Div 01

SECTION 01 11 00

1 2 3

SUMMARY OF WORK

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6

A.

Contract description.

7

B.

Work by Owner.

8

C.

Contractor use of site [and premises].

9

D.

Work sequence.

10

E.

Owner occupancy.

11

1.02

CONTRACT DESCRIPTION

12 13

A.

Construct the work under a single contract with the Owner on a cost plus with guaranteed maximum price basis.

14 15

B.

Work of this contract comprises of general construction including mechanical and electrical.

16

1.03

A.

17 18 19

WORK BY OWNER

1.04

Contractor will remove and Owner will take possession of the items indicated on the drawings.

CONTRACTOR USE OF SITE AND PREMISES

20

A.

Limit use of site and premises to allow Owner occupancy.

21

B.

Maintain Emergency Building Exits During Construction.

22 23 24 25 26 27 28 29 30

1.05

WORK SEQUENCE A.

Construct Work in phases to accommodate Owner’s occupancy requirements during the construction period. Coordinate construction schedule and operations with Owners: 1.

Complete work inside unoccupied apartments. Tenants will be moved into completed units. Complete work on these unoccupied apartments and tenants will be moved again, until all units are complete.

2.

Project will begin with unoccupied apartments as follows: Rice Lake: #4,5,11,15,16,18,21,24

Project # © 2015 MSA Professional Services, Inc.

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Summary of Work 6/5/2015

Barron: #5,8 Chetek: #3,4,5,6

1 2 3

1.06

OWNER OCCUPANCY

4 5

A.

The tenants will occupy the existing building during the entire period of construction.

Phase construction for the conduct of normal operations.

6

B.

Cooperate with Owner to minimize conflict and to facilitate Owner’s operations.

7

C.

Schedule the Work to accommodate this requirement.

8 9 10 11 12 13

PART 2 PRODUCTS Not Used PART 3 EXECUTION Not Used END OF SECTION

Project # © 2015 MSA Professional Services, Inc.

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Summary of Work 6/5/2015

SECTION 01 20 00

1 2 3

PRICE AND PAYMENT PROCEDURES

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6

A.

Schedule of values.

7

B.

Application for payment.

8

C.

Change procedures.

9

D.

Defect assessment.

10

E.

Alternates.

11

F.

Hazardous substances.

12

1.02

SCHEDULE OF VALUES

13 14

A.

Submit a printed schedule on AIA Form G703 - Application and Certificate for Payment Continuation Sheet.

15

B.

Submit Schedule of Values in duplicate with Bid and a revised copy after Bid award.

16 17

C.

Format: Identify each line item with number and title of the major specification Section. Identify bonds and insurance.

18

D.

Revise schedule to list approved Change Orders with each Application For Payment.

19

1.03

APPLICATIONS FOR PAYMENT

20 21

A.

Submit three copies of each application on AIA Form G702 - Application and Certificate for Payment and AIA G703 - Continuation Sheet.

22 23

B.

Content and Format: Utilize Schedule of Values for listing items in Application for Payment.

24 25

C.

Payment Period: Monthly. The application shall be submitted by the 25th day of a month. The Owner shall make payment by the last day of the following month.

26 27

D.

Lien Waivers shall be submitted with each pay request. The lien waivers shall cover the dollars paid on the previous request.

28

E.

Pay requests will be processed by Vinopal Title and Abstract of Rice Lake, Inc.

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Price and Payment Procedures 6/5/2015

1

1.04

CHANGE PROCEDURES

2 3 4

A.

The Architect/Engineer will advise of minor changes in the Work not involving an adjustment to Contract Sum/Price or Contract Time as authorized by AIA A201, 1997 Edition, by issuing supplemental instructions on AIA Form G710.

5 6 7 8

B.

The Architect/Engineer may issue a Proposal Request which includes a detailed description of a proposed change with supplementary or revised Drawings and specifications, a change in Contract Time for executing the change. Contractor will prepare and submit an estimate within 10 days.

9 10 11 12 13 14

C.

The Contractor may propose changes by submitting a request for change to the Architect/Engineer, describing the proposed change and its full effect on the Work.

Include a statement describing the reason for the change, and the effect on the Contract Sum/Price and Contract Time with full documentation, and a statement describing the effect on Work by separate or other contractors. Document any requested substitutions in accordance with Section 01 60 00 - Product Requirements.

15 16 17

D.

Stipulated Sum/Price Change Order: Based on Proposal Request and Contractor’s fixed price quotation or Contractor’s request for a Change Order as approved by Architect/Engineer.

18 19 20 21 22 23

E.

Construction Change Directive: Architect/Engineer may issue a directive, on AIA Form G713 Construction Change Directive signed by the Owner, instructing the Contractor to proceed with a change in the Work, for subsequent inclusion in a Change Order. Document will describe changes in the Work and designate method of determining any change in Contract Sum/Price or Contract Time. Promptly execute the change.

24 25 26 27

F.

Time and Material Change Order: Submit itemized account and supporting data after completion of change, within time limits indicated in the Conditions of the Contract.

Architect/Engineer will determine the change allowable in Contract Sum/Price and Contract Time as provided in the Contract Documents.

28 29 30

G.

Maintain detailed records of Work done on Time and Material basis. Provide full information required for evaluation of proposed changes and to substantiate costs for changes in the Work.

31

H.

Change Order Forms: AIA G701 Change Order.

32 33

I.

Execution of Change Orders: Architect/Engineer will issue Change Orders for signatures of parties as provided in the Conditions of the Contract.

34

J.

Correlation Of Contractor Submittals:

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Price and Payment Procedures 6/5/2015

1.

1 2 3 4 5 6 7 8

2.

3.

1.05

Promptly revise Schedule of Values and Application for Payment forms to record each authorized Change Order as separate line item and adjust Contract Sum/Price.

Promptly revise progress schedules to reflect change in Contract Time, revise sub-schedules to adjust times for other items of work affected by the change, and resubmit.

Promptly enter changes in Project Record Documents.

DEFECT ASSESSMENT

9 10

A.

Replace the Work, or portions of the Work, not conforming to specified requirements.

11 12

B.

If, in the opinion of the Architect/Engineer it is not practical to remove and replace the Work, the Architect/Engineer will direct appropriate remedy or adjust payment.

13 14

C.

The defective Work may remain, but the contract price will be adjusted to a new price at discretion of Architect/Engineer and Owner.

15 16 17

D.

Defective Work will be partially repaired to instructions of Architect/Engineer and Owner and price will be adjusted to new price at discretion of Architect/Engineer and Owner.

18 19

E.

Individual specification sections may modify these options or may identify specific formula or percentage sum/price reduction.

20 21

F.

Authority of Architect/Engineer and Owner to assess defects and identify payment adjustments is final.

22 23 24 25 26 27 28 29

G.

Non-Payment For Rejected Products: Payment will not be made for rejected products for any of the following: 1.

Products wasted or disposed of in a manner that is not acceptable.

2.

Products determined as unacceptable before or after placement.

3.

Products not completely unloaded from transporting vehicle.

4.

Products placed beyond lines and levels of required Work.

5.

Products remaining on hand after completion of the Work.

6.

Loading, hauling, and disposing of rejected products.

30

1.06

ALTERNATES

31 32

A.

Alternates quoted on Bid Forms will be reviewed and accepted or rejected at Owner’s option. Accepted Alternates will be identified in Owner-Contractor Agreement.

33

B.

Coordinate related Work and modify surrounding Work as required.

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Price and Payment Procedures 6/5/2015

1

1.07

HAZARDOUS SUBSTANCES

2 3 4 5 6

A.

All Contractors and suppliers shall note that materials or systems that contain asbestos in any form will not be allowed or accepted for use or installation on this project. If any materials or systems that contain asbestos are installed or used in any way on this project, the Contractor using or installing such materials or systems shall bear complete responsibility for removing them from the project immediately.

7 8 9

B.

Upon completion of the work of this contract, the Contractor shall submit a written statement to the Owner stating that none of the materials used on this project contain asbestos.

10 11

C.

If possible, asbestos-bearing materials are encountered in demolition Work, cease that portion of the Work, and notify the A/E immediately.

12 13 14 15 16

D.

If asbestos is present in existing buildings, the Owner shall be responsible for removal, disposal and air monitoring of all asbestos that is encountered. Work shall comply with the Occupational Safety and Health Standards Part 1910.1001 Asbestos Removal Procedures and EPA Report for controlling asbestos materials.

Work shall be completed before building construction commences.

17 18 19 20 21 22

PART 2 PRODUCTS Not Used PART 3 EXECUTION Not Used END OF SECTION

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Price and Payment Procedures 6/5/2015

SECTION 01 30 00

1 2 3

ADMINISTRATIVE REQUIREMENTS

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6

A.

Construction Document Reproduction.

7

B.

Coordination.

8

C.

Preconstruction meeting

9

D.

Contractor Site Supervision and Observation.

10

E.

Project Operations.

11

F.

Disposal of Materials.

12

G.

Contractor Environmental Requirements.

13

H.

Examination.

14

I.

Preparation.

15

J.

Cutting and patching.

16

K.

Alteration project procedures.

17

1.02

CONSTRUCTION DOCUMENT REPRODUCTION

18 19

A.

Architect will provide Contractor two (2) complete sets of bidding documents at the preconstruction conference.

20

B.

Additional copies are the responsibility of the Contractor.

21

1.03

COORDINATION

22 23 24

A.

Coordinate scheduling, submittals, and Work of the various sections of the Project Manual to assure efficient and orderly sequence of installation of interdependent construction elements.

25 26 27 28

B.

Verify utility requirements and characteristics of operating equipment are compatible with building utilities. Coordinate Work of various sections having interdependent responsibilities for installing, connecting to, and placing in service, operating equipment.

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Administrative Requirements 6/5/2015

1 2 3 4 5

C.

Coordinate space requirements, supports, and installation of mechanical and electrical work indicated diagrammatically on Drawings. Follow routing shown for pipes, ducts, and conduit, as closely as practicable; place runs parallel with line of building. Utilize spaces efficiently to maximize accessibility for other installations, for maintenance, and for repairs.

6 7 8

D.

In finished areas except as otherwise indicated, conceal pipes, ducts, and wiring within the construction. Coordinate locations of fixtures and outlets with finish elements.

9 10

E.

Coordinate completion and clean up of Work of separate sections in preparation for Substantial Completion.

11 12 13

F.

After Owner occupancy of premises, coordinate access to site for correction of defective Work and Work not in accordance with Contract Documents, to minimize disruption of Owner’s activities.

14

1.04

PRECONSTRUCTION MEETING

15

A.

Architect/Engineer will schedule a meeting after Notice to Proceed.

16 17

B.

Attendance Required: Contractor.

18 19 20 21 22 23 24

C.

Agenda 1.

Designation of personnel representing the parties in Contract, and the Architect/Engineer.

2.

Procedures and processing of field decisions, submittals, substitutions, applications for payments, proposal request, Change Orders, and Contract closeout procedures.

3.

Scheduling.

25 26

D.

Architect/Engineer will record minutes and distribute copies within after meeting to participants.

27

1.05

Owner, Architect/Engineer, major subcontractors, and

CONTRACTOR SITE SUPERVISION AND OBSERVATION

28 29

A.

General Contractor shall have a Supervisor on the job site every day that there is work underway.

30 31

B.

General Contractor shall compile a daily log of the work that takes place every day and any issue that may arise.

32 33

C.

General Contractor shall take a minimum of 10 digital pictures per day of the ongoing work and progress.

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Administrative Requirements 6/5/2015

D.

1 2 3 4

1.06

General Contractor shall compile the daily logs and pictures and email the designated MSA representative the daily logs and pictures twice per week. Submit by 12:00 noon on Mondays and Thursdays during the course of on-site work.

PROJECT OPERATIONS

5 6 7

A.

The Contractor Foreman shall be available at all times on the site. When not in attendance, the foreman shall be accessible by means of a telephone, pager, or other approved communication device.

8 9

B.

Plan construction so that it does not interfere with the use of the building or impede access. Keep entrances and passageways usable and free from debris.

10 11 12 13 14 15

C.

The Contractor shall perform his work between the hours of 7:00 a.m. and 5:00 p.m.

In addition he shall remove, store, clean up construction materials and debris as designated by the Owner. All work is to be directed at leaving the area free of any construction debris and materials so as not to interfere with established operating routines. Temporary provisions to make the construction area free of dangerous or awkward inconveniences shall be provided as required by the Owner.

16

1.07

DISPOSAL OF MATERIALS

17 18

A.

Remove debris from building and site as it accumulates. Debris shall be transported on rubber-tired trucks and covered to prevent spread of dust.

19 20

B.

All materials and property which are indicated to be removed shall be legally disposed of in an approved landfill, by the Contractor.

21

1.08

CONTRACTOR ENVIRONMENTAL REQUIREMENTS

22 23 24 25 26 27 28

A.

Contractors shall remove all of their waste chemicals, chemically contaminated materials, and empty containers used in the performance of their work from the site daily. All materials and containers must be disposed of off site in accordance with local, state and federal requirements. Do not dispose of chemicals into site drain systems (inside or outside of building), onto soil or into trash dumpsters operated by the Owner. Containers owned by Contractor shall not be marked with the Owner’s name.

29 30 31

B.

Liquids are to be discharged to drain only upon written authorization from the Owner. All solid wastes shall be removed from the site to approved facilities or placed in appropriate containers/holding areas as authorized by the Owner.

32 33

C.

All vehicles, machinery, and equipment stored on site must be in approved areas and maintained as necessary to assure proper operation and containment of fluids.

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Administrative Requirements 6/5/2015

1 2 3

D.

Pumps, hoses, temporary storage tanks, and tankers shall be appropriately staffed and located to prevent the release of liquids from the equipment to the environment.

Appropriate actions must be taken to mitigate impacts in the event of a release.

4 5

E.

All releases of chemicals, fuel oils, wastewater, or other materials shall be immediately reported to the Owner.

6 7

F.

Tankers, being used to transport or store materials on site must be clean of any contaminants from prior usage of the tanker.

8 9 10 11

G.

All containers of chemicals, petroleum products, or other materials shall be stored, used, and disposed of in a manner preventing their release to the environment in any amount. Handling methods deemed inappropriate by Owner shall be immediately corrected by the Contractor.

12

PART 2 PRODUCTS Not Used.

13 14

PART 3 EXECUTION

15

3.01

EXAMINATION

16 17

A.

Verify that existing site conditions and substrate surfaces are acceptable for subsequent Work. Beginning new Work means acceptance of existing conditions.

18 19

B.

Verify that existing substrate is capable of structural attachment of new Work being applied or attached.

20

C.

Examine and verify specific conditions described in individual specification sections.

21 22

D.

Verify that utility services are available, of the correct characteristics, and in the correct location.

23

3.02

PREPARATION

24

A.

Clean substrate surfaces prior to applying next material or substance.

25

B.

Seal cracks or openings of substrate prior to applying next material or substance.

26 27

C.

Apply any manufacturer required or recommended substrate primer, sealer, or conditioner prior to applying any new material or substance in contact or bond.

28 29

3.03

CUTTING AND PATCHING A.

Employ skilled and experienced installer to perform cutting and patching.

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Administrative Requirements 6/5/2015

1 2 3 4 5 6

B.

Submit written request in advance of cutting or altering elements which affects: 1.

Structural integrity of element.

2.

Integrity of weather-exposed or moisture-resistant elements.

3.

Efficiency, maintenance, or safety of element.

4.

Visual qualities of sight exposed elements.

5.

Work of Owner or separate contractor.

7 8 9 10 11 12 13 14

C.

Execute cutting, fitting, and patching [including excavation and fill,] to complete Work, and to: 1.

Fit the several parts together to integrate with other Work.

2.

Uncover Work to install or correct ill-timed Work.

3.

Remove and replace defective and non-conforming Work.

4.

Remove samples of installed Work for testing.

5.

Provide openings in elements of Work for penetrations of mechanical and electrical work.

15 16

D.

Execute Work by methods to avoid damage to other Work and which will provide proper surfaces to receive patching and finishing.

17

E.

Cut masonry and concrete materials using masonry saw or core drill.

18 19

F.

Restore Work with new Products in accordance with requirements of Contract Documents.

20 21

G.

Fit Work tight to pipes, sleeves, ducts, conduit, and other penetrations through surfaces.

22

H.

Maintain integrity of wall, ceiling, or floor construction; completely seal voids.

23 24

I.

Refinish surfaces to match adjacent finishes. For continuous surfaces, refinish to nearest intersection; for an assembly, refinish entire unit.

25 26

J.

Identify any hazardous substance or condition exposed during the Work to the Architect/Engineer for decision or remedy.

27 28

K.

At penetrations of fire-rated walls, partitions, ceiling, or floor construction, completely seal voids with fire-rated material in accordance with Section 07 84 00.

29

3.04

ALTERATION PROJECT PROCEDURES

30 31

A.

Materials: As specified in Product sections; match existing Products and Work for patching and extending Work.

32

B.

Employ original skilled and experienced installer to perform cutting and patching.

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Administrative Requirements 6/5/2015

1 2

C.

Cut, move, or remove items as necessary for access to alterations and renovation Work. Replace and restore at completion.

3 4 5

D.

Remove unsuitable material not marked for salvage, including rotted wood, corroded metals, and deteriorated masonry and concrete. Replace materials as specified for finished Work.

6

E.

Remove debris and abandoned items from area and from concealed spaces.

7 8

F.

Prepare surface and remove surface finishes to permit installation of new work and finishes.

9 10

G.

Close openings in exterior surfaces to protect existing Work from weather and extremes of temperature and humidity.

11 12

H.

Remove, cut, and patch Work in a manner to minimize damage and to provide a means of restoring Products and finishes to specified condition.

13 14

I.

Refinish existing visible surfaces to remain in renovated rooms and spaces, to specified condition for each material, with a neat transition to adjacent finishes.

15 16

J.

Where new Work abuts or aligns with existing, provide a smooth and even transition.

Patch Work to match existing adjacent Work in texture and appearance.

17 18 19

K.

When finished surfaces are cut so that a smooth transition with new Work is not possible, terminate existing surface along a straight line at a natural line of division and submit recommendation to Architect/Engineer for review.

20 21

L.

Where a change of plane of 1/4 inch or more occurs, submit recommendation for providing a smooth transition; to Architect/Engineer for review.

22

M.

Trim existing doors to clear new floor finish. Refinish trim to original condition.

23 24

N.

Patch or replace portions of existing surfaces which are damaged, lifted, discolored, or showing other imperfections.

25 26 27

O.

Finish surfaces as specified in individual Product sections.

END OF SECTION

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Administrative Requirements 6/5/2015

SECTION 01 33 00

1 2 3

SUBMITTAL PROCEDURES

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6

A.

Submittal procedures.

7

B.

Construction progress schedules.

8

C.

Proposed Products list.

9

D.

Shop Drawings.

10

E.

Product Data.

11

F.

Samples.

12

G.

Manufacturer’s installation instructions.

13

H.

Manufacturers’ certificates.

14

1.02

RELATED SECTIONS

15 16

A.

Section 01 40 00 - Quality Requirements [01 45 00 – Quality Control]: Manufacturers’ field services and reports.

17 18

B.

Section 01 70 00 - Execution and Closeout Requirements [01 77 00 – Closeout Procedures]: Contract warranties and closeout submittals.

19

1.03

SUBMITTAL PROCEDURES

20 21

A.

Identify Project, Contractor, Subcontractor, or supplier; pertinent drawing and detail number, and specification section number, as appropriate.

22 23 24 25

B.

Apply Contractor’s stamp, signed or initialed certifying that review, verification of Products required, field dimensions, adjacent construction Work, and coordination of information, is in accordance with the requirements of the Work and Contract Documents.

26 27

C.

Schedule submittals to expedite the Project and deliver to Architect/Engineer at business address. Coordinate submission of related items.

28 29

D.

For each submittal for review, allow 15 calendar days excluding delivery time to and from the Contractor.

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Submittal Procedures 6/5/2015

1 2

E.

Identify variations from Contract Documents and Product or system limitations which may be detrimental to successful performance of the completed Work.

3

F.

Provide space for Contractor and Architect/Engineer review stamps.

4

G.

When revised for resubmission, identify changes made since previous submission.

5 6

H.

Distribute copies of reviewed submittals as appropriate. Instruct parties to promptly report any inability to comply with requirements.

7

I.

Submittals not requested will not be recognized or processed.

8

1.04

CONSTRUCTION PROGRESS SCHEDULES

9 10

A.

Submit initial schedule in duplicate within 20 days after date established in Notice to Proceed.

11

B.

Revise and resubmit as required.

12

C.

Submit revised schedules identifying changes since previous version.

13 14

D.

Submit a horizontal bar chart with separate line for each major section of Work or operation identifying first workday of each week.

15 16

E.

Show complete sequence of construction by activity, identifying Work of separate stages and other logically grouped activities.

17

1.05

PROPOSED PRODUCTS LIST

18 19 20

A.

Within 20 days after date of Notice to Proceed, submit list of major products proposed for use, with name of manufacturer, trade name, and model number of each product.

21 22

B.

For products specified only by reference standards, give manufacturer, trade name, model or catalog designation, and reference standards.

23

1.06

SHOP DRAWINGS

24 25 26 27 28 29

A.

Shop Drawings: Submit to Architect/Engineer for review for limited purpose of checking for conformance with information given and design concept expressed in Contract Documents. Produce copies and distribute in accordance with SUBMITTAL PROCEDURES article and for record documents purposes described in Section 01 70 00 - Execution and Closeout Requirements [01 77 00 – Closeout Procedures].

30 31

B.

Submit the number of opaque reproductions which Contractor requires, plus three copies which will be retained by Architect/Engineer.

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Submittal Procedures 6/5/2015

1 2 3 4

C.

Shop Drawings: Submit for review. After review, produce copies and distribute in accordance with the SUBMITTAL PROCEDURES article above and for record documents purposes described in Section 01 70 00 - Execution and Closeout Requirements [01 77 00 – Closeout Procedures].

5 6

D.

Indicate special utility and electrical characteristics, utility connection requirements, and location of utility outlets for service for functional equipment and appliances.

7

1.07

PRODUCT DATA

8 9 10 11 12 13

A.

Product Data: Submit to Architect/Engineer for review for limited purpose of checking for conformance with information given and design concept expressed in Contract Documents.

Provide copies and distribute in accordance with SUBMITTAL PROCEDURES article and for record documents purposes described in Section 01 70 00 - Execution and Closeout Requirements [01 77 00 – Closeout Procedures].

14 15

B.

Submit the number of copies which the Contractor requires, plus three copies which will be retained by the Architect/Engineer.

16 17 18

C.

Mark each copy to identify applicable products, models, options, and other data.

Supplement manufacturers’ standard data to provide information unique to this Project.

19 20

D.

Indicate Product utility and electrical characteristics, utility connection requirements, and location of utility outlets for service for functional equipment and appliances.

21 22 23

E.

After review, distribute in accordance with the Submittal Procedures article above and provide copies for record documents described in Section 01 70 00 - Execution and Closeout Requirements [01 77 00 – Closeout Procedures].

24

1.08

SAMPLES

25 26 27 28 29

A.

Samples: Submit to Architect/Engineer for review for limited purpose of checking for conformance with information given and design concept expressed in Contract Documents. Produce duplicates and distribute in accordance with SUBMITTAL PROCEDURES article and for record documents purposes described in Section 01 70 00 - Execution and Closeout Requirements [01 77 00 – Closeout Procedures].

30 31 32 33 34 35 36

B.

Samples for Selection as Specified in Product Sections: 1.

Submit to Architect/Engineer for aesthetic, color, or finish selection.

2.

Submit samples of finishes from full range of manufacturers’ standard colors, or in custom colors specified, textures, and patterns for Architect/Engineer selection.

3.

After review, produce duplicates and distribute in accordance with SUBMITTAL PROCEDURES article and for record documents purposes

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Submittal Procedures 6/5/2015

described in Section 01 70 00 - Execution and Closeout Requirements [01 77 00 – Closeout Procedures].

1 2 3 4 5

C.

Submit samples to illustrate functional and aesthetic characteristics of the Product with integral parts and attachment devices. Coordinate sample submittals for interfacing work.

6

D.

Include identification on each sample with full Project information.

7 8

E.

Submit the number of samples specified in individual specification sections; one of which will be retained by Architect/Engineer.

9 10

F.

Reviewed samples which may be used in the Work are indicated in individual specification sections.

11 12

G.

Samples will not be used for testing purposes unless specifically stated in specification section.

13

1.09

MANUFACTURER INSTALLATION INSTRUCTIONS

14 15 16

A.

When specified in individual specification sections, submit printed instructions for delivery, storage, assembly, installation, start-up, adjusting, and finishing to Architect/Engineer in quantities specified for Product Data.

17 18

B.

Indicate special procedures, perimeter conditions requiring special attention and special environmental criteria required for application or installation.

19

1.10

MANUFACTURER CERTIFICATES

20 21 22

A.

When specified in individual specification sections, submit certification by manufacturer, installation/application subcontractor, or Contractor to Architect/Engineer, in quantities specified for Product Data.

23 24

B.

Indicate material or product conforms to or exceeds specified requirements. Submit supporting reference data, affidavits, and certifications as appropriate.

25 26

C.

Certificates may be recent or previous test results on material or Product, but must be acceptable to Architect/Engineer.

27

PART 2 PRODUCTS

28

Not Used

29

PART 3 EXECUTION

30 31 32

Not Used END OF SECTION Project # Š 2015 MSA Professional Services, Inc.

01 33 00-4

Submittal Procedures 6/5/2015

SECTION 01 40 00

1 2 3

QUALITY REQUIREMENTS

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6

A.

Workmanship.

7

B.

Manufacturer’s Instructions.

8

C.

Tolerances.

9

D.

References.

10

E.

Mockup requirements.

11

F.

Inspecting and testing laboratory services.

12

G.

Manufacturers’ field services and reports.

13

H.

Examination.

14

I.

Preparation.

15

1.02

WORKMANSHIP

16 17

A.

Comply with industry standards except when more restrictive tolerances or specified requirements indicate more rigid standards or more precise workmanship.

18

B.

Perform work by persons qualified to produce workmanship of specified quality.

19 20

C.

Secure products in place with positive anchorage devices designed and sized to withstand stresses, vibration, and racking.

21

1.03

A.

22 23 24 25 26 27

MANUFACTURER’S INSTRUCTIONS

1.04

Comply with instructions in full detail, including each step in sequence. Should instructions conflict with Contract Documents, request clarification from Architect/Engineer before proceeding.

TOLERANCES A.

Monitor fabrication and installation tolerance control of Products to produce acceptable Work. Do not permit tolerances to accumulate.

Project # © 2015 MSA Professional Services, Inc.

01 40 00-1

Quality Requirements 6/5/2015

1 2 3

B.

Comply with manufacturers’ tolerances. When manufacturers’ tolerances conflict with Contract Documents, request clarification from Architect/Engineer before proceeding.

4 5

C.

Adjust Products to appropriate dimensions; position before securing Products in place.

6

1.05

REFERENCES

7 8 9

A.

For Products or workmanship specified by association, trade, or other consensus standards, comply with requirements of the standard, except when more rigid requirements are specified or are required by applicable codes.

10 11

B.

Conform to reference standard by date of issue current on date of Contract Documents, except where a specific date is established by code.

12

C.

Obtain copies of standards where required by product specification sections.

13 14

D.

When specified reference standards conflict with Contract Documents, request clarification from Architect/Engineer before proceeding.

15 16 17

E.

Neither contractual relationship, duties, nor responsibilities of the parties in Contract nor those of the Architect/Engineer shall be altered from the Contract Documents by mention or inference otherwise in any reference document.

18

1.06

INSPECTING AND TESTING LABORATORY SERVICES

19 20

A.

Owner will employ and pay for specified services of an independent firm to perform inspecting and testing, unless specified on plans otherwise.

21 22 23

B.

The independent firm will perform inspections, tests, and other services specified in individual specification sections and as required by the Architect/Engineer or the Owner.

24 25 26

C.

Inspecting, testing, and source quality control may occur on or off the project site.

Perform off-site inspecting or testing as required by the Architect/Engineer or the Owner.

27 28 29 30 31 32

D.

Cooperate with independent firm; furnish samples of materials, design mix, equipment, tools, storage, safe access, and assistance by incidental labor as requested.

1.

Notify Architect/Engineer and independent firm 24 hours prior to expected time for operations requiring services.

2.

Make arrangements with independent firm and pay for additional samples and tests required for Contractor’s use.

Project # © 2015 MSA Professional Services, Inc.

01 40 00-2

Quality Requirements 6/5/2015

E.

1 2 3 4

1.07

Testing and employment of testing agency or laboratory shall not relieve Contractor of obligation to perform Work in accordance with requirements of Contract Documents

MANUFACTURERS’ FIELD SERVICES AND REPORTS

5 6 7 8 9

A.

When specified in individual specification sections, require material or Product suppliers or manufacturers to provide qualified staff personnel to observe site conditions, conditions of surfaces and installation, quality of workmanship, start-up of equipment, and test, adjust and balance of equipment as applicable, and to initiate instructions when necessary.

10 11

B.

Report observations and site decisions or instructions given to applicators or installers that are supplemental or contrary to manufacturers’ written instructions.

12

C.

Submit report within 30 days of observation to Architect/Engineer for information.

13

PART 2 PRODUCTS Not Used

14 15

PART 3 EXECUTION

16

3.01

EXAMINATION

17 18

A.

Verify existing site conditions and substrate surfaces are acceptable for subsequent Work. Beginning new Work means acceptance of existing conditions.

19 20

B.

Verify existing substrate is capable of structural support or attachment of new Work being applied or attached.

21

C.

Examine and verify specific conditions described in individual specification sections.

22 23

D.

Verify utility services are available, of correct characteristics, and in correct locations.

24

3.02

PREPARATION

25

A.

Clean substrate surfaces prior to applying next material or substance.

26

B.

Seal cracks or openings of substrate prior to applying next material or substance.

27 28 29 30

C.

Apply manufacturer required or recommended substrate primer, sealer, or conditioner prior to applying new material or substance in contact or bond.

END OF SECTION

Project # © 2015 MSA Professional Services, Inc.

01 40 00-3

Quality Requirements 6/5/2015

SECTION 01 50 00

1 2 3

TEMPORARY FACILITIES AND CONTROLS

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6 7 8 9 10 11 12 13 14

A.

Temporary Utilities: 1.

Temporary electricity.

2.

Temporary lighting for construction purposes.

3.

Temporary heating.

4.

Temporary ventilation.

5.

Telephone service.

6.

Facsimile service.

7.

Temporary water service.

8.

Temporary sanitary facilities.

15 16 17 18 19 20

B.

Construction Facilities: 1.

Field offices and sheds.

2.

Vehicular access.

3.

Parking.

4.

Progress cleaning and waste removal.

5.

Project identification.

21 22 23 24 25 26 27

C.

Temporary Controls: 1.

Barriers.

2.

Protection of the Work.

3.

Security.

4.

Water control.

5.

Dust control.

6.

Erosion and sediment control.

28

D.

Removal of utilities, facilities, and controls.

29

1.02

TEMPORARY ELECTRICITY

30 31

A.

Owner will pay cost of energy used. Exercise measures to conserve energy. [Utilize Owner’s existing power service.]

32 33

B.

Provide temporary electric feeder from existing building electrical service. Do not disrupt Owner’s use of service.

34 35

C.

Complement existing power service capacity and characteristics as required for construction operations.

Project # © 2015 MSA Professional Services, Inc.

01 50 00-1

Temporary Facilities and Controls 6/5/2015

1 2 3

D.

Provide power outlets, with branch wiring and distribution boxes located as required for construction operations. Provide flexible power cords as required for portable construction tools and equipment.

4

E.

Permanent convenience receptacles may be utilized during construction.

5

1.03

TEMPORARY LIGHTING FOR CONSTRUCTION PURPOSES

6

A.

Provide and maintain incandescent lighting for construction operations.

7 8

B.

Provide and maintain lighting to exterior staging and storage areas after dark for security purposes.

9

C.

Provide and maintain lighting to interior work areas after dark for security purposes.

10 11

D.

Provide branch wiring from power source to distribution boxes with lighting conductors, pigtails, and lamps for specified lighting levels.

12

E.

Maintain lighting and provide routine repairs.

13

F.

Permanent building lighting may [not] be utilized during construction.

14

1.04

TEMPORARY HEATING

15

A.

Existing facilities may be used.

16 17 18 19

B.

Prior to operation of permanent equipment for temporary heating purposes, verify installation is approved for operation. Dusty construction activities must have been completed prior to using permanent equipment. Protect new electric baseboard heating units if used during this period.

20 21

C.

Maintain minimum ambient temperature of 50 degrees F in areas where construction is in progress, unless indicated otherwise in product sections.

22 23 24 25

D.

If used at contractor’s choice and expense, combustion type temporary heating devices shall be vented outside of any temporary enclosure and building envelope. Combustion gas shall not be allowed in any temporary enclosure and building envelope.

26

1.05

TEMPORARY VENTILATION

27 28

A.

Ventilate enclosed areas to achieve curing of materials, to dissipate humidity, and to prevent accumulation of dust, fumes, vapors, or gases.

29 30

B.

Utilize existing ventilation equipment. Extend and supplement equipment with temporary fan units as required to maintain clean air for construction operations.

Project # Š 2015 MSA Professional Services, Inc.

01 50 00-2

Temporary Facilities and Controls 6/5/2015

Take measures to avoid air pollution or IAQ problems due to construction dust.

Ventilate the building after each new finish is applied.

1 2 3

1.06

A.

4 5 6

TELEPHONE SERVICE

1.07

Provide, maintain, and pay for telephone service to field office at time of project mobilization.

TEMPORARY WATER SERVICE

7 8 9

A.

Owner will pay cost of temporary water. Exercise measures to conserve energy.

Utilize Owner’s existing water system, extend and supplement with temporary devices as needed to maintain specified conditions for construction operations.

10 11

B.

Extend branch piping with outlets located so water is available by hoses with threaded connections. [Provide temporary pipe insulation to prevent freezing.]

12

1.08

A.

13 14 15

TEMPORARY SANITARY FACILITIES

1.09

Provide and maintain required facilities and enclosures. Existing facility use is not permitted. Provide facilities at time of project mobilization.

FIELD OFFICES AND SHEDS

16

A.

Do not use existing facilities for field offices or for storage.

17 18 19

B.

Office not required, but may be provided by contractor. Weather tight, with lighting, electrical outlets, heating, and ventilating equipment, and equipped with sturdy furniture.

20 21

C.

Removal: At completion of Work remove buildings, foundations, utility services, and debris. Restore areas.

22

1.10

VEHICULAR ACCESS

23 24

A.

Extend and relocate vehicular access as Work progress requires, provide detours as necessary for unimpeded traffic flow.

25 26

B.

Provide unimpeded access for emergency vehicles. Maintain 20-foot wide driveways with turning space between and around combustible materials.

27

C.

Provide and maintain access to fire hydrants and control valves free of obstructions.

28

D.

Provide means of removing mud from vehicle wheels before entering streets.

29

E.

Use existing on-site roads for construction traffic.

Project # Š 2015 MSA Professional Services, Inc.

01 50 00-3

Temporary Facilities and Controls 6/5/2015

1

1.11

PARKING

2

A.

Arrange for parking areas to accommodate construction personnel.

3

B.

When site space is not adequate, provide additional off-site parking.

4 5

C.

Use of existing on-site streets and driveways used for construction traffic is permitted. Tracked vehicles not allowed on paved areas.

6

D.

Use of existing parking facilities used by construction personnel is permitted.

7

E.

Do not allow heavy vehicles or construction equipment in parking areas.

8

F.

Do not allow vehicle parking on existing pavement.

9 10 11 12 13

G.

Permanent Pavements And Parking Facilities: 1.

Prior to Substantial Completion, bases for permanent roads and parking areas may be used for construction traffic.

2.

Avoid traffic loading beyond paving design capacity. Tracked vehicles not allowed.

14 15 16 17 18 19

H.

Maintenance: 1.

Maintain traffic and parking areas in sound condition free of excavated material, construction equipment, products, mud, snow, and ice.

2.

Maintain existing and permanent paved areas used for construction; promptly repair breaks, potholes, low areas, standing water, and other deficiencies, to maintain paving and drainage in original, or specified, condition.

20 21 22 23 24 25

I.

Removal, Repair: 1.

Remove temporary materials and construction when permanent paving is usable.

2.

Remove underground work and compacted materials to depth of 2 foot fill and grade site as specified.

3.

Repair existing facilities damaged by use, to specified condition.

26 27

J.

Mud From Site Vehicles: Provide means of removing mud from vehicle wheels before entering streets.

28

1.12

PROGRESS CLEANING AND WASTE REMOVAL

29 30

A.

Maintain areas free of waste materials, debris, and rubbish. Maintain site in clean and orderly condition.

31 32

B.

Remove debris and rubbish from pipe chases, plenums, attics, crawl spaces, and other closed or remote spaces, prior to enclosing spaces.

Project # Š 2015 MSA Professional Services, Inc.

01 50 00-4

Temporary Facilities and Controls 6/5/2015

1 2

C.

Broom and vacuum clean interior areas prior to start of surface finishing, and continue cleaning to eliminate dust.

3 4

D.

Collect and remove waste materials, debris, and rubbish from site periodically and dispose off-site.

5 6

E.

Open free-fall chutes are not permitted. Terminate closed chutes into appropriate containers with lids.

7

1.13

PROJECT IDENTIFICATION

8 9 10

A.

Project Identification Sign: 1.

One (locate at Rice Lake building site) painted sign of construction, design, and content shown on Rural Development spec drawing.

11 12

B.

Finishes, Painting: Adequate to withstand weathering, fading, and chipping for duration of construction.

13 14 15 16 17

C.

Sign Materials: 1.

Structure and Framing: New wood structurally adequate.

2.

Sign Surfaces: As indicated, standard large sizes to minimize joints.

3.

Paint and Primers: Exterior quality, two coats.

4.

Lettering: Exterior quality paint.

18 19 20 21 22 23 24 25

D.

Installation: 1.

Install project identification sign within 15 calendar days after date fixed by Notice to Proceed.

2.

Erect at location of high public visibility adjacent to main entrance to site.

3.

Erect supports and framing on secure foundation, rigidly braced and framed to resist wind loadings.

4.

Install sign surface plumb and level, with butt joints. Anchor securely.

5.

Paint exposed surfaces of sign, supports, and framing.

26

E.

Maintenance: Maintain signs and supports clean, repair deterioration and damage.

27 28

F.

Removal: Remove signs, framing, supports, and foundations at completion of Project and restore area.

29

1.14

BARRIERS

30 31 32

A.

Provide barriers to prevent unauthorized entry to construction areas to allow for Owner’s use of site, and to protect existing facilities and adjacent properties from damage from construction operations and demolition.

33 34

B.

Provide barricades and covered walkways required by authorities having jurisdiction for public rights-of-way and for public access to existing building.

Project # Š 2015 MSA Professional Services, Inc.

01 50 00-5

Temporary Facilities and Controls 6/5/2015

C.

1

Provide protection for plants designated to remain. Replace damaged plants.

2 3 4

****************************************************************************** In the following paragraph, the term “non-owned” refers to insurance coverage for other vehicles not owned by named insureds.

5

****************************************************************************** D.

6 7 8

1.15

Protect non-owned vehicular traffic, stored materials, site, and structures from damage.

SECURITY

9 10 11 12 13 14

A.

Security Program: 1.

Protect Work, existing premises, and Owner’s operations from theft, vandalism, and unauthorized entry.

2.

Initiate program in coordination with Owner’s existing security system at project mobilization.

3.

Maintain program throughout construction period until Owner occupancy.

15 16 17

B.

Entry Control: 1.

Coordinate access of Owner’s personnel to site in coordination with Owner’s security forces.

18

1.16

A.

19 20 21

WATER CONTROL

1.17

Protect site from puddling or running water. Provide water barriers as required to protect site from soil erosion.

DUST CONTROL

22

A.

Execute Work by methods to minimize raising dust from construction operations.

23

B.

Provide positive means to prevent air-borne dust from dispersing into atmosphere.

24

1.18

EROSION AND SEDIMENT CONTROL

25 26

A.

Plan and execute construction by methods to control surface drainage from cuts and fills, from borrow and waste disposal areas. Prevent erosion and sedimentation.

27

B.

Minimize surface area of bare soil exposed at one time.

28 29

C.

Periodically inspect earthwork to detect evidence of erosion and sedimentation; promptly apply corrective measures.

Project # © 2015 MSA Professional Services, Inc.

01 50 00-6

Temporary Facilities and Controls 6/5/2015

1

1.19

REMOVAL OF UTILITIES, FACILITIES, AND CONTROLS

2 3

A.

Remove temporary utilities, equipment, facilities, materials, prior to Substantial Completion inspection.

4 5

B.

Remove underground installations to minimum depth of 2 feet. Grade site as indicated on Drawings.

6

C.

Clean and repair damage caused by installation or use of temporary work.

7 8 9

D.

Restore existing and permanent facilities used during construction to original condition. Restore permanent facilities used during construction to specified condition.

10 11 12 13 14

PART 2 PRODUCTS Not Used.

PART 3 EXECUTION Not Used.

END OF SECTION

Project # Š 2015 MSA Professional Services, Inc.

01 50 00-7

Temporary Facilities and Controls 6/5/2015

SECTION 01 60 00

1 2 3

PRODUCT REQUIREMENTS

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6

A.

Products.

7

B.

Product delivery requirements.

8

C.

Product storage and handling requirements.

9

D.

Product options.

10

E.

Product substitution procedures.

11

1.02

PRODUCTS

12 13

A.

Furnish products of qualified manufacturers suitable for intended use. Furnish products of each type by single manufacturer unless specified otherwise.

14 15

B.

Do not use materials and equipment removed from existing premises, except as specifically permitted by Contract Documents.

16 17

C.

Furnish interchangeable components from same manufacturer for components being replaced.

18

1.03

PRODUCT DELIVERY REQUIREMENTS

19

A.

Transport and handle products in accordance with manufacturer’s instructions.

20 21

B.

Promptly inspect shipments to ensure products comply with requirements, quantities are correct, and products are undamaged.

22 23

C.

Provide equipment and personnel to handle products by methods to prevent soiling, disfigurement, or damage.

24

1.04

PRODUCT STORAGE AND HANDLING REQUIREMENTS

25

A.

Store and protect products in accordance with manufacturers’ instructions.

26

B.

Store with seals and labels intact and legible.

27 28

C.

Store sensitive products in weather tight, climate controlled, enclosures in an environment favorable to product.

Project # © 2015 MSA Professional Services, Inc.

01 60 00-1

Product Requirements 6/5/2015

1

D.

For exterior storage of fabricated products, place on sloped supports above ground.

2 3

E.

Provide bonded off-site storage and protection when site does not permit on-site storage or protection.

4 5

F.

Cover products subject to deterioration with impervious sheet covering. Provide ventilation to prevent condensation and degradation of products.

6 7

G.

Store loose granular materials on solid flat surfaces in well-drained area. Prevent mixing with foreign matter.

8 9

H.

Provide equipment and personnel to store products by methods to prevent soiling, disfigurement, or damage.

10 11

I.

Arrange storage of products to permit access for inspection. Periodically inspect to verify products are undamaged and are maintained in acceptable condition.

12

1.05

PRODUCT OPTIONS

13 14

A.

Products Specified by Reference Standards or by Description Only: Any product meeting those standards or description.

15 16

B.

Products Specified by Naming One or More Manufacturers: products of one of manufacturers named and meeting specifications, no options or substitutions allowed.

17 18 19

C.

Products Specified by Naming One or More Manufacturers with Provision for Substitutions: Submit request for substitution for any manufacturer not named in accordance with the following article.

20

1.06

PRODUCT SUBSTITUTION PROCEDURES

21 22

A.

Architect/Engineer will consider requests for Substitutions only within 30 days after date established in Notice to Proceed.

23 24

B.

Substitutions may be considered when a product becomes unavailable through no fault of Contractor.

25 26

C.

Document each request with complete data substantiating compliance of proposed Substitution with Contract Documents.

27 28 29 30 31 32

D.

A request constitutes a representation that Contractor: 1.

Has investigated proposed product and determined that it meets or exceeds quality level of specified product.

2.

Will provide same warranty for Substitution as for specified product.

3.

Will coordinate installation and make changes to other Work which may be required for the Work to be complete with no additional cost to Owner.

Project # Š 2015 MSA Professional Services, Inc.

01 60 00-2

Product Requirements 6/5/2015

4.

1 2 3 4

5.

Waives claims for additional costs or time extension which may subsequently become apparent.

Will reimburse Owner and Architect/Engineer for review or redesign services associated with re-approval by authorities having jurisdiction.

5 6 7

E.

Substitutions will not be considered when they are indicated or implied on Shop Drawing or Product Data submittals, without separate written request, or when acceptance will require revision to Contract Documents.

8 9 10 11 12 13 14

F.

Substitution Submittal Procedure: 1.

Submit three copies of request for Substitution for consideration. Limit each request to one proposed Substitution.

2.

Submit Shop Drawings, Product Data, and certified test results attesting to proposed product equivalence. Burden of proof is on proposer.

3.

Architect/Engineer will notify Contractor in writing of decision to accept or reject request.

15 16 17 18 19 20

PART 2 PRODUCTS Not Used.

PART 3 EXECUTION Not Used.

END OF SECTION

Project # Š 2015 MSA Professional Services, Inc.

01 60 00-3

Product Requirements 6/5/2015

SECTION 01 70 00

1 2 3

EXECUTION AND CLOSEOUT REQUIREMENTS

4

PART 1 GENERAL

5

1.01

SECTION INCLUDES

6

A.

Closeout procedures.

7

B.

Final cleaning.

8

C.

Starting of systems.

9

D.

Demonstration and instructions.

10

E.

Testing, adjusting and balancing.

11

F.

Protecting installed construction.

12

G.

Project record documents.

13

H.

Operation and maintenance data.

14

I.

Manual for materials and finishes.

15

J.

Manual for equipment and systems.

16

K.

Product warranties and product bonds.

17

1.02

CLOSEOUT PROCEDURES

18 19 20

A.

Submit written certification that Contract Documents have been reviewed, Work has been inspected, and that Work is complete in accordance with Contract Documents and ready for Architect/Engineer’s review.

21

B.

Provide submittals to Architect/Engineer required by authorities having jurisdiction.

22 23

C.

Submit final Application for Payment identifying total adjusted Contract Sum, previous payments, and sum remaining due.

24

1.03

FINAL CLEANING

25

A.

Execute final cleaning prior to final project assessment.

26 27 28

B.

Clean interior and exterior glass, surfaces exposed to view; remove temporary labels, stains and foreign substances, polish transparent and glossy surfaces, vacuum carpeted and soft surfaces.

Project # Š 2015 MSA Professional Services, Inc.

01 70 00-1

Execution and Closeout Requirements 6/5/2015

1 2

C.

Clean equipment and fixtures to sanitary condition with cleaning materials appropriate to surface and material being cleaned.

3

D.

Replace filters of operating equipment.

4

E.

Clean site; sweep paved areas, rake clean landscaped surfaces.

5

F.

Remove waste and surplus materials, rubbish, and construction facilities from site.

6

1.04

STARTING OF SYSTEMS

7

A.

Coordinate schedule for start-up of various equipment and systems.

8

B.

Notify Owner prior to start-up of each item.

9 10

C.

Verify tests, meter readings, and specified electrical characteristics agree with those required by equipment or system manufacturer.

11

D.

Verify wiring and support components for equipment are complete and tested.

12 13

E.

Execute start-up under supervision of applicable Contractors’ personnel in accordance with manufacturers’ instructions.

14

1.05

DEMONSTRATION AND INSTRUCTIONS

15 16

A.

Demonstrate operation and maintenance of products to Owner’s personnel two weeks prior to date of Substantial Completion.

17 18

B.

For equipment or systems requiring seasonal operation, perform demonstration for other season within six months.

19 20 21

C.

Utilize operation and maintenance manuals as basis for instruction. Review contents of manual with Owner’s personnel in detail to explain all aspects of operation and maintenance.

22 23

D.

Demonstrate start-up, operation, control, adjustment, trouble-shooting, servicing, maintenance, and shutdown of each item of equipment at agreed time.

24 25 26 27

1.06

TESTING, ADJUSTING AND BALANCING A.

Reports will be submitted by Contractor to Architect/Engineer indicating results of exhaust fan flows and indicating compliance with requirements of Contract Documents.

Project # © 2015 MSA Professional Services, Inc.

01 70 00-2

Execution and Closeout Requirements 6/5/2015

1

1.07

PROTECTING INSTALLED CONSTRUCTION

2 3

A.

Protect installed Work and provide special protection where specified in individual specification sections.

4 5

B.

Provide temporary and removable protection for installed products. Control activity in immediate work area to prevent damage.

6 7

C.

Provide protective coverings at walls, projections, jambs, sills, and soffits of openings.

8 9

D.

Protect finished floors, stairs, and other surfaces from traffic, dirt, wear, damage, or movement of heavy objects, by protecting with durable sheet materials.

10

E.

Prohibit traffic from landscaped areas.

11

1.08

PROJECT RECORD DOCUMENTS

12 13 14 15 16 17 18 19

A.

Maintain on site one set of the following record documents; record actual revisions to the Work: 1.

Drawings.

2.

Specifications.

3.

Addenda.

4.

Change Orders and other modifications to the Contract.

5.

Reviewed Shop Drawings, Product Data, and Samples.

6.

Manufacturer’s instruction for assembly, installation, and adjusting.

20

B.

Ensure entries are complete and accurate, enabling future reference by Owner.

21

C.

Store record documents separate from documents used for construction.

22

D.

Record information concurrent with construction progress, not less than weekly.

23 24 25 26 27

E.

Specifications: Legibly mark and record at each product section description of actual products installed, including the following: 1.

Manufacturer’s name and product model and number.

2.

Product substitutions or alternates utilized.

3.

Changes made by Addenda and modifications.

28 29 30 31

F.

Record Drawings and Shop Drawings: Legibly mark each item to record actual construction including: 1.

Field changes of dimension and detail.

2.

Details not on original Contract drawings.

32 33

G.

Submit documents to Architect/Engineer prior to claim for final Application for Payment.

Project # © 2015 MSA Professional Services, Inc.

01 70 00-3

Execution and Closeout Requirements 6/5/2015

1

1.09

OPERATION AND MAINTENANCE DATA

2 3

A.

Submit data bound in 8-1/2 x 11 inch text pages, three ring binders with durable plastic covers.

4 5 6

B.

Prepare binder cover with printed title “OPERATION AND MAINTENANCE INSTRUCTIONS”, title of project, and subject matter of binder when multiple binders are required.

7 8 9

C.

Internally subdivide binder contents with permanent page dividers, logically organized as described below; with tab titling clearly printed under reinforced laminated plastic tabs.

10 11

D.

Drawings: Provide with reinforced punched binder tab. Bind in with text; fold larger drawings to size of text pages.

12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33

E.

Contents: Prepare Table of Contents for each volume, with each product or system description identified, typed on white paper, in three parts as follows: 1.

Part 1: Directory, listing names, addresses, and telephone numbers of Architect/Engineer, Contractor, Subcontractors, and major equipment suppliers.

2.

Part 2: Operation and maintenance instructions, arranged by system and subdivided by specification section. For each category, identify names, addresses, and telephone numbers of Subcontractors and suppliers. Identify the following: a.

Significant design criteria. b.

List of equipment. c.

Parts list for each component. d.

Operating instructions. e.

Maintenance instructions for equipment and systems. f.

Maintenance instructions for finishes, including recommended cleaning methods and materials, and special precautions identifying detrimental agents.

3.

Part 3: Project documents and certificates, including the following: a.

Shop drawings and product data. b.

Air and water balance reports. c.

Certificates. d.

Originals of warranties and bonds.

34 35 36

1.10

MANUAL FOR MATERIALS AND FINISHES A.

For equipment, or component parts of equipment put into service during construction and operated by Owner, submit documents within ten days after acceptance.

Project # © 2015 MSA Professional Services, Inc.

01 70 00-4

Execution and Closeout Requirements 6/5/2015

1 2 3

B.

Submit one copy of completed volumes 15 days prior to final inspection. Draft copy be reviewed and returned after final inspection, with Architect/Engineer comments.

Revise content of document sets as required prior to final submission.

4 5

C.

Submit one copy of revised final volumes in final form within 10 days after final inspection.

6 7 8

D.

Building Products, Applied Materials, and Finishes: Include product data, with catalog number, size, composition, and color and texture designations. Include information for re-ordering custom manufactured products.

9 10 11

E.

Instructions for Care and Maintenance: Include manufacturer’s recommendations for cleaning agents and methods, precautions against detrimental agents and methods, and recommended schedule for cleaning and maintenance.

12 13 14

F.

Moisture Protection and Weather Exposed Products: Include product data listing applicable reference standards, chemical composition, and details of installation.

Include recommendations for inspections, maintenance, and repair

15

1.11

MANUAL FOR EQUIPMENT AND SYSTEMS

16 17

A.

For equipment, or component parts of equipment put into service during construction and operated by Owner, submit documents within ten days after acceptance.

18 19 20

B.

Submit one copy of completed volumes 15 days prior to final inspection. Draft copy be reviewed and returned after final inspection, with Architect/Engineer comments.

Revise content of document sets as required prior to final submission.

21 22

C.

Submit one copy of revised final volumes in final form within 10 days after final inspection.

23 24 25 26

D.

Each Item of Equipment and Each System: Include description of unit or system, and component parts. Identify function, normal operating characteristics, and limiting conditions. Include performance curves, with engineering data and tests, and complete nomenclature and model number of replaceable parts.

27 28 29

E.

Operating Procedures: Include start-up, break-in, and routine normal operating instructions and sequences. Include regulation, control, stopping, shutdown, and emergency instructions. Include summer, winter, and special operating instructions.

30 31 32

F.

Maintenance Requirements: Include routine procedures and guide for preventative maintenance and troubleshooting; disassembly, repair, and reassembly instructions; and alignment, adjusting, balancing, and checking instructions.

33

G.

Include servicing and lubrication schedule, and list of lubricants required.

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1

H.

Include manufacturer’s printed operation and maintenance instructions.

2

I.

Include sequence of operation by controls manufacturer.

3 4

J.

Include original manufacturer’s parts list, illustrations, assembly drawings, and diagrams required for maintenance.

5 6

K.

Include test and balancing reports as specified in Section 01 40 00 - Quality Requirements

7

1.12

PRODUCT WARRANTIES AND PRODUCT BONDS

8 9 10

A.

Obtain warranties and bonds executed in duplicate by responsible subcontractors, suppliers, and manufacturers, within ten days after completion of applicable item of work.

11 12

B.

Execute and assemble transferable warranty documents and bonds from subcontractors, suppliers, and manufacturers.

13

C.

Verify documents are in proper form, contain full information, and are notarized.

14

D.

Co-execute submittals when required.

15 16

E.

Include Table of Contents and assemble in three D-ring side binder with durable plastic cover.

17

F.

Submit prior to final Application for Payment.

18 19 20 21 22 23 24 25 26

G.

Time of Submittals: 1.

For equipment or component parts of equipment put into service during construction with Owner’s permission, submit documents within ten days after acceptance.

2.

Make other submittals within ten days after Date of Substantial Completion, prior to final Application for Payment.

3.

For items of Work for which acceptance is delayed beyond Date of Substantial Completion, submit within ten days after acceptance, listing date of acceptance as beginning of warranty or bond period.

27 28 29 30 31 32

PART 2 PRODUCTS Not Used.

PART 3 EXECUTION Not Used.

END OF SECTION

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RD Instruction 1924-A Guide 1 Attachment 2 Page 1 ATTACHMENT TO AIA DOCUMENT A701-1997, INSTRUCTIONS TO BIDDERS The provisions of this Attachment shall delete, modify and supplement the provisions contained in the "Instructions to Bidders,” AIA Document A701-1997 Edition. The provisions contained in this Attachment will supersede any conflicting provisions of the AIA Document. The term "Agency,” as used in this Attachment, means the United States of America, acting through the United States Department of Agriculture.

ARTICLE 2, BIDDER'S REPRESENTATIONS Add the following subparagraph: 2.1.5 This Bid has been arrived at independently, without consultation, communication, or agreement as to any matter relating to this Bid with any other Bidder or with any competitor.

ARTICLE 4, BIDDING PROCEDURES Add the following to subparagraph 4.1.1: Only one copy of the Bid is to be submitted.

Delete subparagraph 4.2.1 and substitute the following: 4.2.1 Each Bid must be accompanied by a Bid Bond payable to the Owner for five percent of the total amount of the Bid. Delete subparagraph 4.2.2 and substitute the following: 4.2.2 The Bid Bond shall be written on a form identical to that included in the Bidding Documents, and the attorney-infact who executes the bond on behalf of the surety shall affix to the bond a certified and current copy of the power of attorney.

Add the words “payment and performance” before the word “bonds”; and add the following to subparagraph 4.2.3: As soon as the Bid prices have been compared, the Owner will return the Bonds of all except the three lowest responsible Bidders. When the Agreement is executed, the bonds of the two remaining unsuccessful bidders will be returned. The Bid Bond of the successful Bidder will be retained until the Payment Bond and Performance Bond have been executed and approved, after which it will be returned.

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RD Instruction 1924-A Guide 1 Attachment 2 Page 2

Add the following to subparagraph to paragraph 4.2: 4.2.4 In the case of failure of the Bidder to execute the Agreement and obtain the Performance Bond and Payment Bond within the agreed time, the Owner may consider the Bidder in default, in which case the Bid Bond accompanying the bid shall become the property of the Owner.

Add the following subparagraphs to paragraph 4.3: 4.3.5 All applicable laws, ordinances, and the rules and regulations of all authorities having jurisdiction over construction of the Project shall apply to the Contract throughout.

4.3.6 The Bidder agrees to abide by the requirements under Executive Order No. 11246, as amended, including specifically the provisions of the Equal Opportunity Clause and the Standard Federal Equal Employment Opportunity Construction Contract Specifications set forth in the Supplementary Conditions.

4.3.7 Further, the Bidder agrees to abide by the requirements of section 319 of Public Law 101-121, which pertains to lobbying activities and applies to the recipients of contracts or subcontracts that exceed $100,000 at any tier under a Federal loan that exceeds $150,000 or a Federal Grant that exceeds $100,000. Each Bid shall be accompanied by a completed lobbying certification form identical to that included in the Bidding Documents.

4.3.8 The Bidder agrees to abide by the requirements under 7 C.F.R. part 3017, which pertains to the debarment or suspension of a person from participating in a Federal program or activity. Each Bid exceeding $25,000 shall be accompanied by a relevant completed certifications form identical to that included in the Bidding Documents.

Delete subparagraph 4.4.1 and substitute the following: 4.4.1 No Bidder may withdraw, modify or cancel a Bid within 60 calendar days after the actual date of the opening thereof.

Should there be reasons why the Contract cannot be awarded within the specified period; the time may be extended by mutual agreement between the Owner and the Bidder, and the concurrence of the Agency.

Delete the words ", if required," from subparagraph 4.4.4.

RD Instruction 1924-A Guide 1 Attachment 2 Page 3 ARTICLE 5, CONSIDERATION OF BIDS Delete subparagraph 5.3.2 and substitute the following: 5.3.2 The Owner shall have the right to accept Alternates in the sequence listed and to determine the low Bidder on the basis of the sum of the Base Bid and the Alternates accepted.

ARTICLE 7, PERFORMANCE BOND AND PAYMENT BOND Delete subparagraph 7.1.1 and substitute the following: 7.1.1 Prior to execution of the Contract, the Bidder shall furnish bonds covering the faithful performance of the Contract and the payment of any obligations arising thereunder in such form and amount as the Owner may prescribe. Both bonds shall be separately written, each in the amount of the contract sum. The cost shall be included in the Bid. Delete subparagraph 7.1.2 and substitute the following: 7.1.2 Surety companies executing bonds must hold a certificate of authority as an acceptable surety on Federal Bonds as listed in Treasury Circular 570, as amended, and be authorized to transact business in the State where the Project is located.

Delete subparagraph 7.1.3.

Delete subparagraph 7.2.1 and substitute the following: 7.2.1 The party to whom the Contract is awarded will be required to execute the Agreement and obtain a Performance Bond and Payment Bond within ten (10) calendar days from the date when the Notice of Award is delivered to the Bidder. The Notice shall be accompanied by the necessary Agreement and Bond forms.

Delete subparagraph 7.2.2 and substitute the following: 7.2.2 The bonds shall be written on forms identical to those included in the Bidding Documents.

(NOTE: Any additional provisions that are necessary to remain effective after execution of the Contract for Construction will be inserted here and continue in the same format.) o0o (08-26-98) PN 296

Barron County Housing, LLC RD Instruction 1924-A Guide 27 Page 1

ATTACHMENT TO AIA DOCUMENT A102-2007, Standard Form of Agreement Between Owner and Contractor where the basis of payment is the Cost of the Work Plus a Fee with a Guaranteed Maximum Price.

The provisions of this Attachment shall delete, modify and supplement the provisions contained in the “Standard Form of Agreement Between Owner and Contractor,� AIA Document A102-2007 Edition. The provisions contained in this attachment shall supersede any conflicting provisions of the AIA Document.

ARTICLE 4, DATE OF COMMENCEMENT AND SUBSTANTIAL COMPLETION Delete paragraph 4.1 and substitute the following: 4.1 The date of commencement shall be contained in the Notice to Proceed.

Add the following to paragraph 4.3: If the work is not substantially complete on or before this date, or within this period of time, or extension thereof granted by the Owner, damage will be sustained by the Owner and that it is and will be impracticable and extremely difficult to fix the actual damage which the Owner will sustain in the event of and by reason of such delays. The Contractor shall pay to the Owner liquidated damages in the sum of $ _____________ for each calendar day of delay. Any sums that may be due the Owner as liquidated damages may be deducted from any monies due or to become due the Contractor under the Contract or may be collected from the Contractor's surety.

ARTICLE 12, PAYMENTS Insert "ten" and "10" in the appropriate spaces in clauses 12.1.7.3 and subparagraph 12.1.7.4.

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Insert the following sentences in subparagraph 12.1.7.4: The amount retained shall be 10% of the value of Work until 50% of the Work has been completed. At 50% completion, further partial payments shall be made in full to the Contractor and no additional amounts may be retained unless the Architect certifies that the Work is not proceeding satisfactorily, but amounts previously retained shall not be paid to the Contractor. At 50% completion or any time thereafter when the progress of the Work is not satisfactory, additional amounts may be retained but in no event shall the total retainage be more than 10% of the value of Work completed.

ARTICLE 15, MISCELLANEOUS PROVISIONS Add the following subparagraph to paragraph 15.6: 15.6.1 This Agreement shall not become effective until concurred in writing by the Agency. Such concurrence shall be evidences by the signature of a duly authorized representative of the Agency in the space provided at the end of this Attachment to the Agreement. The concurrence so evidenced by the Agency shall in no way commit the Agency to render financial assistance to the Owner and is without liability to the Agency for any payment thereunder, but in the event such assistance is provided, the concurrence shall signify the provisions of this Agreement are consistent with Agency requirements.

ARTICLE 16, ENUMERATION OF CONTRACT DOCUMENTS The following Documents should be referenced, if applicable: Subparagraph 16.1.3: Attachment to the Standard Form of Agreement Between Owner and Contractor (this Attachment) General Conditions of the Contract for Construction, AIA A201-2007 Attachment to the General Conditions of the Contract for Construction (RD Instruction 1942-A, Guide 27, Attachment 4) Special Conditions

Barron County Housing, LLC RD Instruction 1924-A Guide 27 Page 3 Subparagraph 16.1.7.2: Invitation for Bids (Form RD 1924-5 OR Architect’s Bid Form) Instructions to Bidders, AIA A701-1997 Attachment to the Instructions to Bidders (RD Instruction 1924-A, Guide 27, Attachment 2) Bid Form Compliance Statement (Form RD 400-6) Payment Bond Performance Bond Certification Regarding Debarment, Suspension, Covered Transactions (Form AD 1048) Disclosure of Lobbying Activities (SF-LLL) Certification for Contracts, Grants and Loans (RD Instruction 1940-Q, Exhibit A-1)

Delete the signature block on page 14 of this Agreement, and substitute the block on the following page:

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Barron County Housing RD Instruction 1924-A Guide 27 Page 4

IN WITNESS WHEREOF, the parties hereto have executed, or caused to be executed by their duly authorized officials, this Agreement in duplicate on the respective dates indicated below: OWNER: ATTEST: _____________________

By _______________________________

Type Name ___________________

Type Name ________________________

Title _______________________

Title ____________________________

Date ________________________

Date _____________________________ CONTRACTOR:

ATTEST: _____________________

By _______________________________

Type Name ___________________

Type Name ________________________

Title _______________________

Title ____________________________

Date ________________________

Date _____________________________

AGENCY CONCURRENCE: By ________________________________ Type Name _________________________ Title _____________________________ Date ______________________________ The concurrence so evidenced by the Agency shall in no way commit the Agency to render financial assistance to the Owner and is without liability to the Agency for any payment hereunder, but in the event such assistance is provided, the concurrence shall signify the provisions of this Agreement are consistent with Agency requirements.

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RD Instruction 1924-A Guide 1 Attachment 10 Page 1

ATTACHMENT TO AIA DOCUMENT A201-2007, General Conditions of the Contract for Construction The provisions of this attachment shall delete, modify and supplement the provisions contained in the "General Conditions of the Contract for Construction,� AIA Document A201-2007 Edition. The provisions contained in this attachment will supersede any conflicting provisions of the AIA Document. The term "Agency,� as used in this Attachment, shall mean the United States of America, acting through the United States Department of Agriculture.

ARTICLE 1,

GENERAL PROVISIONS

Add the following subparagraph: 1.2.4 Concurrence of the Contract by the Agency is required before it is effective and the "Concurrence" statement shall be attached to and made a part of the Agreement.

ARTICLE 2,

OWNER

Delete subparagraph 2.2.5 and substitute the following: 2.2.5 The Contractor will be furnished, free of charge, five (5) copies of the Drawings and Projects Manuals necessary for execution of the Work. Additional copies will be available from the Architect at the cost of reproduction.

ARTICLE 3,

CONTRACTOR

Delete subparagraph 3.7.1 and substitute the following: The Owner shall secure and pay for the health and environmental impact fees due to water and sewer connections, and the zoning regulation fees and permits.

The Contractor shall secure and pay for the building, mechanical, electrical, and plumbing permits and other governmental fees, licenses, and inspections necessary for proper execution of and completion of the Contract which are legally required when bids are received or negotiations concluded.

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ARTICLE 4, ARCHITECT Add the following to subparagraph 4.1.1: The term "Architect" means the Architect or the Engineer, when the nature of the work is within the authority granted engineers by the State licensure law, or an authorized representative.

ARTICLE 5, SUBCONTRACTORS Add the following to subparagraph 5.2.2: The Contractor shall not contract with any party who is suspended or debarred by any Federal government agency from participating in Federally assisted construction projects or to whom the Owner or the Architect has made reasonable and timely objection.

ARTICLE 7, CHANGES IN THE WORK Delete the words ", Construction Change Directive" from subparagraph 7.1.1.

Insert the words ", Agency " after the word "Owner,� and delete the words "; a Construction Change Directive requires agreement by the Owner and Architect and may or may not be agreed to by the Contractor" in subparagraph 7.1.2.

Delete the words "Construction Change Directive" from subparagraph 7.1.3.

Delete subparagraph 7.2.1 and substitute the following: 7.2.1 A Change Order is a written order to the Contractor utilizing Form RD 1924-7, "Contract Change Order," or AIA G-701 signed by the Owner, Architect, Contractor, and the Agency representative. It is issued after the execution of the Contract, authorizing a change in the Work or an adjustment in the Contract Sum or the Contract Time. The Contract Sum and the Contract Time may be changed only by Change Order. The Contractor's signing of a Change Order indicates complete agreement therein.

RD Instruction 1924-A Guide 1 Attachment 10 Page 3

Add subparagraph 7.2.2: 7.2.2 Methods used in determining adjustments to the Contract Sum may include any of the following: .1

Mutual acceptance of a lump sum properly itemized and supported by sufficient substantiating data to permit evaluating.

.2

Unit prices stated in the Contract Documents or subsequently agreed upon.

Delete paragraph 7.3 in its entirety.

ARTICLE 8, TIME Add the following subparagraphs: 8.2.4 The Notice to Proceed shall be issued within twenty (20) calendar days of the execution of the Agreement by the Owner. Should there be reasons why the Notice to Proceed cannot be issued within such period, the time may be extended by mutual agreement of the Owner and Contractor, with the concurrence of the Agency. If the Notice to Proceed has not been issued within the twenty (20) calendar day period or within the period mutually agreed, the Contractor may terminate the Agreement without further liability on the part of either party.

8.3.4 As outlined in Article 3 of the Agreement, the Contractor agrees to pay liquidated damages to the Owner for each calendar day the Contractor shall be in default.

ARTICLE 9, PAYMENTS AND COMPLETION Delete clause 9.3.1.1 and substitute the following: 9.3.1.1 Work performed and materials supplied under a Change Order may be included for payment only after the Change Order has been approved by all appropriate parties, including the Agency.

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Delete Subparagraph 9.3.2 and substitute the following: 9.3.2 Unless otherwise provided in the Contract documents, payments shall be made on account of materials and equipment delivered and suitably stored at the site for subsequent incorporation in the Work. Payment shall be conditioned upon compliance by the Contractor with procedures satisfactory to the Owner to establish the Owner's title to such materials and equipment or otherwise protect the Owner's interest.

Add the words ", using AIA Document 702, 'Application and Certificate for Payment' or Form RD 1924-18, 'Partial Payment Estimate'," after "Certificate for Payment" in subparagraph 9.4.1.

Add the following subparagraph: 9.6.8 No progress payments will be made that deplete the retainage, nor place in escrow any funds that are required for retainage, nor invest the retainage for the benefit of the Contractor. Retainage will not be adjusted until after construction is substantially complete.

Replace the word "seven" with the words "fifteen (15)" in the first sentence , third line of subparagraph 9.7.

Delete subparagraph 9.8.5, after the first sentence, and substitute the following: 9.8.5 When the Work has been substantially completed, except for Work which cannot be completed because of weather conditions, lack of materials or other reasons, which, in the judgment of the Owner, are valid reasons for non-completion, the Owner may make additional payments, retaining at all times an amount sufficient to cover the estimated cost of the Work still to be completed. Provide a copy of the Certificate to the Agency.

Delete subparagraphs 9.9.1 through 9.9.3 and substitute the following: 9.9.1 The Contractor agrees to the use and occupancy of a portion or unit of the Project before formal acceptance by the Owner under the following conditions: .1

A “Certificate of Substantial Completion� shall be prepared and executed as provided in subparagraph 9.8.4, except that when, in the opinion of the Architect, the Contractor is chargeable with unwarranted delay in completing the Work or other

RD Instruction 1924-A Guide 1 Attachment 10 Page 5

Contract requirements, the signature of the Contractor will not be required. The Certificate of Substantial Completion shall be accompanied by a written endorsement of the Contractor's insurance carrier and surety permitting occupancy by the Owner during the remaining period of the Project Work. Occupancy by the Owner shall also be authorized by public authorities having jurisdiction over the Work. .2

Occupancy by the Owner shall not be construed by the Contractor as being an acceptance of that part of the Project to be occupied.

.3

The Contractor shall not be held responsible for any damage to the occupied part of the Project resulting from the Owner's occupancy.

.4

Occupancy by the Owner shall not be deemed to constitute a waiver of existing claims in behalf of the Owner or Contractor against each other.

.5

If the Project consists of more than one building, and one of the buildings is to be occupied, the Owner, prior to occupancy of that building, shall secure permanent property insurance on the building to be occupied and necessary permits which may be required for use and occupancy.

9.9.2 With the exception of clause 9.9.1.5, use and occupancy by the Owner prior to Project acceptance does not relieve the Contractor of responsibility to maintain all insurance and bonds required of the Contractor under the Contract until the Project is completed and accepted by the Owner.

Delete the second and third sentences of subparagraph 9.10.2.

ARTICLE 11, INSURANCE AND BONDS Replace the words "the Contract Documents" with the words "subparagraph 11.1.5" in the first sentence of subparagraph 11.1.2.

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RD Instruction 1924-A Guide 1 Attachment 10 Page 6

Add the following subparagraph: 11.1.5.

Insurance shall be:

.1

Written with a limit of liability of not less than $500,000 for all damages arising out of bodily injury, including death, at any time resulting therefrom, sustained by any one person in any one accident; and a limit of liability of not less than $500,000 aggregate for any such damages sustained by two or more persons in any one accident.

Insurance shall be written with a limit of liability of not less than $200,000 for all property damage sustained by any one person in any one accident; and a limit of liability of not less than $200,000 aggregate for any such damage sustained by two or more persons in any one accident, or,

.2

Written with a combined bodily injury and damage liability of not less than $700,000 per occurrence; and with an aggregate of not less than $700,000 per occurrence.

Add the following sentence to the end of subparagraph 11.3.1 The policy shall name as the insured the Contractor and the Owner.

Insert the word "Owner" after the words "protect the interests of the" in the second sentence of subparagraph 11.3.1.2.

Add the following sentence to the end of subparagraph 11.3.6: The provisions of this subparagraph shall apply to the Contractor if the Contractor purchases and maintains said insurance coverage.

Delete subparagraph 11.3.7 in its entirety.

Delete subparagraph 11.4.1 and substitute the following: 11.4.1 The Contractor shall furnish the Owner bonds covering faithful performance of the Contract and payment of obligations arising thereunder within ten (10) calendar days after receipt of the Notice of Award. The surety company executing the bonds must hold a certificate of authority as an acceptable surety on Federal bonds as listed in Treasury Circular 570, and be authorized to transact business in the

RD Instruction 1924-A Guide 1 Attachment 10 Page 7

State where the Project is located. The bonds (using the forms included in the Bidding Documents) shall each be equal to the amount of the Contract Sum. The cost of these bonds shall be included in the Contract Sum Add the following clauses: 11.4.1.1 The Contractor shall require the attorney-in-fact who executes the required bonds on behalf of the surety to affix thereto a certified and current power of attorney.

11.4.1.2 If at any time a surety on any such bond is declared bankrupt or loses its right to do business in the State in which the work is to be performed or is removed from the list of surety companies accepted on Federal Bonds, the Contractor shall within ten (10) calendar days after notice from the Owner to do so, substitute an acceptable bond in such form and sum and signed by such other surety or sureties as may be satisfactory to the Owner. The premiums of such bond shall be paid by any Contractor. No further payment shall be deemed due nor shall be made until the new surety or sureties shall have furnished an acceptable bond to the Owner.

Add the following paragraph: 11.5

LATENT DEFECTS PROTECTION

11.5.1 If the Contractor does not furnish payment and performance bonds, he or she shall agree to provide surety or guarantee acceptable to the Owner and the Agency against latent obligations and defects in connection with the construction. .1

The Contractor shall furnish a properly executed corporate latent defects bond, a maintenance bond, an unconditional and irrevocable letter of credit, or a cash deposit into a supervised bank account. Whichever instrument is used shall be in the amount of 10 percent of the Contract Sum.

.2

The period of protection against latent obligations and defects shall be one year from the final acceptance of Work by the Owner and the Agency.

.3

Final payment to the Contractor shall not be issued until the provisions of clause 11.6.1.1 have been met.

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ARTICLE 13, MISCELLANEOUS PROVISIONS Add the following paragraphs: 13.8

FEDERAL INSPECTION

13.8.1 The authorized representatives and agents of the Federal Government shall be permitted to inspect all work, materials, payrolls, records of personnel, invoices of materials, and other relevant data and records.

13.9

LANDS AND RIGHTS-OF WAY

13.9.1 Prior to the start of construction, the Owner shall obtain all lands and rights-of-way necessary for the execution and completion of work to be performed under this contract.

13.10

EQUAL OPPORTUNITY REQUIREMENTS

Non-discrimination in Employment by Federally Assisted Construction Contractors, by Executive Order 11246.

13.10.1 This section summarizes Executive Order 11246, which prohibits employment discrimination and requires employers holding non-exempt Federal contracts and subcontracts and federally-assisted construction contracts and subcontracts in excess of $10,000 to take affirmative action to ensure equal employment opportunity without regard to race, color, religion, sex, or national origin. The Executive Order requires, as a condition for the approval of any federally assisted construction contract, that the applicant incorporate nondiscrimination and affirmative action clauses into its nonexempt federally assisted construction contracts.

13.10.2 Executive Order 11246, is administered and enforced by the Office of Federal Contract Compliance Programs (OFCCP), an agency in the U.S. Department of Labor's Employment Standards Administration. OFCCP has issued regulations at 41 C.F.R. chapter 60 implementing the Executive Order. The regulations at 41 C.F.R. part 60-4 establish the procedures which the Agency, as an administering agency, must follow when making grants, contracts, loans, insurance or guarantees involving federally assisted construction which is not exempt from the requirements of Executive Order 11246. The regulations which apply to Federal or federally assisted construction contractors also are published at 41 C.F.R. part 60-4.

RD Instruction 1924-A Guide 1 Attachment 10 Page 9 13.10.3 OFCCP has established numerical goals for minority and female utilization in construction work. The goals are expressed in percentage terms for the contractor's aggregate workforce in each trade. OFCCP has set goals for minority utilization based on the percentage of minorities in the civilian labor force in the relevant area. There is a single nationwide goal of 6.9 percent for utilization of women. The goals apply to all construction work in the covered geographic area, whether or not it is federal, federally assisted or nonfederal. A notice advises bidders of the applicable goals for the area where the project is to be located.

13.10.4 Application. This section applies to all of a construction contractor's or subcontractor's employees who are engaged in on-site construction including those construction employees who work on a non-Federal or non-Federally assisted construction site.

13.10.4.1 Agency officials will notify the appropriate Regional Director of OFCCP that an Agency financed construction contract has been awarded, and that the equal opportunity clauses are included in the contract documents.

13.10.4.2 The Regional Director, OFCCP-DOL, will enforce the non-discrimination requirements of Executive Order 11246.

13.10.5 The prospective contractor or subcontractor must comply with the Immigration Reform and Control Act of 1986, by completing and retaining Form I-9, "Employment Eligibility Verification," for employees hired. This form is available from the Immigration and Naturalization Service, and Department of Justice.

13.10.6 The prospective contractor or subcontractor must submit Form RD 400-6, "Compliance Statement," to the applicant and an Agency official as part of the bid package, prior to any contract bid negotiations and comply with the Executive Order 11246 as stated in the contract documents.

13.11

STATUTES

13.11.1 The Contractor and each Subcontractor shall comply with the following statutes (and with regulations issued pursuant thereto, which are incorporated herein by reference): 13.11.1.1 Copeland Anti-Kickback Act (18 U.S.C. 874) as supplemented in Department of Labor regulations (29 C.F.R. part 3). This Act provides that each Contractor shall be prohibited from inducing, by any means, any person in

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connection with construction to give up any part of the compensation to which the person is otherwise entitled.

13.11.1.2 Clean Air Act (42 U.S.C. 7414), section 114, and Water Pollution Control Act (33 U.S.C. 1813), section 308.

Under Executive Order 11738 and Environmental Protection Agency (EPA) regulations 40 C.F.R. part 15, all Contracts in excess of $100,000 are required to comply with these Acts.

The Acts require the Contractor to: .1

Notify the Owner of the receipt of any communication from EPA indicating that a facility to be utilized in the performance of the Contract is under consideration to be listed on the EPA list of Violating Facilities.

.2

Certify that any facility to be utilized in the performance of any nonexempt Contractor or Subcontractor is not listed on the EPA list of Violating Facilities as of the date of the Contract Award.

.3

Include or cause to be included the above criteria and requirements of paragraphs .1 and .2 in every nonexempt subcontract, and that the Contractor will take such action as the Government may direct as a means of enforcing such provisions.

13.11.1.3 Davis-Bacon Act(40 U.S.C. 276a) as supplemented in Department of Labor regulations (29 C.F.R. part 5). If applicable, the Contractor must comply with the minimum rates for wages for laborers and mechanics as determined by the Secretary of Labor in accordance with the provision of this Act. 13.11.1.4 Restrictions on Lobbying (Public Law 101-121, section 319) as supplemented in Department of Agriculture regulations (7 C.F.R. part 3018). This statute applies to the recipients of contracts or subcontracts that exceed $100,000 at any tier under a Federal loan that exceeds $150,000 or a Federal grant that exceeds $100,000. If applicable, the Contractor must complete a certification form on lobbying activities related to the specific Federal loan or grant that is a funding source for this contract.

The certification and disclosure forms shall be provided by the Owner.

RD Instruction 1924-A Guide 1 Attachment 10 Page 11

13.12

RECORDS

13.12.1 If the Contract is based on a negotiated Bid, the Owner, the Agency, the Comptroller General of the United States, or any of their duly authorized representatives, shall have access to any books, documents, papers, and records of the Contractor which are pertinent to a specific Federal loan program for the purpose of making audit, examination, excerpts, and transcriptions. The Contractor shall maintain records for at least three years after the Owner makes final payment and all other pending matters are closed.

13.13

IDENTITY OF INTEREST

13.13.1 The Owner will complete and sign Form RD 3560-30, "Identity of Interest (IOI) Disclosure Certificate." If applicable, the Contractor or any Subcontractor, Material Supplier, or Equipment Lessor sharing an identity of interest will, prior to receipt of any payment, complete and sign Form RD 3560-31, "Identity of Interest (IOI) Qualification."

13.13.2 If and when an identity of interest exists, the Contractor, Subcontractor, Material Suppliers, or Equipment Lessor: 13.13.2.1 Will, prior to receipt of any payment, provide the Owner and the Agency a written assertion that it has an accounting system suitably designed to provide for a lineitem basis comparison of the actual cost with the estimated cost.

13.13.2.2 Will, prior to receipt of any payment, provide the Owner and the Agency with a detailed breakdown of the estimated cost amount for evaluation, using Form RD 192413, "Estimate and Certificate of Actual Cost."

13.13.2.3 Will deduct any discounts or rebates from invoices provided to the Owner for payment. Any discounts or rebates received on invoices already paid by the Owner will be refunded to the Owner or subtracted from any payment retainage.

13.13.2.4 Will not be entitled to receive payment for general overhead, profit, or general requirements, respectively, in excess of the amounts represented on the estimate of cost breakdown in accordance with clause 13.13.2.2.

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13.13.2.5 Will, prior to receipt of final payment, provide the Owner and the Agency with a detailed breakdown of the actual cost compared to the estimated cost, using Form RD 1924-13. When required, the actual cost will be audited by a Certified Public Accountant, or Licensed Public Accountant licensed on or before December 31, 1970, who will provide an opinion concerning whether the actual construction costs present fairly the costs of construction in conformity with eligible construction costs as prescribed in Rural Development regulations.

13.13.2.6 Will, prior to receipt of final payment, provide the Owner and the Agency with documentation on all Form RD 1924-13 actual cost line items that are a minimum of fifteen percent (15%) higher or lower than the estimated costs. The documentation will provide justification for the deviations.

13.13.3 If and when an identity of interest exists between the Owner and Contractor, the Contractor is entitled to receive a builder's fee (general overhead and profit) only when the highest subcontract Sum is no more than fifty percent (50%) of the Contract Sum, and the total of the highest three Subcontract Sums is no more than seventy-five percent (75%) of the Contract Sum. Any payments made to the Contractor for a builder's fee to which contractor is not entitled will be refunded to the Owner or subtracted from any payment retainage.

13.14

ENVIRONMENTAL REQUIREMENTS

13.14.1 Mitigation Measures – The contractor shall comply with applicable mitigation measures established in the environmental assessment for the project. These may be obtained from the Agency representative.

13.14.2 The Contractor, when constructing a Project involving trenching, excavating, or other earth moving activity, shall comply with the following environmental constraints: 13.14.2.1 Endangered Species, Historic Preservation, Human Remains and Cultural Items, Hazardous Materials, and Paleontology – Any excavation or other earth moving activity by the Contractor that provides evidence of the presence of endangered or threatened species or their critical habitat, uncovers a historical or archaeological artifact, human remains or cultural items, hazardous

RD Instruction 1924-A Guide 1 Attachment 10 Page 13

materials, a fossil or other paleontological materials will require the Contractor to: .1

Temporarily stop work;

.2 Provide immediate notice to the Architect and the Agency, and in the case of potentially hazardous materials, provide immediate notice to local first responders and take such measures as necessary to protect the public and workers; .3 Take reasonable measures as necessary to protect the discovered materials or protected resource; .4 Abide by such direction as provided by the Agency, or Agencies responsible for resource protection or hazardous materials management; and .5 Resume work only upon notice from the Architect and the Agency.

13.15

DEBARMENT AND SUSPENSION

13.15.1 The Contractor shall comply with the requirements of 7 C.F.R. part 3017, which pertains to the debarment or suspension of a person from participating in a Federal program or activity.

ARTICLE 15 CLAIMS AND DISPUTES Add the words "may be" after "on the parties but" in the last sentence of subparagraph 15.2.5.

Replace the word "shall" with the word "may" in the first sentence, first occurrence of subparagraph 15.3.2 15.4.1.2 The arbitrators will select a hearing location as close to the Owner's locale as possible.

(00-00-00)

PN 000 o0o

For Contracts in excess of $10,000.

RUS Instruction 1940-Q 1/7/98 Exhibit A-1

CONTRACTOR AND SUBCONTRACTOR CERTIFICATION ON LOBBYING* The undersigned certifies, to the best of his or her knowledge and belief, that:

1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress in connection with awarding of any Federal contract, the making of any Federal grant or Federal loan, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant or loan.

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, or an employee of a Member of Congress in connection with this Federal contract, grant or loan, the undersigned shall complete and submit Standard Form - LLL, "Disclosure of Lobbying Activities," 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 contracts, subcontractors, and sub-grants under grants and loans) 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.

_____________________________________ ________________________ (name)

(date)

by: __________________________________ __________________________________ (title) *THE ABOVE CERTIFICATION MUST BE COMPLETED AND SUBMITTED

BY BIDDER WITH BID PROPOSAL. AFTER A CONTRACT IS AWARDED, PRIME CONTRACTORS SHALL OBTAIN THIS SAME CERTIFICATION FROM SUBCONTRACTORS PRIOR TO ENTERING INTO SUBCONTRACT AND FURNISH OWNER AND RURAL DEVELOPMENT WITH A COPY OF SAME. RURAL DEVELOPMENT MUST REVIEW AND CONCUR IN THIS FORM FROM SUBCONTRACTOR(S) BEFORE THE SUBCONTRACTED WORK CAN BE PAID FOR USING RURAL DEVELOPMENT FUNDS. U

U

U

U

**IF CONTRACTOR OR SUBCONTRACTOR IS REQUIRED TO COMPLETE STANDARD FORM - LLL - DISCLOSURE OF LOBBYING ACTIVITIES, THE OWNER SHOULD BE CONTACTED FOR ASSISTANCE IN OBTAINING THIS FORM. AWARD OF CONTRACT OR CONCURRENCE IN SUBCONTRACT BY OWNER IS CONTINGENT ON REVIEW OF INFORMATION IN THIS FORM.

U.S. DEPARTMENT OF AGRICULTURE

Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions

This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 7 CFR Part 3017, Section 3017.510, Participants’ responsibilities. The regulations were published as Part IV of the January 30, 1989, Federal Register (pages 4722-4733). Copies of the regulations may be obtained by contacting the Department of Agriculture agency with which this transaction originated.

(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE) (1)

The prospective lower tier participant certifies, by submission of this proposal, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

(2)

Where the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this proposal.

Organization Name

PR/Award Number or Project Name

Name(s) and Title(s) of Authorized Representative(s)

Signature(s)

Date

Form AD-1048 (1/92)

Instructions for Certification

1.

By signing and submitting this form, the prospective lower tier participant is providing the certification set out on the reverse side in accordance with these instructions.

2.

The certification in this clause is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

The prospective lower tier participant shall provide immediate written notice to the person to which this 3. proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

The terms “covered transaction,” “debarred," "suspended,” “ineligible,” “lower tier covered transaction,” 4. “participant,” “person,” “primary covered transaction,” “principal," “proposal,” and “voluntarily excluded,” as used in this clause, have the meanings set out in the Definitions and Coverage sections of rules implementing Executive Order 12549. You may contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.

The prospective lower tier participant agrees by submitting this form that, should the proposed covered 5. transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the department or agency with which this transaction originated.

6.

The prospective lower tier participant further agrees by submitting this form that it will include this clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

A participant in a covered transaction may rely upon a certification of a prospective participant in a 7* lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the Nonprocurement List.

Nothing contained in the foregoing shall be construed to require establishment of a system of records 8. in order to render in good faith the certification required by this clause. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered 9. transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue available remedies, including suspension and/or debarment.

2 Form AD-1048 (1/92) ●

U. S.GPO: 1996-757-776/201 07

USDA

Form RD 400-6 (Rev. 4-00)

Form Approved OMB No. 0575-0018

COMPLIANCE STATEMENT

This statement relates to a proposed contract with , (Name of borrower or grantee)

who expects to finance the contract with assistance from either the Rural Housing Service (RHS), Rural Business-Cooperative Service (RBS), or the Rural Utilities Service (RUS) or their successor agencies, United States Department of Agriculture (whether by a loan, grant, loan insurance, guarantee, or other form of financial assistance).I am the undersigned bidder or prospective contractor, I represent that:

1. I have, have not, participated in a previous contract or subcontract subject to Executive 11246 (regarding equal employment opportunity) or a preceding similar Executive Order.

2. If I have participated in such a contract or subcontract, I have, have not, filed all compliance reports that have been required to file in connection with the contract or subcontract.

If the proposed contract is for $50,000 or more and I have 50 or more employees, I also represent that: 3. I have, have not previsouly had contracts subject to the written affirmative action programs requirements of the Secretary of Labor.

4. If I have participated in such a contract or subcontract, I have, have not developed and placed on file at each establishment affirmative action programs as required by the rules and regulations of the Secretary of Labor.

I understand that if I have failed to file any compliance reports that have been required of me, I am not eligible and will not be eligible to have my bid considered or to enter into the proposed contract unless and until I make an arrangement regarding such reports that is satisfactory to either the RHS, RBS or RUS, or to the office where the reports are required to be filed.

I also certify that I do not maintain or provide for my employees any segregated facilities at any of my establishments, and that I do not permit my employees to perform their services at any location, under my control, where segregated facilities are maintained. I certify further that I will not maintain or provide for my employees any segregated facilities at any of my establishments, and that I will not permit my employees to perform their services at any location, under my control, where segregated facilities are maintained. I agree that a breach of this certification is a violation of the Equal Opportunity clause in my contract. As used in this certification, the term “segregated facilities� means any waiting rooms, work areas, restrooms and wash rooms, restaurants and other eating areas time clocks, locker rooms and other storage or dressing areas, 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, creed, color, or national origin, because of habit, local custom, or otherwise. I further agree that (except where I have obtained identical certifications for proposed subcontractors for specific time periods) I 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; that I will retain such certifications in my files; and that I will forward the following notice to such proposed subcontractors (except where the proposed subcontractors have submitted identical certifications for specific time periods): (See Reverse).

According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0575-0018. The time required to complete this information collection is estimated to average 10 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

Position 6

RD 400-6 (Rev. 4-00)

NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENTS FOR CERTIFICATIONS OF NON-SEGREGATED FACILITIES A certification of Nonsegregated Facilities, as required by the May 9, 1967, order (32F.R. 7439, May 19, 1967) on Elimination of Segregated Facilities, by the Secretary of Labor, must be submitted prior to the award of a subcontract exceeding $10,000 which is not exempt from the provisions of the Equal Opportunity clause. The certification may be submitted either for each subcontract or for all subcontracts during a period (i.e. quarterly, semiannually, or annually).

NOTE: The penalty for making false statements in offers is prescribed in 18 U.S.C. 1001.

DATE (Signature of Bidder or Prospective Contractor)

Address (including Zip Code)

GOALS FOR WOMEN AND MINORITY UTILIZATION IN CONSTRUCTION These goals apply to all federally assisted construction contract and subcontracts in excess of $10,000 (EO 11246). All hours of work (federal and non-federal) in each trade, regardless of the location of the work, are subject to these goals.

A. Goals for Women – 6.9 percent (this goal applies nationwide) B. Minority Goals – percentage listed for each county: Adams

1.7

Iowa

1.7

Polk

Ashland

1.2

Iron

1.2

Portage

.6

Barron

.6

Jackson

.6

Price

.6

Bayfield

1.2

Jefferson

7.0

Brown

1.3

Juneau

Buffalo

.6

Burnett

.6

2.2

Racine

8.4

Richland

1.7

Kenosha

3.0

Rock

3.1

2.2

Kewaunee

1.0

Rusk

.6

Calumet

.9

La Crosse

.8

St. Croix

2.9

Chippewa

.5

Lafayette

.5

Sauk

1.7

Clark

.6

Langlade

.6

Sawyer

Lincoln

.6

Shawano

1.0

Sheboygan

7.0

Columbia

1.7

Crawford

.5

Manitowoc

1.0

Dane

2.2

Marathon

.6

Dodge

7.0

Marinette

Door

1.0

Douglas

.6

Taylor

.6

1.0

Trempealeau

.6

Marquette

1.7

Vernon

.6

1.0

Menominee

1.0

Vilas

.6

Dunn

.6

Milwaukee

8.0

Walworth

7.0

Eau Claire

.5

Monroe

.6

Washburn

.6

Florence

1.0

Oconto

1.0

Fond du Lac

1.0

Oneida

Forest

1.0

Outagamie

Grant

.5

Green

1.7

Green Lake

1.0

Washington

8.0

.6

Waukesha

8.0

.9

Waupaca

1.0

8.0

Waushara

1.0

Pepin

.6

Winnebago

.9

Pierce

2.2

Wood

.6

Ozaukee

For more information, a “Technical Assistance Guide for Federal Construction Contractor’s” is available at: http://www.dol.gov/esa/ofccp/TAguides/ctaguide.htm

TEMPORARY CONSTRUCTION SIGN FOR RURAL DEVELOPMENT PROJECTS White Background

Project Title Sponsor / Developer Official(s) or Sponsor Address Symbol Letters (Blue, PMS 288)

Architect or Engineer

Signature Letters (Black)

(second line) Contractor Black Lettering

Symbol Fields (Green, PMS 343)

(second line)

Financed by United States Department of Agriculture (USDA) Rural Development USDA is an equal opportunity provider and employer.

Barack Obama, President of the United States Tom Vilsack, Secretary of Agriculture

Black Lettering

SIGN DIMENSIONS: 1200 mm x 2400 mm x 19 mm (approx. 4’ x 8’ x ¾”) PLYWOOD PANEL (APA RATED A-B GRADE–EXTERIOR)

Lettering (Green, PMS 343)

RD Instruction 1924-A Guide 1, Attachment 5 NOTICE OF AWARD

TO:

__________________________________ __________________________________ __________________________________

PROJECT Description: ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ The OWNER has considered the BID submitted by you for the above-described WORK in response to its Advertisement for Bids dated _________________, 20____ and Information for Bidders.

You are hereby notified that your BID has been accepted for items in the amount of ___________________________________________________ ($_______________) You are required by the Information for Bidders to execute the Agreement and furnish the required Contractor’s Performance BOND, Payment BOND and certificates of insurance within ten (10) calendar days from the date of this Notice to you.

If you fail to execute said Agreement and to furnish said BONDS within ten (10) days from the date of this Notice, said OWNER will be entitled to consider all your rights arising out of the Owner’s acceptance of your BID as abandoned and as a forfeiture of your BID BOND. The OWNER will be entitled to such other rights as may be granted by law.

You are required to return an acknowledged copy of this NOTICE OF AWARD to the OWNER. Dated this ________________ day of _____________, 20____________ Owner: ______________________________________________________________ By: _________________________________________________________________ Title: ________________________________________________________________

1/2

ACCEPTANCE OF NOTICE Receipt of the above NOTICE OF AWARD is hereby acknowledged this the ____________________________ day of ___________________20____.

Contractor: __________________________________________________________ By: __________________________________________________________________ Title: _______________________________________________________________

oOo

2/2

(2-16-83) PN 869

RD Instruction 1924-A Guide 1, Attachment 9 NOTICE TO PROCEED

TO: ____________________________________________________________________ DATE: ____________________ PROJECT: ____________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

You are hereby notified to commence WORK in accordance with the Agreement dated _______________, 20___, on or before _________________, 20___, and you are to complete the WORK within ____ consecutive calendar days thereafter. The date of completion of all WORK is therefore ___________________, 20___.

Owner: _______________________________________________________________ By: ____________________________________________________________________ Title: _____________________________________________________________

ACCEPTANCE OF NOTICE Receipt of the above NOTICE TO PROCEED is hereby acknowledged by: ______________________________________________________________________ This the _____________________, 20____

By: _______________________________________________________________ Title: ___________________________________________________________ Employer Identification Number: _______________________________

oOo (2-16-83) PN 869 1/1

RD Instruction 1924-A Exhibit G Page 1

PERFORMANCE BOND KNOW ALL PERSONS BY THESE PRESENTS: that __________________________________________________________________________ (Name or Contractor) __________________________________________________________________________ (Address or Contractor) a _____________________________________, hereinafter called PRINCIPAL, and (Corporation, Partnership, or Individual) __________________________________________________________________________ (Name of Surety) __________________________________________________________________________ (Address of Surety) hereinafter called SURETY, are held and firmly bound unto __________________________________________________________________________ (Name of Owner) __________________________________________________________________________ (Address of Owner) hereinafter called OWNER, and the United States of America acting through Rural Development hereinafter referred to as the GOVERNMENT in the total aggregate penal sum of _____________________________________________________________________________ Dollars ($ ______________________) in lawful money of the United States, for the payment of which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.

THE CONDITION OF THIS OBLIGATION is such that whereas, the PRINCIPAL entered into a certain contract with the OWNER, dated the _____________ day of _____ 20_____, a copy of which is hereto attached and made a part hereof for the construction of: _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________ _____________________________________________________________________________

RD Instruction 1924-A Exhibit G Page 2

NOW, THEREFORE, if the PRINCIPAL shall well, truly and faithfully perform its duties, all the undertakings, covenants, terms, conditions, and agreements of said contract during the original term thereof, and any extensions thereof which may be granted by the OWNER, or GOVERNMENT, with or without notice to the SURETY and during the guaranty period and if the PRINCIPAL shall satisfy all claims and demands incurred under such contract, and shall fully indemnify and save harmless the OWNER and GOVERNMENT from all costs and damages which it may suffer by reason of failure to do so, and shall reimburse and repay the OWNER and GOVERNMENT all outlay and expense which the OWNER and GOVERNMENT may incur in making good any default, then this obligation shall be void, otherwise to remain in full force and effect.

PROVIDED, FURTHER, that the liability of the PRINCIPAL AND SURETY hereunder to the GOVERNMENT shall be subject to the same limitations and defenses as maybe, Available to then against a claim hereunder by the OWNER, provided, however, that the GOVERNMENT may, at its option, perform any obligations of the OWNER required by the contract.

PROVIDED, FURTHER, that the said SURETY, for value received hereby, stipulates and agrees that no change, extension of time, alteration or addition to the terms of the contract or to WORK to be performed thereunder or the SPECIFICATIONS accompanying same shall in any way affect its obligation on this BOND, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the contract or to the WORK or to the SPECIFICATIONS. PROVIDED, FURTHER, that it is expressly agreed that the BOND shall be deemed amended automatically and immediately, without formal and separate amendments hereto, upon amendment to the Contract not increasing the contract price more than 20 percent, so as to bind the PRINCIPAL and the SURETY to the full and faithful performance of the CONTRACT as so amended. The term "Amendment", wherever used in this BOND, and whether referring to this BOND, the Contract or the Loan Documents shall include any alteration, addition, extension, or modification of any character whatsoever.

PROVIDED, FURTHER, that no final settlement between the OWNER or GOVERNMENT and the PRINCIPAL shall abridge the right of the other beneficiary hereunder, whose claim may be unsatisfied. The OWNER and GOVERNMENT are the only beneficiaries hereunder.

(05-12-87) SPECIAL PN

RD Instruction 1924-A Exhibit G Page 3

IN WITNESS WHEREOF, this instrument is executed in ________ counterparts, number each one of which shall be deemed an original, this the ______ day of ___________.

ATTEST:

_________________________________ Principal _____________________________________ (Principal) Secretary

(SEAL)

By _________________________(s) _______________________________ (Address) __________________________________ Witness as to Principal

_______________________________

___________________________________ (Address) ___________________________________ Surety

_______________________________

ATTEST: ___________________________________ Witness as to Surety

By_____________________________ Attorney-in-Fact

___________________________________ (Address)

_______________________________ (Address)

___________________________________

_______________________________

oOo

(5-12-87) SPECIAL PN

RD Instruction 1924-A Exhibit F Page 1 PAYMENT BOND KNOW ALL PERSONS BY THESE PRESENTS: that___________________________________________________________________ (Name of Contractor) _______________________________________________________________________ (Address of Contractor) a ______________________________________, hereinafter called PRINCIPAL (Corporation, Partnership or Individual) and ___________________________________________________________________ (Name of Surety) hereinafter called SURETY, are held and firmly bound unto _______________________________________________________________________ (Name of Owner) _______________________________________________________________________ (Address of Owner) hereinafter called OWNER and the United States of America acting through Rural Development hereinafter referred to as GOVERNMENT, and unto all persons, firms, and corporations who or which may furnish labor, or who furnish materials to perform as described under the contract and to their successors and assigns in the total aggregate penal sum of_____________________________________________ Dollars ($____________________) in lawful money of the United States, for the payment or which sum well and truly to be made, we bind ourselves, our heirs, executors, administrators, successors, and assigns, jointly and severally, firmly by these presents.

THE CONDITION DF THIS OBLIGATION is such that whereas, the PRINCIPAL entered into a certain contract with the OWNER, dated the ________________ day of __________20__, a copy of which is hereto attached and made a part hereof for the construction of: _____________________________________________________________________________ _____________________________________________________________________________ NOW, THEREFORE, if the PRINCIPAL shall properly make payment to all persons, firms, and corporations furnishing materials for or performing labor in the prosecution of the WORK provided for in such contract, and any authorized extension or modification thereof, including all amounts due for materials, lubricants, oil, gasoline, coal and coke, repairs on machinery;, equipment and tools, consumed or used in connection with the construction of such WORK, and for all labor cost incurred in such WORK including that by a SUBCONTRACTOR, and to any mechanic or materialman lienholder whether it acquires its lien by operation of State or Federal law; then this obligation shall be void, otherwise to remain in full force and effect.

(5-12-87) SPECIAL PN

RD Instruction 1924-A Exhibit F Page 2

PROVIDED, that beneficiaries or claimants hereunder shall be limited to the SUBCONTRACTORS, and persons, firms, and corporations having a direct contract with the PRINCIPAL or its SUBCONTRACTOR. PROVIDED, FURTHER, that the said SURETY for value received hereby stipulates and agrees that no change, extension of the, alteration or addition to the terms of the contract or to the WORK to be performed thereunder or the SPECIFICATIONS accompanying the same shall in any way affect its obligation on this BOND, and in does hereby waive notice of any such change, extension of time, alteration or addition to the terms of this contract or to the WORK or to the SPECIFICATIONS. PROVIDE, FURTHER, that no suit or action shall be commenced hereunder by any claimant: (a) Unless claimant, other than one having a direct contract with the PRINCIPAL (or with the GOVERNMENT in the event the GOVERNMENT is performing the obligations of the OWNER), shall have given written notice to any two of the following: The PRINCIPAL, the OWNER, or the SURETY above named within ninety (90) days after such claimant did or Performed the last of the work or labor, or furnished the last of the materials for which said claim is made, stating with substantial accuracy the amount claimed and the name of the party to whom the materials were furnished, or for whom the work or labor was done or performed. Such notice shall be served by mailing the same by register mail or certified mail, postage prepaid, in an envelope addressed to the PRINCIPAL, OWNER, or SURETY, at any place where an office is regularly maintained for the transaction of business, or served in any manner in which legal process may be served in the state in which the aforesaid project is located, save that such service need not be made by a public officer. (b) After the expiration of one (1) year following the date of which PRINCIPAL ceased work on said CONTRACT, it being understood, however, that if any limitation embodied in the BOND is prohibited by any law controlling the construction hereof, such limitation shall be deemed to be amended so as to be equal to the minimum period of limitation permitted by such law.

PROVIDED, FURTHER, that it is expressly agreed that this BOND shall be deemed amended automatically and immediately, without formal and separate amendments hereto, upon amendment to the Contract not increasing the contract price more than 20 percent, so as to bind the PRINCIPAL and the SURETY to the full and faithful performance of the Contract as so amended. The term "Amendment", wherever used in this BOND and whether referring to this BOND, the contract or the loan Documents shall include any alteration, addition, extension or modification of any character whatsoever.

PROVIDED, FURTHER, that no final settlement between the OWNER or GOVERNMENT and the CONTRACTOR shall abridge the right of any beneficiary hereunder, whose claim may be unsatisfied.

RD Instruction 1924-A Exhibit F Page 3

IN WITNESS THEREOF, this instrument is executed in ________ Counterparts, Number each one of which shall be deemed an original, this the _____ day of _________.

ATTEST: ______________________________________ Principal _______________________________________ (Principal) Secretary (SEAL) By _________________________(s)

_______________________________ (Address)

______________________________________ Witness as to Principal

________________________________

_______________________________________ (Address) ______________________________________ Surety

________________________________

ATTEST: ______________________________________ Witness as to Surety

By ____________________________ Attorney-in-Fact

______________________________________ (Address)

________________________________ (Address)

______________________________________

_______________________________

NOTE: Date of BOND must not be prior to date of Contract.

If CONTRACTOR is partnership, all partners should execute BOND. IMPORTANT: Surety companies executing BONDS must appear on the Treasury Department's most current list (Circular 570 as amended) and be authorized to transact business in the state where the project is located.

oOo (5-12-87) SPECIAL PN

FORM APPROVED OMB NO. 0575-0042

Form RD 1924-18 (Rev. 6-97)

CONTRACT NO.

UNITED STATES DEPARTMENT OF AGRICULTURE RURAL DEVELOPMENT FARM SERVICE AGENCY

PARTIAL PAYMENT ESTIMATE NO.

PARTIAL PAYMENT ESTIMATE PAGE OWNER:

CONTRACTOR:

PERIOD OF ESTIMATE

FROM CONTRACT CHANGE ORDER SUMMARY Agency Approval No.

Date

ESTIMATE

Amount Additions

TO

1. Original Contract Deductions

2. Change Orders

$0.00

3. Revised Contract (1 + 2)

$0.00

4. Work Completed* 5. Stored Materials* $0.00

6. Subtotal (4 + 5) 7. Retainage* 8. Previous Payments TOTALS

$0.00

NET CHANGE

$0.00

$0.00

9. Amount Due (6-7-8)

$0.00 $0.00

* Detailed breakdown attached

CONTRACT TIME Original (days) Revised

On Schedule

Yes

Starting Date

No

Projected Completion

Remaining

CONTRACTOR'S CERTIFICATION:

ARCHITECT OR ENGINEER'S CERTIFICATION:

The undersigned certifies that the work has been carefully inspected and to the best of their knowledge and belief, the quantities shown in this estimate are correct and the work has been performed in accordance with the contract documents.

The undersigned Contractor certifies that to the best of their knowledge, information and belief the work covered by this payment estimate has been completed in accordance with the contract documents, that all amounts have been paid by the contractor for work for which previous payment estimates was issued and payments received from the owner, and that current payment shown herein is now due.

Architect or Engineer Contractor By By Date Date ACCEPTED BY AGENCY:

The review and acceptance of this estimate does not attest to the correctness of the quantities shown or that the work has been performed in accordance with the contract documents.

APPROVED BY OWNER:

Owner By By

Title

Date

Date

According to the Paperwork Reduction Act of 1995, no persons are required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0575-0042. The time required to complete this information collection is estimated to average 30 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed and completing and reviewing the collection of information.

RD 1924-18 (Rev. 6-97)

FORM APPROVED OMB NO. 0575-0042 Form RD 1924-7 (Rev. 2-97)

ORDER NO.

UNITED STATES DEPARTMENT OF AGRICULTURE RURAL DEVELOPMENT AND FARM SERVICE AGENCY

DATE STATE

CONTRACT CHANGE ORDER

COUNTY

CONTRACT FOR OWNER

To (Contractor)

You are hereby requested to comply with the following changes from the contract plans and specifications: INCREASE in Contract Price

DECREASE in Contract Price

Description of Changes (Supplemental Plans and Specifications Attached)

$

$

0 0 0 0 TOTALS

$

NET CHANGE IN CONTRACT PRICE $

0.00

0.00

0.00

0.00

JUSTIFICATION:

The amount of the Contract will be (Decreased) (Increased) By The Sum Of: Dollars ($

).

Dollars ($

).

The Contract Total Including this and previous Change Orders Will Be:

Days.

The Contract Period Provided for Completion Will Be (Increased) (Decreased) (Unchanged) : This document will become a supplement to the contract and all provisions will apply hereto.

Requested (Owner)

(Date)

(Owner's Architect/Engineer)

(Date)

(Contractor)

(Date)

(Name and Title)

(Date)

Recommended Accepted Approved by Agency According to the Paperwork Reduction Act of 1995, an agency may not conduct or sponsor, and a person is not required to respond to a collection of information unless it displays a valid OMB control number. The valid OMB control number for this information collection is 0575-01042. The time required to complete this information collection is estimated to average 15 minutes per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information.

ORIGINAL-BORROWER'S CASE FOLDER COPY-CONTRACTOR COPY-BORROWER

Form RD 1924-7 (Rev. 2-97) POSITION 6

Construction Contract Addenda for General Contractor Project: Barron County Housing Rehabilitation This project is funded with federal HOME Investment Partnership funds provided by the State of Wisconsin Department of Administration – Division of Housing. As such, it is subject to numerous additional requirements listed in this Addendum. These are not to be construed as inclusive of, or as replacing, any additional requirements listed in the Construction Contract.

A. Signage WI-DOA DOH signage acknowledging the use of their HOME funds in the project must be posted in front of all construction sites prior to and during the entirety of all work to be done. The official DOH logo file in electronic format shall be obtained from Impact Seven.

The first payment request for each property must be accompanied by a photograph (electronic or hardcopy) clearly showing the DOH signage at the construction site at each property.

B. Construction Standards Visitability: All 20 of the first floor units must be rehabilitated to meet visitability standards Green Building Standards: Work done on all 40 of the units must be to Wisconsin Environmental Initiative’s Green Built Home Standards Replacement of bath and kitchen ventilation will be with-Energy Star labeled units Resource Conservation: New materials will meet the minimum of 20% recycled content and new wood products will meet the 35% minimum

C. Procurement Requirements 1. Debarment and Suspension All contractors and subcontractors must be certified to not be presently debarred, suspended, proposed for debarment, or declared ineligible or voluntarily excused from participation from any federallyassisted construction projects. Use www.sam.gov to check debarment status.

2. Section 3, MBE, and WBE Participation For all subcontracts, the General Contractor is required to make positive efforts to utilize small business, local business, woman-owned, and minority-owned business sources of supplies and services. Such

efforts should allow these sources the maximum feasible opportunity to compete for agreements, subcontracts, or supplies to be performed utilizing these funds.

General Contractor shall send bid packages by certified mail to at least two relevant minority or womenowned businesses (MBE/WBE) for each class of work (for examples: plumbing, electrical, rough carpentry, etc.) to be completed. An official list of MBE/WBE contractors is online at https://wisdp.wi.gov/Search.aspx.

This project is subject to Section 3 compliance and reporting requirements. For all subcontracts of more than $100,000, the General Contractor must provide documentation of positive attempts to recruit businesses as bidders that are Section 3 business concerns. A "Section 3 Business" is one for which the following three conditions are present: a) 51% or more of the owners are LMI residents of the service area (or 51% of the board of directors of a non-profit organization are LMI); and b) at least 30% of the business's full time employees are currently LMI residents of the service area, or were LMI residents within 3 years of their date of hire; and c) it provides evidence of a commitment to subcontract greater than 25% of its dollar awards in all subcontracts to businesses that meet the qualifications of 1) and 2).

Procurement Documentation Required: The following documentation must accompany all requests for payment, for each type of supplier or trade performing work that is included in the request for payment, prior to the General Contractor receiving payment for any portion of work completed: a) Photocopies of certified mail receipts along with photocopies of bid request documentation and bid specifications mailed to at least two appropriate MBE or WBE bidders; b) Photocopies of newspaper advertisements, in a newspaper of general circulation in the project area, specifically inviting bids from MBE, WBE and Section 3 bidders. The photocopy must show the printed date and name of the newspaper, and the advertisement shall follow a template to be provided by Impact Seven; c) A completed MBE/WBE Report Form (template provided by Impact Seven) for each MBE or WBE business awarded a contract; d) A completed Section 3 Certification (template provided by Impact Seven) for all businesses and/or their employees who work on the project who qualify as a Section 3 interest; e) A list of all bids received from MBE, WBE or Section 3 businesses; and f) A list of the number and dollar amount of subcontracts awarded to MBE, WBE, or Section 3 businesses, including the names of the owners of those businesses. g) Documentation with data indicating the racial/ethnic or gender character of the owners of each business entity receiving a contract or subcontract of $25,000 or more, whether they are MBE/WBE or not.

Required documentation must be fully and properly completed in order for payment to be processed.

Records Retention: The General Contractor must keep all records and documentation for not less than five (5) years after receipt of final payment, including all original documentation submitted as copies with payment requests.

4. Davis Bacon Labor Standards (NOT APPLICABLE) Federal Davis-Bacon procurement requirements are not applicable to this project.

5. Tenant Displacement If any tenant will need to endure displacement from his or her home for more than 15 minutes, STOP AND CONTACT THE IMPACT SEVEN PROJECT MANAGER IMMEDIATELY. “Displacement� shall mean a state in which the resident is unable to use a bathroom or kitchen in their unit. All temporarily displaced tenants must be provided with displacement assistance, the scale which depends on the specific situation but may include paying for hotel accommodations, meals, or making another unit available temporarily.

Tenants to be displaced must be notified in a timely manner with advance written notice of the date and duration of the temporary relocation, and be given the maximum opportunity to schedule around the work and/or plan to be out of their unit. Documentation of this written notice must be maintained by the General Contractor and provided to Impact Seven upon request.

r

HOME PROGRAM COMPLETION REPORT

I

RENTAL HOUSING DEVELOPMENT

~

"

MBE/WBE REPORT Program Name:

Activity#:

Grantee:

Contract# Contractor/ Subcontractor Business

MBE/WBE Contract Amount

Type of Trade

Race

I

Ethnic Code

Woman Owned Business (Yes or No)

Contractor/ Subcontractor Identification Number (FEIN}

Contractor/Subcontractor Name and Address

This report is to be filed when a minority business enterprise (MBE) or a women's business enterprise (WBE) is involved with the activity.

MBE/WBE Contract Amount: Put in whole dollar amount of the MBE/WBE contract.

Type of Trade: 1 - New Construction 2 - Substantial Rehab 3- Repair 4-Service 5 - Project Management

6 - Professional 7 - Tenant Services 8 - Education/Training 9 -Architectural/Engineering Appraisal 10 - Other

Contractor/Subcontractor Business Racial Code: A-White B - Black/African American C-Asian D -American Indian/Alaskan Native E - Native Hawaiian/Other Pacific Islander

F -American Indian/Alaskan Native & White G -Asian & White H - Black/African American & White I - American Indian/Alaskan Native & Black/African American J - Balance/Other

Ethnic Code: K-Hispanic L - Hasidic Jew Women Owned Business: Y=Yes N =No Contractor Identification Number Enter the Federal Employer Identification Number (FEIN) Contractor/Subcontractor Name and Address Enter the full business name of the contractor/subcontractor; also enter the mailing address, indicating if this is a contractor or subcontractor

=

C Contractor S = Subcontractor Example (for a contractor): C - ABC Construction

Attachment C

State MBE/WBE Outreach Activities.

1. Wisconsin offers a range of activities and assistance for WBEs and MBEs and for potential users of the services these businesses provide. Wisconsin promotes WBEs and MBEs through training and technical assistance, directories, handbooks, brochures, financial and management assistance programs and certification, and marketplace programs. Through such efforts, WBEs and MBEs are strengthened and are better able to compete for state- and federally-funded projects and contracting opportunities.

2. Owner is required to make positive efforts to use MBE and WBE sources of supplies and services.

Owner, through reports and monitoring, must demonstrate its compliance with this contract provision.

Local MBE/WBE Outreach Activities.

Owner must maintain the appropriate records to document the numbers and types of contracts and subcontracts it awards (whether for construction, supplies or services), the dollar value of each award, and the gender and ethnic/racial status of the management/ ownership of the business.

Section 3 Summary Report

HUD Field Office

Economic Opportunities for Low – and Very Low-Income Persons 1. Recipient/ Project Name:

2. TDHCA Contract number

3. Total Amount of Award:

Project Address/ Location:

4. Contact Person:

5. Phone: (Include area code)

Email: 8. Date Report Submitted:

6. Contract Begin Date:

Contract End Date:

Revised End Date:

7. Report Period Begin Date:

Report Period End Date:

9. Program Code*: (Use separate sheet for each program code.) 10. Funding Program Name:

Select a code Part I: Employment and Training (** Columns B, C and F are mandatory fields. Include New Hires in E &F) A

Job Category Professional Technician Foreman/ Supervisor Office/ Clerical Cleaning/ maintenance Demolition Construction by Trade Cabinet Maker Carpenter Concrete/ Terrazzo Craftworker, skilled Drywall/ Ceiling Tile Electrician Fencing Flooring / Carpet Gutter Installer Hazardous Materials HVAC Insulator Laborer Landscape Masonry, Plaster, Stucco Painter Paving Plumber Power Equipment Operator, Skilled Power Equipment Operator, Unskilled Roofer Sprinkler Installer Tile/ Marble Cutter/ Setter Truck Driver Total

B C D Number of New Number of New % of Aggregate Number of Hires Hires that are Sec. Staff Hours of New Hires 3 Residents that are Sec. 3 Residents

0

0

E % of Total Staff Hours for Section 3 Employees and Trainees* S3E&TH / TSH =%

0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0%

0

0

F Number of Section 3 Trainees

0

*Use column E if necessary to compare groups containing both full and part-time workers, and those working overtime.

Show Section 3 Employees’ and Trainees’ hours worked, divided by Total staff hours worked. *Program Codes 4 = Homeless Assistance 8 = CDBG State Administered 5 = HOME 6 = HOME State Administered

Page 1 of 2

9 = Other CD Programs 10= Other Housing Programs

form 60002, Ref/ 24 CFR 135

Part II: Contracts Awarded during the period of this report (item 7, above) 1. Construction Contracts: A. Total dollar amount of construction contracts awarded on the project B. Dollar amount of construction contracts awarded to Section 3 businesses 0.0%

C. Percentage of construction contract dollar amount awarded to Section 3 businesses D. Number of Section 3 businesses receiving construction contracts 2. Non-Construction Contracts: A. Total dollar amount of non-construction contracts awarded on the project/activity B. Dollar amount of non-construction contracts awarded to Section 3 businesses

0.0%

C. Percentage of non-construction dollar amount awarded to Section 3 businesses D. Number of Section 3 businesses receiving non-construction contracts

Part III: Summary Indicate the efforts made to direct the employment and other economic opportunities generated by HUD financial assistance for housing and community development programs, to the greatest extent feasible, toward low-and very low-income persons, particularly those who are recipients of government assistance for housing. (Check all that apply.)

Attempted to recruit low-income residents through: local advertising media, signs prominently displayed at the project site, contracts with the community organizations and public or private agencies operating within the metropolitan area (or nonmetropolitan county) in which the Section 3 covered program or project is located, or similar methods.

Participated in a HUD program or other program which promotes the training or employment of Section 3 residents.

Participated in a HUD program or other program which promotes the award of contracts to business concerns which meet the definition of Section 3 business concerns.

Coordinated with Youthbuild Programs administered in the metropolitan area in which the Section 3 covered project is located.

Other; describe below (Include any obstacles that prevented achieving program goals).

Failure to meet hiring and contracting goals requires a description of obstacles that prevented achievement.

Narrative:

Section 3 of the Housing and Urban Development Act of 1968, as amended, 12 U.S.C. 1701u, mandates that the Department ensures that employment and other economic opportunities generated by its housing and community development assistance programs are directed toward low- and very-low income persons, particularly those who are recipients of government assistance housing. The regulations are found at 24 CFR Part 135. The information will be used by the Department to monitor program recipients’ compliance with Section 3, to assess the results of the Department’s efforts to meet the statutory objectives of Section 3, to prepare reports to Congress, and by recipients as self-monitoring tool. The data is entered into a database and will be analyzed and distributed. The collection of information involves recipients receiving Federal financial assistance for housing and community development programs covered by Section 3. The information will be collected annually to assist HUD in meeting its reporting requirements under Section 808(e)(6) of the Fair Housing Act and Section 916 of the HCDA of 1992. An assurance of confidentiality is not applicable to this form. The Privacy Act of 1974 and OMB Circular A-108 are not applicable. The reporting requirements do not contain sensitive questions. Data is cumulative; personal identifying information is not included.

Page 2 of 2

form 60002, Ref/ 24 CFR 135

Code of Federal Regulations

Page 1 of 1

Code of Federal Regulations Title 24 - Housing and Urban Development Volume: 1 Date: 2003-04-01 Original Date: 2003-04-01 Title: Section 135.38 - Section 3 clause.

Context: Title 24 - Housing and Urban Development. Subtitle B - Regulations Relating to Housing and Urban Development. CHAPTER I - OFFICE OF ASSISTANT SECRETARY FOR EQUAL OPPORTUNITY, DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT. SUBCHAPTER B EMPLOYMENT AND BUSINESS OPPORTUNITY. PART 135 - ECONOMIC OPPORTUNITIES FOR LOW- AND VERY LOW-INCOME PERSONS. Subpart B - Economic Opportunities for Section 3 Residents and Section 3 Business Concerns.

§ 135.38

Section 3 clause.

All section 3 covered contracts shall include the following clause (referred to as the section 3 clause): A. THE WORK TO BE PERFORMED UNDER THIS CONTRACT IS SUBJECT TO THE REQUIREMENTS OF SECTION 3 OF THE HOUSING AND URBAN DEVELOPMENT ACT OF 1968, AS AMENDED, 12 U.S.C. 1701U (SECTION 3). THE PURPOSE OF SECTION 3 IS TO ENSURE THAT EMPLOYMENT AND OTHER ECONOMIC OPPORTUNITIES GENERATED BY HUD ASSISTANCE OR HUD-ASSISTED PROJECTS COVERED BY SECTION 3, SHALL, TO THE GREATEST EXTENT FEASIBLE, BE DIRECTED TO LOW- AND VERY LOW-INCOME PERSONS, PARTICULARLY PERSONS WHO ARE RECIPIENTS OF HUD ASSISTANCE FOR HOUSING. B. THE PARTIES TO THIS CONTRACT AGREE TO COMPLY WITH HUD'S REGULATIONS IN 24 CFR PART 135, WHICH IMPLEMENT SECTION 3. AS EVIDENCED BY THEIR EXECUTION OF THIS CONTRACT, THE PARTIES TO THIS CONTRACT CERTIFY THAT THEY ARE UNDER NO CONTRACTUAL OR OTHER IMPEDIMENT THAT WOULD PREVENT THEM FROM COMPLYING WITH THE PART 135 REGULATIONS. C. THE CONTRACTOR AGREES TO SEND TO EACH LABOR ORGANIZATION OR REPRESENTATIVE OF WORKERS WITH WHICH THE CONTRACTOR HAS A COLLECTIVE BARGAINING AGREEMENT OR OTHER UNDERSTANDING, IF ANY, A NOTICE ADVISING THE LABOR ORGANIZATION OR WORKERS’ REPRESENTATIVE OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION 3 CLAUSE, AND WILL POST COPIES OF THE NOTICE IN CONSPICUOUS PLACES AT THE WORK SITE WHERE BOTH EMPLOYEES AND APPLICANTS FOR TRAINING AND EMPLOYMENT POSITIONS CAN SEE THE NOTICE. THE NOTICE SHALL DESCRIBE THE SECTION 3 PREFERENCE, SHALL SET FORTH MINIMUM NUMBER AND JOB TITLES SUBJECT TO HIRE, AVAILABILITY OF APPRENTICESHIP AND TRAINING POSITIONS, THE QUALIFICATIONS FOR EACH; AND THE NAME AND LOCATION OF THE PERSON(S) TAKING APPLICATIONS FOR EACH OF THE POSITIONS; AND THE ANTICIPATED DATE THE WORK SHALL BEGIN. D. THE CONTRACTOR AGREES TO INCLUDE THIS SECTION 3 CLAUSE IN EVERY SUBCONTRACT SUBJECT TO COMPLIANCE WITH REGULATIONS IN 24 CFR PART 135, AND AGREES TO TAKE APPROPRIATE ACTION, AS PROVIDED IN AN APPLICABLE PROVISION OF THE SUBCONTRACT OR IN THIS SECTION 3 CLAUSE, UPON A FINDING THAT THE SUBCONTRACTOR IS IN VIOLATION OF THE REGULATIONS IN 24 CFR PART 135. THE CONTRACTOR WILL NOT SUBCONTRACT WITH ANY SUBCONTRACTOR WHERE THE CONTRACTOR HAS NOTICE OR KNOWLEDGE THAT THE SUBCONTRACTOR HAS BEEN FOUND IN VIOLATION OF THE REGULATIONS IN 24 CFR PART 135.

E. THE CONTRACTOR WILL CERTIFY THAT ANY VACANT EMPLOYMENT POSITIONS, INCLUDING TRAINING POSITIONS, THAT ARE FILLED (1) AFTER THE CONTRACTOR IS SELECTED BUT BEFORE THE CONTRACT IS EXECUTED, AND (2) WITH PERSONS OTHER THAN THOSE TO WHOM THE REGULATIONS OF 24 CFR PART 135 REQUIRE EMPLOYMENT OPPORTUNITIES TO BE DIRECTED, WERE NOT FILLED TO CIRCUMVENT THE CONTRACTOR'S OBLIGATIONS UNDER 24 CFR PART 135.

F. NONCOMPLIANCE WITH HUD'S REGULATIONS IN 24 CFR PART 135 MAY RESULT IN SANCTIONS, TERMINATION OF THIS CONTRACT FOR DEFAULT, AND DEBARMENT OR SUSPENSION FROM FUTURE HUD ASSISTED CONTRACTS. G. WITH RESPECT TO WORK PERFORMED IN CONNECTION WITH SECTION 3 COVERED INDIAN HOUSING ASSISTANCE, SECTION 7(B) OF THE INDIAN SELF-DETERMINATION AND EDUCATION ASSISTANCE ACT (25 U.S.C. 450E) ALSO APPLIES TO THE WORK TO BE PERFORMED UNDER THIS CONTRACT. SECTION 7(B) REQUIRES THAT TO THE GREATEST EXTENT FEASIBLE (I) PREFERENCE AND OPPORTUNITIES FOR TRAINING AND EMPLOYMENT SHALL BE GIVEN TO INDIANS, AND (II) PREFERENCE IN THE AWARD OF CONTRACTS AND SUBCONTRACTS SHALL BE GIVEN TO INDIAN ORGANIZATIONS AND INDIAN-OWNED ECONOMIC ENTERPRISES. PARTIES TO THIS CONTRACT THAT ARE SUBJECT TO THE PROVISIONS OF SECTION 3 AND SECTION 7(B) AGREE TO COMPLY WITH SECTION 3 TO THE MAXIMUM EXTENT FEASIBLE, BUT NOT IN DEROGATION OF COMPLIANCE WITH SECTION 7(B).

mhtml:file://C:\Users\rachel.kennedy\Downloads\Section 3 CFR requirement.mht

5/7/2015

CERTIFICATION FOR BUSINESS CONCERNS SEEKING SECTION 3 PREFERENCE IN CONTRACTING AND DEMONSTRATION OF CAPBILITY Name of Business _______________________________________________________________ Address of Business _____________________________________________________________ Type of Business:

Corporation Sole Proprietorship

Partnership Joint Venture

Attached is the following documentation as evidence of status: For Business claiming status as a Section 3 resident-owned enterprise: Copy of resident lease Copy of receipt of public assistance Copy of evidence of participation Other evidence in a public assistance program For business entity as applicable: Copy of Articles of Incorporation Assumed Business Name Certificate List of owners/stockholders and % ownership of each Organization chart with names and titles and brief function statement

Certificate of Good Standing Partnership Agreement Corporation Annual Report Latest Board minutes appointing officers Additional documentation

For business claiming Section 3 status by subcontracting 25 percent of the dollar awarded to qualified Section 3 business: List of subcontracted Section 3 business(es) and subcontract amount For business claiming Section 3 status, claiming at least 30 percent of their workforce are currently Section 3 residents or were Section 3 eligible residents within 3 years of date of first employment with the business: List of all current full-time employees List of employees claiming Section 3 status PHA/IHA Residential lease less than 3 Other evidence of Section 3 status less than 3 years from day of employment years from date of employment Evidence of ability to perform successfully under the terms and conditions of the proposed contract: Current financial statement Statement of ability to comply with public policy List of owned equipment List of all contracts for the past two years ___________________________________________ Authorizing Name and Signature Attested by:_________________________________

(Corporate Seal)