guard shack. Any modifications to the site made by the Contractor must be removed at the end of the project and the site must be restored to its original condition or better. It is also the Contractor's responsibility to coordinate, secure, and pay for all utility service connections necessary for the operation of the guard shack. 2. Furnish to the gate guard a list of authorized delivery vehicles to enter the AOA security gate and record the vehicle license plate, time in, and time out for each vehicle using the gate. The Contractor must not permit any unauthorized construction personnel or traffic on the site. The Contractor must prohibit "piggybacking" of multiple vehicles behind an authorized vehicle. Gate guards must be present at all AOA security gates used for Contractor access when the Contractor is onsite. If the gate guard must temporarily leave his post for any reason, a substitute gate guard, pre -approved by the Owner and / or SAFETY AND SECURITY G-201 - 6 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Transportation Security Administration, must assume the responsibilities of the gate guard during that period. 4. AOA security gates to the site must be locked and secured at all times when not attended by the Contractor. If the Contractor chooses to leave any AOA security gate open, it must be attended by Contractor personnel who are knowledgeable of the safety and security requirements of the project. If an AOA security gate is found open or unlocked and unattended, airport security police and / or Transportation Security Administration may issue the Contractor a citation. The Contractor is responsible for all court costs and imposed fines. In addition, monetary fines may be levied by the Owner and / or Transportation Security Administration for each violation so documented. Payment of all fines assessed to the Owner, due to violations by the Contractor of FAA / Transportation Security Administration security or safety requirements, is the sole responsibility of the Contractor and will be deducted from monies due the Contractor. 5. Pedestrian walkthroughs are not allowed through any AOA security gate. d. Access to the Site of Construction: The Contractor's access to the site is as shown in the plans. No other access points will be allowed unless approved by the Owner. All Contractor traffic authorized to enter the site must have completed the appropriate AOA driver training and be thoroughly familiar with the access procedures and route for travel or must be guided by an Owner -approved Contractor escort vehicle from the point of AOA entry to the construction site. The Contractor is responsible for traffic control to and from the various construction areas on the site, and for the operation and security of the AOA security gate to the site. Directional signing from the AOA security gate along the delivery route to the temporary construction staging / stockpile / storage areas, plant site, or work site must be provided. In addition, the following requirements are applicable: 1. The Contractor must install work site identification signs at the authorized access point(s). If, in the opinion of the Architect/Engineer/RPR, additional directional signs are needed for clarity, they must be installed along the route authorized for access to each construction site at no additional cost to the Owner. 2. The Contractor is responsible for the immediate cleanup of any debris deposited along the access route because of his construction traffic. In addition to the inspection and cleanup required at the end of each shift, the Contractor is responsible for the immediate cleanup of any debris generated along the construction site access route(s) because of construction related traffic or operations whether or not created by Contractor personnel. 3. All Contractor traffic authorized to travel on the airport must be operated in a manner that does not compromise the safety of either landside or airside airport operations. If, in the opinion of the Architect/Engineer/RPR, any vehicle is operated in a manner not fully consistent with this requirement, the Architect/Engineer/RPR has the right to restrict operation of the vehicle or prohibit its use on the Airport. SAFETY AND SECURITY G-201 - 7 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT e. Material Suppliers, Subcontractors, and Visitors: All material suppliers, subcontractors, and visitors to the work site are obligated to follow the same safety and security operating procedures as the Contractor. All material suppliers must make their deliveries using the same access points and routes as the Contractor and must be advised of the appropriate delivery procedures at the time the materials order is placed. The Contractor must not use the Airport address for any delivery but must use the street address appropriate to the location of the entrance to the work site. If it is not practical to conform to vehicle identification requirements, the Contractor must be prepared to escort all suppliers, subcontractors, and visitors while they are on the airport. f. Do not exceed 15 mph within the AOA. 201-2.5 General Safety Requirements. a. All Contractor vehicles that are authorized to operate on the airport outside of the designated construction area limits or haul routes as defined herein must be vigilant for conflict with any aircraft and always give way to any operating aircraft. All Contractor vehicles that are required to operate outside of the construction area limits as defined herein and cross active taxiways or aprons must do so under the direct control of a flagman who is monitoring the Airport ground control radio frequency. Flagmen must be furnished by the Contractor. All aircraft traffic on taxiways and aprons have priority over Contractor's traffic. Any movement of the Contractor's vehicles and equipment on or across landing areas must only be under escort by the Owner or when the runway is closed. Construction vehicles and equipment not in use for extended periods must be parked away from active pavements in the Contractor's temporary construction staging / stockpile / storage areas. b. In order to protect all aircraft traffic, aviation related businesses, terminal apron areas, etc. from potential damage caused by foreign object debris (FOD) generated by construction activities, the Contractor must provide an adequate number of sweepers and vacuum trucks as specified in Item G-205, Temporary Construction Items. Protecting the aircraft, airport tenants, users, public, etc., against FOD is a critical safety issue. C. The Contractor must conduct a weekly safety briefing for all Contractor personnel. These meetings must be open to the Owner, Architect/Engineer/RPR, and any other governing authority that would like to attend. There will also be a mandatory weekly construction meeting, the date and time of which will be established prior to the start of construction, with the Owner that must be attended by the Contractor's senior field staff, including but not limited to superintendents and team leaders. d. Contractor vehicles and equipment brought into the AOA should be serviced and maintained prior to entering the AOA to prevent fuel, hydraulic fluid, or other chemical fluid leaks and excessive exhaust that may cause environmental issues. Vehicles and equipment that may cause environmentally detrimental conditions will be prohibited from SAFETY AND SECURITY G-201 - 8 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B entering the AOA. However, Contractor personnel operating construction vehicles and equipment on the Airport must notify the Architect/Engineer/RPR immediately and expeditiously contain and clean-up spills resulting from fuel, hydraulic fluid, or other chemical fluid leaks within one (1) hour of the spill occurring. Transport and handling of other hazardous materials on an airport also requires special procedures. To that end, develop and implement spill prevention and response procedures for vehicle operations. Incorporate these procedures into the SPCD. This includes maintenance of appropriate MSDS data and appropriate prevention and response equipment on -site e. Contractor vehicles and equipment may not be parked any closer than ten feet (10') from any security fence or AOA security gate. f. Contractor supervisory personnel, Contractor gate guards, and Contractor flagmen must be provided an aviation -band radio by the Contractor. All Contractor personnel monitoring radios must attend "Airport Radio Training" with Airport Operations. Radios must be used to monitor air traffic control frequencies; Contractor personnel may not communicate on the aviation -band radios. Contractor radios and / or mobile phones must only be used for the Contractor's internal communications, to communicate clearance for movement of equipment, personnel, etc., on or across active AOA areas. Use of radios must not interfere with frequencies used by the ATCT or the airport. Use of mobile phones is restricted to work -related calls within the AOA; no personal calls will be allowed. The Contractor must maintain an up-to-date contact list with the airport for the duration of all phases of work. g. Construction will occur adjacent to active airfield pavements. Construction traffic must always yield to aircraft. Confine Contractor personnel, equipment, operations and travel to the area within the defined work limits shown in the plans. Do not allow Contractor personnel to enter or remain in part of the AOA which would be hazardous to persons or to aircraft operations. Inform Contractor personnel of the routes, speeds, and procedures for transporting equipment and materials to the construction site and restrictions to movement of equipment or Contractor personnel within the AOA. h. The Owner reserves the right to suspend construction operations for short periods of time (i.e. while an aircraft passes), daily, or between construction phases, and / or change the order of construction phasing during the project if it is determined as in the best interest of the Owner or safety. The Contractor may be directed to move Contractor personnel, equipment, and materials to a safe location and / or evacuate the site in order to enable aircraft operations. Necessary extensions in contract time will be granted or a stop work order will be issued due to these delays. However, there will be no adjustments in contract price due to these delays, unless otherwise noted in the contract documents. i. Furnish and install barricades and / or temporary security fencing at the locations shown in the plans. Provide 24 hours per day on -call Contractor personnel for emergency maintenance of airport hazard lighting, barricades, and / or temporary security fencing. Integrate barricades and / or temporary security fencing as a part of the SPCD. SAFETY AND SECURITY G-201 - 9 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Provide an adequate number of sweepers and vacuum trucks to keep haul routes, airfield pavements within the limits of work, and other pavement areas within 250 feet of construction areas traversed by vehicles and equipment clean and free of mud, dirt, debris, waste, loose material, and other FOD capable of causing damage to aircraft landing gears or propellers and / or being ingested in jet engines. Provide enough equipment and operators to ensure an immediate response to properly keep all active airfield pavements affected by construction operations are kept free of FOD. k. Wear high -visibility warning garments and identifiable hard hats in accordance with applicable OSHA, ANSI, ISEA, local, state, and / or Federal regulations when onsite. Prevent spillage of debris from construction vehicles and equipment outside the immediate work area. in. Use, manage, handle, and dispose of all "hazardous materials" in strict accordance with all applicable environmental laws. For the purposes of this project, the term "hazardous materials" is defined in the broadest sense to encompass substances, materials, wastes, pollutants, or oils referred to in any environmental law as toxic, radioactive, dangerous, or similar term. Environmental laws are defined to mean all applicable federal, state, and local statutes, ordinances, regulations, rules, policies, codes, and guidelines in effect during the term of the project. n. Construction equipment must have a maximum height as approved by FAA Form 7460-1. Should the use of construction equipment with heights greater than those approved by FAA Form 7460-1 be required, including cranes, submit FAA Form 7460-1 to the FAA for approval. The FAA must provide approval prior to use of the requested equipment — FAA response time may take 60-90 days. o. It is the sole responsibility of the Contractor to see that all sheeting, shoring and bracing is done in accordance with current OSHA regulations and requirements. P. Institute dust control measures to mitigate current or potential dust issues. Special attention to dust control is required when earthwork or hauling operations are in progress or when wind and weather conditions cause excessive blowing of dust. Regularly apply water to keep dust down. Provide 24 hours per day on call Contractor personnel for emergency dust control operations. Respond within 20 minutes during times when the Contractor is on site and within two (2) hours when no work is being performed. Interior dust control measures must be in place to protect all public areas. Building filters must be replaced monthly during interior construction activities. q. At the completion of each work period, clean the project work area and remove equipment, materials, and Contractor personnel from the project work area. Sweep and / or vacuum pavements prior to vacating the work area. Ensure that active airfield surfaces affected by construction operations are kept free of FOD deposited by either construction traffic, construction operations, windblown debris, or debris deposited as the result of other sources. SAFETY AND SECURITY G-201 - 10 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT Interior construction areas must be kept free of accumulated trash and construction materials. Public areas adjacent to construction are to be cleaned daily. r. Blasting will not be permitted. S. Open -flame welding and torch cutting will not be permitted. 201-2.6 Construction Control. A primary and alternate responsible Contractor's representative must be designated by the Contractor. The Contractor's representatives must be available locally on a 24-hour basis. Names of the primary and alternate, including phone number, must be made available to the Architect/Engineer/RPR by the Contractor. The Contractor must ensure that the names and phone numbers are kept current and made available to the RPR. 201-2.7 Construction Techniques. Construction must be planned and conducted throughout this project in such a manner as to maintain safe airport operations. Every effort must be made to reduce the impact of construction activity on overall airport operations. To this end, the Contractor's activities must be conducted in such a manner to preclude, except where absolutely required, open excavations, trenches, ditches, and above ground obstacles such as booms on cranes. The primary responsibility for assuring that safe construction techniques are followed rests with the CSSO. METHOD OF MEASUREMENT 201-3.1 Measurement of the item Safety and Security, as specified herein, will be on a lump sum basis. BASIS OF PAYMENT 201-4.1 The work and incidental costs covered under the item "Safety and Security" will be paid for at the Contract lump sum price. The Architect/Engineer/RPR will make the final determination of the allowable percentage of completion for the payment of the item Safety and Security and will approve the percentage paid based on the percent of contract amount actually earned which will be based upon actual work completed. Partial payments will be allowed as follows: a. With first pay request, 25%. b. When 25% or more of the original contract is earned, an additional 25%. C. When 50% or more of the original contract is earned, an additional 45%. d. After Final Inspection, staging area clean-up and delivery of all project closeout materials, the final 5%. * The Percent of Contract Amount Earned equals the work completed to date (including the total of all previous mobilization) plus or minus work completed associated with executed change orders, if any, divided by the Total Original Contract Amount plus or minus the Total Executed Change Order Amounts, if any. Payment will be made under: Item G-201-4.1 Safety and Security — per lump sum SAFETY AND SECURITY G-201 - 11 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT END OF ITEM G-201 SAFETY AND SECURITY G-201 - 12 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-202 SURVEY AND STAKEOUT DESCRIPTION 202-1.1 General. This section sets forth requirements for all construction layouts required by the Contractor to construct all elements of the work as shown in the Contract Documents. This includes, but is not limited to, stakeout, layout, and elevations for pavements, structures, forms, and appurtenances as shown and required. The Contractor must keep the Architect/Engineer/RPR fully informed as to the progress of the stakeout survey. All survey work must be provided under the direction of a land surveyor licensed in the state within which the work is being performed. This item is complimentary to and should not be considered a modification to any aspect of FAA General Provision 50-07, Construction Layout and Stakes. In the case of discrepancy, the requirements of FAA General Provision 50-07, Construction Layout and Stakes, govern. 202-1.2 Survey Datum. The project survey control and horizontal alignment are based on the coordinate system as shown on the plans. The construction plans depict the coordinates and datum of sufficient survey control points to establish or re-establish horizontal control throughout the length of the project. Employ such methods as approved by the Architect/Engineer/RPR for the location of the project alignment and other necessary survey control points in accordance with currently acceptable surveying standards and practices. EQUIPMENT 202-2.1 All instruments, equipment, stakes, and any other material necessary to perform the work satisfactorily must be provided by the Contractor. EXECUTION 202-3.1 The exact position of all work must be established from survey control points, baseline transit points or other points of similar nature as shown in the plans. Prior to any layout for the proposed work, verify existing survey control points and notify the Architect/Engineer/RPR of discrepancies immediately if found. The Contractor is responsible for the accuracy of his work and must maintain all reference points, stakes, etc., throughout the life of the work. Damaged or destroyed points, control monuments, or any reference points made inaccessible by the progress of the construction, must be replaced, or transferred by the Contractor. Any of the above points which may be destroyed or damaged must be transferred by the Contractor before they are damaged or destroyed. All control points must be referenced by ties to acceptable objects and recorded. Any alterations or revisions in the ties must be so noted and the information furnished to the Architect/Engineer/RPR immediately. All computations necessary to establish the exact position of the work from control points must be made and preserved by the Contractor. All computations, survey notes, and other records necessary to accomplish the work, must be neatly made. Such computations, survey notes, and other records must be made available to the Architect/Engineer/RPR upon request and must become the property of the Owner and delivered to the SURVEY AND STAKEOUT G-202 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT Architect/Engineer/RPR each month with the final documents due not later than the date of acceptance of the Contract. The Architect/Engineer/RPR reserves the right to check all lines, grades, and measurements with their appointed surveyor. Should the Owner's surveyor detect errors in said lines, grades, and measurements, the Contractor must pay for all subsequent surveying costs performed to verify correction of errors found in said lines, grades, and measurements. Definition of an error is a discrepancy of 1/4-inch or more. In the case of a discrepancy between the technical specifications and this defined tolerance, this tolerance governs. METHOD OF MEASUREMENT 202-4.1 Measurement of the item Project Survey and Stakeout, as specified herein, will be on a lump sum basis. BASIS OF PAYMENT 202-5.1 The work and incidental costs covered under the item Project Survey and Stakeout will be paid for at the Contract lump sum price. The Architect/Engineer/RPR will make the final determination of the allowable percentage of completion for the payment of the item Project Survey and Stakeout and will approve the percentage paid based on the percent of contract amount actually earned which will be based upon actual work completed. Partial payments will be allowed as follows: a. With first pay request, 25%. b. When 25% or more of the original contract is earned, an additional 25%. C. When 50% or more of the original contract is earned, an additional 40%. d. After Final Inspection, Staging area clean-up and delivery of all Project Closeout materials, the final 10%. * The Percent of Contract Amount Earned equals the work completed to date (including the total of all previous mobilization) plus or minus work completed associated with executed change orders, if any, divided by the Total Original Contract Amount plus or minus the Total Executed Change Order Amounts, if any. Payment will be made under: G-202-5.1 Project Survey and Stakeout — per lump sum END OF ITEM G-202 SURVEY AND STAKEOUT G-202 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT ITEM G-205 TEMPORARY CONSTRUCTION ITEMS DESCRIPTION 205-1.1 This item consists of furnishing all labor, materials and equipment for temporary construction items necessary for the safe and proper execution of work not otherwise included in other contract bid items. The Contractor will be expected to supply and utilize, as necessary, the temporary construction items listed below and other items contained in the plans and specifications. Temporary construction items to be provided may include, but are not limited to: flagmen; gate guards; escorts; radios; portable lighting units; steel plates for temporary covering of excavations and structures; barricades; delineators; temporary haul roads; temporary signs; test pits; vacuum trucks and sweepers; portable sanitary facilities; temporary construction staging areas; waste disposal containers; taxi closure markers; temporary edge light coverings, centerline light masking, and sign coverings / modifications; temporary electrical cables, connections, and jumpering; and electrical lockout and tagout. MATERIALS 205-2.1 Temporary Construction Barricades. Construction barricades must be constructed in accordance with the details shown in the plans and must be placed in accordance with the phasing plans and as directed by the RPR. The term "barricade" will be used throughout the plans and project manual to universally indicate barricades, signs, danger signals, hazard lighting, and / or any other safety measures to be installed by the Contractor prior to commencing work in an area. The Contractor will be responsible for furnishing, installing, and maintaining the necessary barricades as required by the plans and specifications (FAA AC 15015370-2, Operational Safety on Airports During Construction, current edition, latest change) for the protection of the work and the safety of the public for both land and air traffic. 205-2.2 Portable Floodlighting. Portable floodlighting must be provided, as required, for construction that must occur during nighttime operations. The Contractor must provide sufficient units so that all work areas are illuminated to a level of 5 horizontal footcandles. The lighting levels will be calculated and measured in accordance with the current standards of the Illumination Engineering Society. Lights must be positioned in such a way that they do not impact air traffic control operations. 105-2.3 Steel Plates. Steel plates of adequate size and thickness must be furnished as necessary to cover temporary excavations, unfinished structures or surfaces requiring protection or for safety purposes. Plates must be securely fastened down and must be adequate to safely support any anticipated loadings to be imposed. 205-2.4 Temporary Runway Closure Markers and Unlit Taxi Closure Markings. Runway closure markers will be provided by the Owner to the Contractor for each temporarily closed runway end. The Contractor must install, maintain, remove, and return to the Owner the runway closure markers at the direction of the RPR. Unlit taxi closure markers meeting the requirements of FAA AC 15015370-2 must be provided by the Contractor at each location shown in the plans. The Contractor must maintain the markers during construction, replace any worn parts, keep them fueled and maintain all oil levels, filters, etc. TEMPORARY CONSTRUCTION ITEMS G-205 - 1 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B required to keep them running in good working order. The Contractor must retain possession of the unlit taxi closure markers upon contract completion. 205-2.5 Temporary Security Fence. The Contractor is responsible for the security of all temporary openings in the AOA at all times. Temporary Security Fence must be installed to provide a secure temporary fence line prior to removal of any existing fence that will require an opening to the AOA. The Contractor may utilize existing fence materials scheduled to be removed as part of the project as Temporary Security Fence. The Contractor will be responsible for any modifications necessary to the removed existing fence materials in order to make them suitable for use. Each opening must be manned by an Owner -approved, Contractor employee until the opening is closed and approved by the Owner and RPR at no additional expense to the Owner. 205-2.6 Temporary Haul Roads. The Contractor must install, maintain, repair, and remove temporary haul roads as indicated in the plans, or as required by the Contractor. The Contractor will be responsible for the disposal of temporary haul road materials. 205-2.7 Temporary Construction Staging Areas. The Contractor must install, maintain, and repair temporary construction staging / stockpile / storage areas in accordance with the directives in the plans and Project Manual at the locations indicated in the plans, or as approved by the RPR. At the completion of the project, these areas must be removed and conditions of these areas and surrounding areas must be as good as or better than the condition prior to starting work, including, at minimum, repair of existing facilities, regrading, and topsoiling and establishing vegetation, as applicable. The Contractor will be responsible for the disposal of temporary staging area materials. 205-2.8 Vacuum Trucks and Sweepers. Vacuum trucks and sweepers must be provided by the Contractor to vacuum haul routes and other pavement areas traversed by construction vehicles and equipment. These areas must be kept clean and free of mud, dirt, debris and other FOD to the satisfaction of the RPR. 205-2.9 Other Miscellaneous Items. Any other items not listed herein but which are associated directly or indirectly with temporary construction related work will, by reference, be included in the requirements of this specification. No additional payment will be made for any related temporary construction item not specifically listed herein. The Contractor will be responsible for providing any and all items necessary to ensure a safe, secure and functioning project construction site. CONSTRUCTION METHODS 205-3.1 Temporary Construction Barricades. Barricades must be placed around each phase of the work in accordance with the phasing plans and must remain in place until completion of work in each phase. 205-3.2 Temporary Security Fence. Temporary Security fence must be placed around all temporary openings in the AOA and must remain in place until permanent fencing is complete in the area and the temporary opening in the AOA is secure. 205-3.3 Flagmen. Flagmen must be provided, as necessary, to control the Contractor's traffic during the prosecution of work. All Contractor vehicles or equipment that are required to cross active airfield pavement or safety areas must do so under the direct control of a competent flagman. Each flagman, TEMPORARY CONSTRUCTION ITEMS G-205 - 2 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B supervisory individual, and Contractor lead / escort vehicle must be equipped with an approved aviation band radio. 205-3.4 Portable Floodlighting. Portable floodlighting is required for construction during periods of limited visibility (i.e., nighttime). METHOD OF MEASUREMENT 205-4.1 No direct measurement will be made for the items of this specification. Payment will be made on a lump sum basis. BASIS OF PAYMENT 205-5.1 Payment will be made at the lump sum price for "Temporary Construction Items". Payment for all items will be full compensation for furnishing all materials and labor for placing, moving and removing barricades and steel plates, providing flagmen, furnishing portable floodlighting, test pitting, disposal of materials, and for any other labor, materials, equipment, tools and incidentals necessary for temporary items required for construction of this work. Partial payments will be allowed as follows: a. With first pay request, 25%. b. When 25% or more of the original contract is earned, an additional 25%. C. When 50% or more of the original contract is earned, an additional 40%. d. After Final Inspection, Staging area clean-up and delivery of all Project Closeout materials, the final 10%. * The Percent of Contract Amount Earned equals the work completed to date (including the total of all previous mobilization) plus or minus work completed associated with executed change orders, if any, divided by the Total Original Contract Amount plus or minus the Total Executed Change Order Amounts, if any. Payment will be made under: Item G-205-5.1 Temporary Construction Items — per lump sum END OF ITEM G-205 TEMPORARY CONSTRUCTION ITEMS G-205 - 3 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK TEMPORARY CONSTRUCTION ITEMS G-205 - 4 ISSUE FOR BID 08/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT SECTION 011000 - SUMMARY OF WORK PART 1 — GENERAL 1.1 RELATED DOCUMENTS 2231874.005 B A. Drawings and general provisions of the Contract, including General and Supplementary Conditions apply to this section. 1.2 PROJECT INFORMATION A. The Lubbock Preston Smith International Airport (LBB) has numerous hangar buildings with metal roofs. The buildings listed below require removal and replacement of the existing metal roof systems per these specifications: 1. Warehouse 720 Information provided below is approximate and should be independently verified by Contractor. B. Warehouse 720 (aka Air Spares) 1. Warehouse 720 is a pre-engineered metal building (PEMB) used for storage of airport maintenance equipment and materials. We understand that the building was constructed over 30 years ago with materials manufactured by Metallic Building Systems of Houston, Texas. Imagery ©2021 Google, Map data © 2021 SUMMARY OF WORK 011000 - 1 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. Structural framing consisted of steel frames with girts and purlins. The roof was constructed with corrugated steel roof panels with exposed fasteners. The Scope of Work for Warehouse 720 includes removal and replacement of the metal roof. 3. The roof appeared to consist of corrugated galvanized or galvalume steel roof panels and fiberglass skylights. The roof panels slope at approximately 4 inches per foot from a center ridge to gutters on each side of the building. The panels appeared to be secured to the purlins with wires wrapped around the bottom flange of the purlins. Most of the roof panels have visible surface corrosion. Many of the skylight panels are cracked or broken. The gutters are damaged and downspouts are missing 4. Purlins appeared to be spaced less than 5-feet on center. 5. The ridge of the roof has non -powered roof ventilators along the ridge line. 6. Roof height near the eaves is approximately 16-feet above grade. C. Information in this Section is provided only to establish general description and is not necessarily exact. The Contractor shall be responsible for becoming satisfied as to the existing conditions, size of roof and adjacent areas, etc. before preparation and submission of bid. Receipt of bid will be considered evidence Contractor has inspected project or otherwise become satisfied on all details relating to the work. The building area of approximately 10,200 square feet must be verified in the field. SUMMARY OF WORK 011000 - 2 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1.3 SUMMARY OF WORK A. Furnish all labor, supervision, materials, tools, equipment, devices, appliances, utilities, transportation, and other facilities and services necessary to accomplish the work described in these specifications. Unless noted otherwise, the "Base Bid" Scope of Work consists of roof system replacements repairs for the Warehouse Building 720 at the Lubbock Preston Smith International Airport in Lubbock, Texas. B. The Scope of Work includes removing and replacing the metal roofing systems for the listed buildings. The roof areas are indicated on the attached schematic roof plans. Generally, the Scope of Work shall include: If necessary, remove and protect any roof mounted equipment that might become damaged during the course of the work. After the work is complete, reinstall any affected equipment and return to operating condition. 2. Remove existing metal roof panels, wood blocking, and insulation materials down to the existing beams or purlins. Properly dispose of all materials. 3. THE PROJECT OWNER IS NOT AWARE OF THE EXISTENCE OF ANY HAZARDOUS MATERIALS LOCATED WITHIN WAREHOUSE 720. SHOULD THE CONTRACTOR ENCOUNTER ANY MATERIAL THEY BELIEVE COULD BE HAZARDOUS, THEY ARE TO NOTIFY THE PROJECT REPRESENTATIVE. 4. The existing structural framing shall remain in place. a. Since the existing roof system may contribute to the diaphragm support and lateral bracing of the structural framing system, the contractor shall furnish and install any and all bracing that may be required during construction and after. b. If necessary, based on design uplift calculations, furnish and install additional clips and/or fasteners as required to secure the existing beams and/or purlins to the structural steel framing. If necessary, add purlins and fasteners to provide additional wind uplift capacity. 5. Furnish and install a new complete trapezoidal standing seam panel system per Specification Section 074113. a. Materials used for the roof panels, rake edges, gutters, downspouts, and other trim materials shall be Aluminum -Zinc Alloy -Coated Steel Sheet: ASTM A-792, structural quality, Grade 50, unpainted Galvalume Plus coating. b. Panels shall be 22-gage with 3-inch standing seams. Standing seams shall have factory -applied sealant in the seam. SUMMARY OF WORK 011000 - 3 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT C. Clips shall be fastened to existing purlins or beams. Clips shall be designed to resist wind loads and accommodate thermal expansion and contraction of the roof panels. d. To the extent possible, fabricate roof panels in lengths that will not require transverse or panel end laps. Exposed fasteners at lapped panels shall be hot dipped galvanized with integral neoprene or EPDM washers. Panel lap joints shall be backed up with manufacturer's fabricated 18-gage back up plates. e. For building spaces that are not air-conditioned, furnish and install continuous ridge vents. Manufacturer shall demonstrate that ridge vents have been designed and passed testing for wind driven rain resistance according to the Florida Testing Application Standard (TAS) No. 100(A)- 95 — Test Procedure for Wind and Wind Driven Rain Resistance. Pipe penetrations through the roof shall be flashed with flexible boots per roof panel manufacturer standard details. Flashing and sealing all existing penetrations of the roofing and associated flashing systems are considered to be part of the scope of work even if the penetration is not specifically identified on the roof plans 6. Remove and replace all gutters and downspouts with new material per Specification Section 076200. a. Materials shall match roof panel system. If painted finish, color will be selected by Owner from manufacturer's standard colors. b. Gutter, downspout and expansion joint details shall be based on SMACNA details. C. Before commencement of work, the contractor shall prepare and submit the following documents for approval: 1. Design calculations for wind uplift and lateral bracing. 2. International Building Code recognized testing data indicating that the proposed roof assembly has been satisfactorily tested for the code required wind load uplift pressures. 3. Shop fabrication and erection drawings. 4. Design drainage calculations to verify adequacy of gutter and downspout sizes. 5. Letter from the manufacturer stating that the contractor is authorized and certified by the manufacturer to install proposed system. 6. Sample warranty documents. 7. Contractor's safety plan and planned work schedule. SUMMARY OF WORK 011000 - 4 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT D. All materials shall be installed according to the manufacturer's written application instructions unless noted otherwise. E. All installed materials shall be covered by the Contractor's two-year installation warranty and the Manufacturer's 20-year weather tightness warranty. The manufacturer shall provide 3 quality assurance inspections to verify conformance with manufacturer's standards. Inspections shall be performed by the manufacturer's warranty technician or 3rd party inspector and documented with written reports. 1.4 BUILDING CODE REFERENCES A. 2015 Int'I Building Code per City of Lubbock, TX Ordinance 2020-00016 (2/11/2020). B. 2015 Int'I Existing Building Code PART 2 - PRODUCTS (NOT APPLICABLE) PART 3 - EXECUTION (NOT APPLICABLE) END OF SECTION 011000 SUMMARY OF WORK 011000 - 5 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SUMMARY OF WORK 011000 - 6 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 020700 - SELECTIVE DEMOLITION AND PREPARATION PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including General and Supplementary Conditions and other Division 1 Specification Sections, apply to this Section. 1.2 SUMMARY A. This Section includes the following removal and disposal of the roof system, insulation, flashings, and miscellaneous materials as necessary to accomplish the work. B. Related Sections: The following Sections contain requirements that relate to this Section: 1. Section 01 10 00 — Summary of Work 2. Section 07 41 13 — Preformed Metal Standing Seam Roofing 1.3 DEFINITIONS A. Remove: Remove and legally dispose of items except those indicated to be reinstalled, salvaged, or to remain the Owner's property. B. Remove and Reinstall: Remove items indicated; clean, service, and otherwise prepare them for reuse; store and protect against damage. Reinstall items in the same locations or in locations indicated. C. Existing to Remain: Protect construction indicated to remain against damage and soiling during selective demolition. When permitted by the Engineer, items may be removed to a suitable, protected storage location during selective demolition and then cleaned and reinstalled in their original locations. 1.4 MATERIALS OWNERSHIP A. Except for items or materials indicated to be reused, salvaged, reinstalled, or otherwise indicated to remain the Owner's property, demolished materials shall become the Contractor's property and shall be removed from the site. SELECTIVE DEMOLITION AND PREPARATION 020700 - 1 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1.5 QUALITY ASSURANCE A. Regulatory Requirements: Comply with governing EPA notification regulations before starting selective demolition. Comply with hauling and disposal regulations of authorities having jurisdiction. 1.6 SCHEDULING A. Arrange selective demolition schedule so as not to interfere with Owner's on -site operations. PART 2-PRODUCTS 2.1 REPAIR MATERIALS A. Use repair materials identical to existing materials. Where identical materials are unavailable or cannot be used for exposed surfaces, use materials that visually match existing adjacent surfaces to the fullest extent possible. 2. Use materials whose installed performance equals or surpasses that of existing materials. PART 3 - EXECUTION 3.1 PROTECTION OF BUILDINGS AND PROPERTY A. Contractor will note that building will remain occupied during work. Contractor shall take all precautions necessary to protect building, contents, and personnel from damage or injury from his operations, and from water entry into the building during construction. Dirt and dust must be kept to a minimum. B. At conclusion of each day's work, Contractor shall carefully inspect work including temporary daily tie -offs to ensure system is completely water tight; all stored materials are suitably protected from the weather and all equipment is stored in such a manner as not to interfere with facility operations. C. On normal workdays when contractor does not work due to inclement weather or other reasons, Contractor's superintendent shall visit the site no later than his normal start time and verify that the system is completely water tight; all stored materials are suitably protected from the weather and all equipment is stored in such a manner as not to interfere with facility operations. Contractor shall be prepared to implement emergency repairs as necessary to prevent leakage into the facility. SELECTIVE DEMOLITION AND PREPARATION 020700 - 2 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B D. Prior to starting work Contractor shall obtain approval of the Owner for locations of work operations at ground level, such as material storage, hoisting, dumping, etc. Work will be restricted to approved locations. E. Submit plans for removal and reroofing to Owner for his approval prior to starting work so that, if necessary, inside operations can be coordinated with the roofing work. F. All debris and removed material shall be removed from the site in a timely manner to minimize accumulation. G. Owner reserves the right to judge whether or not debris is being removed in a timely manner. H. In the event, debris is not removed from the site as required to maintain the site in a manner acceptable to the Owner, the Owner reserves the right to engage other contractor(s) or its own forces to clean the areas and deduct costs of such operations from this contract. Contractor will be responsible for any damage to grounds and landscaping. In the event of damage, the Contractor shall restore damaged property to a condition equivalent to that at time of start of operations. Contractor will prevent any work which could reasonably be deemed to be hazardous from taking place over or adjacent to occupied areas. Contractor will be responsible to coordinate with the Owner the vacating of such affected areas of all occupants and will give the Owner adequate notice to allow time to comply. Contractor will post a watchman inside the building in the affected area(s) at all times during the work to ensure no one enters or remains in the affected area(s). 3.2 POLLUTION CONTROLS A. Use water mist, temporary enclosures, and other suitable methods to limit the spread of dust and dirt. Comply with governing environmental protection regulations. Do not use water when it may damage existing construction or create hazardous or objectionable conditions, such as ice, flooding, and pollution. B. Remove and transport debris in a manner that will prevent spillage on adjacent surfaces and areas. Remove debris from elevated portions of building by chute, hoist, or other device that will convey debris to grade level. C. Clean adjacent structures and improvements of dust, dirt, and debris caused by removal operations. Return adjacent areas to condition existing before start of selective demolition. SELECTIVE DEMOLITION AND PREPARATION 020700 - 3 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 3.3 REMOVALS 2231874.005 B A. Carefully relocate all electrical, co -axial, telephone, fiber optic, intercom and miscellaneous wires, cables, etc. as required to accomplish work specified herein. Such relocation is to be accomplished without interrupting the service provided by these lines except as specifically authorized by the Owner. Contractor is responsible to become familiar with each line and the level of precaution necessary to relocate them or work around them. Upon completion of work, Contractor must relocate lines to their original positions and secure them as originally secured unless indicated otherwise in these specifications or on the project drawings. B. Remove or correct any obstruction which might interfere with the proper application of new materials. C. Remove existing lightning protection system, if any. Furnish and install temporary lightning protections system during the time period when the existing system is disabled. System shall be reinstalled upon completion of the work. Roof penetration details must be submitted to the Engineer for review and approval. D. Contractor shall provide means and methods as necessary to protect adjacent surfaces, roofing, etc. from damage. Components damaged will be repaired by the Contractor at no cost to the owner. E. All work is to be performed by qualified tradesmen. 3.4 CONNECTS AND DISCONNECTS A. In the event it is necessary to disconnect any electrical wiring or connections, plumbing lines or other building services, notify the Owner. Contractor shall not disconnect or connect services unless authorized in writing by Owner. B. Modification of existing service piping, wiring and duct work required in connection with the lifting, removal or relocation of roof mounted equipment shall be accomplished by this Contractor and is to be included in the Base Bid. C. All costs required in connection with electrical and/or mechanical service connections/disconnections are to be included in the Base Bid. All associated work is to be accomplished by appropriately licensed personnel in accordance with all applicable codes and regulations. D. Contractor shall review roof top equipment usage with Owner and facility user at beginning of project. Equipment determined to be essential to the operations of the facility may only be disabled at those times prescribed by the Owner. This may require the contractor to work at other than normal operating hours. END OF SECTION 020700 SELECTIVE DEMOLITION AND PREPARATION 020700 - 4 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 074113 - PREFORMED METAL STANDING SEAM ROOFING PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including General and Supplementary Conditions apply to this section. 1.2 SUMMARY A. This section includes a complete Structural Standing Seam Roof System (SSSRS) including all components required for a complete metal roofing system, i.e., prefabricated metal panels, panel clips, trim/flashing, fascia, ridge, closures, sealants, fillers and any other required items. Specifications are based, in part, on the Metal Roofing Systems Performance Guide Specification dated January 2012, prepared by the Metal Building Manufacturer's Association (MBMA). B. Related sections: The following sections contain requirements that relate to this section: 1. Section 011000 — Summary of Work 2. Section 076200 — Sheet Metal Flashing and Trim 3. Section 079200 — Joint Sealant 1.3 QUALTIY ASSURANCE A. Applicable Standards 1. Sheet Metal and Air Conditioning Contractors National Association Architectural (SMACNA) Sheet Metal Manual Sixth Edition, 2003 2. AISC 360, Specification for Structural Steel Buildings, American Institute of Steel Construction, Chicago, IL, 2010. 3. AISI D111, Design Guide for Cold -Formed Steel Purlin Roof Framing Systems, American Iron and Steel Institute, Washington, D.C., 2009. 4. AISI S100, North American Specification for the Design of Cold -Formed Steel Structural Members, Washington, D.C., 2007, with Supplement 1, dated 2010. 5. ADM1, Aluminum Design Manual, Aluminum Association, Arlington, VA, 2010. 6. ASTM A653, Specification for Steel Sheet, Zinc -Coated (Galvanized) or Zinc -Iron Alloy -Coated (Galvannealed) by the Hot -Dip Process, American Society for Testing and Materials, West Conshohocken, PA, 2008. 7. ASTM A792, Standard Specification for Steel Sheet, 55% Aluminum -Zinc Alloy - Coated by the Hot -Dip Process, American Society for Testing and Materials, West Conshohocken, PA, 2008. 8. ASTM E1514, Standard Specification for Structural Standing Seam Steel Roof Panel Systems, American Society for Testing and Materials, West Conshohocken, PA, 1998(2003). 9. ASTM E1592, Standard Test Method for Structural Performance of Sheet Metal Roof and Siding Systems by Uniform Static Air Pressure Difference, American Society for Testing and Materials, West Conshohocken, PA, 2005. PREFORMED METAL STANDING SEAM ROOFING 074113 - 1 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 10. ASTM E1646, Standard Test Method for Water Penetration of Exterior Metal Roof Panel Systems by Uniform Static Air Pressure Difference, American Society for Testing and Materials, West Conshohocken, PA, 1995(2003). 11. ASTM E1680, Standard Test Method for Rate of Air Leakage through Exterior Metal Roof Panel Systems, American Society for Testing and Materials, West Conshohocken, PA, 1995(2003). 12. MBMA, Metal Building Systems Manual, Metal Building Manufacturers Association, Inc., Cleveland, OH, 2006 with 2010 Supplement (updated expected in 2012). 13. MBMA, Metal Roofing Systems Design Manual, Metal Building Manufacturers Association, Inc., Cleveland, OH, 2000 (update expected in 2012). 14. SJI K-1.0, Standard Specification for Open Web Steel Joists, K-series, Steel Joist Institute, Forest, VA, 2010. 15. UL 580, Tests for Uplift Resistance of Roof Assemblies, Underwriters Laboratories, Inc., Northbrook, IL, 2006, with Revisions through July, 2009. B. Manufacturer's Qualifications 1. Manufacturer shall have a minimum of five (5) years documented experience in manufacturing metal roofing systems and shall be accredited under the International Accreditation Service, "Accreditation Criteria for Inspection Programs for Manufacturers of Cold -Formed Steel Structural and Nonstructural Components Not Requiring Welding (AC473)" or "Accreditation Criteria for Inspection Programs for Manufacturers of Metal Building Systems (AC472)". Panels specified in this section shall be produced in a permanent factory environment with fixed -base roll -forming equipment. A letter from the manufacturer certifying the manufacturer's qualifications shall accompany the product material submittals. C. The Installer shall meet the following minimum criteria 1. Maintain a minimum $250,000 general liability coverage for each loss. 2. Maintain worker's compensation coverage, as mandated by law. 3. Have no viable claims pending regarding negligent acts or defective workmanship on previously or current projects. 4. Have not filed for protection from creditors under any state or federal insolvency or debtor relief statutes or codes. 5. Have received specific training in the proper installation of the specified system and will be present to supervise whenever material is being installed. 6. Have installed five projects of similar scope and magnitude that have been in service for a minimum of two years with satisfactory performance of the roof system. D. Installation quality control 1. The general contractor shall provide a third party metal roof consultant, working for the general contractor and approved by the SSSRS Manufacturer, to approve the metal roofing system installation drawings and inspect the installation of the metal roofing system at the following progress stages of installation: a. Initial inspection prior to installation of roof panels will include the review of. the final approved installation drawings, verification of substrate installation, review of the installation procedures, and agreement upon the scheduling of the intermediate inspections. PREFORMED METAL STANDING SEAM ROOFING 074113 - 2 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B b. Intermediate inspections will include the review of the installed product in compliance with the final approved installation drawings and manufacturer's installation procedures. c. Final inspection at the completion of all metal roofing system work in accordance to the manufacturer's installation drawings 2. The third party metal roof consultant shall provide written and photographic reports, to be submitted to the architect (owner), metal roofing system installation contractor and general contractor, appraising the installation of the metal roofing system at each of the project progress stages. The installation contractor shall make all necessary corrections, additions or remedial actions to resolve issues raised in the reports. 3. The third party metal roof consultant shall have the authority to have any and all roofing work corrected, as required, to insure the proper installation and weathertightness of the metal roofing system, in accordance with the manufacturer's specifications and installation procedures. 1.4 SYSTEM PERFORMANCE REQUIREMENTS A. Performance Testing 1. Metal roofing systems shall be tested in accordance with UL580, Class 90 rating. 2. Metal roof panel systems shall be tested in accordance with ASTM E1592 for negative loading. Capacity for gauge, span or loading other than those tested is permitted to be determined by interpolating between test values only. 3. Metal roof panel systems shall have a maximum air infiltration rate of 0.007 cfm/ft2 at a pressure differential of 6.24 psf. when tested in accordance with ASTM E1680. 4. Metal roof panel systems shall have no water leakage at a pressure differential of 6.24 psf when tested in accordance with ASTM E1646. 5. The panels and concealed anchor clips shall be capable of supporting a 300-pound temporary concentrated load at the panel mid -span in the installed condition. The load shall be applied over the entire panel width. The panels shall support this concentrated load without displaying permanent distortions that would affect the weathertightness of the SSSRS. 1.5 DESIGN REQUIREMENTS A. General 1. The SSSRS shall be designed by the Manufacturer as a complete system. Members and connections not indicated on the drawings shall be the responsibility of the Contractor. All components of the system shall be supplied or specified by the same manufacturer. B. Design Loads 1. Design load application shall be in accordance with ASCE 7 and the International Building Code. 2. Dead Loads a. The dead load shall be the weight of the SSSRS. Collateral Loads shall be as shown on the contract drawings. Collateral Loads shall not be applied to the roof panels. 3. Live Loads a. The panels and concealed anchor clips shall be capable of supporting a mini - PREFORMED METAL STANDING SEAM ROOFING 074113 - 3 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B mum uniform live load of 20 psf. 4. Snow Loads a. The design ground snow loads shall be as defined on the contract drawings. 5. Wind Loads a. The design wind speed for the metal roofing system shall be as defined on the contract documents 6. Thermal Effects a Roof panels shall be free to move in response to the expansion and contraction forces resulting from temperature variation, as specified in the MBMA Metal Roofing Systems Design Manual. C. Framing Members Supporting the SSSRS 1. Any additions/revisions to framing members supporting the SSSRS to accommodate the manufacturer/fabricator's design shall be the Contractor's responsibility, and shall be submitted for review and approval by the Engineer of Record. New or revised framing members and their connections shall be designed in accordance with ASCE 7 design specifications. Deflection requirements shall be in accordance with the ap- plicable building code, or as a minimum, the provisions of the AISC Steel Guide Se- ries 3 — Serviceability Design Considerations for Steel Buildings, 2" d Edition. D. Roof Panels 1. Steel panels shall be designed in accordance with the AISI S100. 2. Deflection requirements shall be in accordance with the applicable building code, or as a minimum, L/180 for roof snow load (but not less than 20 psf). E. Accessories and Their Fasteners 1. Accessories and their fasteners shall be capable of resisting the specified design wind uplift forces and shall allow for thermal movement of the roof panel system. Exposed fasteners shall not restrict free movement of the roof panel system resulting from thermal forces, except at designed points of roof panel fixity. 1.6 SUBMITTALS A. Installation Drawings 1. Submit completed installation drawings and installation details by the manufacturer, to the architect (owner) for review. Do not proceed with manufacture prior to review and architectural approval of installation drawings. Do not use drawings prepared by the architect (owner) for installation drawings. 2. Installation drawings shall show methods of installation, elevations and plans of roof and wall panels, sections and details, specified loads, flashings, roof curbs, vents, sealants, interfaces with all materials not supplied by the metal roofing system manufacturer, and proposed identification of component parts and their finishes. B. Calculations 1. All calculations noted below shall be reviewed and sealed by a Licensed Professional Engineer. 2. Submit engineering calculations defining cladding loads for all roof areas based on specified building codes, allowable clip loads, and required number of fasteners to secure the panel clips to the designated substructure. PREFORMED METAL STANDING SEAM ROOFING 074113 - 4 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 3. Compute uplift loads on clip fasteners with full recognition of prying forces and eccentric clip loading. 4. Calculate holding strength of fasteners in accordance with submitted test data provided by Fastener Manufacturer based on length of embedment and properties of materials. 5. Submit drainage calculations for valley, gutter, and downspout design. 6. Submit thermal calculations and details of floating clip, flashing attachments, and accessories, indicating the free movement in response to the expansion/contraction effects. C. Physical Samples 1. Submit samples and color chips for all proposed finishes. a. Submit one 12-inch long sample of panel, including clips. b. Submit two 3-inch x 5-inch color chip samples in color selected by the architect (owner). D. Test Reports 1. Submit test report showing that metal panels ASTM E1592. 2. Submit test report showing that metal requirements of ASTM E1646. 3. Submit test report showing that metal panels ASTM E1680. have been tested in accordance with panels meet the water penetration meet the air infiltration requirements of E. Metal Roofing System Fabrication Certification 1. Submit a letter from the SSSRS manufacturer verifying that the SSSRS has been produced in a plant that is accredited under the IAS AC472 or AC473 program. F. Third Party Metal Roof Consultant Approval 1. Submit a letter from the Metal Roofing System manufacturer, indicating acceptance of the general contractor's third party metal roof consultant, for use on this specific project. G. Installation contractor's qualifications 1. Submit a letter from the manufacturer identifying the installer of the metal roofing system as an authorized installer, approved by the manufacturer prior to the start of the installation of the metal roofing system. H. For equipment stands and pipe support stands, submit calculations prepared, signed and sealed by a Professional Engineer licensed by the State of Texas. Also provide manufacturer's written installation directions and certification that the assembly has been satisfactorily tested for the wind loads provided by the structural engineer. Metal roofing system installation inspection reports 1. Submit written and photographic SSSRS installation inspection reports from the general contractor's third -party metal roof consultant appraising the installation of the metal roofing system. The written and photographic inspection reports shall be submitted to the architect (owner), metal roofing system installation contractor and general contractor. PREFORMED METAL STANDING SEAM ROOFING 074113 - 5 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 2. A separate report shall be submitted for each of the following stages of the metal roofing system installation a. Prior to the installation of the metal roofing panels to verify the proper installation of the substrate. The roof consultant shall be only responsible for assuring that the substrate is in suitable condition for the installation of the SSSRS. b. Intermediate inspections to ensure proper installation of the SSSRS. c. At final completion of all metal roofing system work. 1.7 PRODUCT DELIVERY, STORAGE AND HANDLING A. Delivery 1. Deliver metal roofing system to job site properly packaged to provide protection against transportation damage. B. Handling 1. Exercise care in unloading, storing and installing metal roofing system to prevent bending, warping, twisting and surface damage. C. Storage 1. Store all material and accessories above ground on well supported platforms. Store under waterproof covering. Provide proper ventilation of metal roofing system to prevent condensation build-up between each panel or trim/flashing component. PART 2-PRODUCTS 2.1 MATERIALS A. Aluminum -Zinc Alloy -Coated Steel Sheet: ASTM A 792/A 792M, structural quality, Grade 50, Coating Class AZ55, unpainted Galvalume Plus coating. B. Sheet Metal Schedule 1. Metal roof panels...............................................22-gauge Galvalume Plus steel 2. Gutters, Downspouts, Fascia and Trim ..............22-gauge Galvalume Plus steel C. Concealed Anchor Clips: Concealed anchor clips shall be the same as those used during the testing of the roof system. Clip bases shall have factory punched or drilled holes for attachment. Clips shall be made from multiple pieces with the allowance for the total thermal movement required within the clip. Fixed clips are permitted when the manufacturer can substantiate that the system can accommodate the thermal cyclic movement under sustained live or snow loads. D. Fasteners: Fasteners for steel roof panels shall be zinc -coated steel, aluminum, corrosion resisting steel, or nylon -capped steel, type and size specified below, or as otherwise, approved for the applicable requirements. Fasteners for aluminum roof panels shall be aluminum or corrosion resisting steel. Fasteners for structural connections shall provide both tensile and shear ultimate strengths of not less than 750 pounds per fastener. Fasteners for accessories shall be the manufacturer's standard. Exposed roof fasteners shall be sealed or have sealed washers on the exterior side of the covering to waterproof the fastener penetration. Washer material shall be PREFORMED METAL STANDING SEAM ROOFING 074113 - 6 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B compatible with the screw head; have a minimum diameter of 3/8-inch for structural connections; and gasket portion of fasteners or washers shall be neoprene or other equally durable elastomeric material. E. Components: Components shall be compatible with the roof panel furnished. Flashing, trim, metal closure strips, caps, gutters, downspouts, roof curbs, and similar metal components shall not be less than the minimum thickness specified by the SSSRS Manufacturer. Exposed metal components shall be finished to match the panels or trim, as furnished. Molded closure strips shall be closed -cell or solid -cell synthetic rubber or neoprene, or polyvinyl chloride pre -molded to match configuration of the covering and shall not absorb or retain water. Thermal spacer blocks and other thermal barriers at concealed clip fasteners shall be as recommended by the SSSRS Manufacturer. F. Sealants 1. All tape sealant shall be a pressure sensitive, 100 percent solid, sealing tape with a release paper backing. Provide permanently elastic, non -sagging, non -toxic, non- staining tape sealant approved by the SSSRS Manufacturer. 2. The SSSRS Manufacturer shall approve all joint sealant that will come into contact with the SSSRS. 2.2 FABRICATION A. Panels shall be produced by a SSSRS Manufacturer meeting the requirements of section 1.02B. B. Fabricate trim, flashing and accessories to Manufacturer's specified profiles. 2.3 PREFABRICATED PIPE FLASHINGS A. Pipe flashings shall provide a weathertight joint at projections through the roof, taking into account the thermal movement of the roof and the service temperature of the projection. Pipe flashings shall have an aluminum -flanged base ring. B. For pipe penetration flashing, use gray EPDM pipe boots with aluminum base rings equivalent to Dektite Pipe Boots manufactured by DEKS approved by metal panel manufacturer. Install per manufacturer's written application instructions. PREFORMED METAL STANDING SEAM ROOFING 074113 - 7 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT PART 3 - EXECUTION 3.1 GENERAL INSTALLATION A. Restrict on -site storage to minimum for work in progress. Protect all stored metal from exposure to weather and physical damage. B. Inspect all surfaces to which metal is to be applied. Do not install metal unless surfaces are even, sound, clean, dry and free from defects that might affect the application. C. Verify that the substructure installation is in accordance with the approved shop drawings and SSSRS Manufacturer's requirements. This specifically includes verifying that secondary structural members and/or decking are installed to meet performance requirements. Coordinate with SSSRS Manufacturer to ensure that the substructure is installed to accommodate the appropriate clip spacing. D. Discrepancies 1. In event of discrepancy, notify the architect (owner). 2. Do not proceed with installation until discrepancies have been resolved 3.2 INSTALLATION A. Install the SSSRS in accordance with manufacturer's instructions and approved installation drawings. B. Install the SSSRS so that it is weathertight and allows for thermal movements. C. Locate and space all exposed fasteners in accordance with the SSSRS Manufacturer's recommendations. Use torque settings to obtain controlled uniform compression for a positive seal without rupturing the neoprene washer. D. Avoid placing pipe penetrations through the panel seams. E. Do not allow panels or trim to come into contact with dissimilar materials (i.e. copper, lead, graphite, treated lumber, mortar, etc.). Water run-off from these materials is also prohibited. F. Comply with SSSRS Manufacturer's approved installation drawings, instructions and recommendations for installation of roof curbs. Refer to SSSRS Manufacturer's standard installation details. Anchor curbs securely in place with provisions for thermal and structural movement. PREFORMED METAL STANDING SEAM ROOFING 074113 - 8 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B 3.3 CLEANING, PROTECTION A. Dispose of excess roofing materials and remove debris from site. B. Clean work in accordance with manufacturer's recommendations. C. Protect work against damage until final acceptance. Replace or repair to the satisfaction of the architect (owner), any work that becomes damaged prior to final acceptance. D. Touch up minor scratches and abrasions per the SSSRS Manufacturer's recommendations. END OF SECTION 074113 PREFORMED METAL STANDING SEAM ROOFING 074113 - 9 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK PREFORMED METAL STANDING SEAM ROOFING 074113 - 10 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 076200 - SHEET METAL FLASHING AND TRIM PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including General and Supplementary Conditions apply to this section. 1.2 SUMMARY A. This section includes the following: 1. Flashing and counterflashing not included in Section 074113. 2. Gutters and downspouts B. Related sections: The following sections contain requirements that relate to this section: 1. Section 011000 — Summary of Work 2. Section 074113 — Preformed Metal Standing Seam Roofing 3. Section 079200 — Joint Sealant 1.3 REFERENCES A. Sheet Metal and Air Conditioning Contractors National Association Architectural (SMACNA) Sheet Metal Manual Sixth Edition, 2003 1.4 SUBMITTALS A. Submit shop drawings of all specified types of metal shapes, showing details of proposed installation where appropriate. B. Submit Manufacturer's Certificate of Compliance with reference standards for all materials except proprietary or brand -named products designated in reference standards. C. For equipment stands and pipe support stands, submit calculations prepared, signed and sealed by a Professional Engineer licensed by the State of Texas. Also provide manufacturer's written installation directions and certification that the assembly has been satisfactorily tested for the wind loads provided by the structural engineer. D. Obtain Engineer's approval of shop drawings, samples and certifications prior to fabrication and installation. 1.5 QUALIFICATIONS A. Fabricator and installer: Company specializing in sheet metal flashing work with five years documented experience. SHEET METAL FLASHING AND TRIM 076200 - 1 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT PART 2 - PRODUCTS 2.1 MATERIALS A. Aluminum -Zinc Alloy -Coated Steel Sheet: ASTM A 792/A 792M, structural quality, Grade 50, Coating Class AZ55, unpainted Galvalume Plus coating. B. Sheet Metal Schedule 1. Gutters .................................................... 22-gauge prefinished Galvalume steel 2. Downspouts ............................................ 22-gauge prefinished Galvalume steel PART 3 - EXECUTION 3.1 GENERAL INSTALLATION A. Restrict on -site storage to minimum for work in progress. Protect all stored metal from exposure to weather and physical damage. B. Inspect all surfaces to which metal is to be applied. Do not install metal unless surfaces are even, sound, clean, dry and free from defects that might affect the application. C. Follow recommendations of Sheet Metal and Air Conditioning Contractors National Association (SMACNA) Architectural Sheet Metal Manual for fabricating in -shop and on -site, and for installation, unless otherwise specified herein or on Drawings. D. Use corrosion resistant nails, screws, bolts, cleats or other fasteners of the same material or of material chemically compatible with the contacted metal. Use type 304 stainless steel fasteners for aluminum and stainless -steel sheet metal. E. Do not place dissimilar metals in direct contact nor in positions where water sheds across both metals. F. Install metal to be water and weathertight with lines, arises and angles sharp and true and with plane surfaces free of waves or buckles. G. Secure cleats to substrate with fasteners specifically manufactured for the purpose at spacings of 6 inches, on center. Fasteners are to be manufactured of metal chemically compatible with the contacted metal. Fasteners to be used in wood substrates are to be ring shank. Fasteners are to be located as close to hem of cleat as practical but no more than 2 inches from hem unless specifically indicated otherwise herein or on drawings. H. Solder metal, where required, using standard industry techniques in accordance with the requirements of the metal manufacturer and the SMACNA Architectural Sheet Metal Manual for the types of metal to be soldered. Joints shall be thoroughly sweated to ensure full penetration of solder in the joint and to ensure a secure connection. Riveted joints shall be fully soldered to eliminate rivet holes or potential for corrosion. SHEET METAL FLASHING AND TRIM 076200 - 2 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT WAREHOUSE 720 ROOF REPLACEMENT 2231874.005 B Install shop -formed coping, eave flashing, ridge flashing and counterflashing in 10-foot lengths maximum and with minimum number of pieces in each straight run. 3.2 EXTERNAL GUTTER INSTALLATION A. At all eaves, install new external gutters at all locations as specified herein. Refer to SMACNA Architectural Sheet Metal Manual Figure 1-2, Style A. B. Refer to sheet metal schedule for gauge and metal type. C. Gutter dimensions shall be 5-inches by 5-inches. D. Provide gutter expansion joints with back-to-back end caps approximately 44-feet from each end of the building and one centered approximated 102-feet from each end. Fabricate and install expansion joint similar to Figure 1-7 of the SMACNA Architectural Sheet Metal Manual. Provide two downspouts for each gutter section separated by expansion joints E. Provide aluminum gutter brackets sized at 2 inches x 1/4 inches spaced T-0" on center. Refer to SMACNA Architectural Sheet Metal Manual Figure 1-13 and Details. Approximately 1-inch from the top of each bracket, provide a 3/16-inch diameter stainless steel rivet through the bracket and gutter to help resist wind uplift. 3.3 DOWNSPOUT INSTALLATION FOR EXTERNAL GUTTERS A. Install new downspouts at all locations as specified herein. Connect downspouts to gutters with aluminum outlet tubes. Refer to SMACNA Architectural Sheet Metal Manual Figure 1-24C and 1-33. B. Refer to sheet metal schedule for gauge and metal type. C. Unless noted otherwise, downspout dimensions and spacing shall be 4-inches wide by 4-inches deep. Refer to SMACNA Architectural Sheet Metal Manual Figure 1-32B. D. Form downspout hangers from the same material as downspouts. Secure downspouts to wall with hangers spaced not more than 5-0" on center. Refer to SMACNA Architectural Sheet Metal Manual 1-35C. E. Downspouts shall be spaced no more than 29-feet on center. Size shall be minimum 5- inch square. Plan downspout locations to avoid existing doors, windows, and wall mounted equipment. To the extent possible, locate downspouts at same locations as existing downspouts. F. Where downspouts discharge at grade, furnish and install concrete splash blocks. END OF SECTION 076200 SHEET METAL FLASHING AND TRIM 076200 - 3 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK SHEET METAL FLASHING AND TRIM 076200 - 4 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT SECTION 079200 - JOINT SEALANT PART 1 - GENERAL 1.1 RELATED DOCUMENTS A. Drawings and general provisions of the Contract, including General and Supplementary Conditions, apply to this Section. 1.2 SUMMARY A. This section includes, but is not limited to, joint sealants for the following exterior applications: 1. Roofing and flashing details B. Related sections include: 1. Section 010000 - Summary of Work 2. Section 074113 — Preformed Metal Standing Seam Roofing 3. Section 076200 — Sheet Meal Flashing and Trim 1.3 PERFORMANCE REQUIREMENTS A. Provide joint sealants that establish and maintain watertight and airtight continuous joint seals without staining or deteriorating joint substrates. 1.4 SUBMITTALS A. Product Data: For each product specified. Submit manufacturer's specifications and installation instructions. B. Samples: Submit manufacturer's standard bead samples showing full color range available and back-up material to be used. C. Compatibility and Adhesion and Stain Resistance Test Reports: Submit reports from manufacturer indicating that materials forming joint substrates and joint backings have been tested for compatibility, adhesion, and stain resistance with proposed joint sealant materials. D. Installer's certification of qualifications from each manufacturer. JOINT SEALANT 079200 - 1 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 1.5 QUALITY ASSURANCE A. Manufacturer: Company specializing in manufacturing Products specified in this section with minimum 10 years experience. B. Applicator Qualifications: 1. At least five years successful experience in application of materials specified, including three references of projects of similar size and scope. 2. Applicator's site superintendent shall have a minimum five years of project superintendent experience in the application of similar materials. Same superintendent to be on site during entire application of materials. 3. Use personnel specifically trained in proper application procedures and who are thoroughly familiar with joint details shown on drawings and installation requirements as specified in this section. 4. Sealant application contractor must be approved by the sealant manufacturer. C. Compatibility with Substrate and Coatings: Applicator shall be responsible for verifying with sealant manufacturer that sealants used are compatible with joint substrates and coatings to which sealants will come in contact. Schedule sufficient time for the conducting of testing, certification of results and submission which will not cause a project delay. D. Applicator shall be responsible for providing a completely sealed building and ensure that all exterior joints between surfaces are properly sealed even if not detailed in Contract Documents. 1.6 PRE -INSTALLATION CONFERENCE A. Prior to installation of joint sealants, convene at project site to discuss application of joint sealants and related work. Attendees will include applicator, sealant manufacturer's technical representative, applicators of related work, general contractor, and architect. 1.7 DELIVERY, STORAGE AND HANDLING A. Deliver in manufacturer's original, unopened containers identifying each product specified, relating to product literature submitted. B. Store in accordance with manufacturer's recommendation; take precautions to ensure material fitness when installed for design performance. 1.8 SEQUENCING AND SCHEDULING A. Coordinate timing of installation of joint sealers with application of roofing, waterproofing, and building envelope systems to ensure compatible installation. B. Apply sealants prior to painting, or application of masonry water repellent or other treatment of surfaces adjacent to joints. JOINT SEALANT 079200 - 2 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT • 1 -::M► ffil A. Manufacturer's Warranty: Provide written manufacturer's warranty against failure of materials due to defects of manufacture. Warranty period shall be 10 years for exterior sealants and 5 years for other materials. Warranty shall include provisions that warrant against staining of adjacent surfaces that exceed test results submitted as part of the submittal requirements. B. Contractor's Warranty: Provide two-year written installer's guaranty against failure due to adhesion and cohesion loss, outgassing from backer materials or other failures in maintaining air or watertight condition or failures in providing non -blistered or unruptured joints. C. Warranty period shall begin from the date of Substantial Completion. PART 2-PRODUCTS 2.1 MANUFACTURERS A. Joint Sealant materials manufactured by the following companies may be used. 1. DowSil (formerly Dow Corning) 2. Pecora Corporation 3. Tremco Corporation 4. Sonneborn Building Products 2.2 MATERIALS A. One -part Polyurethane Sealant: ASTM C 920-87 Type S, Grade NS, Class 25, use NT, M, A and O such as Dynatrol I as manufactured by Pecora Corporation, Dymonic as manufactured by Tremco Corporation or Sonolastic NP-1 as manufactured by Sonneborn Building Products. B. One -part Silicone Sealant: ASTM C920, low modulus, one component, nonsag, neutral cure silicone equivalent to DowSil 790. Color to match adjacent materials subject to selection by the Owner. C. Backer Rod for Sealant: Closed -cell polyethylene foam backer rod, non -staining, compatible with sealant primer, and of resilient nature. Materials impregnated with oil, bitumen or similar materials shall not be used. D. Primer: As recommended by sealant manufacturer E. Bond -Breaker Tape: Polyethylene tape with adhesive strip on one side JOINT SEALANT 079200 - 3 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT PART 3 - EXECUTION 3.1 GENERAL INSTALLATION REQUIREMENTS A. Generally, use polyurethane -based sealants at locations that will be concealed or painted and use silicone -based sealants at locations that will remain exposed to the elements. Product manufacturers shall verify that sealant material is appropriate for intended application locations. B. Use solvents to clean equipment, tools and smears that are recommended by the sealant manufacturer. Solvents such as mineral spirits, kerosene or paint thinner shall not be used. Such cleaning should be accomplished as work progresses. C. Do not apply materials on wet or damp surfaces, over dust, dirt, oils or other contaminants. D. Do not apply materials when ambient air temperature is below 40-degrees F without approval of Engineer or Owner. E. Do not apply any more bond breaker material than can be sealed in a day's time. F. Store all materials in dry storage at temperatures above 40-degrees F. Wet or damaged materials or containers shall not be used. G. Apply new sealant under pressure with power actuated or manual gun. Gun must have correct nozzle size and pressure to fill joint completely. 1. Do not place polyurethane sealants in contact with silicone sealants dur- ing application. 2. Do not use an air blower to clean out dust and debris. Only clean rags or brushes are acceptable. 3. Install backer rod with a blunt object. Damaged backer rod must be re- placed with new materials. 4. Size backer rod so that it will compress to 25 percent when installed into joint. Do not lap ends and do not have gaps greater than 1/8 inch be- tween sections. Contractor is to provide various sized backer rods to ac- commodate various joint widths. 5. Prime all joints to be sealed with sealant manufacturer's primer. Do not apply excessive amounts of primer to joints. Allow primer sufficient time to dry. 6. Install new bond breaker tape to back side of joint to exact width of joint. Do not lap or otherwise stretch tape. End joints of 1/8 inch wide at cor- ners can be sealed with a small dab of sealant. 7. Tool joints immediately with a rounded wood or metal spatula. Do not use wet tool method. Tooling must be accomplished before sealant begins to skin. JOINT SEALANT 079200 - 4 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT 8. All finished work must be uniform, clean, neat and free of overlapping. 3.2 PREPARATION AND APPLICATION A. Install new closed cell backer rod in joint to a depth of 1/2 the diameter of the joint or as recommended by the sealant manufacturer. B. Where the depth of the joint does not allow the use of backer rod, install new bond - breaker tape to back side of joint to exact width of joint. Do not lap or otherwise stretch tape. End joints of 1/8 inch wide at corners can be sealed with a small dab of sealant. C. Apply new sealant under pressure with power actuated or manual gun. Gun must have correct nozzle size and pressure to fill joint completely. D. Tool joints immediately with a rounded wood or metal spatula. Do not use wet tool method. Tooling must be accomplished before sealant begins to skin. E. All finished work must be uniform, clean, neat and free of overlapping joints. END OF SECTION 079200 JOINT SEALANT 079200 - 5 ISSUE FOR BID 8/19/2022 LUBBOCK PRESTON SMITH INT'L AIRPORT 2231874.005 B WAREHOUSE 720 ROOF REPLACEMENT THIS PAGE INTENTIONALLY LEFT BLANK JOINT SEALANT 079200 - 6 ISSUE FOR BID 8/19/2022 Lubbock Preston Smith LBB WAREHOUSE 720 ROOF REPLACEMENT 2207 E. Bluefield Street Lubbock, TX 79403 ISSUED FOR BID (NOT ISSUED FOR CONSTRUCTION) 8/19/2022 RS&H PROJECT # 223-1874-005 B DRAWING INDEX 0000 COVER SHEET and SITE PLAN 0001 GENERAL NOTES S001 STRUCTURAL NOTES - WAREHOUSE 720 R101 ROOF PLAN - WAREHOUSE 720 R102 ROOF DETAILS - WAREHOUSE 720 BUILDING CODE REFERENCES 2015 Int'I Building Code per City of Lubbock, TX Ordinance 2020-00016 (2/11/2020). 2015 Int'I Existing Building Code m4'PFP WP�F+F� �•" 2601S.+pN 'iTA iE OF 1� • PRIME: ARCHITECTURAL / STRUCTURAL RS&H RS&H, Inc. 4835 LBJ Freeway, Suite 800 Dallas, TX 75244 Phone: (469) 857-7721 www.rsandh.com Texas Registration No. F-3401 ROOF CONSULTANT: Loefgren & Associates, Inc. 1093 A1A Beach Blvd., PMB 440 St. Augustine, FL 32080 904-699-1462 ki rr,d t: City of Lubbock TEXAS .a,W: t,,.q I .d, .., ; � "gin •' �.�„ hp Warehouse 720 Site Plan GOOO GENERALNOTES 1.ALL DIMENSIONS ARE IN FEET I INCHES UNLESS NOTED OTHERWISE. 27HESE GENERAL NOTES ARE NOT INTENDED TO REPLACE SPECIFICATIONS - SHOULD ANY INFORMATION SHOW IN THE PLANS, THE TECHNICAL SPECIFICATIONS OF EACH OTHER, THE STRICTEST PROVISION WILL GOVERN. &THE TERMS RENOVATE AND REHABILITATE ARE USED INTERCHANGEABLY IN THESE DOCUMENTS. 4. DIMENSIONS SHOWN ARE APPROXIMATE AND FOR REFERENCE ONLY. VERIFY QUANTITIES AND DIMENSIONS IN FIELD. 5. NO DEVIATIONS FROM THESE CONTRACT DOCUMENTS SHALL BE MADE WITHOUT THE PRIOR WRITTEN APPROVAL OF THE ARCHITECT. 6. DO NOT SCALE DIMENSIONS FROM DRAWINGS OR ELECTRONIC MODEL -THE CONTRACTOR SHALL REQUEST NECESSARY DIMENSIONS NOT SHOWN ON THE DRAWINGS FROM THE ARCHITECT. ALL DIMENSIONS SHALL BE VERIFIED IN FIELD FOR ACCURACY 7. DETAILS SHOWN ON DRAWINGS ARE TYPICAI FOR ALL SIMILAR CONDITIONS. 8. SHOULD ANY CONFLICTING INFORMATION SHOW IN THE PLANS, THE SPECIFICATION OR EACH OTHER, THE STRICTEST PROVISION WILL GOVERN. THE CONTRACTOR SHALL NOT MAKE ASSUMPTIONS DURING BIDDING. QUESTIONS SHOULD BE RAISED DURING THE BIDDING PROCESS IN THE FORM OF A REQUEST FOR INFORMATION. 9. THE CONTRACTOR SHALL SUPERVISE CONSTRUCTION MEANS, METHODS, PROCEDURES, TECHNIQUES, SEQUENCE, AND APPLICABLE SAFETY REGULATIONS TO BE FOLLOWED. 10. CONTRACTOR SHALL BE RESPONSIBLE FOR SCHEDULING AND COORDINATING THE WORK OF ALL THE SUB -CONTRACTORS - THE CONTRACTOR SHALL BE RESPONSIBLE TO COORDINATE WITH THE BUILDING OWNER, TENANT OR HIS REPRESENTATIVES THE DELIVERYAND INSTALLATION OF ITEMS BEING PROVIDED AND INSTALLED BY OTHERS. 11. ALL MATERIALS, FABRICATION AND INSTALLATION SHALL COMPLY WITH THE APPLICABLE REQUIREMENTS AND SPECIFICATIONS FOR EACH DIVISION OF WORK. 12.CONSTRUCTION MUST COMPLY WITH APPLICABLE CODES AND ORDINANCES, LAWS AND SAFETY ORDERS AS DIRECTED BY LOCAL JURISDICTION. 13. CONTRACTOR SHALL CHECKAND VERIFY ALL DIMENSIONS PRIOR TO COMMENCING CONSTRUCTION -ALL DISCREPANCIES SHALL BE NOTED AND SENT TO THE ARCHITECT WITH ADEQUATE TIME TO REVIEW PRIOR TO STARTING THAT PORTION OF THE WORK IN ORDER TO AVOID PROJECT DELAYS. 14. CONTRACTOR SHALL CLEAN, PATCH AND REPAIR ALL SURFACES DAMAGED BY DEMOLITION, ALTERATION OR INSTALLATION OF THE WORK, UNLESS NOTED OTHERWISE. 15. ALL REQUESTS FOR INFORMATION PROMPTED BY THE BUILDING OFFICIALS SHALL INCLUDE A COPY OF THE BUILDING OFFICIALS' COMMENTS AND THE BUILDING INSPECTORS FIELD REPORT TO ENSURE AN ACCURATE AND TIMELY RESPONSE. 16. CONTRACTOR AND SUBCONTRACTOR SHALL ALL BE LICENSED TO PERFORM THEIR REQUESTED DUTIES AS REQUIRED IN ACCORDANCE WITH LOCAL STANDARDS. 17. CONTRACTOR SHALL COMPARE STRUCTURAL SECTIONS WITH ARCHITECTURAL SECTIONS AND REPORTANY DISCREPANCY TO THE ARCHITECT PRIOR TO FABRICATION OR INSTALLATION OF STRUCTURAL MEMBERS. 18. ALL EXISTING EQUIPMENTAND FINISHES THATARE OTHERWISE NOTE INCLUDED IN SCOPE, ARE TO REMAIN (U.N.O.)AND SHALL BE PROTECTED BY THE CONTRACTOR. PHOTOGRAPHS OF EXISTING CONDITIONS SHALL BE PROVIDED BY THE CONTRACTOR TO DOCUMENT PRE-EXISTING DAMAGE & FINISH CONDITIONS. 19. THE CONTRACTOR SHALL COORDINATE ALL DEMOAND NEW WORKACTIVITIES WITH THE AIRPORT PRIOR TO PROCEEDING. 20. THE CONTRACTOR IS TO PROTECT EXISTING FINISHES, AND MAKE REPAIRS TO THE EXISTING FINISHESAND FIRE PROOFING WHERE DAMAGED OR REQUIRED, AS PART OF THE NEW WORK ASSOCIATED WITH THIS PROJECT. 21. WHERE MATERIALS ARE APPLIED TO, ORARE IN DIRECT CONTACT WITH WORK INSTALLED BYANOTHER SUBCONTRACTOR, COMMENCEMENT OF WORK IMPLIES ACCEPTANCE OF THE SUBSTRATE AS SUITABLE FOR THE APPLICATION INTENDED. 22. ISOLATE DISSIMILAR METALS TO PREVENT GALVANIC CORROSION. 23. FIELD MEASURE AND CONFIRM DIMENSIONS FOR OWNER PROVIDED EQUIPMENT AND FURNISHINGS. 24. DO NOT OBSTRUCTACCESS TO EXISTING EXITS, OR REDUCE THE WIDTH OF PUBLIC CORRIDORS 25. REPORTANY CONFLICTS TO THE ARCHITECT PRIOR TO INSTALLATION. 26. ALL ROOF PENETRATIONS REQUIRED FOR INSTALLATION OF MECHANICAL UNITS, EQUIPMENT CURBS, VENTS, ETC. MUST BE DONE PER MANUFACTURER'S RECOMMENDATIONS TO ENSURE ALL WARRANTIES ARE MAINTAINED. PROVIDE FLASHING, COUNTER FLASHING, SEALANT, ETC. AS REQUIRED TO PROVIDE WATERPROOF CONDITION, TYPICALATALL ROOF PENETRATIONS. 27. DRAWINGS AND ELECTRONIC MODELS ARE PROVIDED FOR REFERENCE ONLYAND SHOULD NOT BE DUPLICATED OR USED IN ANY WAY WHICH INFRINGES UPON COPY RIGHTS. GENERAL WORK RESTRICTIONS RS01 A. WORK RESTRICTIONS GENERAL: COMPLY WITH RESTRICTIONS ON CONSTRUCTION OPERATIONS. 1. COMPLY WITH LIMITATIONS ON USE OF PUBLIC STREETS AND 4835 LBJ Freeway, Suite 800 OTHER REQUIREMENTS OFAUTHORITIES HAVING JURISDICTION. Dallas, TX 75244 Phone: (469) 857-7721 B. ALL WORK SHALL BE PERFORMED PER CITY OF LUBBOCK ORDINANCES. www.rsandh.com C. UTILITY INTERRUPTIONS: Texas Registration No. F-3401 1. DO NOT INTERRUPT UTILITIES SERVING FACILITIES OCCUPIED BY OWNERATANYTIME. 2. IF UTILITY INTERRUPTIONS ARE ABSOLUTELY NECESSARY, THEN NOTIFY OWNER NOT LESS THAN TWO DAYS (48 HOURS) IN ADVANCE Loefgren & Associates, Inc. OF PROPOSED UTILITY INTERRUPTIONS. 3. OBTAIN OWNER'S WRITTEN PERMISSION BEFORE PROCEEDING 1093 A1A Beach Blvd., PMB 440 St. Augustine, FL 32080 WITH UTILITY INTERRUPTIONS. 904-699-1462 D. NOISE VIBRATION AND ODORS: COORDINATE OPERATIONS THAT MAY RESULT IN HIGH LEVELS OF NOISE AND VIBRATION, ODORS, OR OTHER DISRUPTION TO OWNER OCCUPANCY WITH OWNER. 1. NOTIFY OWNER NOT LESS THAN TWO DAYS (48 HOURS) IN ADVANCE OF PROPOSED DISRUPTIVE OPERATIONS. 2. OBTAIN OWNER'S WRITTEN PERMISSION BEFORE PROCEEDING Lubbock WITH DISRUPTIVE OPERATIONS. Preston Smith E. SHOULD A BUILDING REMAIN OCCUPIED DURING CONSTRUCTION, %, INTERNATIONAL AIRPORT COORDINATE ANY DISRUPTIONS TO ACCESS OR REMOVAL OF EXISTING FEATURES WITH OWNER. PROJECT TITLE: F. THE BUILDING IS TO REMAIN WATERTIGHT THROUGHOUTALL PHASES OF CONSTRUCTION. WHERE THE BUILDING EXTERIORS ENVELOPE, FLASHING, ROOFING OR WALLS ARE REQUIRED TO BE TEMPORARILY BREACHED TO WAREHOUSE 720 ACCOMPLISH THE NEW WORK, CONTRACTOR SHALL PROVIDE WATERTIGHT COVERAGE DURING WEATHER EVENTS AND UPON LEAVING THE JOB SITE ROOF REPLACEMENT DAILY. MEANS AND METHODS OF WATERTIGHT COVERAGE SHALL NOT INTERFERE WITH NORMAL OPERATIONS OF AN OCCUPIED FACILITY PROJECT ADDRESS: SPECIAL PROVISIONS A. SEE PROJECT MANUAL FOR ALL SPECIAL PROVISIONS. Lubbock Preston Smith GENERAL NOTES International Airport A. PROJECTNOTES 2207 E. Bluefield Street Lubbock, TX 79403 1. ALL CONSTRUCTION SHALL BE INN ACCORDANCE WITH THE REQUIREMENTS OF THE APPLICABLE CODES. ARCHITECTUREAND ENGINEERING SHALL COMPLY WITH ALL APPLICABLE MUNICIPAL, STATEAND FEDERAL REGULATIONS HAVING JURISDICTION INCLUDING ACCESSIBLITY STANDARDS AND REQUIREMENTS. B. GENERAL NOTES 1. ALL NOTES ARE TO BE REVIEWED AND APPLIED TO RELATED BUILDING COMPONENTS. NOTES APPEAR ON VARIOUS SHEETS FOR DIFFERENT SYSTEMS AND MATERIALS. SHEETS ARE TO BE REVIEWED AND NOTES ON ANYONE SHEET ARE TO BE APPLIED ON RELATED DRAWINGS AND REVISIONS DETAILS. NO. DESCRIPTION DATE 2. DO NOT SCALE THE DRAWINGS. THE DRAWINGS ARE NOT NECESSARILY TO SCALE. THE CONTRACTOR SHALL VERIFY ALL CONDITIONS AND DIMENSIONS AT THE JOB SITE PRIOR TO THE START OF CONSTRUCTION. IF DISCREPANCIES ARE FOUND, THE ARCHITECT SHALL BE NOTIFIED FOR CLARIFICATION BEFORE COMMENCING THE WORK. EXPLICIT DIMENSIONS HAVE PRECEDENCE OVER ASCALE. 3. DETAILS NOT SHOWN ARE SIMILAR IN CHARACTER TO THOSE SHOWN. WHERE SPECIFIC DIMENSIONS, DETAILS OR DESIGN INTENT CANNOT BE DETERMINED, CONSULT THE ARCHITECT BEFORE PROCEEDING WITH THE WORK. DATE ISSUED: 08-19_2022 4. ANY DETAILS, SYSTEMS, MATERIALS (I.E. ARCHITECTURAL, STRUCTURAL, REVIEWED BY: MAW MECHANICAL, ETC.) WHICH ARE PROPOSED TO BE CHANGED MUST BE DRAWN BY: KHL FIRST REVIEWED BYTHE OWNER, ARCHITECTAND GENERAL DESIGNED BY: KHL CONTRACTOR PRIOR TO THE PREPARATION OF SHOP DRAWINGS. PROJECT NUMBER: C. DIMENSIONING 2231874-005 B 1. ALL DIMENSIONS SHALL BE VERIFIED IN THE FIELD BEFORE PROCEEDING WITH THE WORK. THE ARCHITECT SHALL BE NOTIFIED OF ANY CORRECTION. SEAL: 2. ALL DIMENSIONS SHALL BE VERIFIED AND COORDINATED WITH ALL THE WORK OF ALL TRADES. PeD ARC, 4i :....i.... T D. MISCELLANEOUS NOTES. yi`FNyF� 1. WHERE DISCREPANCIES BETWEEN THE DRAWINGS OF THE VARIOUS � �e ip TRADES, CONSULT THE ARCHITECT BEFORE PROCEEDING WITH THE WORK. 4:, 5, jM • 260?. P 2. ALL DISSIMILAR METALS SHALL BE EFFECTIVELY ISOLATED FROM EACH 'rT4TE Of4 OTHER TO AVOID MOLECULAR BREAKDOWN. E. SUPPLEMENTAL DOCUMENTS SHEET TITLE: 1. SCOPE OF WORK DOCUMENTS VWLL BE PROVIDED BY OWNER FOR BIDDING PURPOSES. ALL ITMES INCLUDED IN THE OWNER'S SCOPE OF WORK DOCUMENTS ARE PART OF THE CONTRACT DOCUMENTS. IF THE CONTRACTOR SHOULD FIND A DESCREPANCY BETWEEN THE OWNER'S SCOPE OF WORKAND THESE DOCUMENTS, HE/SHE SHOULD General Notes BRING TO THE ATTENTION OF THE OWNER AND/OR THE ARCHITECT. F. ACCESS TO SITE OF CONSTRUCTION 1. ALLACCESS IN AND OUT OF WORK SITE SHALL BE COORDINATED NTH LUBBOCK AIRPORT MANAGEMENT. THE CONTRACTOR WILL BE REQUIRED TO FOLLOW LUBBOCK PRESTON INTERNATIONAL AIRPORT RULES AND REGULATIONS. SHEET ID: G. WARRANTY 1. THE CONTRACTOR AGREES TO CORRECTOR REPLACE DEFECTIVE G001 MATERIALS OR WORKMANSHIP FOR A PERIOD OF 2 YEARS FROM DATE OF ACCEPTANCE FOR SUBSTANTIAL OCCUPANCY. MANUFACTURER PRODUCT WARRANTY REQUIREMENTS ARE PROVIDED IN THE SPECIFICATIONS. PROJECTSTATUS: 4 ISSUED FOR BID Page is too large to OCR. 204' VERIFY IN FIELD N 1 WAREHOUSE 720 - SCHEMATIC ROOF PLAN R101 OUSE 720 - SCHEMATIC BUILDING SECTION TYR Notes: 1. Project Requirements are provided in the Specifications. 2. Generally, remove existing metal roof system, gutters, downspouts, skylights, and ventilators. Protect the existing structural framing and wall cladding from damage. 3. Furnish and install a new complete trapezoidal standing seam roof system on the existing structural framing. 4. Furnish and install new continuous gutters with expansion joints along north and south sides of building. 5. Furnish and install 8 downspouts with concrete splash blocks each side. 6. Flash penetrations per approved details. Legend Roof Slope Direction New Gutters and Downspouts RS&H 4835 LBJ Freeway, Suite 800 Dallas, TX 75244 Phone: (469)857-7721 www.rsandh.coIn Texas Registration No. F-3401 Loefgren &Associates, Inc. 1093 A1A Beach Blvd., PMB 440 St. Augustine, FL 32080 904-699-1462 Lubbock -T' Preston Smith ,�"` INTERNATIONAL AIRPORT PROJECT TITLE: LBB WAREHOUSE 720 ROOF REPLACEMENT PROJECT ADDRESS: Lubbock Preston Smith International Airport 2207 E. Bluefield Street Lubbock, TX 79403 DATE ISSUED: 08-19-2022 REVIEWED BY: MAW DRAWN BY: KHL DESIGNED BY: KHL PROJECT NUMBER: 2231874-005 B SEAL: ��PEo VY�CyT W fF —i71Y��(_1 � E4 4•'• 26015.•'pM . JT47E OFt� SHEET TITLE: Warehouse 720 Schematic Roof Plan SHEET ID: R101 PROJECT STATUS: ISSUED FOR BID 0 i 0 RS&H SHEET -METAL VENTED sHFFT-METAL RIDGE CAP RIDGE CAP —PROFILES AND SIZE VARY -GAUGE PERFORATED METAL 4835 LBJ Freeway, Suite 800 GASKETED FASTENERS Dallas, TX 75244 Phone: (469)857-7721 SEALANT TAPE www.rsandh.com Texas Registration No. F-3401 STRUCTURAL METAL ROOF PANEL STRUCTURAL METAL GASKETED FASTENER ROOF PANEL SECTION SEAUWT SEALANT TAPE Inc. L1093 GASKETED FASTENERS STAGGERED SEAM AND PANEL Aln eAssociates, 1093 A1ABeach, PMB 440 STRUCTURAL PANEL CLIP— PROFILESVARY FL St. Augustine, FL 32080 METAL ROOF SEAM AND PANEL MIN, 2 FASTENERS 904-699-1462 PANEL PROFILES VARY PER CLIP SECTION HEAVY -GAUGE PERFORATED MErAL PREFORMED METAL CLOSURE SET IN SEALANT TAPE �( gam/ 1 Lubbock SEALANT TAPE AND FASTENED NOT / ,' % Preston Smith —DO SEAL VERTICAL LEGS. mot' 4�/ INTERNATIONAL AIRPORT a PROJECT TITLE: EDGE METAL o LBB WAREHOUSE 720 FLASHING— FLASHING — TURN UP EDGE OF PANEL ROOF REPLACEMENT GUTTER BRACKETSUPPOW STRUCTURAL 0 PROJECT ADDRESS: FRAMING MEMBERS— METAL GUTTER SPACER PROFILES AND HE-GAUGERAKE SUPPORT METAL SEAM AND PANEL INSTALL SPACING VARY PREFORMED METAL AND FOAM SEALANT TAPE Lubbock Preston Smith PROFILES VARY APPROPRIATE CLOSURE SET IN CONTINUOUS SEALANT TAPE OVERHANG PANEL STRUCTURAL FRAMING MEMBERS AND International Airport PANEL CLIP —MIN. SEALANT APPROX. illWALL CONSTRUCTION —PROFILES CONTINUOUS RAKE CLEAT SPACING VARY 2207 E. Bluefield Street 2 FASTENERS PER CLIP SHEET-METALGUTTEF TO BE FORMED OF HEAVY- GAUGE METAL. ALSO Lubbock, TX 79403 STRUCTURAL FRAMING PANEL CLOSURE/ HEAVY -GAUGE - WALL CONSTRUCTION SERVES AS SUPPORT FOR RAKE FLASHING — MEMBER —PROFILES AND PANEL END _ SPACING VARY STIFFENING METAL 1 RIDGE DETAIL 2 GUTTER AND EAVE 3 RAKE EDGE FLASHING R102 R102 DETAIL R102 END PANEL REVISIONS NO. DESCRIPTION DATE Notes: NEW METAL ROOF PANEL 1. Generic details are based on the NRCA Roofing DATE ISSUED: 08-19-2022 PIPEPENETRATION Manual: Metal Panel and SPF Roof Systems - 2012. REVIEWED BY: MAW STANDING SEAM INSTALL TEMPERATURE APPROPRIATE SEALANT TOOLEDTO FACILITATE 2. Fabrication and erection details provided by roof DRAWN BY: KHL DESIGNED BY: KHL RUNOFF manufacturer shall indicate panel dimensions and PROJECT NUMBER: GASKSECURE FLASHING SECURE FLASHING COLLAR STAINLESS-STEELFLANGE TO ROOF PANEL clip and fastener sizes and spacing based on tested 2231874-005 B DRAV,SAND roof assemblies. STRUCTURAL METAL PREFORMED PENETRATION FLASHING SEAL: ROOF PANEL SET SECUREMENT G IN CONTINUOUS BEAD _ OF SEALANT A4.Q:��'yyCyT w'F �e i4 4•' 26015.•'pM . �J SHEET TITLE: SEAM AND PANEL Details PROFILES VARY CLIP EXISTING PURLIN SHEET ID: R102 4 CLIP DETAIL 5 PIPE PENETRATION R102 R102 FLASHING DETAIL PROJECT STATUS: ISSUED FOR BID