Document:

exv4w1

 

OMNIBUS INSTRUMENT

     WHEREAS, the parties named herein desire to enter into certain Program Documents contained
herein, each such document dated as of this 23rd day of September, 2005, relating to the issuance
by Principal Life Income Fundings Trust 2005-98 (the “Trust”) of Notes to investors under Principal
Life’s secured notes program;

     WHEREAS, the Trust is a trust and will be organized under and its activities will be governed
by the provisions of the Trust Agreement (set forth in Section A of this Omnibus Instrument), dated
as of the date of the Pricing Supplement (attached to this Omnibus Instrument as Exhibit D)
(the “Pricing Supplement”), by and between the parties thereto indicated in Section F herein;

     WHEREAS, certain expense and indemnification arrangements between Principal Life and the
Trustee, on behalf of itself and on behalf of the Trust, are governed pursuant to the provisions of
the Expense and Indemnity Agreement dated as of March 5, 2004, by and between Principal Life and
the Trustee;

     WHEREAS, certain licensing arrangements between the Trust and Principal Financial Services,
Inc. will be governed pursuant to the provisions of the License Agreement (set forth in Section B
of this Omnibus Instrument), dated as of the date of the Pricing Supplement, by and between the
parties thereto indicated in Section F herein;

     WHEREAS, certain custodial arrangements of the Funding Agreement and the Guarantee will be
governed pursuant to the provisions of the Custodial Agreement (the “Custodial Agreement”) dated as
of March 5, 2004 by and among Bankers Trust Company, N.A., acting as custodian (the “Custodian”),
the Indenture Trustee and the Trustee, on behalf of the Trust;

     WHEREAS, the Notes will be issued pursuant to the Indenture (set forth in Section C of this
Omnibus Instrument), dated as of the Original Issue Date, by and between the parties thereto
indicated in Section F herein;

     WHEREAS, the sale of the Notes will be governed by the Terms Agreement (set forth in Section D
of this Omnibus Instrument), dated the date of the Pricing Supplement, by and among the parties
thereto indicated in Section F herein; and

     WHEREAS, certain agreements relating to the Notes, the Funding Agreement and the Guarantee are
set forth in the Coordination Agreement (set forth in Section E of this Omnibus Instrument), dated
as of the date of the Pricing Supplement, by and among the parties thereto indicated in Section F
herein.

     All capitalized terms used herein and not otherwise defined will have the meanings set forth
in the Indenture.

[Remainder of Page Intentionally Left Blank.]

 

 

SECTION A

TRUST AGREEMENT

     This TRUST AGREEMENT (this “Trust Agreement”), dated as of the date of the
Pricing Supplement, is entered into by and between GSS Holdings II, Inc., a
Delaware corporation, as trust beneficial owner (the “Trust Beneficial Owner”),
and U.S. Bank Trust National Association, a national banking association, as
Trustee (the “Trustee”).

W I T N E S S E T H:

     WHEREAS, the Trust Beneficial Owner and the Trustee desire to authorize
the issuance of a Trust Beneficial Interest and a series of Notes in connection
with the entry into this Trust Agreement;

     WHEREAS, all things necessary to make this Trust Agreement a valid and
legally binding agreement of the Trustee and the Trust Beneficial Owner,
enforceable in accordance with its terms, have been done;

     WHEREAS, the parties intend to provide for, among other things, (i) the
issuance and sale of the Notes (pursuant to the Indenture, the Distribution
Agreement and the related Terms Agreement) and the Trust Beneficial Interest,
(ii) the use of the proceeds of the sale of the Notes and Trust Beneficial
Interest to acquire the Funding Agreement, the payment obligations of which
will be fully and unconditionally guaranteed by the Guarantee, and (iii) all
other actions deemed necessary or desirable in connection with the transactions
contemplated by this Trust Agreement; and

     WHEREAS, the parties hereto desire to incorporate by reference those
certain Standard Trust Terms, dated as of March 5, 2004, and attached to the
Omnibus Instrument as Exhibit A (the “Standard Trust Terms”) and all
capitalized terms not otherwise defined herein (including the recitals hereof)
shall have the meanings set forth in the Standard Trust Terms (the Standard
Trust Terms and this Trust Agreement, collectively, the “Trust Agreement”).

     NOW, THEREFORE, in consideration of the agreements and obligations set
forth herein and for other good and valuable consideration, the sufficiency of
which are hereby acknowledged, each party hereby agrees as follows:

ARTICLE 1

     Section 1.01 Incorporation by Reference. All terms, provisions and
agreements set forth in the Standard Trust Terms (except to the extent
expressly modified herein) are hereby incorporated herein by reference with the
same force and effect as though fully set forth herein. To the extent that the
terms set forth in Article 2 of this Trust Agreement are inconsistent with the
terms of the Standard Trust Terms, the terms set forth in Article 2 herein
shall apply.

A-1

 

ARTICLE 2

     Section 2.01 Name. The Trust created and governed by the Trust Agreement
shall be the trust specified in the Omnibus Instrument. The name of the Trust
shall be the name specified in the first paragraph of the Omnibus Instrument,
as such name may be modified from time to time by the Trustee following written
notice to the Trust Beneficial Owner.

     Section 2.02 Jurisdiction. The Trust is hereby organized in, and formed
under and pursuant to, the laws of the State of New York.

     Section 2.03 Initial Capital Contribution and Ownership. The Trust
Beneficial Owner has paid or has caused to be paid to, or to an account at the
direction of, the Trustee, on the date hereof, the sum of $15 (or, in the case
of Notes issued with original issue discount, such amount multiplied by the
issue price of the Notes). The Trustee hereby acknowledges receipt in trust
from the Trust Beneficial Owner, as of the date hereof, of the foregoing
contribution, which shall be used along with the proceeds from the sale of the
series of Notes to purchase the Funding Agreement. Upon the creation of the
Trust and the registration of the Trust Beneficial Interest in the Securities
Register (as defined in the Trust Agreement) by the Registrar in the name of
the Trust Beneficial Owner, the Trust Beneficial Owner shall be the sole
beneficial owner of the Trust.

     Section 2.04 Acknowledgment. The Trustee, on behalf of the Trust,
expressly acknowledges its duties and obligations set forth in the Standard
Trust Terms incorporated herein.

     Section 2.05 Additional Terms.

     None

     Section 2.06 Omnibus Instrument; Execution and Incorporation of Terms.

     The parties to the Trust Agreement will enter into the Trust Agreement by
executing the Omnibus Instrument.

     By executing the Omnibus Instrument, the Trustee and the Trust Beneficial
Owner hereby agree that the Trust Agreement will constitute a legal, valid and
binding agreement between the Trustee and the Trust Beneficial Owner.

     All terms relating to the Trust or the series of Notes not otherwise
included in the Trust Agreement will be as specified in the Omnibus Instrument
or Pricing Supplement, as indicated herein.

A-2

 

     Section 2.07 Governing Law. The Trust Agreement will be governed by, and
construed in accordance with, the laws of the State of New York.

     Section 2.08 Counterparts. The Trust Agreement, through the Omnibus
Instrument, may be executed in any number of counterparts, each of which
counterparts shall be deemed to be an original, and all of which counterparts
shall constitute but one and the same instrument.

[Remainder of Page Intentionally Left Blank.]

A-3

 

SECTION B

LICENSE AGREEMENT

     This LICENSE AGREEMENT (this “License Agreement”), dated as of the date of
the Pricing Supplement, is entered into by and between Principal Financial
Services, Inc., an Iowa corporation with its principal place of business at 711
High Street, Des Moines, Iowa 50392 (the “Licensor”), and the Principal Life
Income Fundings Trust specified in the Omnibus Instrument (the “Licensee”).

W I T N E S S E T H:

     WHEREAS, the Licensor is the owner of certain trademarks and service marks
and registrations and pending applications therefor, and may acquire additional
trademarks and service marks in the future, all as described more fully below;

     WHEREAS, the Licensee desires to use certain of the Licensor’s trademarks
and service marks in connection with the Licensee’s activities, as described
more fully below;

     WHEREAS, the Licensor and the Licensee wish to formalize the agreement
between them regarding the Licensee’s use of the Licensor’s marks; and

     WHEREAS, the parties hereto desire to incorporate by reference those
certain Standard License Agreement Terms, dated March 5, 2004, and attached to
the Omnibus Instrument as Exhibit B (the “Standard License Agreement Terms”)
and all capitalized terms not otherwise defined herein (including the recitals
hereof) shall have the meanings set forth in the Standard License Agreement
Terms (the Standard License Agreement Terms and this License Agreement,
collectively, the “License Agreement”).

     NOW, THEREFORE, in consideration of the mutual promises set forth herein
and for other good and valuable consideration, the sufficiency and receipt of
which are hereby acknowledged, each party hereby agrees as follows:

ARTICLE 1

     Section 1.01 Incorporation by Reference. All terms, provisions and
agreements set forth in the Standard License Agreement Terms (except to the
extent expressly modified herein) are hereby incorporated herein by reference
with the same force and effect as though fully set forth herein. To the extent
that the terms set forth in Article 2 of this License Agreement are
inconsistent with the terms of the Standard License Agreement Terms, the terms
set forth in Article 2 herein shall apply.

ARTICLE 2

     Section 2.01 Additional Terms.

     None

B-1

 

     Section 2.02 Omnibus Instrument; Execution and Incorporation of Terms.

     The parties to the License Agreement will enter into the License Agreement
by executing the Omnibus Instrument.

     By executing the Omnibus Instrument, the Licensor and the Licensee hereby
agree that the License Agreement will constitute a legal, valid and binding
agreement between the Licensor and the Licensee.

     All terms relating to the Trust or the Notes not otherwise included in the
License Agreement will be as specified in the Omnibus Instrument or Pricing
Supplement, as indicated herein.

     Section 2.03 Counterparts. The License Agreement, through the Omnibus
Instrument, may be executed in any number of counterparts, each of which
counterparts shall be deemed to be an original, and all of which counterparts
shall constitute but one and the same instrument.

[Remainder of Page Intentionally Left Blank.]

B-2

 

SECTION C

INDENTURE

     This INDENTURE (this “Indenture”) is entered into as of the Original Issue
Date by and between the Principal Life Income Fundings Trust specified in the
Omnibus Instrument (the “Trust”) and Citibank, N.A., as indenture trustee (the
“Indenture Trustee”).

     Citibank, N.A., in its capacity as indenture trustee, hereby accepts its
role as Registrar, Paying Agent, Transfer Agent and Calculation Agent
hereunder.

     References herein to “Indenture Trustee,” “Registrar,” “Transfer Agent,”
“Paying Agent” or “Calculation Agent” shall include the permitted successors
and assigns of any such entity from time to time.

W I T N E S S E T H:

     WHEREAS, the Trust has duly authorized the execution and delivery of this
Indenture to provide for the issuance of Notes;

     WHEREAS, all things necessary to make this Indenture a valid and legally
binding agreement of the Trust and the other parties to this Indenture,
enforceable in accordance with its terms, have been done, and the Trust
proposes to do all things necessary to make the Notes, when executed by the
Trust and authenticated and delivered pursuant hereto, valid and legally
binding obligations of the Trust as hereinafter provided; and

     WHEREAS, the parties hereto desire to incorporate by reference those
certain Standard Indenture Terms, dated as of March 5, 2004, and attached to
the Omnibus Instrument as Exhibit C (the “Standard Indenture Terms”) and all
capitalized terms not otherwise defined herein (including the recitals hereof)
shall have the meanings set forth in the Standard Indenture Terms (the Standard
Indenture Terms and this Indenture, collectively, the “Indenture”).

     NOW, THEREFORE, for and in consideration of the premises and the purchase
of the Notes by the Holders thereof, it is mutually covenanted and agreed by
each of the parties hereto as follows:

ARTICLE 1

     Section 1.01 Incorporation by Reference. All terms, provisions and
agreements set forth in the Standard Indenture Terms (except to the extent
expressly modified herein) are hereby incorporated herein by reference (with
the same force and effect as though fully set forth herein). To the extent
that the terms set forth in Article 2 of this Indenture are inconsistent with
the terms of the Standard Indenture Terms, the terms set forth in Article 2
herein shall apply.

C-1

 

ARTICLE 2

     Section 2.01 Agreement to be Bound. Each of the Trust, the Indenture
Trustee, the Registrar, the Transfer Agent, the Paying Agent and the
Calculation Agent hereby agrees to be bound by all of the terms, provisions and
agreements set forth in the Indenture, with respect to all matters contemplated
in the Indenture, including, without limitation, those relating to the issuance
of the below-referenced Notes.

     Section 2.02 Designation of the Trust, the Notes, the Funding Agreement
and the Guarantee. The Trust created by the Trust Agreement and referred to in
the Indenture is the Principal Life Income Fundings Trust specified in the
Omnibus Instrument. The Notes issued by the Trust and governed by the
Indenture shall be the Notes specified in the Pricing Supplement. The Funding
Agreement designated hereby is the Funding Agreement designated in the Pricing
Supplement dated as of the Original Issue Date between the Trust and Principal
Life. The Guarantee designated hereby is the Guarantee dated as of the Original
Issue Date of PFG.

     Section 2.03 Additional Terms.

     None

     Section 2.04 Omnibus Instrument; Execution and Incorporation of Terms.

     The parties to the Indenture will enter into the Indenture by executing
the Omnibus Instrument.

     By executing the Omnibus Instrument, the Indenture Trustee, the Registrar,
the Transfer Agent, the Paying Agent, the Calculation Agent and the Trust
hereby agree that the Indenture will constitute a legal, valid and binding
agreement between the Indenture Trustee, the Registrar, the Transfer Agent, the
Paying Agent, the Calculation Agent and the Trust.

     All terms relating to the Trust or the Notes not otherwise included in the
Indenture will be as specified in the Omnibus Instrument or Pricing Supplement,
as indicated herein.

     Section 2.05 Counterparts. The Indenture, through the Omnibus Instrument,
may be executed in any number of counterparts, each of which counterparts shall
be deemed to be an original, and all of which counterparts shall constitute one
and the same instrument.

[Remainder of Page Intentionally Left Blank.]

C-2

 

SECTION D

TERMS AGREEMENT

     This TERMS AGREEMENT (this “Terms Agreement”) is entered into as of the
Original Issue Date by and among Principal Life Insurance Company (“Principal
Life”), Principal Financial Group, Inc. (“PFG”), the Principal Life Income
Fundings Trust specified in the Omnibus Instrument (the “Trust”) and the
Purchasing Agent specified in the Pricing Supplement (the “Purchasing Agent”).

W I T N E S S E T H:

     WHEREAS, Principal Life, PFG and the agents named therein, including the
Purchasing Agent have entered into that certain Distribution Agreement dated
March 5, 2004 (the “Distribution Agreement”).

     NOW, THEREFORE, in consideration of the mutual promises set forth herein
and other good and valuable consideration, the sufficiency and receipt of which
are hereby acknowledged, each of the parties hereby agrees as follows:

ARTICLE 1

     Section 1.01 Incorporation by Reference. The provisions of the
Distribution Agreement and the related definitions (unless otherwise specified
herein) are incorporated by reference herein and shall be deemed to have the
same force and effect as if set forth in full herein.

ARTICLE 2

     Section 2.01 Addition of Trust as Party to Distribution Agreement.

     Pursuant to Section 1 of the Distribution Agreement, each of the
undersigned parties hereby acknowledges and agrees that the Trust, upon
execution hereof by the Trust and the other parties to the Distribution
Agreement (other than any other trusts organized in connection with the
Registration Statement that are party thereto as of the date hereof), shall
become a Trust for purposes of the Distribution Agreement in accordance with
the terms thereof, in respect of the Notes, with all the authority, rights,
powers, duties and obligations of a Trust under the Distribution Agreement.
The Trust confirms that any agreement, covenant, acknowledgment, representation
or warranty under the Distribution Agreement applicable to the Trust is made by
the Trust at the date hereof, unless another time or times are specified in the
Distribution Agreement, in which case such agreement, covenant, acknowledgment,
representation or warranty shall be deemed to be confirmed by the Trust at such
specified time or times.

     Section 2.02 Purchase of Notes as Principal.

     (a) Subject in all respects to the terms and conditions of the
Distribution Agreement, the Trust hereby agrees to sell to the Purchasing Agent
and the Purchasing Agent hereby agrees to purchase the Notes having the terms
specified in the Pricing Supplement relating to such Notes.

D-1

 

     (b) In connection with any purchase of Notes from the Trust by the
Purchasing Agent as principal, the parties agrees that the items specified on
Schedule I of the Omnibus Instrument will be delivered as of the Settlement
Date.

     Section 2.03 Termination. Upon the termination of this Terms Agreement
pursuant to Section 13(b) of the Distribution Agreement the undersigned parties
hereby agree to that the expenses reasonably incurred prior to or in connection
with such termination will be borne by Principal Life and PFG.

     Section 2.04 Governing Law. This Terms Agreement shall be governed by and
construed in accordance with the laws of the State of New York without regard
to the principles of conflicts of laws thereof.

     Section 2.05 Notices. For purposes of Section 14 of the Distribution
Agreement, the Trust’s communications details are as set forth in Section E of
the Omnibus Instrument.

     Section 2.06 Omnibus Instrument; Execution and Incorporation of Terms.

     The parties to this Terms Agreement will enter into this Terms Agreement
by executing the Omnibus Instrument.

     By executing the Omnibus Instrument, each party hereto agrees that this
Terms Agreement will constitute a legal, valid and binding agreement by and
among such parties.

     All terms relating to the Trust or the Notes not otherwise included in
this Terms Agreement will be as specified in the Omnibus Instrument or Pricing
Supplement, as indicated herein.

     Section 2.07 Counterparts. This Terms Agreement, through the Omnibus
Instrument, may be executed in any number of counterparts, each of which
counterparts shall be deemed to be an original, and all of which counterparts
shall constitute but one and the same instrument.

[Remainder of Page Intentionally Left Blank.]

D-2

 

SECTION E

COORDINATION AGREEMENT

     This COORDINATION AGREEMENT (this “Coordination Agreement”), dated as of
the date of the Pricing Supplement, is entered into by and among Principal Life
Insurance Company (“Principal Life”), Principal Financial Group, Inc. (“PFG”),
the Principal Life Income Fundings Trust specified in the Omnibus Instrument
(the “Trust”), Principal Financial Services, Inc. (“PFSI”), Bankers Trust
Company, N.A. and Citibank, N.A., as indenture trustee (the “Indenture
Trustee”).

W I T N E S S E T H

     WHEREAS, the Trust will enter into the Funding Agreement with Principal
Life dated as of the Original Issue Date specified in the Pricing Supplement;

     WHEREAS, PFG will issue a Guarantee to the Trust as of the Original Issue
Date specified in the Pricing Supplement, which will fully and unconditionally
guarantee the payment obligations of Principal Life under the Funding
Agreement;

     WHEREAS, the Purchasing Agent (as defined in the Distribution Agreement)
have agreed to sell the Notes in accordance with the Registration Statement;

     WHEREAS, the Trust intends to issue the Notes in accordance with the
Indenture, to collaterally assign to, and grant a security interest in, the
Funding Agreement and the Guarantee to and in favor of the Indenture Trustee in
accordance with the Indenture to secure payment of the Notes;

     WHEREAS, the Custodian will hold the Funding Agreement and the Guarantee
on behalf of the Indenture Trustee pursuant to the terms of the Custodial
Agreement; and

     WHEREAS, certain licensing arrangements between the Trust and PFSI will be
governed pursuant to the provisions of the License Agreement.

     NOW, THEREFORE, to give effect to the agreements and arrangements
established under the Terms Agreement included in the Omnibus Instrument, as
applicable, the Trust Agreement, the Indenture and the Notes, and in
consideration of the agreements and obligations set forth herein and for other
good and valuable consideration, the sufficiency of which are hereby
acknowledged, each party hereby agrees as follows:

ARTICLE 1

     Section 1.01 Delivery of the Funding Agreement and the Guarantee. The
Trust hereby authorizes the Custodian, on behalf of the Indenture Trustee, to
receive the Funding Agreement from Principal Life and the Guarantee from PFG
pursuant to the assignment of the Funding Agreement and Guarantee (the
“Assignment”), to be entered into on the Original Issue Date, included in the
closing instrument dated as of the Original Issue Date (the “Closing
Instrument”).

E-1

 

     Section 1.02 Issuance and Purchase of the Notes.

     (a) Delivery of the Funding Agreement and the Guarantee to the Custodian,
on behalf of the Indenture Trustee, pursuant to the Assignment or execution of
the cross receipt contained in the Closing Instrument shall be confirmation of
payment by the Trust for the Funding Agreement.

     (b) The Trust hereby directs the Indenture Trustee, upon receipt by the
Custodian, on behalf of the Indenture Trustee, of the Funding Agreement
pursuant to the Assignment and upon receipt by the Custodian, on behalf of the
Indenture Trustee, of the Guarantee, (i) to authenticate the certificates
representing the Notes (the “Notes Certificates”) in accordance with the
Indenture and (ii) to (A) deliver each relevant Notes Certificate to the
clearing system or systems identified in each such Notes Certificate, or to the
nominee of such clearing system, or the custodian thereof, for credit to such
accounts as the Purchasing Agent may direct, or (B) deliver each relevant Notes
Certificate to the purchasers thereof as identified by the Purchasing Agent.

ARTICLE 2

     Section 2.01 Directions Regarding Periodic Payments. As registered owner
of the Funding Agreement and the Guarantee as collateral securing payments on
the Notes, the Indenture Trustee will receive payments on the Funding Agreement
and the Guarantee on behalf of the Trust. The Trust hereby directs the
Indenture Trustee to use such funds to make payments on behalf of the Trust
pursuant to the Trust Agreement and the Indenture.

     Section 2.02 Maturity of the Funding Agreement. Upon the maturity of the
Funding Agreement and the return of funds thereunder, the Trust hereby directs
the Indenture Trustee to set aside from such funds an amount sufficient for the
repayment of the outstanding principal on the Notes and Trust Beneficial
Interest when due.

ARTICLE 3

     Section 3.01 Certificates. Principal Life hereby agrees to deliver an
Officer’s Certificate, a copy of which is attached hereto as Exhibit E, on a
quarterly basis to any rating agency currently rating the Program. The Trust
hereby agrees to deliver an Officer’s Certificate, a copy of which is attached
hereto as Exhibit F, on a quarterly basis to any rating agency currently rating
the Program.

     Section 3.02 Filings. Principal Life hereby covenants to file, or cause
to be filed, in a timely manner on behalf of the Trust all reports,
certifications or similar filings required under the Securities Exchange Act of
1934, as amended.

ARTICLE 4

     Section 4.01 No Additional Liability. Nothing in this Coordination
Agreement shall impose any liability or obligation on the part of any party to
this Coordination Agreement to make any payment or disbursement in addition to
any liability or obligation such party has under the Program Documents, except
to the extent that a party has actually received funds which it is obligated to
disburse pursuant to this Coordination Agreement.

E-2

 

     Section 4.02 No Conflict. This Coordination Agreement is intended to be
in furtherance of the agreements reflected in the documents related to the
Program Documents, and not in conflict. To the extent that a provision of this
Coordination Agreement conflicts with the provisions of one or more Program
Documents, the provisions of such Program Documents shall govern.

     Section 4.03 Governing Law. This Coordination Agreement shall be governed
by and construed in accordance with the laws of the State of New York without
regard to the principles of conflicts of laws thereof.

     Section 4.04 Severability. If any provision in this Coordination
Agreement shall be invalid, illegal or unenforceable, such provision shall be
deemed severable from the remaining provisions of this Coordination Agreement
and shall in no way affect the validity or enforceability of such other
provisions of this Coordination Agreement.

     Section 4.05 Severability. If any provision in this Coordination
Agreement shall be invalid, illegal or unenforceable, such provision shall be
deemed severable from the remaining provisions of this Coordination Agreement
and shall in no way affect the validity or enforceability of such other
provisions of this Coordination Agreement.

     Section 4.06 Notices. All demands, notices and communications under this
Coordination Agreement shall be in writing and shall be deemed to have been
duly given upon receipt at the addresses set forth below:

	 	 	 
	To the Trust:
	 	 
	 
	

	 	Principal Life Income Fundings
Trust (followed by the number set forth in the Omnibus Instrument)
	

	 	c/o U.S. Bank Trust National Association
	

	 	100 Wall Street, 16th Floor
	

	 	New York, New York 10005
	

	 	Attention: Corporate Trust Administration
	

	 	Telephone: (212) 361-2458
	

	 	Facsimile: (212) 809-5459 and (212) 509-3384
	 
	To the Indenture Trustee:
	 	 
	 
	

	 	Citibank, N.A.
	

	 	Citibank Agency & Trust
	

	 	388 Greenwich Street, 14th Floor
	

	 	New York, New York 10013
	

	 	Attention: Nancy Forte
	

	 	Telephone: (212) 816-5685
	

	 	Facsimile: (212) 816-5527

E-3

 

	 	 	 
	To Principal Life:

	 
	

	 	Principal Life Insurance Company
	

	 	711 High Street
	

	 	Des Moines, Iowa 50392
	

	 	Attention: General Counsel
	

	 	Telephone: (515) 247-5111
	

	 	Facsimile: (515) 248-3011
	 
	 	 	With a copy to:

	 
	

	 	Principal Life Insurance Company
	

	 	711 High Street
	

	 	Des Moines, Iowa 50392
	

	 	Attention: Jim Fifield
	

	 	Telephone: (515) 248-9196
	

	 	Facsimile: (515) 235-9353
	 
	To PFG:

	 
	

	 	Principal Financial Group, Inc.
	

	 	711 High Street
	

	 	Des Moines, Iowa 50392
	

	 	Attention: General Counsel
	

	 	Telephone: (515) 247-5111
	

	 	Facsimile: (515) 248-3011
	 
	 	 	With a copy to:
	 	 
	 
	

	 	Principal Life Insurance Company
	

	 	711 High Street
	

	 	Des Moines, Iowa 50392
	

	 	Attention: Jim Fifield
	

	 	Telephone: (515) 248-9196
	

	 	Facsimile: (515) 235-9353
	 
	To Principal Financial
Services, Inc.:
	 	 
	 
	

	 	Principal Financial Services, Inc.
	

	 	711 High Street
	

	 	Des Moines, Iowa 50392
	

	 	Attention: General Counsel
	

	 	Telephone: (515) 247-5111
	

	 	Facsimile: (515) 248-3011

E-4

 

	 	 	 
	 	 	With a copy to:
	 	 
	 
	

	 	Principal Life Insurance Company
	

	 	711 High Street
	

	 	Des Moines, Iowa 50392
	

	 	Attention: Jim Fifield
	

	 	Telephone: (515) 248-9196
	

	 	Facsimile: (515) 235-9353
	 
	To Bankers Trust Company, N.A:
	 	 
	 
	

	 	Bankers Trust Company, N.A.
	

	 	665 Locust Street
	

	 	Des Moines, Iowa 50309-3702
	

	 	Attention: Angela C. Brick
	

	 	Telephone: (515) 245-2820
	

	 	Facsimile: (515) 247-2101

or at such other address as shall be designated by any such party in a written
notice to the other parties.

ARTICLE 5

     Section 5.01 Omnibus Instrument; Execution and Incorporation of Terms.

     The parties to this Coordination Agreement will enter into this
Coordination Agreement by executing the Omnibus Instrument.

     By executing the Omnibus Instrument, each party hereto agrees that this
Coordination Agreement will constitute a legal, valid and binding agreement by
and among the Trust, Principal Life, PFG, PFSI, the Custodian and the Indenture
Trustee.

     All terms relating to the Trust or the Notes not otherwise included in
this Coordination Agreement will be as specified in the Omnibus Instrument or
Pricing Supplement, as indicated herein.

     Section 5.02 Acknowledgment. Principal Life hereby acknowledges Section
2.10 of the Indenture and Section 6.1 of the Custodial Agreement. The Trust
hereby acknowledges and agrees to the terms of the Custodial Agreement.

     Section 5.03 Counterparts. This Coordination Agreement, through the
Omnibus Instrument, may be executed in any number of counterparts, each of
which counterparts shall be deemed to be an original, and all of which
counterparts shall constitute but one and the same instrument.

     Section 5.04 Capitalized Terms. All capitalized terms used herein and not
otherwise defined in this Coordination Agreement will have the meanings set
forth in the Indenture.

[Remainder of Page Intentionally Left Blank.]

E-5

 

SECTION F

MISCELLANEOUS AND EXECUTION PAGES

     This Omnibus Instrument may be executed by each of the parties hereto in any number of
counterparts, and by each of the parties hereto on separate counterparts, each of which
counterparts, when so executed and delivered, shall be deemed to be an original, but all such
counterparts shall together constitute but one and the same instrument.

     Each signatory, by its execution hereof, does hereby become a party to each of the agreements
or indenture identified for such party as of the date specified in such agreements or indenture.

     IN WITNESS WHEREOF, the undersigned have executed this Omnibus Instrument with respect to the
Notes as of the date first written above.

	 	 	 	 	 
	 	PRINCIPAL LIFE INSURANCE COMPANY (in executing below
agrees and becomes a party to (i) the Terms Agreement
set forth in Section D herein and (ii) the Coordination
Agreement set forth in Section E herein)

 	 
	 	By:  	/s/ Christopher P. Freese
 	 
	 	 	Name:  	Christopher P. Freese 	 
	 	 	Title:  	Officer 	 
	 
	 	PRINCIPAL FINANCIAL GROUP, INC. (in executing below
agrees and becomes a party to (i) the Terms Agreement
set forth in Section D herein and (ii) the Coordination
Agreement set forth in Section E herein)

 	 
	 	By:  	/s/ Elizabeth D. Swanson
 	 
	 	 	Name:  	Elizabeth D. Swanson 	 
	 	 	Title:  	Counsel 	 
	 
	 	PRINCIPAL FINANCIAL SERVICES, INC. (in executing below
agrees and becomes a party to (i) the License Agreement
set forth in Section B herein and (ii) the Coordination
Agreement set forth in Section E herein)

 	 
	 	By:  	/s/ Elizabeth D. Swanson
 	 
	 	 	Name:  	Elizabeth D. Swanson 	 
	 	 	Title:  	Counsel 	 
	 

[Execution Page 1 of 3]

 

 

	 	 	 	 	 
	 	THE PRINCIPAL LIFE INCOME FUNDINGS TRUST DESIGNATED IN
THIS OMNIBUS INSTRUMENT (in executing below agrees and
becomes a party to (i) the License Agreement set forth
in Section B herein, (ii) the Indenture set forth in
Section C herein, (iii) the Terms Agreement set forth
in Section D herein and (iv) the Coordination Agreement
set forth in Section E herein)

 	 
	 	By: U.S. Bank Trust National Association, not in its
individual capacity but solely in its capacity as
trustee of the Trust  	 
	 
	 	 	 
	 	By:  	                                            /s/ Thomas E. Tabor
 	 
	 	 	Name:  	Thomas E. Tabor 	 
	 	 	Title:  	Vice President 	 
	 
	 	U.S. BANK TRUST NATIONAL ASSOCIATION (in executing
below agrees and becomes a party to the Trust Agreement
set forth in Section A herein), as Trustee

 	 
	 	By:  	/s/ Thomas E. Tabor
 	 
	 	 	Name:  	Thomas E. Tabor 	 
	 	 	Title:  	Vice President 	 
	 
	 	GSS HOLDINGS II, INC. (in executing below agrees and
becomes a party to the Trust Agreement set forth in
Section A herein), as Trust Beneficial Owner

 	 
	 	By:  	/s/ Andrew L. Stidd
 	 
	 	 	Name:  	Andrew L. Stidd 	 
	 	 	Title:  	President 	 
	 
	 	CITIBANK, N.A. (in executing below agrees and becomes a
party to (i) the Indenture set forth in Section C
herein, as Indenture Trustee, Registrar, Transfer
Agent, Paying Agent and Calculation Agent and (ii) the
Coordination Agreement set forth in Section E herein),
as Indenture Trustee, Registrar, Transfer Agent, Paying
Agent and Calculation Agent

 	 
	 	By:  	/s/ Nancy Forte
 	 
	 	 	Name:  	Nancy Forte 	 
	 	 	Title:  	Assistant Vice President 	 
	 

[Execution Page 2 of 3]

 

 

	 	 	 	 	 
	 	BANKERS TRUST COMPANY, N.A. (in executing below agrees
and becomes a party to the Coordination Agreement set
forth in Section E herein)

 	 
	 	By:  	/s/ Rick Greene
 	 
	 	 	Name:  	Rick Greene 	 
	 	 	Title:  	AVP- Officer 	 
	 
	 	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (in
executing below agrees and becomes a party to the Terms
Agreement set forth in Section D herein)

 	 
	 	By:  	/s/ Diane Kenna
 	 
	 	 	Name:  	Diane Kenna 	 
	 	 	Title:  	Authorized Signatory 	 
	 

[Execution Page 3 of 3]

 

 

INDEX OF EXHIBITS AND SCHEDULES TO THE OMNIBUS INSTRUMENT

	 	 	 
	 
	 	 
	Exhibit A

	 	Standard Trust Terms – Incorporated herein by reference to Exhibit
4.6 to Principal Life Insurance Company’s and Principal Financial
Group, Inc.’s Registration Statement on Form S-3 (Registration
Nos. 333-110499 and 333-110499-01.
	 
	 	 
	Exhibit B

	 	Standard License Agreement Terms – Incorporated herein by
reference to Exhibit 99.1 to Principal Life Insurance Company’s
Current Report on Form 8-K, filed on March 29, 2004.
	 
	 	 
	Exhibit C

	 	Standard Indenture Terms – Incorporated herein by reference to
Exhibit 4.1 to Principal Life Insurance Company’s and Principal
Financial Group, Inc.’s Registration Statement on Form S-3
(Registration Nos. 333-110499 and 333-110499-01.
	 
	 	 
	Exhibit D

	 	Pricing Supplement – Incorporated herein by reference to the
Pricing Supplement with respect to Principal Life Income Fundings
Trust 2005-98, filed on September 26, 2005, with the Securities
and Exchange Commission pursuant to Rule 424(b)(5) under the
Securities Act of 1933, as amended.
	 
	 	 
	Exhibit E

	 	Principal Life Insurance Company Officer’s Certificate
	 
	 	 
	Exhibit F

	 	Principal Life Income Fundings Trusts Trustee Officer’s Certificate
	 
	 	 
	Schedule I

	 	Terms Agreement Specifications

 

 

EXHIBIT E

Principal Life Insurance Company

Officer’s Certificate

     The undersigned, an officer of Principal Life Insurance Company, an Iowa
stock life insurance company (“Principal Life”), does hereby certify to
Standard & Poor’s Ratings Services, a division of The McGraw-Hill Companies,
Inc., in such capacity and on behalf of Principal Life, to the knowledge of the
undersigned and after reasonable inquiry, that:

	 	 	 
	1.

	 	each of the representations and warranties of Principal Life
contained in each Expense and Indemnity Agreement entered into in
connection with the Registration Statement (defined below), and each
Funding Agreement issued in connection with the Program (the
“Specified Agreements”) (other than any representation or warranty
expressly made as of a date prior to the date hereof) are true and
correct on and as of the date hereof, with the same effect as though
such representation or warranty had been made on and as of the date
hereof;
	 
	2.

	 	no default under any of the Specified Agreements and no event
or any condition which, with notice or lapse of time or both, would
become a default, has occurred and is continuing as of the date
hereof;
	 
	3.

	 	Principal Life has performed and complied with, respectively,
in all material respects, all of the agreements, covenants,
obligations and conditions applicable to Principal Life required by
the Specified Agreements to be performed or complied with by
Principal Life on or before the date hereof;
	 
	4.

	 	the Registration Statement filed on Form S-3 (File Nos.
333-110499 and 333-110499-01) (the “Registration Statement”) by
Principal Life and Principal Financial Group, Inc. has been declared
effective by the Securities and Exchange Commission (the
“Commission”) under the Securities Act of 1933, as amended (the
“Act”) and no stop order suspending the effectiveness of the
Registration Statement has been issued and no proceedings for that
purpose have been commenced by or are pending before or contemplated
by the Commission;
	 
	5.

	 	all filings, if any, required by Rule 424 and Rule 430A under
the Act have been made in a timely manner;
	 
	6.

	 	since
     , the Trusts organized in connection with the
program contemplated by the Registration Statement have issued the
following series of Notes:
	 
	

	 	[List each series of Notes.] [(collectively, the “Designated Notes”)]; and
	 
	7.

	 	the Funding Agreements issued in connection with the Designated
Notes have been executed and delivered by Principal Life in accordance
with the terms and conditions of the Program Documents.

E-1

 

          Capitalized terms used herein and not otherwise defined herein shall have the meanings set
forth in the Standard Indenture Terms attached as Exhibit 4.1 to the
Registration Statement.

     IN WITNESS WHEREOF, the undersigned has executed this Certificate as of
the • day of •, 200•.

	 	 	 
	

	[Name], [in his/her] capacity as an
authorized officer of Principal Life
	 
	 	By:
	 
	 	 	

	

	 	Name:
	

	 	Title:

	 	 	 	 	 

E-2

 

EXHIBIT F

Principal Life Income Fundings Trusts

Trustee Officer’s Certificate

     U.S. Bank Trust National Association, not in its individual capacity but
solely in its capacity as trustee acting on behalf of each common law trust
organized under the laws of the State of New York (in such capacity, the
“Trustee,” and each such common law trust being referred to herein as, a
“Trust”) in connection with the program contemplated by Registration Statement
Nos. 333-110499 and 333-110499-01 filed on Form S-3 (the “Registration
Statement”) by Principal Life Insurance Company and Principal Financial Group,
Inc. with the Securities and Exchange Commission, does hereby certify to
Standard & Poor’s Ratings Services, a division of The McGraw-Hill Companies,
Inc., in such capacity and on behalf of each Trust, to the knowledge of the
Trustee, that:

	 	 	 
	1.

	 	each of the representations and warranties of each Trust
contained in the Notes issued in connection with the Program, each
Indenture entered into in connection with the Registration Statement
and the Expense and Indemnity Agreement concerning the Trusts (the
“Specified Agreements”) (other than any representation or warranty
expressly made as of a date prior to the date hereof) are true and
correct on and as of the date hereof, with the same effect as though
such representation or warranty had been made on and as of the date
hereof;
	 
	2.

	 	no default under any of the Specified Agreements and no event
or any condition which, with notice or lapse of time or both, would
become a default, has occurred and is continuing as of the date
hereof;
	 
	3.

	 	each Trust has performed and complied with, respectively, in
all material respects, all of the agreements, covenants, obligations
and conditions applicable to such Trust required by the Specified
Agreements to be performed or complied with by such Trust on or
before the date hereof;
	 
	4.

	 	the Notes issued in connection with the Program, have been
issued, in all material respects, in accordance with the terms and
conditions of the Program Documents; and
	 
	5.

	 	each Funding Agreement has been executed and delivered by the
related Trust in accordance with the terms and conditions of the
Program Documents.

     Capitalized terms used herein and not otherwise defined herein shall have
the meanings set forth in the Standard Indenture Terms attached as Exhibit 4.1
to the Registration Statement. In no event shall U.S. Bank Trust National
Association in its personal corporate capacity have any liability for any of
the certifications or statements contained in this Trustee Officer’s
Certificate, such liability being solely that of each Trust.

F-1

 

     IN WITNESS WHEREOF, the undersigned has executed this Certificate as of
the • day of •, 200•.

	 	 	 
	

	 	U.S. Bank Trust National Association, not
in its capacity but solely in its capacity
as Trustee acting on behalf of each Trust
	 
	 	By:
	 
	 	 	

	

	 	Name:
	

	 	Title:

F-2

 

SCHEDULE I

Terms Agreement Specifications

      In connection with Section 3(a)(iv) of the Distribution Agreement, the Program under which the
Notes are issued is rated Aa2 by Moody’s Investors Service, Inc. (“Moody’s”) and AA by Standard &
Poor’s Rating Services, a division of The McGraw-Hill Companies, Inc. (“S&P”). Principal Life and
PFG expect that the Notes will be rated Aa2 by Moody’s. The Company’s financial strength rating is
Aa2 by Moody’s and AA by S&P. All capitalized terms used herein and not otherwise defined herein
will have the meanings set forth in the Distribution Agreement.exv10w55

 

Exhibit 10.55

Standard Form of Agreement Between Owner and Contractor

where the basis for payment is the COST OF THE WORK PLUS A FEE with a negotiated
Guaranteed Maximum Price

AGREEMENT
made as of the 18th day of August in the year two thousand and
five

(In words, indicate day, month and year)

BETWEEN the Owner:

(Name, address and other information)

John B. Sanfilippo & Son, Inc.

2299 Busse Road

Elk Grove Village, Illinois 60007

and the Contractor:

(Name, address and other information)

McShane Construction Corporation

9550 West Higgins Road, Suite 200

Rosemont, Illinois 60018

The Project is:

(Name and location)

Expansion and Modification of Existing Panasonic Building

Southeast corner of 1-90 and Randall Road.

Elgin, Illinois

The Architect is:

(Name, address and other information)

Heitman Architects

555 Pierce Road, Suite 105

Itasca, Illinois 60143

The Owner
and Contractor agree as follows.

ARTICLE 1 THE CONTRACT DOCUMENTS

The Contract Documents consist of this Agreement, Conditions of the Contract (General,
Supplementary and other Conditions), Drawings, Specifications, Addenda issued prior to execution
of this Agreement, other documents listed in this Agreement and Modifications issued after
execution of this Agreement; these form the Contract, and are as
fully a part of the Contract as if
attached to this Agreement or repeated herein. The Contract represents the entire and integrated
agreement between the parties hereto and supersedes prior negotiations, representations or
agreements, either written or oral. An enumeration of the Contract Documents, other than
Modifications, appears in Article 15. If anything in the other Contract Documents is inconsistent
with this Agreement, this Agreement shall govern.

ARTICLE 2 THE WORK OF THIS CONTRACT

The Contractor shall fully execute the Work described in the Contract Documents, and
reasonably inferable by Contractor as necessary to achieve the results intended by the

ADDITIONS AND DELETIONS:

The author of this document has added information needed for its
completion. The author may also have revised the text of the original AIA standard form. An
Additions and Deletions Report that notes added information as well as revisions to the standard
form text is available from the author and should be reviewed. A vertical line in the left margin
of this document indicates where the author has added necessary information and where the author
has added to or deleted from the original AIA text.

This
document has important legal consequences. Consultation with an attorney is encouraged with
respect to its completion or modification.

This document is not intended for use in competitive bidding.

AIA Document A201-1997, General Conditions of the Contract for Construction, is adopted in
this document by reference. Do not use with other general conditions unless this document is
modified.

This document has been approved and endorsed by the Associated General Contractors
of America.

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This
AIA®
Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction
or distribution of this
AIA®
Document or any portion of it, may result in severe civil and criminal
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User Notes:

1

 

Contract Documents, except to the extent specifically indicated in the Contract Documents to
be the responsibility of
others.

ARTICLE 3 RELATIONSHIP OF THE PARTIES

The Contractor accepts the relationship of trust and confidence established by this
Agreement and covenants with the Owner to cooperate with the Architect and exercise the
Contractor’s skill and judgment in furthering the interests of the Owner; to furnish efficient
business administration and supervision; to furnish at all times an adequate supply of workers and
materials; and to perform the Work in an expeditious and economical manner consistent with the
Owner’s interests. The Owner agrees to furnish and approve, in a timely manner, information
required by the Contractor and to make payments to the Contractor in accordance with the
requirements of the Contract Documents.

ARTICLE 4 DATE OF COMMENCEMENT AND SUBSTANTIAL COMPLETION

§ 4.1 The date of commencement of the Work shall be the date of this Agreement unless a
different date is stated
below or provision is made for the date to be fixed in a notice to
proceed issued by the Owner.

(Insert the date of commencement, if it differs from the date of this Agreement or, if
applicable, state that the date will be fixed in a notice to proceed.)

fixed in a notice to
proceed to be issued by the Owner.

If, prior to commencement of the Work, the Owner requires time to file mortgages,
mechanic’s liens and other security interests, the Owner’s time requirement shall be as
follows:

§ 4,2 The Contract Time shall be measured from the date of commencement.

§4.3 The Contractor shall complete the Work and shall achieve Substantial Completion of the
entire Work as set forth not later than (TBD) days from the date of commencement, and is
predicated on or as follows; the Project Construction Schedule, which is attached as Exhibit
A.

(Insert
number of calendar days. Alternatively, a calendar date may be used when coordinated
with the date of commencement. Unless stated elsewhere in the Contract Documents, insert any
requirements for earlier Substantial Completion of certain portions
of the Work.)

(Paragraph deleted)

, subject to adjustments of this Contract Time as provided in the Contract Documents.

(Insert provisions, if any, for liquidated damages relating to failure to complete on time, or for
bonus payments for
early completion of the Work.)

ARTICLE
5 BASIS FOR PAYMENT

§ 5.1 CONTRACT SUM

§ 5.1.1 The Owner shall pay the Contractor the Contract Sum in current funds for the
Contractor’s performance of the Contract. The Contract Sum is the Cost of the Work as defined in
Article 7 plus the Contractor’s Fee.

§ 5.1.2 The Contractor’s Fee is:

(State a lump sum, percentage of Cost of the Work or other provision for determining the
Contractor’s Fee, and describe the method of adjustment of the Contractor’s Fee for changes in the
Work.)

The Contractor’s Fee is calculated as a percentage of the Cost of the Work as described in the
following fee schedule:

TOTAL FINAL CONTRACT SUM

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 
	 	 	First	 	Next	 	Next	 	 
	 	 	$10MM	 	$10MM	 	$10MM	 	Over
	 	 	($0-10MM)	 	($10-20MM)	 	($20-30MM)	 	$30MM
	All Work
	 	 	4.75	%	 	 	4.25	%	 	 	3.75	%	 	 	2.75	%

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1956, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This
AIA®
Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction
or distribution of this
AIA®
Document or any portion of it, may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software at 11:23:56 on 08/18/2005 under Order
No. 1000177464_2 which expires on
5/4/2006, and is not for resale.

User Notes:

2

 

All
professional fees paid or incurred by Contractor for architectural, civil or
structural engineering drawings, plans, renderings or specifications and all insurance premiums
paid or incurred by Contractor shall be excluded from the Cost of the Work in calculating the
Contractor’s Fee.

§ 5.2 GUARANTEED MAXIMUM PRICE

§ 5.2.1 The sum of the Cost of the Work and the Contractor’s Fee is guaranteed by the
Contractor not to exceed ______ Dollars ($_____), subject-to additions
and deductions by Change Order as provided in the Contract-Documents. Such maximum sum is referred to in the Contract Documents as
the Guaranteed Maximum Price. Costs which would cause the Guaranteed Maximum Price to be exceeded
shall be paid by the Contractor without reimbursement by the Owner. The Estimated Contract Sum is
summarized in Exhibit B. The Estimated Contract Sum is Contractor’s best judgment as to the amount
of the final Contract Sum upon completion of the Work. No fixed limit of the Cost of the Work shall
be established as a condition of this Agreement by the furnishing, proposal or establishment of the
Estimated Contract Sum.

(Insert
specific provisions if the Contractor is to participate in any
savings.)

§ 5.2.2 The Estimated Contract Sum Guaranteed Maximum Price is based on the following
alternates, if any, which are described in the Contract Documents and are hereby accepted by the
Owner:

(State the numbers or other identification of accepted alternates. If decisions on other
alternates are to be made by the Owner subsequent to the execution of this Agreement, attach a
schedule of such other alternates showing the amount for each and the date when the amount
expires.)

See Exhibit F.

§ 5.2.3 Unit prices, if any, are as follows;

	 	 	 	 	 
	Description

	 	Units
	 	Price ($0.00)

See Exhibit F.

§ 5.2.4 Allowances, if any, are as follows

(Identify and state the amounts of any allowances, and state whether they include labor, materials, or both.)

	 	 	 	 	 
	Allowance

	 	Amount ($0.00)
	 	Included items

See Exhibit F.

§ 5.2.5 Assumptions, if any, on which the Estimated Contract Sum Guaranteed Maximum Price is based
are as
follows:

See Exhibit F.

§ 5.2.6 To the extent that the Drawings and Specifications are anticipated to require further
development by the Architect, the Contractor has provided in the
Estimated Contract Sum Guaranteed Maximum Price for such further development consistent with the Contract Documents
and reasonably inferable therefrom. Such further development does not include such things as
changes in scope, systems, kinds and quality of materials, finishes or equipment, all of
which, if required, shall be incorporated by Change Order.

ARTICLE 6 CHANGES IN THE WORK

§
6.1 Adjustments to the Estimated Contract Sum Guaranteed Maximum Price on account of changes in
the Work
may be determined by any of the methods listed in Section 7.3.3 of AIA Document A201-1997.

§ 6.2 In calculating adjustments to subcontracts (except those awarded with the Owner’s prior
consent on the basis of cost plus a fee), the terms “cost” and “fee” as used in Section
7.3.3.3 of AIA Document A201-1997 and the terms “costs” and “a reasonable allowance for
overhead and profit” as used in Section 7.3.6 of AIA Document A201-1997 shall have the
meanings assigned to them in AIA Document A201-1997 and shall not be modified by Articles 5, 7
and 8 of this Agreement. Adjustments to subcontracts awarded with the Owner’s prior consent on
the basis of cost plus a fee shall be calculated in accordance with the terms of those
subcontracts.

§ 6.3 In calculating adjustments to the Estimated Contract Sum Guaranteed- Maximum Price, the
terms “cost” and “costs” as used in the above-referenced provisions of AIA Document A201-1997
shall mean the Cost of the Work as defined in Article 7 of this Agreement and the terms “fee”
and “a reasonable allowance for overhead and profit” shall mean the Contractor’s Fee as
defined in Section 5.1.2 of this Agreement.

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1956, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This
AIA®
Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction
or distribution of this
AIA®
Document or any portion of it, may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software at 11:23:56 on 08/18/2005 under Order
No. 1000177464_2 which expires on
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User Notes:

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§
6.4 If no specific provision is made in Section 5.1 of this Agreement or Section 7.3.6
of AIA Document A201-1997 for adjustment of the Contractor’s Fee in the case of changes in the
Work, or if the extent of such changes is such, in the aggregate, that application of the
adjustment provisions of Section 5.1 will cause substantial inequity to the Owner or
Contractor, the Contractor’s Fee shall be equitably adjusted on the basis of the Fee
established for the original Work, and the Estimated Contract Sum Guaranteed Maximum Price
shall be adjusted accordingly.

ARTICLE 7 COSTS TO BE REIMBURSED

§ 7.1 COST OF THE WORK

The term
Cost of the Work shall mean costs necessarily incurred by the Contractor in the
proper performance of the Work. Such costs shall be at rates not higher than the standard paid at
the place of the Project except with prior consent of the Owner. The Cost of the Work shall include
only the items set forth in this Article 7.

§ 7.2 LABOR COSTS

§ 7.2.1 Wages of construction workers directly employed by the Contractor to perform the
construction of the Work at the site or, with the Owner’s approval, at off-site workshops.

§
7.2.2 Wages or salaries of the Contractor’s supervisory and
administrative personnel (project
executive, senior project manager, project manager, project engineer, superintendent, MEP
superintendent, assistant superintendent, clerical, estimator, safety engineer) whether
when stationed at the site or at Contractor’s principal office for that portion of their
time required for the Work, with the Owner’s approval.

(If it is intended that the wages or salaries of certain personnel stationed at the
Contractor’s principal or other offices shall be included in the Cost of the Work, identify in
Article 14 the personnel to be included and whether for all or
only part of their time, and the
rates at which their time will be charged to the Work.)

§ 7.2.3 Wages and salaries of the Contractor’s supervisory or administrative personnel (as
defined in Subparagraph 7.2.2 engaged, at factories, workshops or on the road, in
expediting the production or transportation of materials or equipment required for the Work,
but only for that portion of their time required for the Work.

§ 7.2.4 Costs paid or incurred by the Contractor for taxes, insurance, contributions,
incentive compensation, vehicle allowance, assessments and benefits required by law or
collective bargaining agreements and, for personnel not covered by such agreements, customary
benefits such as sick leave, medical and health benefits, holidays, incentive compensation,
vehicle allowance, vacations and pensions, provided such costs are based on wages and salaries
included in the Cost of the Work under Sections 7.2.1 through 7.2.3.

7.2.5 Wages and associated costs described in 7.2.1 through 7.2.4 are detailed on the Billing
Rate Schedule, attached as Exhibit C.

§ 7.3 SUBCONTRACT COSTS

§ 7.3.1 Payments made by the Contractor to Subcontractors in accordance with the requirements
of the subcontracts.

§ 7.4 COSTS OF MATERIALS AND EQUIPMENT INCORPORATED IN THE COMPLETED CONSTRUCTION

§ 7.4.1
Costs, including transportation and storage, of materials and equipment incorporated or to be
incorporated in the completed construction. Eixcept with the Owner’s prior approval, the
Contractor shall not make advance payments to suppliers for materials or equipment which have
not been delivered and stored at the site.

§ 7.4.2 Costs of materials described in the preceding Section 7.4.1 in excess of those
actually installed to allow for reasonable waste and spoilage. Unused excess materials, if
any, shall be properly stored during performance of the Work and shall become the Owner’s
property or disposed of at Owner’s direction at the completion of the Work or, at the Owner’s
option, shall be sold by the Contractor. Any amounts realized from such sales shall be
credited to the Owner as a deduction from the Cost of the Work.

§
7.5 COSTS OF OTHER MATERIALS AND EQUIPMENT, TEMPORARY FACILITIES AND RELATED ITEMS

§ 7.5.1
Costs, including transportation and storage, installation, maintenance, dismantling and removal
of materials, supplies, temporary facilities, machinery, equipment, and hand tools not
customarily owned by construction workers, that are provided by the Contractor at the site and
fully consumed in the performance of the Work; and cost

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This
AIA®
Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction
or distribution of this
AIA®
Document or any portion of it, may result in severe civil and criminal
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User Notes:

4

 

(less
remaining market salvage value) of such items if not fully consumed, whether sold
to others or retained by the Contractor. Cost for items previously used by the Contractor
shall mean fair market value.

§ 7.5.2 Rental charges for temporary facilities, machinery, equipment, and hand tools not
customarily owned by construction workers that are provided by the Contractor at the site,
whether rented from the Contractor or others, and costs of transportation, installation, minor
repairs and replacements, dismantling and removal thereof. Rates and quantities of equipment
rented shall be subject to the Owner’s prior approval.

§
7.5.3 Costs of removal of debris from the site.

§ 7.5.4 Costs of document reproductions, facsimile transmissions and long-distance telephone
calls, postage and parcel delivery charges, telephone service at the site and reasonable petty
cash expenses of the site office.

§ 7.5.5 That portion of the reasonable expenses of the Contractor’s personnel incurred while
traveling in discharge of duties connected with the Work.

§ 7.5.6 Costs of materials and equipment suitably stored off the site at a mutually acceptable
location, if approved in advance by the Owner.

§ 7.6 MISCELLANEOUS COSTS

§
7.6.1 That portion of insurance and-bond premiums required by that-can be
directly-attributed to this Contract: For Contractor’s Liability Insurance as defined in
Section. Subparagraph 11.1 of AIA Document A201-11997 and with limits as defined in
Article 16 of this Agreement, an amount equal to 1.18% of the Cost of the Work.

For
Contractor-provided Property Insurance as defined in
Section Sabparagraph 11.4 of AIA
Document A201-1997, an amount equal to 0.09% of the Cost of the Work.

§ 7.6.2 Sales, use or similar taxes imposed by a governmental authority that are related to the
Work.

§7.6.3 Fees and assessments for the building permit and for other permits, licenses and
inspections for which the Contractor is required by the Contract
Documents to pay.

§ 7.6.4 Fees of laboratories for tests required by the Contract Documents, except those
related to defective or nonconforming Work for which reimbursement is excluded by Section
13.5.3 of AIA Document A201-1997 or other provisions of the Contract Documents, and which do
not fall within the scope of Section 7.7.3.

§ 7.6.5 Royalties and license fees paid for the use of a particular design, process or product
required by the Contract Documents; the cost of defending suits or claims for infringement of
patent rights arising from such requirement of the Contract Documents; and payments made in
accordance with legal judgments against the Contractor resulting from such suits or claims and
payments of settlements made with the Owner’s consent. However, such costs of legal defenses,
judgments and settlements shall not be included in the calculation of
the Contractor’s Fee or
subject to the Guaranteed Maximum Price. If such royalties, fees and costs are excluded by the
last sentence of Section 3.17.1 of AIA Document A201-1997 or other provisions of the Contract
Documents, then they shall not be included in the Cost of the Work.

§ 7.6.6 Data processing costs related to the Work.

§ 7.6.7 Deposits lost for causes other than the Contractor’s negligence or failure to fulfill
a specific responsibility to the Owner as set forth in the Contract Documents.

§7.6.8 Legal, mediation and arbitration costs, including attorneys’ fees, other than those
arising from disputes between the Owner and Contractor, reasonably incurred by the Contractor
in the performance of the Work and with the Owner’s prior written approval; which approval
shall not be unreasonably withheld.

§ 7.6.9 Expenses incurred in accordance with the Contractor’s standard personnel policy for
relocation and temporary living allowances of personnel required for the Work, if approved by
the Owner in writing.

 

 AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
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Document or any portion of it, may result in severe civil and criminal
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User Notes:

(3675030-104)

5

 

§
7.7 OTHER COSTS AND EMERGENCIES

§ 7.7.1 Other costs incurred in the performance of the Work if and to the extent approved in
advance in writing by
the Owner.

§ 7.7.2 Costs due to emergencies incurred in taking action to prevent threatened damage, injury or
loss in case of an emergency affecting the safety of persons and property, to the extent not caused
by negligence of Contractor, any of its subcontractors, or anyone for whom either is responsible,
as provided in Section 10.6 of AIA Document A201-1997.

§ 7.7.3 Costs of repairing or correcting damaged or nonconforming Work executed by the Contractor,
Subcontractors or suppliers, provided that such damaged or nonconforming Work was not caused by
negligence or failure to fulfill a specific responsibility of the Contractor and only to the
extent that the cost of repair or correction is not recoverable by the Contractor from insurance,
sureties, Subcontractors or suppliers, provided failure of coverage is not due to Contractor’s or
Subcontractor’s breach of or default under a contract for
insurance.

ARTICLE 8 COSTS NOT TO BE REIMBURSED

§ 8.1 The Cost of the Work shall not
include:

§ 8.1.1 Salaries and other compensation of the Contractor’s personnel stationed at the
Contractor’s principal office or offices other than the site office, except as specifically
provided in Sections 7.2.2 and 7.2.3 or as may be provided in Article 14.

§ 8.1.2 Expenses of the Contractor’s principal office and offices other than the site office.

§ 8.1.3 Overhead and general expenses, except as may be expressly included in Article 7.

§ 8.1.4 The Contractor’s capital expenses, including interest on the Contractor’s capital employed
for the Work.

§ 8.1.5 Rental costs of machinery and equipment, except as specifically provided in Section 7.5.2.

§ 8.1.6 Except as provided in Section 7.7.3 of this Agreement, costs due to the negligence or
failure to fulfill a specific responsibility of the Contractor, Subcontractors and suppliers or
anyone directly or indirectly employed by any of them or for whose acts any of them may be liable.

§ 8.1.7 Any cost not specifically and expressly described in Article 7.

§ 8.1.8 Costs, other than costs included in Change Orders approved by the Owner, that would cause
the Guaranteed Maximum Price to be exceeded.

ARTICLE 9 DISCOUNTS, REBATES AND REFUNDS

§ 9.1 Cash discounts obtained on payments made by the Contractor shall accrue to the Owner
if (1) before making the payment, the Contractor included them in an Application for Payment and
received payment therefor from the Owner, or (2) the Owner has deposited funds with the Contractor
with which to make payments; otherwise, cash discounts shall accrue
to the Contractor. Trade
discounts, rebates, refunds and amounts received from sales of surplus materials and equipment
shall accrue to the Owner, and the Contractor shall make provisions so that they can be secured.

§ 9.2 Amounts that accrue to the Owner in accordance with the provisions of Section 9.1 shall be
credited to the Owner as a deduction from the Cost of the Work.

ARTICLE 10 SUBCONTRACTS AND OTHER AGREEMENTS

§
10.1 Those portions of the Work that the Contractor does not customarily perform with the
Contractor’s own personnel shall be performed under subcontracts or by other appropriate
agreements with the Contractor. The Owner may designate specific persons or entities from whom the
Contractor shall obtain bids. The Contractor shall obtain bids from Subcontractors and from
suppliers of materials or equipment fabricated especially for the Work and shall deliver such bids
to the Architect. The Owner shall then determine with the advice of the Contractor and the

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
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Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction
or distribution of this
AIA®
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User Notes:

6

 

Architect, which bids will be accepted. The Contractor shall not be required to contract with
anyone to whom the Contractor has reasonable objection.

§ 10.2 If a specific bidder among those whose bids are delivered by the Contractor-
to the Architect (1) is
recommended to the Owner by the Contractor: (2) is qualified to perform that portion of the
Work; and (3) has submitted a bid that confirms to the requirements of the Contract Documents
without reservations or exceptions, but the Owner requires that another bid be accepted then the
Contractor may require that a Change Order be issued to adjust the Guaranteed Maximum Price by the
-difference between the bid of the persen-or entity recommended to the Owner by the Contractor and the
amount of the subcontract or other agreement actually signed with -the person or entity designated
by the Owner.

§ 10.23 Subcontracts or other agreements shall conform to the applicable payment provisions of
this Agreement, and shall not be awarded on the basis of cost plus a fee without the prior consent
of the Owner.

ARTICLE 11 ACCOUNTING RECORDS

The Contractor shall keep full and detailed accounts and exercise such controls as may be
necessary for proper financial management under this Contract, and the accounting and control
systems shall be satisfactory to the Owner. The Owner and the Owner’s accountants shall be
afforded access to, and shall be permitted to audit and copy, the Contractor’s records, books,
correspondence, instructions, drawings, receipts, subcontracts, purchase orders, vouchers,
memoranda and other data relating specifically to this Contract, and only for those items
which are not provided by the Contractor on a lump sum basis as
described in Subparagraph 12.1.5,and the Contractor shall preserve these for a period of three years after final payment, or
for such longer period as may be required by law.

ARTICLE 12 PAYMENTS

§
12.1 PROGRESS PAYMENTS

§ 12.1.1 Based upon Applications for Payment submitted to the Architect by the Contractor and
Certificates for
Payment issued by the Architect, the Owner shall make progress payments on account of the Contract
Sum to the
 Contractor as provided below and elsewhere in the Contract Documents for Work approved by Owner.

§ 12.1.2 The period covered by each Application for Payment shall be one calendar month ending on
the last day of the month, or as follows:

§ 12.1.3 Provided that an Application for Payment is received by the Architect not later than the
fifth (5th) day of a month, the Owner shall make payment to the Contractor not later
than the fifth
(5th) day
of the following month. If an Application for Payment is
received by the Architect after the application date fixed above, payment shall be made by the
Owner not later than thirty (30) days after the Architect receives the Application for Payment.

§ 12.1.4 With each Application for Payment, the Contractor shall submit payrolls, petty cash
accounts, receipted invoices or invoices with check vouchers attached, and any other evidence
required by the Owner or Architect to demonstrate that cash disbursements already made by the
Contractor on account of the Cost of the Work equal or exceed (1) progress payments already
received by the Contractor; less (2) that portion of those payments attributable to the
Contractor’s Fee; plus (3) payrolls for the period covered by the present Application for Payment,
plus (4) retainage . Along with each Application for Payment or_contemporaneous with payment.
Contractor shall deliver its general lien waiver and further lien waivers from all major
Subcontractors on the project waiving liens for Work for which payment was requested by Contractor
and paid for by Owner on the preceding Application for Payment. Major Subcontractors shall mean
those Subcontractors and material suppliers having contracts with Contractor in respect to this
project in excess of $25,000.00, provided, however, that Contractor shall provide such lien
waivers from subcontractors as required by the title company for the title company to provide
coverage over mechanics lien claims.

§ 12.1.5 Each Application for Payment shall be based on the most recent schedule of values
submitted by the Contractor in accordance with the Contract Documents. The schedule of values,
which is included as Exhibit B, shall allocate the entire Estimated Contract Sum Guaranteed
Maximum-Price among the various portions of the Work, except that the Contractor’s Fee shall be
shown as a single separate item. Those items indicated by an asterisk (*) on Exhibit B shall
be provided by the Contractor on a lump sum basis. The schedule of values may include a Contractor
contingency, which contingency shall be allocated at the Contractor’s reasonable and sole
discretion to maintain the progress of the Work consistent with the Contract Documents. The
schedule of values

 

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— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
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Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction
or distribution of this
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shall be prepared in such form and supported by such data to substantiate its accuracy as the
Architect may require. This schedule, unless objected to by the Architect, shall be used as a basis
for reviewing the Contractor’s Applications for Payment.

§ 12.1.6 Applications for Payment shall show the percentage of completion of each portion of the
Work as of the end of the period covered by the Application for Payment. The percentage of
completion shall be the lesser of (1) the percentage of that portion of the Work which has actually
been completed; or (2) the percentage obtained by dividing (a) the expense that has actually been
incurred by the Contractor on account of that portion of the Work for which the Contractor has made
or intends to make actual payment prior to the next Application for Payment by (b) the share of the
Estimated Contract Sum Guaranteed Maximum Price allocated to that portion of the Work in the
schedule of values.

§ 12.1.7 Subject to other provisions of the Contract Documents, the amount of each progress
payment shall be computed as follows:

	 	.1	 	take that portion of the Estimated Contract Sum Guaranteed Maximum Price
properly allocable to completed Work as determined by multiplying the percentage of
completion of each portion of the Work by the share of the Estimated Contract Sum
Guaranteed Maximum Price allocated to that portion of the Work in the schedule of
values. Pending final determination of cost to the Owner of changes in the Work,
amounts not in dispute shall be included as provided in Section 7.3.8 of AIA Document
A201-1997;
	 
	 	.2	 	add that portion of the Estimated Contract Sum Guaranteed Maximum Price
properly allocable to materials and equipment delivered and suitably stored at the
site for subsequent incorporation in the Work, or if approved in advance by the Owner,
suitably stored off the site at a location agreed upon in writing;
	 
	 	.3	 	add the Contractor’s Fee, less retainage of Ten percent (10%) of the
Contractor’s Fee allocated to the first fifty percent (50%) of the value of the Work
that is completed; after fifty percent (50%) of the Work is completed, retainage on
Contractor’s Fee shall be reduced to five percent (5%) of the Contractor’s Fee
allocated to the value of all Work that is completed to date. The Contractor’s Fee
shall be computed upon the Cost of the Work described in the two preceding Clauses at
the rate stated in Section 5.1.2 or, if the Contractor’s Fee is stated as a fixed sum
in that Subparagraph, shall be an amount that bears the same ratio to that fixed-sum
fee as the Cost of the Work in the two preceding Clauses bears to a reasonable
estimate of the probable Cost of the Work upon its completion;
	 
	 	.4	 	subtract the aggregate of previous payments made by the Owner;
	 
	 	.5	 	subtract the shortfall, if any, indicated by the Contractor in the
documentation required by Section 12.1.4 to substantiate prior Applications for
Payment, or resulting from errors subsequently discovered by the Owner’s accountants
in such documentation; and
	 
	 	.6	 	subtract amounts, if any, for which the Architect has withheld or nullified a
Certificate for Payment as provided in Section 9.5 of AIA Document A201-1997.

§
12.1.8 Except with the Owner’s prior approval.
pPayments to Subcontractors shall be subject to
retainage of not less than ten percent (10%) of the first fifty percent (50%) of the value of
the Work that is completed; after fifty percent (50%) of the Work is completed, retainage on the
payments to Subcontractors shall be reduced to five percent (5%) of the value of all Work that is
completed to date. Retainage may be further reduced on specific Subcontracts with approval of
Owner and Architect. The Owner and the Contractor shall agree upon a mutually acceptable
procedure for review and approval of payments and retention for Subcontractors.

§ 12.1.9 In taking action on the Contractor’s Applications for Payment, the Architect shall be
entitled to rely on the accuracy and completeness of the information furnished by the Contractor
and shall not be deemed to represent that the Architect has made a detailed examination, audit or
arithmetic verification of the documentation submitted in accordance with Section 12.1.4 or other
supporting data; that the Architect has made exhaustive or continuous on-site inspections or that
the Architect has made examinations to ascertain how or for what purposes the Contractor

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
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or distribution of this
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User Notes:

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has used amounts previously paid on account of the Contract. Such examinations, audits and
verifications, if required by the Owner, will be performed by the Owner’s accountants acting in the
sole interest of the Owner.

§ 12.2 FINAL PAYMENT

§ 12.2.1 Final payment, constituting the entire unpaid balance of the Contract Sum, shall be made
by the Owner to
the Contractor when:

	 	.1	 	the Contractor has fully performed the Contract except for the Contractor’s
responsibility to correct Work (after final payment) as provided in Section 12.2.2 of
AIA Document A201-1997, and to satisfy other requirements, if any, which extend
beyond final payment; and
	 
	 	.2	 	a final Certificate for Payment has been issued by the Architect.

§ 12.2.2 The Owner’s final payment to the Contractor shall be made no later than 30 days after the
issuance of the Architect’s final Certificate for Payment,
or as follows:

§ 12.2.3 The Owner’s accountants will review and report in writing on the Contractor’s final
accounting within 30 days after delivery of the final accounting to the Architect by the
Contractor. Based upon such Cost of the Work as the Owner’s accountants report to be substantiated
by the Contractor’s final accounting, and provided the other
conditions of Section 12.2.1 have
been met, the Architect will, within seven days after receipt of the written report of the Owner’s
accountants, either issue to the Owner a final Certificate for Payment with a copy to the
Contractor, or notify the Contractor and Owner in writing of the Architect’s reasons for
withholding a certificate as provided in Section 9.5.1 of the AIA Document A201-1997. The time
periods stated in this Section 12.2.3 supersede those stated in Section 9.4.1 of the AIA Document
A201-1997.

§
12.2.4 If the Owner’s accountants report the Cost of the Work as substantiated by the
Contractor’s final accounting to be less than claimed by the Contractor, the Contractor shall be
entitled to demand arbitration of the disputed amount without a further decision of the Architect.
Such demand for arbitration shall be made by the Contractor within 30 days after the Contractor’s
receipt of a copy of the Architect’s final Certificate for Payment; failure to demand arbitration
within this 30-day period shall result in the substantiated amount reported by the Owner’s
accountants becoming binding on the Contractor. Pending a final resolution by arbitration, the
Owner shall pay the Contractor the amount certified in the Architect’s final Certificate for
Payment.

§ 12.2.5 If, subsequent to final payment and at the Owner’s request, the Contractor incurs costs
described in Article 7 and not excluded by Article 8 to correct defective or nonconforming Work,
the Owner shall reimburse the Contractor such costs and the Contractor’s Fee applicable thereto on
the same basis as if such costs had been incurred prior to final
payment., but not in excess of the
Guaranteed Maximum Price. If the Contractor has participated in savings as provided in Section
5.2, the amount of such savings shall he recalculated and appropriate credit given to the Owner in
determining the net amount to-be paid by the Owner to the Contractor.

ARTICLE 13 TERMINATION OR SUSPENSION

§ 13.1 The Contract may be terminated by the Contractor, or by the Owner for convenience, as
provided in Article 14 of AIA Document A201-1997. However, the amount to be paid to the Contractor
under Section 14.1.3 of AIA Document A201-1997 shall not exceed the amount the Contractor would be
entitled to receive under Section 13.2 below, except that the Contractor’s Fee-shall be-calculated
as if the-Work had been-fully completed-by-the Contractor, including a reasonable estimate of the
Cost of the Work for Work not actually completed.

§ 13.2 The Contract may be terminated by the Owner for cause as provided in Article 14 of AIA
Document A201-1997. The amount, if any, to be paid to the Contractor under Section 14.2.4 of AIA
Document A201-1997 shall not cause the Guaranteed Maximum Price to be exceeded, nor shall it
exceed an amount calculated as follows:

§ 13.2.1 Take the Cost of the Work incurred by the Contractor to the date of termination;

§ 13.2.2 Add the Contractor’s Fee computed upon the Cost of the Work to the date of termination at
the rate stated in Section 5.1.2 or, if the Contractor’s Fee is stated as a fixed sum in that
Section, an amount that bears the same ratio to that fixed-sum Fee as the Cost of the Work at the
time of termination bears to a reasonable estimate of the probable Cost of the Work upon its
completion; and

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
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or distribution of this
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§ 13.2.3 Subtract the aggregate of previous payments made by the Owner.

§ 13.3 The Owner shall also pay the Contractor fair compensation, either by purchase or rental at
the election of the Owner, for any equipment owned by the Contractor that the Owner elects to
retain and that is not otherwise included in the Cost of the Work under Section 13.2.1. To the
extent that the Owner elects to take legal assignment of subcontracts and purchase orders
(including rental agreements), the Contractor shall, as a condition of receiving the payments
referred to in this Article 13, execute and deliver all such papers and take all such steps,
including the legal assignment of such subcontracts and other contractual rights of the Contractor,
as the Owner may require for the purpose of fully vesting in the Owner the rights and benefits of
the Contractor under such subcontracts or purchase orders.

§ 13.4 The Work may be suspended by the Owner as provided in Article 14 of AIA Document A201-1997;
in such case, the Estimated Contract Sum Guaranteed Maximum Price and Contract Time shall be
increased as provided in Section 14.3.2 of AIA Document A201-1997 except that the term “profit”
shall be understood to mean the Contractor’s Fee as described in
Sections 5.1.2 and Section 6.4 of
this Agreement.

ARTICLE 14 MISCELLANEOUS PROVISIONS

§ 14.1 Where reference is made in this Agreement to a provision AIA Document A201-1997 or
another Contract
Document, the reference refers to that provision as amended or supplemented by other provisions of
the Contract
Documents.

§ 14.2 Payments due and unpaid under the Contract shall bear interest from the date payment is due
at the rate stated
below, or in the absence thereof, at the legal rate prevailing from time to time at the place where
the Project is
located.

(Insert
rate of interest agreed upon, if any.)

Owner shall pay interest on unpaid approved amounts (upon receipt of invoice) from and after
its due date, to and
including the date of payment, at the rate of four percent (4%) per anum above the rate
designated as the Prime
Rate-by-LaSalle Bank. NA (or similar institution if said Bank shall cease- to exist or publish
such a Prime-Rate) from
the date when the same is due hereunder until the same be paid, but if such rate shall
exceed the highest rate allowed-by law, such rate shall be reduced to the highest rate allowed by
law. Refer to Section 13.6.1 of A201.

(Usury
laws and requirements under the federal Truth in Lending Act, similar state and local
consumer credit laws and other regulations at the Owner’s and Contractor’s principal places of
business, the location of the Project and elsewhere may affect the validity of this provision.
Legal advice should be obtained with respect to deletions or modifications, and also regarding
requirements such as written disclosures or waivers.)

§ 14.3 The Owner’s representative is:

(Name,
address and other information.)

Chuck Nicketta

Vice President of Manufacturing

John B. Sanfilippo & Son, Inc.

2299 Busse Road

Elk Grove Village, Illinois 60007

847/539-2300 ext. 6583

§ 14.4 The Contractor’s representative is:

(Name, address and other information )

Mark Tritschler

McShane Construction Corporation

9550 West Higgins Road, Suite 200

Rosemont. Illinois 60018

847/692-8615

§ 14.5 Neither the Owner’s nor the Contractor’s representative shall be changed without ten days’
written notice to the other party.

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
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AIA®
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§ 14.6 Other provisions:

ARTICLE 15 ENUMERATION OF CONTRACT DOCUMENTS

§
15.1 The Contract Documents, except for Modifications issued after execution of this
Agreement, are enumerated
as follows:

§
15.1.1 The Agreement is this executed 1997 edition of the Standard Form of Agreement Between
Owner and Contractor, AIA Document Al11-1997, as amended.

§ 15.1.2 The General Conditions are the 1997 edition of the General Conditions of the Contract
for Construction, AIA Document A201-1997, as amended.

§ 15.1.3 The Supplementary and other Conditions of the Contract are those contained in the
Project Manual dated, and are as follows:

	 	 	 	 	 
	Document

	 	Title
	 	Pages

§ 15.1.4 The Specifications are those contained in the Project Manual dated as in Section
15.1.3, and are as follows: 

(Either list the Specifications here or refer to an exhibit attached to
this Agreement.)

Refer to Exhibit D — Specification List — Not Used

§ 15.1.5 The Drawings are as follows, and are dated            unless a different date
is shown below:

(Either list the Drawings here or refer to an exhibit attached to
this Agreement.)

Refer to Exhibit E — Drawing List

§ 15.1.6 The Addenda, if any, are as follows:

	 	 	 	 	 	 	 
	Number

	 	 	 	Date
	 	Pages
	N/A
	 	 	 	 	 	 

Portions of Addenda relating to bidding requirements are not part of the Contract Documents unless
the bidding requirements are also enumerated in this Article 15.

§ 15.1.7 Other Documents, if any, forming part of the Contract Documents are as follows:

(List here any additional documents, such as a list of alternates that are intended to form part
of the Contract
Documents. AIA Document A201-1997 provides that bidding requirements such as advertisement or
invitation to
bid, Instructions to Bidders, sample forms and the Contractor’s
bid are not part of the Contract
Documents unless
enumerated in this Agreement. They should be listed here only if intended to be part of the
Contract Documents.)

Exhibit F — Clarifications

Exhibit G — Legal Description

Exhibit H — Geotechnical

Exhibit I — Environmental

ARTICLE 16 INSURANCE AND BONDS

(List required limits of liability for insurance and bonds. AIA Document A201-1997 gives
other specific
requirements for insurance and bonds.)

The insurance required by Section 11.1.1 of AIA Document A201-1997 shall be written for the
following amounts:

Commercial General Liability:

$1,000,000 each occurrence

$100,000 fire damage (any one fire)

$5,000 medical expenses (any one person)

$1,000,000 personal and advertising injury

$2,000,000 general aggregate

$2,000,000 products-completed operations aggregate

$5,000,000 umbrella each occurrence and aggregate

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1958, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This
AIA®
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or distribution of this
AIA®
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Automobile Liability:

$1.000.000 combined single limit (each accident)

Workers Compensation: Statutory Limits

Employer’s Liability:

$1,000,000 each accident

$1,000,000 disease-each employee

$ 1,000,000 disease-policy limit

Contractor shall name Owner and Owner’s Lender (if requested by Owner) as
additional insureds on the Commercial General Liability insurance.

This Agreement is entered into as of the day and year first written above and is executed
in at least three original copies, of which one is to be delivered to the Contractor, one
to the Architect for use in the administration of the Contract, and the remainder to the
Owner.

	 	 	 	 	 	 	 
	Chuck Nicketta

	 	 	 	Jeffrey A. Raday
	 	 
	 

	 	 	 	 	 	 
	OWNER (Signature)

	 	 	 	CONTRACTOR (Signature)	 	 
	 
	 	 	 	 	 	 
	Chuck Nicketta, Vice President of	 	 	 	 
	Manufacturing

	 	 	 	Jeffrey A. Raday, President	 	 
	 

	 	 	 	 	 	 
	(Printed name and title)

	 	 	 	(Printed name and title)	 	 

 

AIA Document A111TM
— 1997. Copyright © 1920, 1925, 1951, 1956, 1961, 1963, 1967, 1974, 1978,
1987 and 1997 by The American Institute of Architects. All rights
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General Conditions of the Contract for Construction

for the following PROJECT:

(Name and locution or address):

Expansion and Modification of Existing Panasonic Building

Southeast corner of 1-90 and Randall Road

Elgin, Illinois

THE OWNER:

(Name and address):

John B. Sanfilippo & Son, Inc.

2299 Busse Road

Elk Grove Village, Illinois 60007

THE ARCHITECT:

(Name and address):

Heitman Architects
555
Pierce Road, Suite 105

Itasca, Illinois 60143

TABLE OF ARTICLES

	1	 	GENERAL PROVISIONS
	 
	2	 	OWNER
	 
	3	 	CONTRACTOR
	 
	4	 	ADMINISTRATION OF THE CONTRACT
	 
	5	 	SUBCONTRACTORS
	 
	6	 	CONSTRUCTION BY OWNER OR BY SEPARATE CONTRACTORS
	 
	7	 	CHANGES IN THE WORK
	 
	8	 	TIME
	 
	9	 	PAYMENTS AND COMPLETION
	 
	10	 	PROTECTION OF PERSONS AND PROPERTY
	 
	11	 	INSURANCE AND BONDS
	 
	12	 	UNCOVERING AND CORRECTION OF WORK
	 
	13	 	MISCELLANEOUS PROVISIONS

ADDITIONS AND DELETIONS:

The author of this document has added information needed for its completion. The author may also
have revised the text of the original AIA standard form. An
Additions and Deletions Report that
notes added information as well as revisions to the standard form text is available from the author
and should be reviewed. A vertical line in the left margin of this document indicates where the
author has added necessary information and where the author has added to or deleted from the
original AIA text.

This document has important legal consequences. Consultation with an attorney is encouraged with
respect to its completion or modification.

This document has been approved and endorsed by The Associated General Contractors of America

 

AIA Document A201TM
— 1997. Copyright © 1911, 1915, 1915, 1925, 1961,
1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This AIATM
Document is protected by U.S. Copyright Law and international Treaties. Unauthorized reproduction
or distribution of this AIA® Document or any portion of it may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software at [ILLEGIBLE]

User Notes:

1

 

	14	 	TERMINATION OR SUSPENSION OF THE CONTRACT

	 	 	 
	(Paragraph deleted)

	 	 
	 
	INDEX
	 	 
	(Numbers and Topics in Bold are Section Headings)
	 	 
	 
	Acceptance of Nonconforming Work
	 	 
	9.6.6,
9.9.3,
12.3
	 	 
	Acceptance of Work
	 	 
	9.6.6,
9.8.2, 9.9.3, 9.10.1, 9.10.3, 12.3
	 	 
	Access to Work
	 	 
	3.16,
6.2.1, 12.1
	 	 
	Accident Prevention
	 	 
	4.2.3, 10
	 	 
	Acts and Omissions
	 	 
	3.2,
3.3.2, 3.12.8, 3.18, 4.2, 3, 4.3.8, 4.4.1, 8.3.1,
9.5.1, 10.2.5, 13.4.2, 13.7, 14.1
	 	 
	Addenda
	 	 
	1.1.1,
3.11
	 	 
	Additional Costs, Claims for
	 	 
	4.3.4,
4.3.5, 4.3.6, 6.1.1, 10.3
	 	 
	Additional Inspections and Testing
	 	 
	9.8.3, 12.2.1, 13.5
	 	 
	Additional Time, Claims for
	 	 
	4.3.4,
4.3.7, 8.3.2
	 	 
	ADMINISTRATION OF THE CONTRACT
	 	 
	3.1.3,
4,
9.4, 9.5
	 	 
	Advertisement or Invitation to Bid
	 	 
	1.1.1
	 	 
	Aesthetic Effect
	 	 
	4.2.13, 4.5.1
	 	 
	Allowances
	 	 
	3.8
	 	 
	All-risk Insurance
	 	 
	11, 4.1.1
	 	 
	Applications for Payment
	 	 
	4.2.5, 7.3.8, 9.2, 9.3, 9.4, 9.5.1, 9.6.3, 9.7.1, 9.8.5,
9.10, 11.1.3, 14.2.4, 14.4.3
	 	 
	Approvals
	 	 
	2.4, 3.1.3, 3.5, 3.10.2, 3.12, 4.2.7, 9.3.2, 13.4.2, 13.5
	 	 
	Arbitration
	 	 
	4.3.3,
4.4, 4.5.1, 4.5.2, 4.6, 8.3.1, 9.7.1, 11.4.9,
11.4.10
	 	 
	Architect
	 	 
	4.1
	 	 
	Architect, Definition of
	 	 
	4.1.1
	 	 
	Architect, Extent of Authority
	 	 
	2.4, 3.12.7, 4.2, 4.3.6, 4.4, 5.2, 6.3, 7.1.2, 7.3.6, 7.4,
9.2, 9.3.1, 9.4, 9.5, 9.8.3, 9.10.1, 9.10.3, 12.1, 12.2.1,
13.5.1, 13.5.2, 14.2.2, 14.2.4
	 	 
	Architect, Limitations of Authority and Responsibility
	 	 
	2.1.1, 3.3.3, 3.12.4, 3.12.8, 3.12.10, 4.1.2, 4.2.1,
4.2.2, 4.2.3, 4.2.6, 4.2.7, 4.2.10, 4,2.12, 4.2.13, 4.4,
5.2.1, 7.4, 9.4.2, 9.6.4, 9.6.6
	 	 
	Architect’s Additional Services and Expenses

	 	 
	2.4, 11.4.1.1, 12.2.1, 13.5.2, 13.5.3, 14.2.4
	 	 
	Architect’s Administration of the Contract
	 	 
	3.1.3,
4.2, 4.3.4, 4.4, 9.4, 9.5
	 	 
	Architect’s Approvals
	 	 
	2.4, 3.1.3.3, 5.1, 3.10.2, 4.2.7
	 	 
	Architect’s Authority to Reject Work
	 	 
	3.5.1,
4.2.6, 12.1.2, 12.2.1
	 	 
	Architect’s Copyright
	 	 
	1.6
	 	 
	Architect’s Decisions
	 	 
	4.2.6, 4.2.7, 4.2.11, 4.2.12, 4.2.13, 4.3.4, 4.4.1, 4.4.5,
4.4.6, 4.5, 6.3, 7.3.6, 7.3.8, 8.1.3, 8.3.1, 9.2, 9.4,
9.5.1, 9.8.4, 9.9.1, 13.5.2, 14.2.2, 14.2.4
	 	 
	Architect’s Inspections
	 	 
	4.2.2, 4.2.9, 4.3.4, 9.4.2, 9.8.3, 9.9.2, 9.10.1, 13.5
	 	 
	Architect’s Instructions
	 	 
	3.2.3, 3.3.1, 4.2.6, 4.2.7, 4.2.8, 7.4.1, 12.1, 13.5.2
	 	 
	Architect’s Interpretations
	 	 
	4.2.11, 4.2.12, 4.3.6
	 	 
	Architect’s Project Representative
	 	 
	4.2.10
	 	 
	Architect’s Relationship with Contractor
	 	 
	1.1.2, 1.6, 3.1.3, 3.2.1, 3.2.2, 3.2.3, 3.3.1, 3.4.2, 3.5.1,
3.7.3, 3.10, 3.11, 3.12, 3.16, 3.18, 4.1.2, 4.1.3, 4.2,
4.3.4, 4.4.1, 4.4.7, 5.2, 6.2.2, 7, 8.3.1, 9.2, 9.3, 9.4,
9.5, 9.7, 9.8, 9.9, 10.2.6, 10.3, 11.3, 11.4.7, 12,
13.4.2, 13.5
	 	 
	Architect’s Relationship with Subcontractors
	 	 
	1.1.2, 4.2.3, 4.2.4, 4.2.6, 9.6.3, 9.6.4, 11.4.7
	 	 
	Architect’s Representations
	 	 
	9.4.2, 9.5.1, 9.10.1
	 	 
	Architect’s Site Visits
	 	 
	4.2.2, 4.2.5, 4.2.9, 4.3.4, 9.4.2, 9.5.1, 9.9.2, 9.10.1,
13.5
	 	 
	Asbestos
	 	 
	10.3.1
	 	 
	Attorneys’ Fees
	 	 
	3.18.1, 9.10.2, 10.3.3
	 	 
	Award of Separate Contracts
	 	 
	6,1.1, 6.1.2
	 	 
	Award of Subcontracts and Other Contracts for Portions of the Work
	 	 
	5.2
	 	 
	Bask Definitions
	 	 
	1.1
	 	 
	Bidding Requirements
	 	 
	1.1.1, 1.1.7, 5.2.1, 11.5.1
	 	 
	Boiler and Machinery Insurance
	 	 
	11.4.2
	 	 
	Bonds, Lien
	 	 

 

AIA Document A201TM
— 1997. Copyright © 1911, 1915, 1915, 1925, 1961,
1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This AIATM
Document is protected by U.S. Copyright Law and international Treaties. Unauthorized reproduction
or distribution of this AIA® Document or any portion of it may result in severe civil and criminal
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User Notes:

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	9.10.2

	 	 
	Bonds, Performance, and Payment
	 	 
	7.3.6.4, 9.6.7, 9.10.3, 11.4.9, 11.5
	 	 
	Building Permit
	 	 
	3.7.1
	 	 
	Capitalization
	 	 
	1.3
	 	 
	Certificate of Substantial Completion
	 	 
	9.8.3, 9.8.4, 9.8.5
	 	 
	Certificates for Payment
	 	 
	4,2.5, 4.2.9, 9.3.3, 9.4, 9.5, 9.6.1, 9.6.6, 9.7.1, 9.10.1, 9.10.3, 13.7, 14.1.1.3, 14.2.4

	Certificates of Inspection, Testing or Approval
	 	 
	13.5.4
	 	 
	Certificates of Insurance
	 	 
	9.10.2, 11.1.3
	 	 
	Change Orders
	 	 
	1.1.1, 2.4.1, 3.4.2, 3.8.2.3, 3.11.1, 3.12.8, 4.2.8, 4.3.4,
4.3.9, 5.2.3, 7.1, 7.2, 7.3, 8.3.1, 9.3.1.1, 9.10.3, 11.4.1.2, 11.4.4, 11.4.9, 12.1.2

	Change Orders, Definition of
	 	 
	7.2.1
	 	 
	CHANGES IN THE WORK
	 	 
	3.11,
4.2.8, 7, 8.3.1, 9.3.1.1, 11,4.9
	 	 
	Claim, Definition of
	 	 
	4.3.1
	 	 
	Claims and Disputes
	 	 
	3.2.3, 4.3, 4.4, 4.5, 4.6, 6.1.1, 6.3, 7.3.8, 9.3.3, 9.10.4,
10.3.3
	 	 
	Claims and Timely Assertion of Claims
	 	 
	4.6.5
	 	 
	Claims for Additional Cost
	 	 
	3.2.3,
4.3.4, 4.3.5, 4.3.6, 6.1.1, 7.3.8, 10.3.2
	 	 
	Claims for Additional Time
	 	 
	3.2.3,
4.3.4, 4.3.7, 6.1.1, 8.3.2, 10.3.2
	 	 
	Claims for Concealed or Unknown Conditions
	 	 
	4.3.4
	 	 
	Claims for Damages
	 	 
	3.2.3, 3.18, 4.3.10, 6.1.1, 8.3.3, 9.5.1, 9.6.7, 10.3.3,
11.1.1, 11.4.5, 11.4.7, 14.1.3, 14.2.4
	 	 
	Claims Subject to Arbitration
	 	 
	4.4.1, 4.5.1, 4.6.1
	 	 
	Cleaning Up
	 	 
	3.15, 6.3
	 	 
	Commencement of Statutory Limitation Period
	 	 
	13.7
	 	 
	Commencement of the Work, Conditions Relating to
	 	 
	2.2.1, 3.2.1, 3.4.1, 3.7.1, 3.10.1, 3.12.6, 4.3.5, 5.2.1,
5.2.3, 6.2.2, 8.1.2, 8.2.2, 8.3.1, 11.1, 11.4.1, 11.4.6,
11.5.1
	 	 
	Commencement of the Work, Definition of
	 	 
	8.1.2
	 	 
	Communications Facilitating Contract
	 	 
	Administration
	 	 
	3.9.1, 4.2.4
	 	 
	Completion, Conditions Relating to
	 	 
	1.6.1, 3.4.1, 3.11, 3.15, 4.2.2, 4.2.9, 8.2, 9.4.2, 9.8,
9.9.1, 9.10, 12,2, 13.7, 14.1.2
	 	 
	COMPLETION, PAYMENTS AND
	 	 
	9
	 	 
	Completion, Substantial
	 	 
	4.2.9, 8.1.1, 8.1.3, 8.2.3, 9.4.2, 9.8, 9.9.1, 9.10.3,
9.10.4.2, 12.2, 13.7
	 	 
	Compliance with Laws
	 	 
	1.6.1,
3.2.2, 3.6, 3.7, 3.12.10, 3.13, 4.1.1, 4.4.8, 4.6.4,
4.6.6, 9.6.4, 10.2.2, 11.1, 11.4, 13.1, 13.4, 13.5.1,
13.5.2, 13.6, 14.1.1, 14.2.1.3
	 	 
	Concealed or Unknown Conditions
	 	 
	4.3.4,
8, 3.1,10.3
	 	 
	Conditions of the Contract
	 	 
	1.1.1, 1.1.7, 6.1.1, 6.1.4
	 	 
	Consent, Written
	 	 
	1.6, 3.4.2, 3.12.8, 3.14.2, 4.1.2, 4.3.4, 4.6.4, 9.3.2,
9.8.5, 9.9.1, 9.10.2, 9.10.3, 11.4.1, 13.2, 13.4.2
	 	 
	CONSTRUCTION BY OWNER OR BY
	 	 
	SEPARATE CONTRACTORS
	 	 
	1.1.4, 6
	 	 
	Construction Change Directive, Definition of

7.3.1
	 	 
	Construction Change Directives
	 	 
	1.1.1,
3.12.8, 4.2.8, 4.3.9, 7.1, 7.3, 9.3.1.1
	 	 
	Construction Schedules, Contractor’s
	 	 
	1.4.1.2,
3.10, 3.12,1,3.12.2,4.3.7.2, 6.1.3
	 	 
	Contingent Assignment of Subcontracts
	 	 
	5.4, 14.2.2.2
	 	 
	Continuing Contract Performance
	 	 
	4.3.3
	 	 
	Contract, Definition of
	 	 
	1.1.2
	 	 
	CONTRACT, TERMINATION OR
	 	 
	SUSPENSION OF THE
	 	 
	5.4.1.1,
11.4, 9.14
	 	 
	Contract Administration
	 	 
	3.1.3, 4, 9.4, 9.5
	 	 
	Contract Award and Execution, Conditions Relating
to
	 	 
	3.7.1, 3.10, 5.2, 6.1, 11.1.3, 11.4.6, 11.5.1
	 	 
	Contract Documents, The
	 	 
	1.1, 1.2
	 	 
	Contract Documents, Copies Furnished and Use of
	 	 
	1.6, 2.2.5, 5.3
	 	 
	Contract Documents, Definition of
	 	 
	1.1.1
	 	 
	Contract Sum
	 	 
	3.8, 4.3.4, 4.3.5, 4.4.5, 5.2.3, 7.2, 7.3, 7.4, 9.1, 9,4.2,
9.5.1.4, 9.6.7, 9.7, 10.3.2, 11.4.1, 14.2.4, 14.3.2
	 	 
	Contract Sum, Definition of
	 	 
	9.1
	 	 
	Contract Time
	 	 
	4.3.4, 4.3.7, 4.4.5, 5.2.3, 7.2.1.3, 7.3, 7.4.8, 1.1, 8.2,
8.3.1, 9.5.1, 9.7, 10.3.2, 12.1.1, 14.3.2
	 	 
	Contract Time, Definition of
	 	 
	8.1.1
	 	 

 

AIA Document A201TM
— 1997. Copyright © 1911, 1915, 1915, 1925, 1961,
1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This AIATM
Document is protected by U.S. Copyright Law and international Treaties. Unauthorized reproduction
or distribution of this AIA® Document or any portion of it may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software at [ILLEGIBLE]

User Notes:

3

 

	 
	CONTRACTOR

3

	Contractor, Definition of

	3.1, 6.1.2

	Contractor’s Construction Schedules

	1.4.1.2, 3.10, 3.12.1, 3.12.2, 4.3.7.2, 6.1.3

	Contractor’s Employees

	3.3.2, 3.4.3, 3.8.1, 3.9, 3.18.2, 4.2.3, 4.2.6, 10.2, 10.3,

	11.1.1, 11.4.7, 14.1, 14.2.1.1,

	Contractor’s
Liability Insurance 
11.1

	Contractor’s Relationship with Separate Contractors
and Owner’s Forces

	3.12.5,
3.14.2, 4.2.4 ,6, 11.4.7, 12.1.2, 12.2.4

	Contractor’s Relationship with Subcontractors

	1.2.2, 3.3.2, 3.18.1, 3.18.2, 5, 9.6.2, 9.6.7, 9.10.2,
11.4.1.2, 11.4.7, 11.4.8

	Contractor’s Relationship with the Architect

	1.1.2,
1.6, 3. 1.3.3.2. 1,3.2.2, 3.2.3, 3.3.1, 3.4.2, 3.5.1,
3.7.3, 3.10, 3.11, 3.12, 3.16, 3.18, 4.1.2, 4.1.3, 4.2,
4.3.4, 4.4.1, 4.4.7, 5.2, 6.2.2, 7, 8.3.1, 9.2, 9.3, 9.4,
9.5, 9.7, 9.8, 9.9, 10.2.6, 10.3, 11.3, 11.4.7, 12,

	13.4.2, 13.5

	Contractor’s Representations

	1.5.2, 3.5.1, 3.12.6, 6.2.2, 8.2.1, 9.3.3, 9.8.2

	Contractors Responsibility for Those Performing the Work

	3,3.2,
3.18, 4.2.3, 4.3.8, 5.3.1, 6.1.3, 6.2, 6.3, 9.5.1, 
10

	Contractor’s Review of Contract Documents

	1.5.2, 3.2, 3.7.3

	Contractor’s Right to Stop the Work

	9.7

	Contractor’s Right to Terminate the Contract

	4.3.10, 14.1

	Contractor’s Submittals

	3.10, 3.11, 3.12, 4.2.7, 5.2,1, 5.2.3, 7.3.6, 9.2, 9.3,
9.8.2, 9.8.3, 9.9.1, 9.10.2, 9.10.3, 11.1.3, 11.5.2

	Contractor’s Superintendent

	3.9, 10.2.6

	Contractor’s Supervision and Construction
Procedures

	1.2.2, 3.3, 3.4, 3.12.10, 4.2.2, 4.2.7, 4.3.3, 6.1.3,
6.2.4, 7.1.3, 7.3.4, 7.3.6, 8.2, 10, 12, 14

	Contractual Liability Insurance

	11.1.1.8,
11.2, 11.3

	Coordination and Correlation

	1.2, 1.5.2, 3.3.1, 3.10, 3.12.6, 6.1.3, 6.2.1

	Copies Furnished of Drawings and Specifications

	1.6,
2.2.5, 3.11

	Copyrights

	1.6, 3.17

	Correction of Work

	2.3,
2.4, 3.7.4, 4.2.1, 9.4.2, 9.8.2, 9.8.3, 9.9.1, 12.1.2, 12.2, 13.7.1.3

	Correlation and Intent of the Contract Documents

	1.2

	Cost, Definition of

	7.3.6

	Costs

	2.4, 3.2.3, 3.7.4, 3.8.2, 3.15.2, 4.3, 5.4.2, 6.1.1, 6.2.3,
7.3.3.3, 7.3.6, 7.3.7, 7.3.8, 9.10.2, 10.3.2, 10.5, 11.3,

	11.4, 12.1, 12.2.1, 12.2.4, 13.5, 14

	Cutting and Patching

	6.2.5, 3.14

	Damage to Construction of Owner or Separate

	Contractors

	3.14.2,
6.2.4, 9.2.1.5, 10.2.1.2, 10.2.5, 10.6, 11.1,

	11.4, 12.2.4

	Damage to the Work

	3.14.2, 9.9.1, 10.2.1.2, 10.2.5, 10.6, 11.4, 12.2.4

	Damages, Claims for

	3.2.3, 3.18, 4.3.10, 6.1.1, 8.3.3, 9.5.1, 9.6.7, 10.3.3,
11.1.1, 11.4.5, 11.4.7, 14.1.3, 14.2.4

	Damages for Delay

	6.1.1, 8.3.3, 9.5.1.6, 9.7, 10.3.2

	Date of Commencement of the Work, Definition of

	8.1.2

	Date of Substantial Completion, Definition of

	8.1.3

	Day, Definition of

	8.1.4

	Decisions of the Architect

	4.2.6, 4.2.7, 4.2.11, 4.2.12, 4.2.13, 4.3.4, 4.4.1, 4.4.5,
4.4.6, 4.5, 6.3, 7.3.6, 7.3.8, 8.1.3, 8.3.1, 9.2, 9.4,
9.5.1, 9.8.4, 9.9.1, 13.5.2, 14.2.2, 14.2.4

	Decisions to Withhold Certification

	9.4.1, 9.5, 9.7, 14.1.1.3

	Defective or Nonconforming Work, Acceptance,

	Rejection and Correction of

	2.3,
2.4, 3.5.1, 4.2.6, 6.2.5, 9.5.1, 9.5.2, 9.6.6, 9.8.2,
9.9.3, 9.10.4, 12.2.1, 13.7.1.3

	Defective Work, Definition of

	3.5.1

	Definitions

	1.1,
2.1.1, 3.1. 3. 5.1, 3.12.1, 3.12.2, 3,12.3, 4.1.1,
4.3.1, 5.1, 6.1.2, 7.2.1, 7.3.1, 7.3.6, 8.1, 9.1, 9.8.1

	Delays and Extensions of Time

	3.2.3, 4.3.1, 4.3.4, 4.3.7, 4.4.5, 5.2.3, 7.2.1, 7.3.1,
7.4.1, 8.3, 9.5.1, 9.7.1, 10.3.2, 10.6.1, 14.3.2

	Disputes

	4.1.4, 4.3, 4.4, 4.5, 4.6, 6.3, 7.3.8

	Documents and Samples at the Site

	3.11

	Drawings, Definition of

	1.1.5

	Drawings and Specifications, Use and Ownership of

	1.1.1, 1.3, 2.2.5, 3.11, 5.3

	Effective Date of Insurance

	8.2.2, 11.1.2

	Emergencies

	4.3.5, 10.6, 14.1.1.2

	Employees, Contractor’s

 

AIA Document A201TM
— 1997. Copyright © 1911, 1915, 1915, 1925, 1961,
1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This AIATM
Document is protected by U.S. Copyright Law and international Treaties. Unauthorized reproduction
or distribution of this AIA® Document or any portion of it may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software at [ILLEGIBLE]

User Notes:

4

 

	 
	3.3.2, 3.4.3, 3.8.1, 3.9, 3.18.2, 4.2.3, 4.2.6, 10.2, 10.3,
11.1.1, 11.4.7, 14.1, 14.2.1.1

	Equipment, Labor, Materials and

	1.1.3, 1.1.6, 3.4, 3.5.1, 3.8.2, 3.8.3, 3.12, 3.13, 3.15.1,
4.2.6, 4.2.7, 5.2.1, 6.2.1, 7.3.6, 9.3.2, 9.3.3, 9.5.1.3,
9.10.2, 10.2.1, 10.2.4, 14.2.1.2

	Execution and Progress of the Work

	1.1.3,
1.2.1, 1.2.2, 2.2.3, 2.2.5, 3.1, 3.3, 3.4, 3.5, 3.7,
3.10, 3.12, 3.14, 4.2.2, 4.2.3, 4.3.3, 6.2.2, 7.1.3, 7.3.4,

	8.2, 9.5, 9.9.1, 10.2, 10.3, 12.2, 14.2, 14.3

	Extensions of Time

	3.2.3,
4.3.1, 4.3.4, 4.3.7, 4.4.5, 5.2.3, 7.2.1, 7.3, 7.4.1,
9.5.1, 9.7.1, 10.3.2, 10.6.1, 14.3.2

	Failure of Payment

	4.3.6,
9.5.1.3, 9.7, 9.10.2, 14.1.1.3, 14.2.1.2, 13.6

	Faulty Work

	(See Defective or Nonconforming Work)

	Final Completion and Final Payment

	4.2.1,
4.2.9, 4.3.2, 9.8.2, 9.10, 11.1.2, 11.1.3, 11.4.1,
11.4.5, 12.3.1, 13.7, 14.2.4, 14.4.3

	Financial Arrangements, Owner’s

	2.2.1, 13.2.2, 14.1.1.5

	Fire and Extended Coverage Insurance

	11.4

	GENERAL PROVISIONS

	1

	Governing Law

	13,1

	Guarantees (See Warranty)

	Hazardous Materials

	10.2.4,
10.3, 10.5

	Identification of Contract Documents

	1.5.1

	Identification of Subcontractors and Suppliers

	5.2.1

	Indemnification

	3.17,
3.18, 9.10.2, 10.3.3, 10.5, 11.4.1.2, 11.4.7

	Information and Services Required of the Owner

	2.1.2,
2.2, 3.2.1, 3.12.4, 3.12.10, 4.2.7, 4.3.3, 6.1.3,
6.1.4, 6.2.5, 9.3.2, 9.6.1, 9.6.4, 9.9.2, 9.10.3, 10.3.3,
11.2, 11.4, 13.5.1, 13.5.2, 14.1.1.4, 14.1.4

	Injury or Damage to Person or Property

	4.3.8, 10.2, 10.6

	Inspections

	3.1.3,
3.3.3, 3.7.1, 4.2.2, 4.2.6, 4.2.9, 9.4.2, 9.8.2,
9.8.3, 9.9.2, 9.10.1, 12.2.1, 13.5

	Instructions to Bidders

	1.1.1

	Instructions to the Contractor

	3.2.3, 3.3.1, 3.8.1, 4.2.8, 5.2.1, 7, 12, 8.2.2, 13.5.2

	Insurance

	3.18.1,
6.1.1, 7.3.6, 8.2.1, 9.3.2, 9.8.4, 9.9.1, 9.10.2,
9.10.5, 11

	Insurance, Boiler and Machinery

	11.4.2

	Insurance, Contractor’s Liability

	11.1

	Insurance, Effective Date of

	8.2.2,
11.1.2

	Insurance, Loss of Use

	11.4.3

	Insurance, Owner’s Liability

	11.2

	Insurance, Project Management Protective Liability

	11.3

	Insurance, Property

	10.2.5,
11.4

	Insurance, Stored Materials

	9.3.2, 11.4.1.4

	INSURANCE
AND BONDS
 11

	Insurance Companies, Consent to Partial Occupancy

	9.9.1, 11.4.1.5

	Insurance Companies, Settlement with

	11.4.10

	Intent of the Contract Documents

	1.2.1,
4.2.7, 4.2.12, 4.2.13, 7.4

	Interest

	13.6

	Interpretation

	1.2.3,
1.4, 4.1.1, 4.3.1, 5.1, 6.1.2, 8.1.4

	Interpretations, Written

	4.2.11, 4.2.12, 4.3.6

	Joinder and Consolidation of Claims Required

	4.6.4

	Judgment on Final Award

	4.6.6

	Labor and Materials, Equipment

	1.1.3,
1.1.6, 3.4, 3.5.1, 3.8.2, 3.8.3, 3.12, 3.13, 3.15.1,
42.6, 4.2.7, 5.2.1, 6.2.1, 7.3.6, 9.3.2, 9.3.3, 9.5.1.3, 9.10.2,
10.2.1, 10.2.4, 14.2.1.2

	Labor Disputes

	8.3.1

	Laws and Regulations

	1.6, 3.2.2, 3.6, 3.7, 3.12.10, 3.13, 4.1.1, 4.4.8, 4.6,
9.6.4, 9.9.1, 10.2.2, 11.1, 11.4, 13.1, 13.4, 13.5.1,
13.5.2, 13.6, 14

	Liens

	2.1.2,
4.4.8, 8.2.2, 9.3.3, 9.10

	Limitation on Consolidation or Joinder

	4.6.4

	Limitations, Statutes of

	4.6.3, 12.2.6, 13.7

	Limitations of Liability

	2.3, 3.2.1, 3.5.1, 3.7.3, 3.12.8, 3.12.10, 3.17, 3.18,
4.2.6, 4.2.7, 4.2.12, 6.2.2, 9.4.2, 9.6.4, 9.6.7, 9.10.4,
10.3.3, 10.2.5, 11.1.2, 11.2.1, 11.4.7, 12.2.5, 13.4.2

	Limitations of Time

	2.1.2, 2.2, 2.4, 3.2.1, 3.7.3, 3.10,
3.11, 3.12.5, 3.15.1, 4.2.7, 4.3, 4.4, 4.5, 4.6, 5.2, 5.3,
5.4, 6.2,4, 7.3, 7.4, 8.2, 9.2, 9.3.1, 9.3.3, 9.4.1, 9.5, 9.6, 9.7, 9.8, 9.9, 9.10, 11.1.3,
11.4.1.5, 11.4.6, 11.4.10, 12.2, 13.5, 13.7, 14

 

AIA Document A201TM — 1997. Copyright ©
1911, 1915, 1918, 1925, 1937, 1951, 1958, 1981, 1963, 1968, 1970,
1976, 1987 and 1997 by The American Institute of Architects. All
rights reserved. WARNING: This AIA
Document is protected by U.S. Copyright Law and international Treaties. Unauthorized reproduction
or distribution of this AIA* Document or any portion of it may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software at 11:25:47 on 08/18/2005 under Order
[ILLEGIBLE]

User Notes:

5

 

	 
	Loss of Use Insurance

	11.4.3

	Material Suppliers

	1.6, 3.12.1, 4.2.4, 4.2.6, 5.2.1, 9.3, 9.4.2, 9.6, 9.10.5

	Materials, Hazardous

	10.2.4, 10.3, 10.5

	Materials, Labor, Equipment and

	1.1.3, 1.1.6, 1.6.1, 3.4, 3.5.1, 3.8.2, 3.8.23, 3.12, 3.13,
3.15.1, 4.2.6, 4.2.7, 5.2.1, 6.2.1, 7.3.6, 9.3.2, 9.3.3,
9.5.1.3, 9.10.2, 10.2.1, 10.2.4, 14.2.1.2

	Means, Methods, Techniques, Sequences and Procedures of Construction

	3.3.1, 3.12.10, 4.2.2, 4.2.7, 9.4.2

	Mechanic’s Lien

	4.4.8

	Mediation

	4.4.1, 4.4.5, 4.4.6, 4.4.8, 4.5, 4.6.1, 4.6.2, 8.3.1, 10.5

	Minor Changes in the Work

	1.1.1,
3.12.8, 4.2.8, 4.3.6, 7.1, 7.4

	MISCELLANEOUS PROVISIONS

	13

	Modifications, Definition of

	1.1.1

	Modifications to the Contract

	1.1.1, 1.1.2, 3.7.3, 3.11, 4.1.2, 4.2.1, 5.2.3, 7, 8.3.1,
9.7, 10.3.2, 11.4.1

	Mutual Responsibility

	6.2

	Nonconforming Work, Acceptance of

	9.6.6,
9.9.3, 12.3

	Nonconforming Work, Rejection and Correction of

	2.3, 2.4, 3.5.1, 4.2.6, 6.2.5, 9.5.1, 9.8.2, 9.9.3, 9.10.4, 12.2.1, 13.7.1.3

	Notice

	2.2.1, 2.3, 2.4, 3.2.3, 3.3.1, 3.7.2, 3.7.4, 3.12.9, 4.3, 4.4.8, 4.6.5, 5.2.1, 8.2.2, 9.7, 9.10,
10.2.2, 11.1.3, 11.4.6, 12.2.2, 12.2.4, 13.3, 13.5.1, 13.5.2, 14.1, 14.2

	Notice, Written

	2.3, 2.4, 3.3.1, 3.9, 3.12.9, 3.12.10, 4.3, 4.4.8, 4.6.5, 5.2.1, 8.2.2, 9.7, 9.10, 10.2.2, 10.3,
11.1.3, 11.4.6,
12.2.2, 12.2.4, 13.3, 14

	Notice of Testing and Inspections

	13.5.1, 13.5.2

	Notice to Proceed

	8.2.2

	Notices, Permits, Fees and

	2.2.2, 3.7, 3.13, 7.3.6.4, 10.2.2

	Observations, Contractor’s

	1.5.2, 3.2, 3.7.3, 4.3.4

	Occupancy

	2.2.2, 9.6.6, 9.8, 11.4.1.5

	Orders, Written

	1.1.1,
2.3, 3.9, 4.3.6, 7, 8.2.2, 11.4.9, 12.1, 12.2, 13.5.2, 14.3.1

	OWNER

	2

	Owner, Definition of

	2.1

	Owner, Information and Services Required of the

	2.1.2, 2.2, 3.2.1, 3.12.4, 3.12.10, 4.2.7, 4.3.3, 6.1.3,
6.1.4, 6.2.5, 9.3.2, 9.6.1, 9.6.4, 9.9.2, 9.10.3, 10.3.3,
11.2, 11.4, 13.5.1, 13.5.2, 14.1.1.4, 14.1.4

	Owner’s Authority

	1.6,
2.1.1, 2.3, 2.4, 3.4.2, 3.8.1, 3.12.10, 3.14.2, 4.1.2,
4.1.3, 4.2.4, 4.2.9, 4.3.6, 4.4.7, 5.2.1, 5.2.4, 5.4.1,
6.1, 6.3, 7.2.1, 7.3.1, 8.2.2, 8.3.1, 9.3.1, 9.3.2, 9.5.1,
9.9.1, 9.10.2, 10.3.2, 11.1.3, 11.3.1, 11.4.3, 11.4.10,
12.2.2, 12.3.1, 13.2.2, 14.3, 14.4

	Owner’s Financial Capability

	2.2.1, 13.2.2, 14.1.1.5

	Owner’s Liability Insurance

	11.2

	Owner’s Loss of Use Insurance

	11.4.3

	Owner’s Relationship with Subcontractors

	1.1.2, 5.2, 5.3, 5.4, 9.6.4, 9.10.2, 14.2.2

	Owner’s Right to Carry Out the Work

	2.4, 12.2.4, 14.2.2.2

	Owner’s Right to Clean Up

	6.3

	Owner’s Right to Perform Construction and to
Award Separate Contracts

	6.1

	Owner’s Right to Stop the Work

	2.3

	Owner’s Right to Suspend the Work

	14.3

	Owner’s Right to Terminate the Contract

	14.2

	Ownership and Use of Drawings, Specifications and Other Instruments of Service

	1.1.1,
1.6, 2.2.5, 3.2.1, 3.11.1, 3.17.1, 4.2.12, 5.3

	Partial Occupancy or Use

	9.6.6,
9.9, 11.4.1.5

	Patching, Cutting and

	3.14, 6.2.5

	Patents

	3.17

	Payment, Applications for

	4.2.5,
7.3.8, 9.2, 9.3, 9.4, 9.5.1, 9.6.3, 9.7.1, 9.8.5,
9.10.1, 9.10.3, 9.10.5, 11.1.3, 14.2.4, 14.4.3

	Payment, Certificates for

	4.2.5,
4.2.9, 9.3.3, 9.4, 9.5, 9.6.1, 9 6.6, 9.7.1, 9.10.1, 9.10.3, 13.7, 14.1.1.3, 14.2.4

	Payment, Failure of

	4.3.6,
9.5.1.3, 9.7, 9.10.2, 14.1.1.3, 14.2.1.2, 13.6

	Payment, Final

	4.2.1,
4.2.9, 4.3.2, 9.8.2, 9.10, 11.1.2, 11.1.3, 11.4.1, 11.4.5, 12.3.1, 13.7, 14.2.4, 14.4.3

	Payment Bond, Performance Bond and

	7.3.6.4,
9.6.7, 9.10.3, 11.4.9, 11.5

	Payments, Progress

	4.3.3, 9.3, 9.6, 9.8.5, 9.10.3, 13.6, 14.2.3

	PAYMENTS AND COMPLETION

 

AIA Document A201TM
— 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951,
1958, 1961, 1963,
1966, 1970, 1976, 1987 and 1997 by The American Institute of
Architects. All rights reserved. WARNING: This AIA*
Document is protected by U.S. Copyright Law and International Treaties. [ILLEGIBLE]
or distribution of this AIA* Document or any portion of it, may result in severe civil and criminal
penalties, and will be [ILLEGIBLE] to the maximum extent possible under the law. This document was
produced by AIA software at 11:25:47 on 08/18/2005 under Order
[ILLEGIBLE]. 

[ILLEGIBLE]

6

 

	 
	9

	Payments to Subcontractors

	5.4.2, 9.5.1.3, 9.6.2, 9.6.3, 9.6.4, 9.6.7, 11.4.8, 14.2.1.2

	PCB

	10.3.1

	Performance Bond and Payment Bond

	7.3.6.4, 9.6.7, 9.10.3, 11.4.9, 11.5

	Permits, Fees and Notices

	2.2.2, 3.7, 3.13, 7.3.6.4, 10.2.2

	PERSONS AND PROPERTY, PROTECTION OF

	10

	Polychlorinated Biphenyl

	10.3.1

	Product Data, Definition of

	3.12.2

	Product Data and Samples, Shop Drawings

	3.11, 3.12, 4.2.7

	Progress and Completion

	4.2.2,
4.3.3, 8.2, 9.8, 9.9.1, 14.1.4

	Progress Payments

	4.3.3, 9.3, 9.6, 9.8.5, 9.10.3, 13.6, 14.2.3

	Project, Definition of the

	1.1.4

	Project Management Protective Liability Insurance

	11.3

	Project Manual, Definition of the

	1.1.7

	Project Manuals

	2.2.5

	Project Representatives

	4.2.10

	Property Insurance

	10.2.5, 11.4

	PROTECTION OF PERSONS AND PROPERTY

	10

	Regulations and Laws

	1.6, 3.2.2, 3.6, 3.7, 3.12.10, 3.13, 4.1.1, 4.4.8, 4,6,
9.6.4, 9.9.1, 10.2.2, 11.1, 11.4, 13.1, 13.4, 13.5.1,
13.5.2, 13.6, 14

	Rejection of Work

	3.5.1,
4.2.6, 12.2.1

	Releases and Waivers of Liens

	9.10.2

	Representations

	1.5.2, 3.5.1, 3.12.6, 6.2.2, 8.2.1, 9.3.3, 9.4.2, 9.5.1, 9.8.2, 9.10.1

	Representatives

	2.1.1, 3.1.1, 3.9, 4.1.1, 4.2.1, 4.2.10, 5.1.1, 5.1.2,
13.2.1

	Resolution of Claims and Disputes

	4.4, 4.5, 4.6

	Responsibility for Those Performing the Work

	3.3.2, 3.18, 4.2.3, 4.3.8, 5.3.1, 6.1.3, 6.2, 6.3, 9.5.1,
10

	Retainage

	9.3.1,
9.6.2, 9.8.5, 9.9.1, 9.10.2, 9.10.3

	Review of Contract Documents and Field Conditions by Contractor

	1.5.2,
3.2, 3.7.3, 3.12.7, 6.1.3

	Review of Contractor’s Submittals by Owner and
Architect

	3.10.1, 3.10.2, 3.11, 3.12, 4.2, 5.2, 6.1.3, 9.2, 9.8.2

	Review of Shop Drawings, Product Data and Samples by Contractor

	3.12

	Rights and Remedies

	1.1.2, 2.3, 2.4, 3.5.1, 3.15.2, 4.2.6, 4.3.4, 4.5, 4.6, 5.3,
5.4, 6.1, 6.3, 7.3.1, 8.3, 9.5.1, 9.7, 10.2.5, 10.3,
12.2.2, 12.2.4, 13.4, 14

	Royalties, Patents and Copyrights

	3.17

	Rules and Notices for Arbitration

	4.6.2

	Safety of Persons and Property

	10.2, 10.6

	Safety Precautions and Programs

	3.3.1,
4.2.2, 4.2.7, 5.3.1, 10.1, 10.2, 10.6

	Samples, Definition of

	3.12.3

	Samples, Shop Drawings, Product Data and

	3.11, 3.12, 4.2.7

	Samples at the Site, Documents and

	3.11

	Schedule of Values

	9.2, 9.3.1

	Schedules,

	1.4.1.2,
3.10, 3. Construction 12.1, 3.12.2, 4.3.7.2,
6.1.3

	Separate Contracts and Contractors

	1.1.4, 3.12.5, 3.14.2, 4.2.4, 4.2.7, 4.6.4, 6, 8.3.1,
11.4.7, 12.1.2, 12.2.5

	Shop Drawings, Definition of

	3.12.1

	Shop Drawings, Product Data and Samples

	3.11, 3.12, 4.2.7

	Site, Use of

	3.13,
6.1.1, 6.2.1

	Site Inspections

	1.2.2, 3.2.1, 3.3.3, 3.7.1, 4.2, 4.3.4, 9.4.2, 9.10.1, 13.5

	Site Visits, Architect’s

	4.2.2, 4.2.9, 4.3.4, 9.4.2, 9.5.1, 9.9.2, 9.10.1, 13.5

	Special Inspections and Testing

	4.2.6, 12.2.1, 13.5

	Specifications, Definition of the

	1.1.6

	Specifications, The

	1.1.1,
1.1.6, 1.1.7, 1.2.2, 1.6, 3.11, 3.12.10, 3.17

	Statute of Limitations

	4.6.3, 12.2,6, 13.7

 

AIA Document A201TM
— 1997. Copyright © 1911,
1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966, 1970, 1976,
1987 and 1997 by The American Institute of Architects. All rights
reserved. WARNING: This AIA TM
Document is protected by U.S. Copyright Law and International
Treaties. Unauthorized reproduction
or distribution of this AIA® Document, or any portion of it, may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software [ILLEGIBLE]

User Notes

7

 

	 
	Stopping the Work

	2.3, 4.3.6, 9.7, 10.3, 14.1

	Stored Materials

	6.2.1, 9.3.2, 10.2.1.2, 10.2.4, 11.4.1.4

	Subcontractor, Definition of

	5.1.1

	SUBCONTRACTORS

	5

	Subcontractors, Work by

	1.2.2, 3.3.2, 3.12.1, 4.2.3, 5.2.3, 5.3, 5.4, 9.3.1.2, 9.6.7

	Subcontractual Relations

	5.3, 5.4, 9.3.1.2, 9.6, 9.10 10.2.1, 11.4.7, 11.4.8, 14.1, 14.2.1, 14.3.2

	Submittals

	1.6, 3.10, 3.11, 3.12, 4.2.7, 5.2.1, 5.2.3, 7.3.6, 9.2, 9.3, 9.8, 9.9.1, 9.10.2, 9.10.3, 11.1.3

	Subrogation, Waivers of

	6.1.1,
11.4.5, 11.4.7

	Substantial Completion

	4.2.9,
8.1.1, 8.1.3, 8.2.3, 9.4.2, 9.8, 9.9.1, 9.10.3,
9.10.4.2, 12.2, 13.7

	Substantial Completion, Definition of

	9.8.1

	Substitution of Subcontractors

	5.2.3, 5.2.4

	Substitution of Architect

	4.1.3

	Substitutions of Materials

	3.4.2, 3.5.1, 7.3.7

	Sub-subcontractor, Definition of

	5.1.2

	Subsurface Conditions

	4.3.4

	Successors and Assigns

	13.2

	Superintendent

	3.9, 10.2.6

	Supervision and Construction Procedures

	1.2.2, 3.3, 3.4, 3.12.10, 4.2.2, 4.2.7, 4.3.3, 6.1.3, 6.2.4, 7.1.3, 7.3.6, 8.2, 8.3.1, 9.4.2, 10, 12, 14

	Surety

	4.4.7, 5.4.1.2, 9.8.5, 9.10.2, 9.10.3, 14.2.2

	Surety, Consent of

	9.10.2, 9.10.3

	Surveys

	2.2.3

	Suspension by the Owner for Convenience

	14.4

	Suspension of the Work

	5.4.2, 14.3

	Suspension or Termination of the Contract

	4.3.6,
5.4.1.1, 11.4.9, 14

	Taxes

	3.6, 3.8.2.1, 7.3.6.4

	Termination by the Contractor

	43.10, 14.1

	Termination by the Owner for Cause

	4.3.10,
5.4.1.1, 14.2

	Termination of the Architect

	4.1.3

	Termination of the Contractor

	14.2.2

	TERMINATION OR SUSPENSION OF THE CONTRACT

	14

	Tests and Inspections

	3.1.3, 3.3.3, 4.2.2, 4.2.6, 4.2.9, 9.4.2, 9.8.3, 9.9.2, 9.10.1, 10.3,2, 11.4.1.1, 12.2.1, 13.5

	TIME

	8

	Time, Delays and Extensions of

	3.2.3,
4.3.1, 4.3.4, 4.3.7, 4.4.5, 5.2.3, 7.2.1, 7.3.1, 7.4,1, 8.3, 9.5.1, 9.7.1, 10,3.2, 10.6.1, 14.3.2

	Time Limits

	2.1.2, 2.2, 2.4, 3.2.1, 3.7.3, 3.10, 3.11, 3.12.5, 3.15.1, 4.2,
4.3, 4.4, 4.5, 4.6, 5.2, 5.3, 5.4, 6.2.4, 7.3, 7.4, 8.2, 9.2, 9.3.1, 9.3.3, 9.4.1, 9.5, 9.6, 9.7, 9.8, 9.9, 9.10,
 11.1.3, 11.4.1.5, 11.4.6, 11.4.10, 12.2, 13.5,
13.7, 14

	Time Limits on Claims

	4.3.2, 4.3.4, 4.3.8, 4.4, 4.5, 4.6

	Title to Work

	9.3.2, 9.3.3

	UNCOVERING AND CORRECTION OF WORK

	12

	Uncovering of Work

	12.1

	Unforeseen Conditions

	4.3.4,
8.3.1, 10.3

	Unit Prices

	4.3.9, 7.3.3.2

	Use of Documents

	1.1.1, 1.6, 2.2.5, 3.12.6, 5.3

	Use of Site

	3.13, 6.1.1, 6.2.1

	Values, Schedule of

	9.2, 9.3.1

	Waiver of Claims by the Architect

	13.4.2

	Waiver of Claims by the Contractor

	4.3.10, 9.10.5, 11.4.7, 13.4.2

	Waiver of Claims by the Owner

	4.3.10, 9.9.3, 9.10.3, 9.10.4, 11.4.3, 11.4.5, 11.4.7, 12.2.2.1, 13.4.2, 14.2.4

	Waiver of Consequential Damages

	4.3.10, 14.2.4

	Waiver of Liens

	9.10.2, 9.10.4

	Waivers of Subrogation

	6.1.1,
11.45, 11.4.7

	Warranty

 

AIA Document A201TM — 1997. Copyright © 1911, 1915,
1918, 1925, 1937, 1951, 1958, 1961, 1963,
1966, 1970, 1976, 1987 and 1997 by The American Institute of
Architects. All rights
reserved. WARNING: This A1A*
Document is protected by U.S. Copyright Law and International
Treaties. Unauthorized reproduction
or distribution of this AIA* Document or any portion of it, may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
produced by AIA software at 11:25:47 on 08/18/2005 under Order
No. [ILLEGIBLE] 

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	3.5, 4.2.9, 4.3.5.3, 9.3.3, 9.8.4, 9.9.1, 9.10.4, 12.2.2, 13.7.1.3

	Weather Delays

	4.3.7.2

	Work, Definition of

	1.1.3

	Written Consent

	1.6, 3.4.2, 3.12.8, 3.14.2, 4.1.2, 4.3.4, 4.6.4, 9.3.2, 9.8.5, 9.9.1, 9.10.2, 9.10.3, 11.4.1, 13.2, 13.4.2

	Written Interpretations

	4.2.11, 4.2.12, 4.3.6

	Written Notice

	2.3, 2,4, 3.3.1, 3.9, 3.12.9, 3.12.10, 4.3, 4.4.8, 4.6.5,
5.2.1, 8.2.2, 9.7, 9.10, 10.2.2, 10.3, 11.1.3, 11.4.6,
12.2.2, 12.2.4, 13.3, 14

	Written Orders

	1.1.1, 2.3, 3.9, 4.3.6, 7, 8.2.2, 11.4.9, 12.1, 12.2,
13.5.2, 14.3.1

ARTICLE 1 GENERAL PROVISIONS

§ 1.1 BASIC DEFINITIONS

§ 1.1.1 THE CONTRACT DOCUMENTS

The Contract Documents consist of those documents stated in Article 15 of the Agreement
between Owner and
Contractor (AIA Document A111) between the parties, as modified, and all Modifications thereto, the
Agreement
between-Owner and Contractor (hereinafter the Agreement), Conditions of the Contest (General,
Supplementary and Other Conditions), Drawings, Specifications, Addenda issued prior to execution of
the Contract, other documents listed in the Agreement and Modifications issued after execution of
the Contract A Modification is (1) a written amendment to the Contract signed by both parties, (2)
a Change Order, (3) a Construction Change Directive or (4) a written order for a minor change in
the Work issued by the Architect pursuant to Section 7.4. Unless specifically enumerated in the
Agreement, the Contract Documents do not include other documents such as bidding requirements
(advertisement or invitation to bid, Instructions to Bidders, sample forms, the Contractor’s bid or
portions of Addenda relating to bidding requirements).

§ 1.1.2 THE CONTRACT

The Contract Documents form the Contract for Construction. The Contract represents the
entire and integrated agreement between the parties hereto and supersedes prior negotiations,
representations or agreements, either written or oral. The Contract
may be amended or modified
only by a Modification. The Contract Documents shall not be construed to create a contractual
relationship of any kind (1) between the Architect and Contractor, (2) between the Owner and a
Subcontractor (except as provided in Section 5,4 hereof) or Sub-subcontractor, (3) between the
Owner and Architect or (4) between any persons or entities other than the Owner and Contractor.
The Architect shall, however, be entilled to performance and enforcement of obligations under the
Contract intended to facilitate performance of the Architect’s duties.

§ 1.1.3 THE WORK

The term “Work” means the construction and services required by the Contract Documents,
whether completed or partially completed, and includes all other labor, materials, equipment and
services provided or to be provided by the Contractor to fulfill the Contractor’s obligations. The
Work may constitute the whole or a part of the Project.

§ 1.1.4 THE PROJECT

The Project is the total construction of which the Work performed under the Contract
Documents may be the whole
or a part and which may include construction by the Owner or by separate contractors.

§ 1.1.5 THE DRAWINGS

The Drawings are the graphic and pictorial portions of the Contract Documents showing the
design, location and
dimensions of the Work, generally including plans, elevations, sections, details, schedules and
diagrams.

§ 1.1.6 THE SPECIFICATIONS

The Specifications are that portion of the Contract Documents consisting of the written
requirements for materials,
equipment, systems, standards and workmanship for the Work, and performance of related services.

§1.1.7
THE PROJECT MANUAL

The Project Manual is a volume assembled for the Work which is issued by Architect and may
include the bidding requirements, sample forms, Conditions of the Contract and Specifications.

 

AIA Document A201TM — 1997. Copyright © 1911, 1915,
1918, 1928, 1937, 1957, 1958, 1961, 1963,
1966, 1970, 1976, 1987 and 1997 by The American Institute of
Architects. All rights reserved. WARNING: This AIA,
Document is protected by U.S. Copyright Law and International Treaties. Unauthorized reproduction
or distribution of this AIA* Document or any portion of it, may result in severe civil and criminal
penalties, and will be prosecuted to the maximum extent possible under the law. This document was
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User Notes:

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1.1.8 Addendum: A change to the Contract Documents issued by Architect with Owner’s
approval prior to the execution of the Agreement and specifically
listed in the Agreement.

1.1.9
Alternate: A variation in Contract requirements on which a separate price is to be
received by the Owner as a part of the submission of the Estimated Contract Sum. If the
Alternate is accepted in writing by Owner, the variation is then a part of the Contract and the
amount of money quoted to be added or deducted from the Estimated Contract Sum is taken into
account in determining the Estimated Contract Sum.

1.1.10
Final Completion: The date the Contract has been fully performed, all the Work has been
completed and a final Certificate of Payment approved by the Owner has been issued by the
Architect.

1.1.11 Not-in-Contract-N.I.C.: Work not included in the Contract.

1.1.12 Or Approved Equal and Equal to: Shall mean products by manufacturers other than those
specified in the Contract Documents which the Contractor may submit for substitution and prove
to be equal to those specified in the Contract Documents which may be incorporated in the Work
after review and acceptance by the Architect and acceptance by the Owner.

1.1.13 Indicated and Shown: Shall mean as detailed, scheduled, or called for in the Contract
Documents.

§ 1.2 CORRELATION AND INTENT OF THE CONTRACT DOCUMENTS

§ 1.2.1 The intent of the Contract Documents is to include all items necessary for the proper
execution and completion of the Work by the Contractor. The Work shall consist of all items
specifically included in the Contract Documents as well as all additional items of work which
are reasonably inferable from that which is specified in order to complete the Work in
accordance with the Contract Documents. The Contract Documents are complementary, and what is
required by one shall be as binding as if required by all; performance by the Contractor shall
be required only to the extent consistent with the Contract Documents and reasonably inferable
from them as being necessary to produce the indicated results. Should any conflicts between
the requirements of the Drawings and the Specifications, or any differences within the
Drawings themselves or within the Specifications themselves, be discovered or develop, the
Architect shall decide which of the conflicting requirements will govern and the Contractor
shall perform the Work in accordance with the Architect’s decision. Conflicts or differences
which, based upon the Architect’s determination, result in an increase or decrease in cost
shall be considered a change in the Work and shall be governed by Article 7.

§ 1.2.2 Organization of the Specifications into divisions, sections and articles, and
arrangement of Drawings shall not
control the Contractor in dividing the Work among Subcontractors or in establishing the extent
of Work to be
performed by any trade.

§ 1.2.3 Unless otherwise stated in the Contract Documents, words and abbreviations which have
well-known
technical or construction industry meanings are used in the Contract Documents in accordance
with such recognized
meanings.

1.2.4 When more than one material, brand, or process is specified for a particular item of Work,
the choice shall be
the Contractor’s. Contractor may, after notifying the Architect and Owner, select the one it
considers to be the best.
Approval by Architect or Owner of materials, suppliers, processes, or Subcontractors does not
imply a waiver of any
Contract requirements including, without limitation, Contractor’s warranty.

1.2.5 All Work shall conform to the Contract Documents. No change therefrom shall be made
without review and
written acceptance by Architect and Owner.

§ 1.3 CAPITALIZATION

§ 1.3.1 Terms capitalized in these General Conditions include those which are (1) specifically
defined, (2) the titles
of numbered articles or (3) the titles of other documents published by the American Institute of
Architects.

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
This document was produced by AIA software at 11:25:47 on 08/18/2005 under Order No.1000177464_2
which expires on 5/4/2006, and is not for resale.

User Notes:

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§ 1.4 INTERPRETATION

§ 1.4.1 In the interest of brevity the Contract Documents frequently omit modifying words such
as “all” and “any”
and articles such as “the” and “an,” but the fact that a modifier or an article is absent from
one statement and appears
in another is not intended to affect the interpretation of either statement.

§ 1.5 EXECUTION OF CONTRACT DOCUMENTS

§ 1.5.1 The Contract Documents shall be signed by the Owner and Contractor. If either the Owner or
Contractor or
both do not sign all the Contract Documents, the Architect shall identify such unsigned Documents
upon request.

§ 1.5.2 Execution of the Contract by the Contractor is a representation that the Contractor has
visited the site,
become generally familiar with local conditions under which the Work is to be performed and
correlated personal
observations with requirements of the Contract Documents. Execution of the Contract by the
Contractor is a
representation that said Contract Documents are sufficient to have enabled the Contractor to
determine the Estimated
Contract Sum therein, to enter into the Contract and construct the Work outlined therein, and
otherwise to fulfill its
obligations hereunder, including, but not limited to, Contractor’s obligations to construct the
Work on or before the
date(s) of Substantial Completion established in the Agreement. The Contractor further
acknowledges and declares
that it has visited and examined the site. In connection therewith, Contractor specifically
represents and warrants to
Owner that it has, by careful examination, satisfied itself as to: (1) the nature, location,
and character of the project
and the site, (2) the nature, location, and character of the general area in which the Project
is located, including
without limitation, its climatic conditions, available labor supply and labor costs, and
available equipment supply
and equipment costs; and (3) the quality and quantity of all materials, supplies, tools,
equipment, labor, and
professional services necessary to complete the Work in the manner and within the costs and
time frame required by
the Contract Documents.

In connection with the foregoing, and having carefully examined all Contract Documents, as
aforesaid, and having
visited the site, the Contractor acknowledges and declares that it has no knowledge of any
discrepancies, omissions,
ambiguities, or conflicts in said Contract Documents and that if it becomes aware of any such
discrepancies,
omissions, ambiguities, or conflicts, it will promptly notify Owner and Architect of such fact.

Further, Contractor recognizes the extra degree of care required under the urban site
construction circumstances with
respect to safety, protection of pedestrians, cleanliness of the site, health and other laws,
and protections of existing
utilities, adjacent streets, and property. In arriving at the Estimated Contract Sum and the
Contract Time, Contractor
has, as an experienced and prudent contractor, exercised its best judgment upon the Estimated
Contract Sum and the
Contract Time.

§ 1.6 OWNERSHIP AND USE OF DRAWINGS, SPECIFICATIONS AND OTHER INSTRUMENTS OF SERVICE

§ 1.6.1 The Drawings, Specifications and other similar or related documents, including those in
electronic form, and
copies thereof, are furnished to the Contractor for the purpose of performing the Work and are,
and shall remain, the
property of the Owner. prepared by the Architect and the Architect’s consultants are
Instruments of Service through
which the Work to be executed by the Contractor is described. The Contractor may retain one
record set. Neither the
Contractor nor any Subcontractor, Sub-subcontractor or material or equipment supplier shall own
or claim a
copyright in the Drawings, Specifications and other similar or related documents, and Owner
will retain all common
law, statutory, and other reserved rights, in addition to the copyright (including without
limitation, the right to create
derivative works therefrom). All copies of such documents shall be returned to the Owner upon
Completion of the
Work, except that the Contractor may retain one record set. documents prepared by the Architect
or the Architect’s
consultants, and unless otherwise indicated the Architect and the Architect’s consultants shall
be deemed the authors
of them and will retain all common law, statutory and other reserved rights, in addition to the
copyrights. All copies
of Instruments of Service, except the Contractor’s record set, shall be returned or suitably
accounted for to the
Architect, on request, upon completion of the Work. The Drawings, Specifications and other
similar or related
documents prepared by the Architect and the Architect’s consultants, and copies thereof
furnished to the Contractor,
are for use solely with respect to this Project. They are not to be used by the Contractor or
any Subcontractor, Sub-subcontractor or material or equipment supplier on other projects or for additions to this
Project outside the scope of
the Work without the specific written consent of the Owner, Architect and the Architect’s
consultants. The
Contractor, Subcontractors, Sub-subcontractors and material or equipment suppliers are
authorized to use and
reproduce applicable portions of the Drawings, Specifications and other documents prepared by
the Architect and
the Architect’s consultants  appropriate to and for use in the execution of their Work under the
Contract Documents.
All copies made under this authorization shall bear the statutory copyright notice, if any,
shown on the Drawings.

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
This document was produced by AIA software at 11:25:47 on 08/18/2005 under Order No.1000177464_2
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User Notes:

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Specifications and other documents prepared by the Architect and the Architect’s consultants.
Submittal or
distribution to meet official regulatory requirements or for other purposes in connection with
this Project is not to be
construed as publication in derogation of any the Architect’s or Architect’s consultants’ 
copyrights or other reserved
rights.

ARTICLE 2 OWNER

§ 2.1 GENERAL

§ 2.1.1 The Owner is the person or entity identified as such in the Agreement and is referred to
throughout the
Contract Documents as if singular in number. The Owner shall designate in writing a
representative who shall have
express authority to bind the Owner with respect to all matters requiring the Owner’s approval
or authorization.
Owner may change its designated representative from time to time upon written notice to the
Contractor and the
Architect. Except as otherwise provided in Section 4.2.1, the Architect does not have such
authority. The term
“Owner” means the Owner or the Owner’s authorized
representative.

§ 2.1.2 The Owner shall furnish to the Contractor within fifteen days after receipt of a written
request, information
necessary and relevant for the Contractor to evaluate, give notice of or enforce mechanic’s lien
rights. Such
information shall include a correct statement of the record legal title to the property on which
the Project is located,
usually referred to as the site, and the Owner’s interest therein.

§ 2.2 INFORMATION AND SERVICES REQUIRED OF THE OWNER

§
2.2.1 The Owner shall, at the written request of the Contractor, prior to commencement of the
Work and thereafter,
furnish to the Contractor reasonable evidence that financial arrangements have been made to
fulfill the Owner’s
obligations under the Contract. Furnishing of such evidence shall be a condition
precedent to commencement or
continuation of the Work. After such evidence has been furnished, the Owner shall not
materially vary such
financial arrangements without prior notice to the Contractor.

§ 2.2.2 Except for permits and fees, including those required under Section 3.7.1, which are
the responsibility of the
Contractor under the Contract Documents, the Owner shall secure and pay for necessary
approvals, easements,
assessments and charges required for construction, use or occupancy of permanent structures or
for permanent
changes in existing facilities. Such approvals and the like shall be provided by Owner within
a time and in a manner
so as to avoid any unreasonable delays in the Work or schedule of Contractor and shall include
only such approvals
for permanent facilities which are necessary to perform the Work as set forth in the Contract
Documents.

§ 2.2.3 The Owner shall furnish surveys describing physical characteristics, legal limitations
and utility locations for
the site of the Project, and a legal description of the site. The Contractor shall be entitled
to rely on the accuracy of
information furnished by the Owner but shall exercise proper precautions relating to the safe
performance of the
Work.

§ 2.2.4 Information or services required of the Owner by the Contract Documents shall be
furnished by the Owner
with reasonable promptness. Any other information or services relevant to the Contractor’s
performance of the
Work under the Owner’s control shall be furnished by the Owner after receipt from the
Contractor of a written
request for such information or services. Neither Owner or the Architect shall be required to
furnish Contractor with
any information concerning subsurface characteristics or conditions. The Contractor shall under
take such
investigations and studies as may be necessary or useful to determine in general the subsurface
characteristics and
conditions. Conditions encountered that differ from those identified in such investigations and
studies or
are otherwise unknown or unusual in nature shall be governed by Section 4.3.4. Contractor shall be
responsible for
locating (and shall locate prior to performing any Work) all utility lines, telephone company
lines and cables, sewer
lines, water pipes, gas lines, electrical lines, including, without limitations, all buried
pipelines and buried telephone
cables and shall perform the Work in such a manner so as to avoid damaging any such lines,
cables, pipes and
pipelines. Contractor shall rely on the accuracy of all civil engineering drawings, surveys and
other information
provided by the Owner relative to the existence of underground utility lines as described
above.

§ 2.2.5 Unless otherwise provided in the Contract Documents, the Contractor will be furnished,
free of charge, such
copies of Drawings and Project Manuals as are reasonably necessary for execution of the Work.

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
This document was produced by AIA software at 11:25:47 on 08/18/2005 under Order No.1000177464_2
which expires on 5/4/2006, and is not for resale.

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§ 2.3 OWNER’S RIGHT TO STOP THE WORK

§
2.3.1 If the Contractor fails to correct Work which is not in accordance with the requirements
of the Contract
Documents as required by Section 12.2 or persistently fails to carry out Work in accordance
with the Contract
Documents or disregards the instructions of Architect or Owner when based on the requirements
of the Contract
Documents, the Owner may issue a written order to the Contractor to stop the Work, or any
portion thereof, until the
cause for such order has been eliminated; however, the right of the Owner to stop the Work
shall not give rise to a
duty on the part of the Owner to exercise this right for the benefit of the Contractor or any
other person or entity,
except to the extent required by Section 6.1.3.

§ 2.4 OWNER’S RIGHT TO CARRY OUT THE WORK

§ 2.4.1 If the Contractor defaults or neglects to carry out the Work in accordance with the
Contract Documents and
fails within a seven-day period after receipt of written notice from the Owner to commence and
continue correction
of such default or neglect with diligence and promptness, or fails within such seven-day period
to eliminate (or
diligently commence to eliminate) the cause of any stop work order issued under Section 2.3.1
hereof, the Owner
may after such seven day period give the Contractor a second written notice to correct such
deficiencies within a
three day period. If the Contractor within such three day period after receipt of such second
notice fails to
commence and continue to correct any deficiencies, the Owner may, without prejudice to other
remedies the Owner
may have, correct such deficiencies. In such case an appropriate Change Order shall be issued
deducting from
payments then or thereafter due the Contractor the reasonable cost of correcting such
deficiencies, including
Owner’s expenses and compensation for the Architect’s additional services made necessary by
such default, neglect
or failure. Such action by the Owner and amounts charged to the Contractor are both subject to
prior approval of the
Architect. If payments then or thereafter due the Contractor are not sufficient to cover such
amounts, the Contractor
shall pay the difference to the Owner.

ARTICLE 3 CONTRACTOR

§ 3.1 GENERAL

§ 3.1.1 The Contractor is the person or entity identified as such in the Agreement and is referred
to throughout the
Contract Documents as if singular in number. The term “Contractor” means the Contractor or the
Contractor’s authorized representative.

§ 3.1.2 The Contractor shall perform the Work in accordance with the Contract Documents.

§ 3.1.3 The Contractor shall not be relieved of obligations to perform the Work in accordance
with the Contract
Documents either by activities or duties of the Architect in the Architect’s administration of
the Contract, or by tests,
inspections or approvals required or performed by persons other than the Contractor.

§ 3.2 REVIEW OF CONTRACT DOCUMENTS AND FIELD CONDITIONS BY CONTRACTOR

§ 3.2.1 Since the Contract Documents are complementary, before starting each portion of the
Work, the Contractor
shall carefully study and compare the various Drawings and other Contract Documents relative to
that portion of the
Work, as well as the information furnished by the Owner pursuant to Section 2.2.3, shall take
field measurements of
any existing conditions related to that portion of the Work and shall observe any conditions at
the site affecting it
and shall carefully compare such field measurements and conditions and other information known
to the Contractor
with the Contract Documents before commencing activities. Although the Contractor is not
responsible for
discovering errors, inconsistencies or omissions in the Contract Documents, errors,
inconsistencies or omissions
discovered shall be reported to the Architect and Owner at once. These obligations are for the
purpose of facilitating
construction by the Contractor and are not for the purpose of discovering errors, emissions, or
inconsistencies in the
Contract Documents; however, any errors, inconsistencies or omissions discovered by the
Contractor shall be
reported promptly to the Architect as a request for information in such form as the Architect
may require.

3.2.1.1 If any errors, inconsistencies, or omissions in Contract Documents are recognized by
the Contractor, any
member of its organization, or any of its Subcontractors, the Contractor shall be responsible
for notifying the Owner
and Architect in the form of a written request for information of such error, inconsistency, or
omission before
proceeding with the Work. The Architect will take such notice under advisement and within 72
hours render a
decision. The Architect’s decision shall be subject to Owner’s approval. If Contractor
knowingly fails to give such
notice and proceeds with such Work, it shall correct any such errors, inconsistencies, or
omissions at no additional
costs to the Owner.

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
This document was produced by AIA software at 11:25:47 on 08/18/2005 under Order No.1000177464_2
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§ 3.2.2 Any design errors or omissions noted by the Contractor during this review shall
be reported promptly to the
Architect, but it is recognized that the Contractor’s review is made in the Contractor’s
capacity as a contractor and
not as a licensed design professional except as may be unless otherwise specifically
provided in the Contract
Documents. Paragraph 14.6 of AIA Document Alll, and the Contractor is not required to
ascertain that the
Contract Documents are in accordance with applicable laws, statutes, ordinances, building
codes, and rules and
regulations, but any nonconformity discovered by or made known to the Contractor shall be
reported promptly to the
Architect and Owner.

§ 3.2.3 If the Contractor believes that additional cost or time is involved because of
clarifications or instructions
issued by the Architect in response to the Contractor’s notices or requests for information
pursuant to Sections 3.2.1
and 3.2.2, the Contractor shall make Claims as provided in Sections 4.3.6 and 4.3.7. If the
Contractor fails to
perform the obligations of Sections 3.2.1 and 3.2.2, the Contractor shall pay such costs and
damages to the Owner as
would have been avoided if the Contractor had performed such obligations. The Contractor shall
not be liable to the
Owner or Architect for damages resulting from errors, inconsistencies or omissions in the
Contract Documents or
for differences between field measurements or conditions and the Contract Documents unless the
Contractor
recognized such error, inconsistency, omission or difference and knowingly failed to report it
to the Architect.

3.2.4 Should the Specifications and Drawings fail to particularly describe the material or kind
of goods to be used in
any place, then it shall be the duly of the Contractor to make inquiry of the Owner and
Architect as to what is best-suited.

§ 3.3 SUPERVISION AND CONSTRUCTION PROCEDURES

§ 3.3.1 The Contractor shall supervise and direct the Work, using the Contractor’s best skill
and attention. The
Contractor shall be solely responsible (subject to the terms and provisions of Article 4
hereof) for and have control
over construction means, methods, techniques, sequences and procedures and for coordinating all
portions of the
Work under the Contract, unless the Contract Documents give other specific instructions
concerning these matters.
If the Contract Documents give specific instructions concerning construction means, methods,
techniques, sequences
or procedures, the Contractor shall evaluate the jobsite safety thereof and, except as stated
below, shall be fully and
solely responsible for the jobsite safety of such means, methods, techniques, sequences or
procedures. If the
Contractor determines that such means, methods, techniques, sequences or procedures may not be
safe, the
Contractor shall give timely written notice to the Owner and Architect and shall not proceed
with that portion of the
Work without further written instructions from the Architect. If the Contractor is then
instructed to proceed with the
required means, methods, techniques, sequences or procedures without acceptance of changes
proposed by the
Contractor, the Owner shall be solely responsible for any resulting loss or damage.

§ 3.3.2 The Contractor shall be responsible to the Owner for acts and omissions of the
Contractor’s employees.
Subcontractors and their agents and employees, and other persons or entities performing
portions of the Work for or
on behalf of the Contractor or any of its Subcontractors. It is understood and agreed that the
relationship of
Contractor to Owner shall be that of an independent contractor. Nothing contained herein or
inferable herefrom
shall be deemed or construed to (1) make Contractor the agent, servant, or employee of the
Owner, or (2) create any
partnership, joint venture, or other association between Owner and Contractor. Any direction or
instruction by
Owner in respect of the Work shall relate to the results the Owner desires to obtain from the
Work, and shall in no
way affect Contractor’s independent contractor status as described herein.

§ 3.3.3 The Contractor shall be responsible for inspection of portions of Work already
performed to determine that
such portions are in proper condition to receive subsequent Work.

3.3.4 The Contractor has the responsibility to ensure that all material suppliers and
Subcontractors, their agents, and
employees adhere to the Contract Documents, and that they order materials on time, taking into
account the current
market and delivery condition. The Contractor shall be responsible for the space requirements,
locations, and
routing of its equipment. In areas and locations where the proper and most effective space
requirements, locations
and routing cannot be made as indicated, the Contractor shall meet with all others involved, before
installation, to
plan the most effective and efficient method of overall installation.

3.3.5 The Contractor shall establish and maintain bench marks and all other grades, lines, and
levels necessary for
the Work, report errors or inconsistencies to the Owner and Architect before commencing Work, and
review the
placement of the building(s) and permanent facilities on the site with the Owner and Architect
after all lines are

 

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1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
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AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
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staked out and before foundation Work is started. Contractor shall provide access to the Work for
the Owner, the
Architect, other persons designated by Owner, and governmental inspectors.

§ 3.4 LABOR AND MATERIALS

§ 3.4.1 Unless otherwise provided in the Contract Documents, the Contractor shall provide and pay
for labor,
materials, equipment, tools, construction equipment and machinery, water, heat, utilities,
transportation, and
other
facilities and services necessary for proper execution and completion of the Work, whether
temporary or permanent
and whether or not incorporated or to be incorporated in the Work.

§ 3.4.2 The Contractor may make substitutions only with the consent of the Owner, after evaluation
by the Architect
and in accordance with a Change Order.

§ 3.4.3 The Contractor shall enforce strict discipline and good order among the Contractor’s
employees and other
persons carrying out the Contract. The Contractor shall not permit employment of unfit persons or
persons not
skilled in tasks assigned to them. Contractor shall also be responsible for labor peace on the
Project and shall at all
times make its best efforts and judgment as an experienced contractor to adopt and implement
policies and practices
designed to avoid work stoppages, slowdowns, disputes, or strikes where reasonably possible and
practical under the
circumstances and shall at all times maintain Project-wide labor harmony.

3.4.4 Materials shall conform to manufacturer’s standards in effect at the date of execution of the
Agreement and
shall be installed in strict accordance with manufacturer’s directions. The Contractor shall, if
required by the Owner
or Architect, furnish satisfactory evidence as to the kind and quality of any materials. All
packaged materials shall
be shipped to the site in the original containers clearly labeled.

3.4.5 When the Contract Documents require the Work, or any part of the same, to be above the
standards required
by applicable laws, ordinances, rules, and regulations, and other statutory provisions pertaining
to the Work, such
Work shall be performed and completed by the Contractor in accordance with the Contract Documents.

3.4.6 When the manufacturer’s name, patent numbers, underwriter’s labels, model numbers, or similar
identifying
marks are required, such markings shall be located as inconspicuously
as possible.

§ 3.5 WARRANTY

§ 3.5.1 The Contractor warrants to the Owner and Architect that materials and equipment furnished
under the
Contract will be of good quality and new unless otherwise required or permitted by the Contract
Documents, that the
Work will be free from defects not inherent in the quality required or permitted, and that the
Work will conform to
the requirements of the Contract Documents. Work not conforming to these requirements, including
substitutions
not properly approved and authorized, may be considered defective. The Contractor’s warranty
excludes remedy for
damage or defect caused by abuse, modifications not executed by the Contractor, improper or
insufficient
maintenance, improper operation, or normal wear and tear and normal usage. If required by the
Owner or Architect,
the Contractor shall furnish satisfactory evidence as to the kind and quality of materials and
equipment.

3.5.2 ALL WARRANTIES SHALL INCLUDE LABOR AND MATERIALS AND SHALL BE SIGNED BY THE
MANUFACTURER OR SUBCONTRACTOR AS THE CASE MAY BE AND COMPILED BY THE
CONTRACTOR. ALL WARRANTIES SHALL BE ADDRESSED TO THE OWNER AND DELIVERED TO
THE ARCHITECT UPON COMPLETION OF THE WORK AND BEFORE OR WITH THE SUBMISSION OF
REQUEST FOR ALL FINAL PAYMENT.

3.5.3 The Contractor shall issue in writing to the Owner as a condition precedent to final payment a “General
Warranty” reflecting the terms and conditions of this Section 3,5 for all Work under the Contract.

3.5.4 Except when a longer warranty time is specifically called for in the Specification Sections
or is otherwise
provided by law, the General Warranty shall be for twelve (12) months and shall in form and content
otherwise
satisfactory to the Owner.

3.5.5 Warranties shall become effective on a date established by the Owner and Architect in
accordance with the
Contract Documents. This date shall be the Date of Substantial Completion of the entire Work,
unless otherwise
provided in any Certificate of Partial Substantial Completion approved by the parties.

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
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3.5.6
If the Architect considers it impractical, because of unsuitable test conditions or some
other factors, to execute
simultaneous final acceptance of all equipment, portions of the installation may be certified by
the Architect for final
acceptance, subject to Owner’s approval, when that portion of the system is complete and ready for
operation as
called for under Section 9.8.1.

3.5.7 The Contractor shall warrant for a period of twelve (12) months that the building(s) shall be
watertight and
leak-proof at every point and in every area, except where leaks can be attributed to damage to the
building(s) by
external forces beyond Contractor’s control. The Contractor shall, immediately upon notification
by the Owner of
water penetration, determine the source of water penetration and, at its own expense or at the
expense of its
Subcontractor(s), do any work necessary to make the building(s) watertight. Contractor shall
also, at its own
expense or at the expense of its Subcontractor(s), repair or replace any other damaged material,
finishes, and
furnishings, damaged as a result of this water penetration, to return the building(s) to its
(their) original condition.

3.5.8 In addition to the foregoing stipulations, the Contractor shall comply with all other
warranties referred to in
any portions of the Contract Documents or otherwise provided by law or in equity, and where
warranties overlap,
the more stringent requirement shall govern.

3.5.9 If for any reason the Contractor cannot warrant any part of the Work using material or
construction methods
which have been specified, or shown, it shall notify the Owner and Architect in writing giving
reasons, together with
the name of product and data on a substitution it can warrant.

§ 3.6 TAXES

§ 3.6.1 The Contractor shall pay sales, consumer, use and similar taxes for the Work provided by
the Contractor
which are legally enacted when bids are received or negotiations concluded, whether or not yet
effective or merely
scheduled to go into effect.

§ 3.7 PERMITS, FEES AND NOTICES

§ 3.7.1 Unless otherwise provided in the Contract Documents, the Contractor shall secure and pay
for the building
permit and other permits and governmental fees, licenses and inspections and other consents for
general construction
including, without limitation, street opening, sidewalk, and other obstructions, access over
public ways and storage
necessary for proper execution and completion of the Work which are customarily secured after
execution of the
Contract and which are legally required when bids are received or negotiations concluded.

§ 3.7.2 The Contractor shall comply with and give notices required by laws, ordinances, rules,
regulations and lawful
orders of public authorities applicable to performance of the Work.

§ 3.7.3 Subject to the other terms and conditions of these General Conditions in general and
Sections 1.2.2, 1.2.3,
3.2.1 and 3.2.2 in particular, it It is not the Contractor’s responsibility to ascertain that the
Contract Documents are
in accordance with applicable laws, statutes, ordinances, building codes, and rules and
regulations. However, if the
Contractor observes that portions of the Contract Documents are at variance therewith, the
Contractor shall promptly
notify the Architect and Owner in writing, and necessary changes shall be accomplished by
appropriate
Modification.

§ 3.7.4 If the Contractor performs Work (including, without limitation, the installation of any
materials or
equipment) knowing it to be contrary to laws, statutes, ordinances, building codes, and rules and
regulations without
such notice to the Architect and Owner, the Contractor shall assume appropriate responsibility for
such Work and
shall bear the costs attributable to correction thereof or related thereto (including all fines
and penalties).

§ 3.8 ALLOWANCES

§ 3.8.1 The Contractor shall include in the Contract Sum all allowances stated in the Contract
Documents. Items
covered by allowances shall be supplied for such amounts and by such persons or entities as the
Owner may direct,
but the Contractor shall not be required to employ persons or entities to whom the Contractor has
reasonable
objection.

§ 3.8.2 Unless otherwise provided in the Contract Documents:

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
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AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
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	 	.1	 	allowances shall cover the cost to the Contractor of materials and equipment
delivered at the site and all required taxes, less applicable trade
discounts;
	 
	 	.2	 	Contractor’s costs for unloading and handling at the site, labor, installation
costs, overhead, profit and other expenses contemplated for stated allowance amounts shall
be included in the Contract Sum but not in the allowances;
	 
	 	.3	 	whenever costs are more than or less than allowances, the Contract Sum shall be
adjusted accordingly by Change Order. The amount of the Change Order shall reflect (1) the
difference between actual costs and the allowances under Section 3,8.2.1 and (2) changes in
Contractor’s costs under Section 3.8.2.2.

§ 3.8.3 Materials and equipment under an allowance shall be selected by the Owner in sufficient
time to avoid delay
in the Work.

§ 3.9 SUPERINTENDENT

§ 3.9.1 The Contractor shall employ a competent superintendent and necessary assistants who shall
be in attendance
at the Project site during performance of the Work. The superintendent shall represent the
Contractor, and
communications given to the superintendent shall be as binding as if given to the Contractor.
Important
communications shall be confirmed in writing. Other communications shall be similarly confirmed on
written
request in each case.

3.9.2 Owner shall have the right, upon notice, to demand the superintendent or other key personnel
retained by
Contractor be replaced by Contractor. In the event of such demand, Contractor shall, within seven
(7) days after
notification thereof, replace said individual(s) with an individual satisfactory to Owner, in
Owner’s sole discretion.

§ 3.10 CONTRACTOR’S CONSTRUCTION SCHEDULES

§ 3.10.1 The Contractor, promptly after being awarded the Contract, shall prepare and submit for
the Owner’s and
Architect’s review and approval information a Contractor’s construction schedule for the Work. The
schedule shall
not exceed time limits current under the Contract Documents, shall be revised as required herein
and at appropriate
intervals as required by the conditions of the Work and Project, shall be related to the entire
Project to the extent
required by the Contract Documents, and shall provide for expeditious and practicable execution of
the Work. The
schedule shall indicate the proposed starting and completion dates for the various subdivisions of
the Work as well
as the totality of the Work. The schedule shall in any case be updated every thirty (30) days and
submitted to
Architect with Contractor’s Application for Payment. Each schedule shall contain a comparison of
actual progress
with the estimated progress for such point in time stated in the original schedule. If any
schedule submitted sets
forth a date for Substantial Completion for the Work or any phase of the Work beyond the Date(s)
of Substantial
Completion established in the Contract (as the same may be extended as provided in the Contract
Document(s)),
then Contractor shall submit to Architect and Owner for their review and approval a narrative
description of the
means and methods which Contractor intends to employ to expedite the progress of the Work to
ensure timely
completion of the various phases of the Work as well as the totality of the Work. To ensure such
timely completion,
Contractor shall take all necessary action including, without limitation, increasing the number of
personnel and labor
on the Project and implementing overtime and double shifts. In that event, Contractor shall be
entitled to an
adjustment in the Estimated Contract Sum and the Schedule.

§ 3.10.2 The Contractor shall prepare and keep current, for the Architect’s approval, a schedule
of submittals which
is coordinated with the Contractor’s construction schedule and allows the Architect reasonable
time to review
submittals.

§ 3.10.3 The Contractor shall perform the Work in general accordance with the most recent
schedules submitted to
the Owner and Architect.

§ 3.11 DOCUMENTS AND SAMPLES AT THE SITE

§ 3.11.1 The Contractor shall maintain at the site for the Owner one record copy of the Drawings,
Specifications,
Addenda, Change Orders and other Modifications, in good order and marked currently to record field
changes and
selections (all changes and selections to be approved by the Owner and the Architect in advance)
made during
construction, and one record copy of approved Shop Drawings, Product Data, Samples and similar
required
submittals. These shall be available to the Architect and shall be delivered to the Architect for
submittal to the
Owner upon completion of the Work.

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
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13.11.2 At the Date of Substantial Completion and as a condition precedent to final payment, the
Contractor shall
furnish the following documents to the Architect for submittal to the Owner: Record Drawings
showing the field
changes and selections affecting the general construction, mechanical, electrical, plumbing, and
all other work, and
reasonably indicating the Work as actually installed. These shall consist of carefully drawn
markings on a set of
reproducible prints of the Architect’s Drawings obtained and paid for by the Contractor. The
Contractor shall
maintain at the job site one (1) set of Architect’s Drawings and indicate thereon each field change
as it occurs.

§ 3.12 SHOP DRAWINGS, PRODUCT DATA AND SAMPLES

§ 3.12.1 Shop Drawings are drawings, diagrams, schedules and other data specially prepared for the
Work by the
Contractor or a Subcontractor, Sub-subcontractor, manufacturer, supplier or distributor to
illustrate some portion of
the Work.

§ 3.12.2 Product Data are illustrations, standard schedules, performance charts, instructions,
brochures, diagrams and
other information furnished by the Contractor to illustrate materials or equipment for some
portion of the Work.

§ 3.12.3 Samples are physical examples which illustrate materials, equipment or workmanship and
establish
standards by which the Work will be judged.

§ 3.12.4 Shop Drawings, Product Data, Samples and similar submittals are not Contract Documents.
The purpose of
their submittal is to demonstrate for those portions of the Work for which submittals are required
by the Contract
Documents the way by which the Contractor proposes to conform to the information given and the
design concept
expressed in the Contract Documents, Review by the Architect is subject to the limitations of
Section 4.2.67.
Informational submittals upon which the Architect is not expected to take responsive action may be
so identified in
the Contract Documents. Submittals which are not required by the Contract Documents may be returned
by the
Architect without action.

§ 3.12.5 The Contractor shall review for compliance with the Contract Documents, approve and submit
to the
Architect Shop Drawings, Product Data, Samples and similar submittals required by the Contract
Documents with
reasonable promptness and in such sequence as to cause no delay in the Work or in the activities
of the Owner or of
separate contractors. Submittals which are not marked as reviewed for compliance with the Contract
Documents and
approved by the Contractor may be returned by the Architect without action.

§ 3.12.6 By approving and submitting Shop Drawings, Product Data, Samples and similar submittals,
the Contractor
represents that the Contractor has determined and verified materials, field measurements and field
construction
criteria related thereto, or will do so, and has checked and coordinated the information contained
within such
submittals with the requirements of the Work and of the Contract
Documents.

§ 3.12.7 The Contractor shall perform no portion of the Work for which the Contract Documents
require submittal
and review of Shop Drawings, Product Data, Samples or similar submittals until the respective
submittal has been
approved by the Architect.

§ 3.12.8 The Work shall be in accordance with approved submittals except that the Contractor shall
not be relieved of
responsibility for deviations from requirements of the Contract Documents by the Architect’s
approval of Shop
Drawings, Product Data, Samples or similar submittals unless the Contractor has specifically
informed the Architect
in writing of such deviation at the time of submittal and (1) the Architect has given written
approval to the specific
deviation as a minor change in the Work, or (2) a Change Order or Construction Change Directive
has been issued
authorizing the deviation. The Contractor shall not be relieved of responsibility for errors or
omissions in Shop
Drawings, Product Data, Samples or similar submittals by the
Architect’s approval thereof.

§ 3.12.9 The Contractor shall direct specific attention, in writing or on resubmitted Shop
Drawings, Product Data,
Samples or similar submittals, to revisions other than those requested by the Architect on
previous submittals. In the
absence of such written notice the Architect’s approval of a resubmission shall not apply to such
revisions.

§ 3.12.10 The Contractor shall not be required to provide professional services which constitute
the practice of
architecture or engineering unless such services are specifically required by the Contract
Documents for a portion of

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
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the Work or unless the Contractor needs to provide such services in order to carry out the
Contractor’s
responsibilities for construction means, methods, techniques,
sequences and procedures. The
Contractor shall not be
required to provide professional services in violation of applicable law. If professional
design services or
certifications by a design professional related to systems, materials or equipment are
specifically required of the
Contractor by the Contract Documents, the Owner and the Architect will specify all performance
and design criteria
that such services must satisfy. The Contractor shall cause such services or certifications to
be provided by a
properly licensed design professional, whose signature and seal shall appear on all drawings,
calculations,
specifications, certifications. Shop Drawings and other submittals prepared by such
professional. Shop Drawings
and other submittals related to the Work designed or certified by such professional, if
prepared by others, shall bear
such professional’s written approval when submitted to the Architect. The Owner and the
Architect shall be entitled
to rely upon the adequacy, accuracy and completeness of the services, certifications or
approvals performed by such
design professionals, provided the Owner and Architect have specified to the Contractor all
performance and design
criteria that such services must satisfy. Pursuant to this Section 3.12.10, the Architect will
review, approve or take
other appropriate action on submittals only for the limited purpose of checking for conformance
with information
given and the design concept expressed in the Contract Documents. The Contractor shall not be
responsible for the
adequacy of the performance or design criteria required by the Contract Documents.

§ 3.13 USE OF SITE

§ 3.13.1 The Contractor shall confine operations at the site to areas permitted by law, ordinances,
permits and the
Contract Documents and shall not unreasonably encumber the site with materials or equipment.

§ 3.14 CUTTING AND PATCHING

§ 3.14.1 The Contractor shall be responsible for cutting, fitting or patching required to
complete the Work or to make
its parts fit together properly. It is the intent of the Contract Documents that all areas
requiring cutting and patching
shall be restored to a completely finished condition acceptable to the Architect and the Owner.

§ 3.14.2 The Contractor shall not damage or endanger a portion of the Work or fully or partially
completed
construction of the Owner or separate contractors by cutting, patching or otherwise altering
such construction, or by
excavation. The Contractor shall not cut or otherwise alter such construction by the Owner or a
separate contractor
except with prior written consent of the Owner and of such separate contractor; such consent
shall not be
unreasonably withheld. The Contractor shall not unreasonably withhold from the Owner or a
separate contractor the
Contractor’s consent to cutting or otherwise altering the Work.

§ 3.15 CLEANING UP

§ 3.15.1 The Contractor at all times shall keep the premises and surrounding area free from
accumulation of waste
materials or rubbish caused by operations under the Contract. At completion of the Work, the
Contractor shall
remove from and about the Project waste materials, rubbish, the Contractor’s tools,
construction equipment,
machinery and surplus materials.

§ 3.15.2 If the Contractor fails to clean up as provided in the Contract Documents, the Owner
may do so and the cost
thereof shall be charged to the Contractor.

§ 3.16 ACCESS TO WORK

§ 3.16.1 The Contractor shall provide the Owner and Architect access to the Work in preparation and
progress
wherever located.

§ 3.17 ROYALTIES, PATENTS AND COPYRIGHTS

§ 3.17.1 The Contractor shall pay all royalties and license fees. The Contractor shall defend
suits or claims for
infringement of copyrights and patent rights and shall hold the Owner and Architect harmless
from loss on account
thereof, but shall not be responsible for such defense or loss when a particular design,
process or product of a
particular manufacturer or manufacturers is required by the Contract Documents or where the
copyright violations
are contained in Drawings, Specifications or other documents prepared by the Owner or
Architect. However, if the
Contractor has reason to believe that the required design, process or product is an
infringement of a copyright or a
patent, the Contractor shall be responsible for such loss unless such information is promptly
furnished to the
Architect.

 

AIA Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
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User Notes:

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§3.18 INDEMNIFICATION

§
3.18.1 To the fullest extent permitted by law and to the extent claims, damages, losses
or expenses are not covered by Project Management. Protective Liability insurance purchased
by the Contractor in accordance with Section 11.3, the Contractor shall indemnify and hold
harmless the Owner, Architect, Architect’s consultants, and agents and employees of any of
them from and against claims, damages, losses and expenses, including but not limited to
attorneys’ fees, arising out of or resulting from performance of the Work, provided that
such claim, damage, loss or expense is attributable to bodily injury, sickness, disease or
death, or to injury to or destruction of tangible property (other than the Work itself),
but only to the extent caused by the negligent acts or omissions of the Contractor, a
Subcontractor, anyone directly or indirectly employed by them or anyone for whose acts they
may be liable, regardless of whether or not such claim, damage, loss or expense is caused
in part by a party indemnified hereunder. Such obligation shall not be construed to negate,
abridge, or reduce other rights or obligations of indemnity which would otherwise exist as
to a party or person described in this Section 3.18.

§ 3.18.2 In claims against any person or entity indemnified under this Section 3.18 by an
employee of the Contractor, a Subcontractor, anyone directly or indirectly employed by them
or anyone for whose acts they may be liable, the indemnification obligation under Section
3.18.1 shall not be limited by a limitation on amount or type of damages, compensation or
benefits payable by or for the Contractor or a Subcontractor under workers’ compensation
acts, disability benefit acts or other employee benefit acts.

ARTICLE 4 ADMINISTRATION OF THE CONTRACT

§ 4.1 ARCHITECT

§ 4.1.1 The Architect is the person lawfully licensed to practice architecture or an entity lawfully
practicing
architecture identified as such in the Agreement and is referred to throughout the Contract
Documents as if singular
in number, The term “Architect” means the Architect or the Architect’s authorized representative.

§ 4.1.2 Duties, responsibilities and limitations of authority of the Architect as-set forth
in the Contract Documents shall not be restricted,— modified- or extended-without written
consent of the Owner, Contractor-and-Architect Consent shall not be unreasonably
withheld. Owner reserves the right to appoint a representative empowered to act for Owner
during the Construction Phase with responsibility superceding that of the Architect to the
extent set forth in written notice to the Architect and Contractor. With respect to such
superseded responsibilities as set forth in the notice to the Architect and Contractor,
Architect shall no longer bear responsibility in those areas from and after the effective
date of such notice, unless and only to the extent from the time that Architect shall be
redirected to resume responsibility by Owner.

§
4.1.3 If-the employment of the Architect is terminated, the Owner shall employ a new
Architect against whom the Contractor has no reasonable objection and whose status under
the Contract Documents -shall -be- that-of the former Architect. Owner may at any time
employ or retain any licensed architect against whom the Contractor has no reasonable
objection to perform all or any part of the duties of the Architect hereunder or to
exercise any of its rights hereunder. Owner shall notify all parties in writing (setting
forth the scope of said replacement Architect’s duties and responsibilities) prior to
making this change.

§ 4.2 ARCHITECT’S ADMINISTRATION OF THE CONTRACT

§
4.2.1 The Architect will provide administration of the Contract as described in the
Contract Documents., and will be an Owner’s
representative (1) during construction, (2)
until final- payment is due and (3) with the Owner’s concurrence from time to time during
the one year period for correction of Work described in Section 12.2. The Architect will
have authority to act on behalf of the Owner only to the extent provided in she Contract
Documents, unless otherwise modified in writing in accordance with other provisions of the
Contract.

§ 4.2.2 The Architect, as a representative of the Owner, will visit the site at intervals
appropriate to the stage of the Contractor’s operations (1) to become generally familiar
with and to keep the Owner informed about the progress and quality of the portion of the
Work completed, (2) to use best efforts endeavor to guard the Owner against defects and
deficiencies in the Work, and (3) to determine in-general if the Work is proceeding
being-performed in a manner indicating that the Work, when fully completed, will be in
accordance with the Contract Documents. However, the Architect will not be required to make
exhaustive or continuous-on-site-inspections to check the quality
or-quantity of-the-Work.
The Architect will neither have control over or charge of, nor be responsible for, the
construction means, methods, techniques, sequences-or procedures, or for the safety
precautions and programs in connection with the Work., since these are solely
the-Contractor’s rights and responsibilities under the Contract
Documents, except

 

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Document A201TM — 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
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AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
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User Notes:

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as
provided in-Section-3.3.1. The Architect shall be responsible for promptly notifying the
Owner of the failure of Contractor. Subcontractors, or any other persons performing any of the
Work in failing to use proper construction means, methods, techniques, sequences, procedures,
safety precautions and programs, but only to the extent Architect becomes aware of, or should,
exercising due professional diligence, be aware of same. The Architect shall also promptly
notify Owner in writing of the failure of any of the foregoing parties to carry out the Work in
accordance with the Contract Documents.

§
4.2.3 The Architect will not be responsible for the Contractor’s failure to perform the Work
in accordance with-the requirements of the-Contract-Documents. The Architect will not have
control over or charge of and will not he responsible for acts or omissions-of the
Contractor, Subcontractors, or their agents or employees, or any other persons or entities
performing portions of the Work.

§ 4.2.34 Communications Facilitating Contract Administration. Except as otherwise provided in
the Contract Documents or when direct communications have been specially authorized by Owner,
the Owner and Contractor shall endeavor to communicate with each other through the Architect
about matters arising out of or relating to the Contract; provided, however, that Owner may
instruct, correspond or negotiate with Contractor directly and in such event shall forward a
copy of any writing to Architect and shall advise Architect of any significant instruction,
correspondence, or negotiation and shall afford the Architect an opportunity to attend any
formal discussions directly between Owner and Contractor, if appropriate. Communications by and
with the Architect’s consultants shall be through the Architect. Communications by and with
Subcontractors and material suppliers shall be through the Contractor. Communications by and
with separate contractors shall be through the Owner.

§
4.2.45 Based on the Architect’s evaluations of the Contractor’s Applications for Payment,
the progress and quality of the Work and Contractor’s application for payment and of all other
information available, the Architect shall review and, after consultation with the Owner,
certify the amounts due Contractor, the Architect will review and certify the amounts
due-the-Contractor and will issue Certificates for Payment in such amounts.

§ 4.2.56 The Architect will have the responsibility and authority to reject Work that docs not
conform to the Contract Documents, and shall do so unless, after consultation in each instance
with the Owner, Owner instructs otherwise. Whenever, in the Architect’s reasonable and
professional opinion the Architect considers it necessary or advisable to insure the proper
implementation of the language and intent of the Contract Documents, the Architect will have
authority, subject to the Owner’s prior approval, to require inspection or testing of the Work
in accordance with Sections 13.5.2 and 13.5.3, whether or not such Work is fabricated,
installed or completed.  However, neither this authority of the Architect nor a decision made
in good faith either-to-exercise Or not to exercise such authority shall give-rise to a duty
or responsibility of the-Architect to the Contractor, Subcontractors, material and equipment
suppliers, their agents or employees, or other persons or entities performing portions of the
Work.

§ 4.2.67 The Architect will promptly review and approve or reject or take other appropriate
action upon the Contractor’s submittals such as Shop Drawings, Product Data and Samples, but
only for the-limited purpose of checking for conformance with information given and the design
concept expressed in the Contract Documents. The Architect’s action will be taken with such
reasonable promptness as to cause no delay in the Work or in the activities of the Owner,
Contractor or separate contractors, while allowing sufficient time in the Architect’s
professional judgment to permit adequate review. Review of such submittals is not conducted
for the purpose of determining the accuracy and completeness of other details such as
dimensions and quantities, or for substantiating instructions for installation or performance
of equipment or systems, all of which remain the responsibility of the Contractor as required
by the Contract Documents. The Architect’s review of the Contractor’s submittals shall not
relieve the Contractor of the obligations under Sections 3.3, 3.5 and 3.12, The Architect’s
review shall not constitute approval of safety precautions or, unless otherwise specifically
stated by the Architect, of any construction means, methods, techniques, sequences or
procedures. The Architect’s approval of a specific item shall not indicate approval of an
assembly of which the item is a component.

§ 4.2.78 The Architect will prepare Change Orders and Construction Change Directives, and may
authorize minor changes in the Work as provided in Section 7.. All Change Orders, Construction
Change Directives, field directives and minor changes in the Work shall require the approval
of Owner in writing to be binding on Owner.

§
4.2.89 The Architect will conduct inspections to determine the date or dates of Substantial
Completion and the date of final completion, shall issue a Certificate of Substantial
Completion when and as required by the Contract

 

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Document A201TM — 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
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Documents, will receive, approve and forward to the Owner, for the Owner’s review and
records, written warranties and related documents required by the Contract and assembled by the
Contractor, and will issue a final Certificate for Payment upon compliance with the requirements
of the Contract Documents.

§
4.2.910 If the Owner and Architect agree, the Architect will provide one or more project
representatives to assist in carrying out the Architect’s responsibilities at the site. The duties,
responsibilities and limitations of authority of such project representatives shall be as set
forth in an exhibit to be incorporated in the Contract Documents.

§
4.2.1011 Subject to Section 4.3 herein below in respect of Claims, The  Architect will, in the
first instance, interpret and decide matters concerning performance under and requirements of, the
Contract Documents on written request of either the Owner or Contractor. The Architect’s response
to such requests will be made in writing within-any-time limits agreed- upon or -otherwise
-with-reasonable promptness. If no agreement is made concerning the-time within which
interpretations required of the Architect shall -be-furnished in compliance with this Section 4.2,
then delay shall not be recognized on account of failure by the Architect to furnish
such-interpretations until 15 days after written request is made for them.  Upon receipt of such
request from either the Owner or Contractor, the Architect shall promptly notify the nonrequesting
party in writing of the details of such request. The Architect’s response to such requests will be
made (after notifying the nonrequesting party as provided in the preceding sentence) with
reasonable promptness, and in no event later than 7 days after the date on which such request is
made.

§ 4.2.1112 Interpretations and decisions of the Architect will be consistent with the language and
intent of and reasonably inferable from the Contract Documents and will be in writing or in the
form of drawings, as required by Owner. When making such initial interpretations and initial
decisions, the Architect will endeavor to secure faithful performance by both Owner and Contractor
and, will not show partiality to either, and will not be liable for results of interpretations or
decisions so rendered in good faith.

§
4.2.1213 The Architect’s decisions on matters relating to aesthetic effect will he final if
consistent with the intent expressed in the Contract Documents. In reviewing the quality and
progress of the Work and submittals received from the Contractor, the Architect is acting solely
for the convenience of the Owner in following the Work.

§ 4.3 CLAIMS AND DISPUTES

§ 4.3.1 Definition. A Claim is a demand or assertion by one of the parties seeking, as a matter of
right, adjustment or interpretation of Contract terms, payment of money, extension of time or
other relief with respect to the terms of the Contract. The term “Claim” also includes other
disputes and matters in question between the Owner and Contractor arising out of or relating to
the Contract. Claims must be initiated by written notice. The responsibility to substantiate
Claims shall rest with the party making the Claim.

§
4.3.2 Time Limits on Claims. Claims by either party must be initiated within 21 days after
occurrence of the event giving rise to such Claim or within 21 days after the claimant first
recognizes the condition giving rise to the Claim, whichever is later. Claims must be initiated by
written notice to the Architect and the other party.

§ 4.3.3 Continuing Contract Performance. Pending final resolution of a Claim except as otherwise
agreed in writing or as provided in Section 9.7.1 and Article 14, the Contractor shall proceed
diligently with performance of the Contract and the Owner shall continue to make payments in
accordance with the Contract Documents.

§ 4.3.4 Claims for Concealed or Unknown Conditions. If conditions are encountered at the site which
are (1) subsurface or otherwise concealed physical conditions which differ materially from those
indicated in the Contract Documents or (2) unknown physical conditions of an unusual nature,  which
differ materially from those ordinarily found to exist and generally recognized as tnherent in
construction activities-of-the-character provided for in the Contract
Documents,  then notice by the
observing party shall be given to the other party promptly before conditions are disturbed and in
no event later than 21 days after first observance of the conditions. The Architect will promptly
investigate such conditions and, if they differ materially and cause an increase or decrease in
the Contractor’s cost of, or time required for, performance of any part of the Work, will
recommend an equitable adjustment in the Contract Sum or Contract Time, or both. If the Architect
determines that the conditions at the site are not materially different from those indicated in
the Contract Documents and that no change in the terms of the Contract is justified, the Architect
shall so notify the Owner and Contractor in writing, stating the reasons. Claims by either party
in opposition to such determination must be made within 21 days after :he Architect has given
notice of the decision. If the conditions encountered are materially different, the Contract Sum
and Contract Time shall be equitably adjusted,

 

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Document A201TM — 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
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but if the
Owner and Contractor cannot agree on an adjustment in the Contract Sum or Contract
Time, the adjustment shall be referred to the Architect for initial determination, subject to
further proceedings pursuant to Section 4.4.

§ 4.3.5 Claims for Additional Cost. If the Contractor wishes to make Claim for an increase in the
Contract Sum, written notice as provided herein shall be given before proceeding to execute the
Work. Said notice shall itemize all claims and shall contain sufficient detail and substantiating
data to permit evaluation of same by Owner and Architect. No such claim shall be valid unless so
made. Prior notice is not required for Claims relating to an emergency endangering life or
property arising under Section 10.6.

§ 4.3.6 If the Contractor believes additional cost is involved for reasons including but not
limited to (1) a written interpretation from the Architect, (2) an order by the Owner to stop the
Work where the Contractor was not at fault, (3) a written order for a minor change in the Work
issued by the Architect, (4) failure of payment by the Owner, (5) termination of the Contract by
the Owner, (6) Owner’s suspension or (7) other reasonable grounds. Claim shall be filed in
accordance with this Section 4.3. Any change in the Estimated Contract Sum resulting from such
claim shall be authorized by Change Order or Construction Change Directive, as the case may be.

§ 4.3.7 Claims for Additional Time

§ 4.3.7.1 If the Contractor wishes to make Claim for an increase in the Contract Time, written
notice as provided herein shall be given. The Contractor’s Claim shall include an estimate of cost
and of probable effect of delay on progress of the Work. In the case of a continuing delay only
one Claim is necessary.

§ 4.3.7.2 If adverse weather conditions are the basis for a Claim for additional time, such Claim
shall be documented by data substantiating that weather conditions were abnormal for the period of
time, could not have been reasonably anticipated and had an adverse effect on the scheduled
construction.

§ 4.3.8 Injury or Damage to Person or Properly. Subject to the parties’ obligations and
responsibilities under the Contract Documents in general and Article 11 hereof in particular, if
either party to the Contract suffers injury or damage to person or property because of an act or
omission of the other party, or of others for whose acts such party is legally responsible,
written notice of such injury or damage, whether or not insured, shall be given to the other party
within a reasonable time not exceeding 21 days after discovery. The notice shall provide
sufficient detail to enable the other party to investigate the matter.

§ 4.3.9 If unit prices are stated in the Contract Documents or subsequently agreed upon, and if
quantities originally contemplated are materially changed in a proposed Change Order or
Construction Change Directive so that application of such unit prices to quantities of Work
proposed will cause substantial inequity to the Owner or Contractor, the applicable unit prices
shall be equitably adjusted.

§
4.3.10 Claims for Consequential Damages. The Contractor and Owner waive Claims against each other
for consequential damages arising out of or relating to this Contract. This mutual waiver
includes:

	 	.1	 	damages incurred by the Owner for rental expenses, for losses of use, income,
profit, financing, business and reputation, and for loss of management or employee
productivity or of the services of such persons; and

	 	.2	 	damages incurred by the Contractor for principal office expenses including the
compensation of personnel stationed there, for losses of financing, business and
reputation, and for loss of profit except anticipated profit arising directly from the
Work.

This mutual waiver is applicable, without limitation, to all consequential damages due to either
party’s termination in accordance with Article 14. Nothing contained in this Section 4.3.10 shall
be deemed to preclude an award of liquidated direct damages, when applicable, in accordance with
the requirements of the Contract Documents.

§
4.4 RESOLUTION OF CLAIMS AND DISPUTES

§
4.4.1 Decision of Architect. Claims, including those alleging an error or omission by the
Architect but excluding those arising under Sections 10.3 through 10.5, may, upon request of both
the Contractor and the Owner, shall be referred initially to the Architect for decision. An
initial decision-by-the Architect shall be required as a condition precedent to-mediation,
arbitration or-litigation of all claims between the-Contractor-and Owner arising prior to the
date-final payment is due unless 30 days have-passed after-the-Claim has been referred to the
Architect-with-no

 

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Document A201TM — 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
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reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
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decision
having been rendered by-the Architect. The Architect will not decide disputes-between
the Contractor and persons or entities other-than the Owner.

§ 4.4.2 The Architect (if the matter is referred to the Architect for initial decision) will
review Claims and within ten days of the receipt of the Claim take one or more of the following
actions: (1) request additional supporting data from the claimant or a response with supporting
data from the other party, (2) reject the Claim in whole or in part, (3) approve the Claim, (4)
suggest a compromise, or (5) advise the parties that the Architect is unable to resolve the
Claim if the Architect lacks sufficient information to evaluate the merits of the Claim or if
the Architect concludes that, in the Architect’s sole discretion, it would be inappropriate for
the Architect to resolve the Claim.

§ 4.4.3 In evaluating Claims (if the matter is referred to Architect for initial decision), the
Architect may, but shall not be obligated to, consult with or seek information from either party
or from persons with special knowledge or expertise who may assist the Architect in rendering a
decision. The Architect may request the Owner to authorize retention of such persons at the
Owner’s expense.

§ 4.4.4 If the Architect requests a party to provide a response to a Claim or to furnish
additional supporting data, such party shall respond, within ten days after receipt of such
request, and shall either provide a response on the requested supporting data, advise the
Architect when the response or supporting data will be furnished or advise the Architect that no
supporting data will be furnished. Upon receipt of the response or supporting data, if any, the
Architect will either reject or approve the Claim in whole or in part.

§ 4.4.5 The Architect will approve or reject Claims (if the matter is referred to Architect for
initial decision) by written decision, which shall state the reasons therefor and which shall
notify the parties of any change in the Contract Sum or Contract Time or both. The approval or
rejection of a Claim by the Architect shall be final and binding on the parties but subject to
mediation and-arbitration.

§
4.4.6 When a written-decision of the Architect states that (1) the decision is final but
subject to mediation and arbitration and (2) a demand for arbitration of a Claim-covered by such
decision must be made within 30 days after the date on which the party making-the-demand receives
the final written decision, then failure to demand arbitration within said 30 days’ period-shall
result in the Architect’s decision becoming-final-and-binding upon the Owner and Contractor. If
the Architect renders a decision after arbitration-proceedings have been initiated, such decision
may be entered as evidence, but shall not supersede arbitration-proceedings unless the decision
is acceptable to all parties concerned.

§ 4.4.67 Upon receipt of a Claim against the Contractor or at any time thereafter, the Architect
or the Owner may, but is not obligated to, notify the surety, if any, of the nature and amount of
the Claim. If the Claim relates to a possibility of a Contractor’s default, the Architect or the
Owner may, but is not obligated to, notify the surety and request the surety’s assistance in
resolving the controversy.

§
4.4.78 If a Claim relates to or is the subject of a
mechanic’s lien, the party asserting such
Claim may proceed in accordance with applicable law to comply with the lien notice or filing
deadlines prior to resolution of the Claim by the Architect, by mediation or by arbitration.

4.4.89
Neither the Owner nor the Contractor shall be required to initiate or participate in
mediation with respect to claims, disputes or other matters in question between the
parties to this Contract arising out of or relating to the Contract
or breach thereof. If the
parties should mutually determine to participate in mediation, such dispute resolution shall
be conducted in accordance with Section 4.5.

§ 4.5 MEDIATION

§
4.5.1 Subject to Section 4.4.8,
Aany Claim arising out of or related to the Contract,
except Claims relating to aesthetic effect and except those waived as provided for in Sections
4.3.10, 9.10.4 and 9.10.5 shall, after initial decision by the .Architect or 30 days after
submission of the Claim to the Architect, be subject to mediation as a condition precedent to
arbitration or the institution of legal or equitable proceedings by either party.

§
4.5.2 The parties shall endeavor to resolve their Claims by
mediation which, unless the parties
mutually agree otherwise, shall be in accordance with the Construction Industry Mediation Rules
of the American Arbitration Association currently in effect. Request for mediation shall be filed
in writing with the other party to the Contract

 

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Document A201TM — 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
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and with the American Arbitration Association. The request may be made concurrently with the filing
of a demand for arbitration but, in such event, mediation shall proceed in advance of arbitration
or legal or equitable proceedings, which shall be stayed pending mediation for a period of 60 days
from the date of filing, unless stayed for a longer period by
agreement of the parties or court
order.

§ 4.5.3 The parties shall share the mediator’s fee and any filing fees equally. The mediation shall
be held in the place where the Project is located, unless another location is mutually agreed
upon. Agreements reached in mediation shall be enforceable as settlement agreements in any court
having jurisdiction thereof.

§ 4.6 ARBITRATION

§ 4.6.1 Any Claim arising out of or related to the Contract, except Claims relating to aesthetic
effect and except those waived as provided for in
Sections 4.3.10, 9.10.4 and 9.10.5, shall, after
decision by the Architect or 30 days after submission of the Claim to the Architect, be subject to
arbitration. Prior to arbitration, the parties shall agree whether endeavor to resolve disputes by
mediation in accordance with the provisions of Section 4.4.8 and 4.5.

§ 4.6.2 Claims not resolved by mediation shall be decided by arbitration which, unless the parties
mutually agree otherwise, shall be in accordance with the Construction Industry Arbitration Rules
of the American Arbitration Association currently in effect. The demand for arbitration shall be
filed in writing with the other party to the Contract and with the American Arbitration
Association, and a copy shall be filed with the Architect. The prevailing party in any arbitration
shall be entitled to an award of reasonable attorneys fees, costs and
expenses.

§
4.6.3 A demand for arbitration shall be made within the time limits specified in Sections 4.4.6
and 4.6.1 as applicable, and in other cases within a reasonable time after the Claim has arisen,
and in no event shall it be made after the date when institution of legal or equitable proceedings
based on such Claim would be barred by the applicable statute of limitations as determined
pursuant to Section 13.7.

§ 4.6.4 Limitation on Consolidation or joinder. No arbitration arising out of or relating to the
Contract shall include, by consolidation or joinder or in any other manner, the Architect, the
Architect’s employees or consultants, except by written consent containing specific reference to
the Agreement and signed by the Architect, Owner, Contractor and any other person or entity sought
to be joined. No arbitration shall include, by consolidation or joinder or in any other manner,
parties other than the Owner, Contractor, a separate contractor as described in Article 6 and
other persons substantially involved in a common question of fact or law whose presence is
required if complete relief is to be accorded in arbitration. No person or entity other than the
Owner, Contractor or a separate contractor as described in Article 6 shall be included as an
original third party or additional third party to an arbitration whose interest or responsibility
is insubstantial. Consent to arbitration involving an additional person or entity shall not
constitute consent to arbitration of a Claim not described therein or with a person or entity not
named or described therein. The foregoing agreement to arbitrate and other agreements to arbitrate
with an additional person or entity duly consented to by parties to the Agreement shall be
specifically enforceable under applicable law in any court having jurisdiction thereof.

§ 4.6.5 Claims and Timely Assertion of Claims. The party filing a notice of demand for arbitration
must assert in the demand all Claims then known to that party on which arbitration is permitted to
be demanded.

§
4.6.6 Judgment on Final Award. The award rendered by the arbitrator or arbitrators shall be
final, and judgment may be entered upon it in accordance with applicable law in any court having
jurisdiction thereof.

ARTICLE 5 SUBCONTRACTORS

§ 5.1 DEFINITIONS

§
5.1.1 A Subcontractor is a person or entity who has a direct contract with the Contractor to
perform a portion of the
Work at the site. The term “Subcontractor” is referred to throughout the Contract Documents as if
singular in
number and means a Subcontractor or an authorized representative of
the Subcontractor. The term
“Subcontractor”
docs not include a separate contractor or subcontractors of a separate contractor.

§ 5.1.2 A Sub-subcontractor is a person or entity who has a direct or indirect contract with a
Subcontractor to perform a portion of the Work at the site The term “Sub-subcontractor” is
referred to throughout the Contract Documents as if singular in number and means a

Sub-subcontractor or an authorized representative of the Sub-subcontractor.

 

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§ 5.2 AWARD OF SUBCONTRACTS AND OTHER CONTRACTS FOR PORTIONS OF THE WORK

§
5.2.1 Unless otherwise stated in the Contract Documents or the bidding requirements, the
Contractor, as soon as practicable after award of the Contract, shall furnish in writing to the
Owner through the Architect  the names of persons or entities (including those who are to furnish
materials or equipment fabricated to a special design) proposed for each principal portion of the
Work. The Architect will promptly reply to the Contractor in writing stating whether or not the
Owner or the Architect, after due investigation, has  reasonable objection to any such proposed
person or entity. Failure of the Owner or Architect to reply promptly shall constitute notice of no
reasonable objection.

§ 5.2.2 The Contractor shall not contract with a proposed person or entity to whom the Owner or
Architect has made reasonable-and timely  objection. The Contractor shall not be required to
contract with anyone to whom the Contractor has made reasonable objection.

§ 5.2.3 If the Owner or Architect has reasonable  objection to a person or entity proposed by the
Contractor, the Contractor shall propose another to whom the Owner or Architect has no reasonable
objection. If the proposed but rejected Subcontractor was reasonably capable of performing the
Work, the Contract Sum and Contract Time shall be increased or decreased by the difference, if
any, occasioned by such change, and an appropriate Change Order shall be issued before
commencement of the substitute Subcontractor’s Work. However, no increase in the Contract Sum or
Contract Time shall be allowed for such change unless the Contractor has acted promptly and
responsively in submitting names as required.

§ 5.2.4 The Contractor shall not change a engage a substitute  Subcontractor for a person or entity
previously selected if the Owner or Architect makes reasonable objection to such substitute.

5.2.5 Prior to solicitation of bids from Subcontractors and material suppliers, Contractor shall
submit to the Owner and Architect a proposed list of bidders. The Owner reserves the right to approve and add to such
bidders list. Such approval shall be in writing.

5.2.6 It is understood that in the event of a conflict between Owner and Architect
regarding the selection of subcontractors, the Owner’s decision in selection of subcontractors shall govern.

§ 5.3 SUBCONTRACTS RELATIONS

§
5.3.1 By appropriate written agreement, written where
legally required for validity, the
Contractor shall require each Subcontractor, to the extent of the Work to be performed by the
Subcontractor, to be bound to the Contractor by terms of the Contract Documents, and to assume
toward the Contractor all the obligations and responsibilities, including the responsibility for
safety of the Subcontractor’s Work, which the Contractor, by these Documents, assumes toward the
Owner and Architect. Each subcontract agreement shall preserve and protect the rights of the Owner
and Architect under the Contract Documents with respect to the Work to be performed by the
Subcontractor so that subcontracting thereof will not prejudice such rights, and shall allow to
the Subcontractor, unless specifically provided otherwise in the subcontract agreement, the
benefit of all rights, remedies and redress against the Contractor that the Contractor, by the
Contract Documents, has against the Owner. Where appropriate, the Contractor shall require each
Subcontractor to enter into similar agreements with Sub-subcontractors. The Contractor shall make
available to each proposed Subcontractor, prior to the execution of the subcontract agreement,
copies of the Contract Documents to which the Subcontractor will be bound, and, upon written
request of the Subcontractor, identify to the Subcontractor terms and conditions of the proposed
subcontract agreement which may be at variance with the Contract Documents. Subcontractors will
similarly make copies of applicable portions of such documents available to their respective
proposed Sub-subcontractors.

§ 5.4 CONTINGENT ASSIGNMENT OF SUBCONTRACTS

§ 5.4.1 All subcontract agreements shall conform to the requirements of the Contract Documents and
Contractor hereby assigns to Owner (and Owner’s permitted assigns) all its interest in any
subcontract agreements and purchase orders now existing or hereinafter entered into by Contractor
for performance of any part of the Work, which assignment will be effective upon acceptance by
Owner in writing and only as to those subcontract agreements and purchase orders that Owner
designates in said writing. It is agreed and understood that Owner may accept said assignment at
any time during the course of construction prior to Final Completion, but only upon termination of
the Contract by Owner for cause pursuant to Section 14,2. Upon such acceptance by Owner, (1)
Contractor shall promptly furnish to Owner true and correct copies of the designated subcontract
agreements, and purchase orders,

 

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and (2) Owner shall only be required to compensate the designated Subcontractor(s) or supplier(s)
for compensation accruing to such party(ies) for Work done or materials delivered from and after
the date on which Owner determines to accept the subcontract agreement(s) or purchase order(s). All
sums due and owing by Contractor to the designated Subcontractor(s) or supplier(s) for work
performed or material supplied prior to Owner’s determination to accept the subcontract
agreement(s) or purchase order(s) shall constitute a debt between such parties and Contractor, but
only if Owner has reimbursed Contractor for such costs. It is further agreed that all subcontractor
agreements and purchase orders shall provide that they are freely assignable by Contractor to Owner
and assigns under the terms and conditions stated hereinabove. It is further agreed and understood
that such assignment is part of the consideration to Owner for entering into the Contract with
Contractor and may not be withdrawn prior to Final Completion. Contractor shall deliver or cause to
be delivered to Owner a written acknowledgment in form and substance satisfactory to Owner from
each of its Subcontractors and suppliers of the contingent assignment described herein no later
than ten (10) days after the date of execution of each subcontract agreement and purchase order
with such parties. Each subcontract agreement for a portion of the Work is assigned by the
Contractor to the Owner provided that:

.1    assignment is effective-only after-termination of the Contract by the Owner
For-cause-pursuant -to Section 14.2 and only for those subcontract agreements which
the Owner accepts by notifying the Subcontractor and Contractor in writing; and

.2    assignment is subject to the prior rights of the surety, if any, obligated under bond
relating to the contract. 

§
5.4.2 Upon such assignment, if the Work has been suspended for more than 30 days, the
Subcontractor’s compensation shall be equitably adjusted for increases in cost resulting from the
suspension.

ARTICLE 6 CONSTRUCTION BY OWNER OR BY SEPARATE CONTRACTORS

§ 6.1 OWNER’S RIGHT TO PERFORM CONSTRUCTION AND TO AWARD SEPARATE CONTRACTS

§ 6.1.1 The Owner reserves the right to perform construction or operations related to the Project
with the Owner’s own forces, and to award separate contracts in connection with other portions of
the Project or other construction or operations on the site under Conditions of the Contract
identical or substantially similar to these including those portions related to insurance and
waiver of subrogation. The Contractor acknowledges the Owner’s intent to cause the work to be
performed by others and that a portion of such work may take place before Substantial Completion
by the Contractor. The Contractor shall afford such parties ample access to the site and all areas
of the Work as may be reasonably necessary for the performance of such work including, without
limitation, storage of materials and equipment, vertical transportation, and connection to
utilities and services. Owner shall pay for costs associated with the provision of such services
to others. Such costs include but are not limited to elevator operator wages, crane rental costs,
electric power consumption, and natural gas or propane consumption. The Owner agrees that its
Work or the Work of its own forces or separate contractors will not create labor disharmony or in
any other way interfere with the Contractor’s Work.  If the Contractor claims that delay or
additional cost is involved because of such action by the Owner, the Contractor shall make such
Claim as provided in Section 4.3.

§
6.1.2 When separate contracts are awarded for different portions of the Project or other
construction or operations on the site, the term “Contractor” in the Contract Documents in each
case shall mean the Contractor who executes each separate Owner-Contractor Agreement.

§ 6.1.3 The Owner shall provide for coordination of the activities of the Owner’s own forces and
of each separate contractor with the Work of the Contractor, who shall cooperate with them. The
Contractor shall participate with other separate contractors and the Owner in reviewing their
construction schedules when directed to do so. The Contractor shall make any revisions to the
construction schedule as requested by the Owner. If the Contractor claims additional cost is
involved because of any such revisions to the Contractor’s construction schedule, the Contractor
shall make Claim as provided elsewhere in the Contract Documents, deemed necessary after a joint
review and mutual agreement. The construction schedules shall then constitute the schedules to
be—used-by-the Contractor, separate contractors and the Owner until subsequently revised.

§ 6.1.4 Unless otherwise provided in the Contract Documents, when the Owner performs construction
or operations related to the Project with the Owner’s own forces, the Owner shall be deemed to be
subject to the same obligations and to have the same rights which apply to the Contractor under
the Conditions of the Contract, including, without excluding others, those stated in Article 3,
this Article 6 and Articles 10, 11 and 12.

 

AIA
Document A201TM — 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
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§ 6.2 MUTUAL RESPONSIBILITY

§ 6.2.1 The Contractor shall afford the Owner and separate contractors reasonable
opportunity for introduction and storage of their materials and equipment and performance
of their activities, and shall connect and coordinate the Contractor’s construction and
operations with theirs as required by the Contract Documents.

§ 6.2.2 If part of the Contractor’s Work depends for proper execution or results upon
construction or operations by the Owner or a separate contractor, the Contractor shall,
prior to proceeding with that portion of the Work, promptly report to the Owner and
Architect apparent discrepancies or defects in such other construction that would render
it unsuitable for such proper execution and results or would render it incompatible with
Contractor’s Work, Failure of the Contractor so to report shall constitute an
acknowledgment that the Owner’s or separate contractor’s completed or partially completed
construction is fit and proper to receive the Contractor’s Work, except as to defects not
then reasonably discoverable.

§ 6.2.3 The Owner shall be reimbursed by the Contractor for costs incurred by the Owner
which are payable to a separate contractor because of delays, improperly timed activities
or defective construction of the Contractor, subject to Section 8.3 hereof. The Owner
shall be responsible to the Contractor for costs incurred by the Contractor because of
delays, improperly timed activities, damage to the Work or defective construction of a
separate contractor.

§ 6.2.4 The Contractor shall promptly remedy damage wrongfully caused by the Contractor
to completed or partially completed construction or to property of the Owner or separate
contractors as provided in Section 10.2.5 or to other completed or partially completed
construction or property on the site or to property of any adjoining owner or other
party.

§ 6.2.5 The Owner and each separate contractor shall have the same responsibilities for
cutting and patching as are described for the Contractor in
Section 3.14.

6.2.6 Should the Contractor cause damage to the work or property of any separate
contractor and/or in the event of any other claim, dispute, or matter in question between
the Contractor and any separate contractor, the contractor shall promptly attempt to
settle with such other contractor by agreement, otherwise to resolve the dispute. In any
event, the Contractor shall indemnify, defend, and hold harmless the Owner, the Owner’s
partners, the parent companies and affiliates of the Owner and of any partners, and the
directors, officers, shareholders, employees and agents of the above-mentioned parties,
to the full extent as agreed to under Section 3.18 of these
General Conditions.

§ 6.3 OWNER’S RIGHT TO CLEAN UP

§ 6.3.1 If a dispute arises among the Contractor, separate contractors and the Owner as
to the responsibility under their respective contracts for maintaining the premises and
surrounding area free from waste materials and rubbish, the Owner may clean up and
the Architect will allocate the cost among those responsible.

ARTICLE 7 CHANGES IN THE WORK

§ 7.1 GENERAL

§7.1.1 Changes in the Work may be accomplished after execution of the Contract, and without
invalidating the
Contract, only by Change Order, Construction Change Directive or order for a minor change in the
Work, subject to
the limitations stated in this Article 7 and elsewhere in the Contract Documents.

7.1.1.1 A field directive or field order shall not be recognized as having any impact upon
the Contract Sum or the
Contract Time and the Contractor shall have no claim therefor unless it shall, prior to
complying with same and in
no event later than 10 working days from the date such direction or order was given, submit
to the Owner for the
Owner’s approval its change proposal.

7.1.1.2 When submitting its change proposal, the Contractor shall include and set forth in
clear and precise detail
breakdowns of labor and materials for all trades involved for the estimated impact on the
construction schedule. The
Contractor shall furnish spread sheets if requested of any Subcontractors.

§
7.1.2 A Change Order shall be based upon agreement among the Owner, Contractor and
Architect; a Construction Change Directive requires agreement by the Owner and Architect
and may or may not be agreed to by the Contractor; an order for a minor change in the
Work may be issued by the Architect alone and is subject to the approval of Owner.

 

AIA
Document A201TM — 1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American Institute of Architects. All rights reserved. WARNING:
This
AIA® Document is protected by U.S. Copyright Law and International Treaties. Unauthorized
reproduction or distribution of this AIA® Document, or any portion of it, may result in severe
civil and criminal penalties, and will be prosecuted to the maximum extent possible under the law.
This document was produced by AIA software at 11:25:47 on 08/18/2005 under Order No.1000177464_2
which expires on 5/4/2006, and is not for resale.

User Notes:

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§ 7.1,3 Changes in the Work shall be performed under applicable provisions of the
Contract Documents, and the
Contractor shall proceed promptly, unless otherwise provided in the Change Order,
Construction Change Directive
or order for a minor change in the Work.

§ 7.2 CHANGE ORDERS

§ 7.2.1 A Change Order is a written instrumentprepared by the Architect and signed by the Owner,
Contractor and
Architect, stating their agreement upon all of the following for the item covered in each Change
Order:

	 	 	 
	.1

	 	change in the Work;
	 
	 	 
	.2

	 	the amount of the adjustment, if any, in the Contract Sum; and
	 
	 	 
	.3

	 	the extent of the adjustment, if any, in the Contract Time.

§ 7.2.2 Methods used in determining adjustments to the Contract Sum may include those listed in
Section 7.3.3.

§ 7.3 CONSTRUCTION CHANGE DIRECTIVES

§ 7.3.1 A Construction Change Directive is a
 written order directed to the Contractor
prepared by the Architect and
signed by the Owner and Architect, directing a change in the Work prior to agreement on
adjustment, if any, in the
Contract Sum or Contract Time, or both. The Owner may by Construction Change Directive,
without invalidating
the Contract, order changes in the Work within the general scope of the Contract
consisting of additions, deletions or
other revisions, the Contract Sum and Contract Time being adjusted accordingly.

§ 7.3.2 A Construction Change Directive shall be used in the absence of total agreement
on the terms of a Change
Order.

§ 7.3.3 If the Construction Change Directive provides for an adjustment to the Contract
Sum, the adjustment shall be
based on one of the following methods:

	 	 	 
	.1

	 	mutual acceptance of a lump sum properly itemized and supported by sufficient
substantiating data to
permit evaluation;
	 
	 	 
	.2

	 	unit prices stated in the Contract Documents or subsequently agreed upon;
	 
	 	 
	.3

	 	cost to be determined in a manner agreed upon by the parties and a mutually
acceptable fixed or
percentage fee; or
	 
	 	 
	.4

	 	as provided in Section 7.3.6.

§
7.3.4 Upon receipt of a Construction Change Directive, the Contractor shall promptly
proceed with the change in
the Work involved and advise the Architect and Owner of the Contractor’s agreement or
disagreement with the
method, if any, provided in the Construction Change Directive for determining the
proposed adjustment in the
Contract Sum or Contract Time.

§ 7.3.5 A Construction Change Directive signed by the Contractor indicates the agreement
of the Contractor
therewith, including adjustment in Contract Sum and Contract Time or the method for
determining them for the item
covered in each Change Directive. Such agreement shall be effective immediately and shall
be recorded as a Change
Order.

§ 7.3.6 If the Contractor does not respond promptly or disagrees with the method for
adjustment in the Contract Sum,
or if time requirements dictate (in the Owner’s reasonable opinion), the Architect shall
make all required
certifications with respect to such work the method and the adjustment shall be
determined by the Architect on the
basis of reasonable expenditures and savings of those performing the Work attributable to
the change, including, in
case of an increase in the Contract Sum, a reasonable allowance for overhead and profit
in accordance with the Fee
Schedule in Article 5.1.2 of AIA A1 11 for Contractor and not to exceed twenty percent
(20%) of such Work’s actual
cost to be apportioned between any and all Subcontractors and Sub-subcontractors. For
Work performed by
Contractor’s own forces, Contractor’s mark-up shall be limited to actual cost plus a
percentage fee for overhead and
profit not to exceed fifteen percent (15%). In such case, and also under Section 7.3.3.3,
the Contractor shall keep and
present, in such form as the Architect and the Owner may prescribe, an itemized accounting of actual costs together
with appropriate supporting data. Unless otherwise provided in the Contract Documents, costs for For the purposes
of this Section 7.3.6 actual cost shall be defined and limited to the cost of the following: shall be limited to the
following:

	 	 	 
	.1

	 	costs of labor, including social security, old age and unemployment
insurance, fringe benefits
required by agreement or custom, and workers’ compensation insurance;

 

AlA Document A201TM—1997. Copyright ©1911, 1915, 1918, 1925,1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This
AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

29

 

	 	 	 
	.2

	 	costs of materials, supplies and
equipment, including cost of transportation,
whether incorporated or
consumed;
	 
	 	 
	.3

	 	Reasonable rental costs of machinery and equipment, exclusive of hand tools,
obtained and used
specifically for such work, whether rented from the Contractor or others;
	 
	 	 
	.4

	 	costs of premiums for all bonds (if any) and insurance, permit fees, and sales,
use or similar taxes
related to the Work; and
	 
	 	 
	.5

	 	additional costs of supervision and field office personnel directly
attributable to the change.

§ 7.3.7 The amount of credit to be allowed by the Contractor to the Owner for a deletion or
change which results in a
net decrease in the Contract Sum shall be actual net cost as confirmed by the Architect and
Owner. When both
additions and credits covering related Work or substitutions are involved in a change, the
allowance for overhead
and profit shall be figured on the basis of net increase, if any,
with respect to that change.

§ 7.3.8
Pending final determination of the actual total cost of a Construction Change Directive
to the Owner,
amounts not in dispute for such changes in the Work shall be included in Applications for
Payment accompanied by
a Change Order indicating the parties’ agreement with part or all of such costs. For any
portion of such cost that
remains in dispute, the Architect when authorized by Owner in writing will make an interim
determination for
purposes of monthly certification for payment for those costs. That determination of cost shall
adjust the Contract
Sum on the same basis as a Change Order, subject to the right of either party to disagree and
assert a claim in
accordance with Article 4.

§ 7.3.9 When the Owner and Contractor agree with the determination made by the Architect
concerning the
adjustments in the Contract Sum and Contract Time, or otherwise reach agreement upon the
adjustments, such
agreement shall be effective immediately and shall be recorded by preparation and execution of
an appropriate
Change Order. When the adjustments in the Contract Sum and Contract Time are determined as
provided herein,
such determination shall be effective immediately and shall be recorded by preparation and
execution of an
appropriate Change Order.

§ 7.4 MINOR CHANGES IN THE WORK

§ 7.4.1 The Architect will have authority, subject to the approval of the Owner in each instance,
to order minor
changes in the Work not involving adjustment in the Contract Sum or extension of the Contract Time
and not
inconsistent with the language and intent of the Contract Documents. Such changes shall be effected
by written
order and shall be binding on the Owner and Contractor. The Contractor shall carry out such written
orders
promptly.

7.4.2 The Owner will have authority to order minor changes in the Work not involving
adjustment in the Contract
Sum or extension of the Contract Time and not inconsistent with the intent of the Contract
Documents. Such
changes shall be administered in accordance with the procedures set forth in Section 7.3
hereof, except that a
Construction Change Directive issued to the Contractor pursuant to this Section 7.4.2 may or
may not be signed by
the Architect.

ARTICLE 8 TIME

§ 8.1 DEFINITIONS

§ 8.1.1 Unless otherwise provided, Contract Time is the period of time, including authorized
adjustments, allotted in
the Contract Documents for Substantial Completion of the Work.

§
8.1.2 The date of commencement of the Work is the date
established in the Agreement.

§ 8.1.3 The date of Substantial Completion is the date certified by the Architect and approved
by the Owner in
accordance with Section 9.8.

§ 8.1.4 The term “day” as used in the Contract Documents shall mean calendar day unless
otherwise specifically
defined.

§ 8.2 PROGRESS AND COMPLETION

§ 8.2.1 Time limits stated in the Contract Documents are of the essence of the Contract. By
executing the Agreement
the Contractor confirms that the Contract Time is a reasonable period for performing the Work.

 

AlA
Document A201TM-1997. Copyright ©1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This
AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

30

 

§ 8.2.2 The Contractor shall not knowingly, except by agreement or instruction of the Owner in
writing, prematurely
commence operations on the site or elsewhere prior to the effective date of insurance required
by Article 11 to be
furnished by the Contractor and Owner. The date of commencement of the Work shall not be
changed by the
effective date of such insurance. Unless the date of commencement is established by the
Contract Documents or a
notice to proceed given by the Owner, the Contractor shall notify the Owner in writing not less
than five days or
other agreed period before commencing the Work to permit the timely filing of mortgages,
mechanic’s liens and
other security interests.

§ 8.2.3 The Contractor shall proceed expeditiously with adequate forces and shall achieve
Substantial Completion
within the Contract Time.

§ 8.3 DELAYS AND EXTENSIONS OF TIME

§ 8.3.1 If the Contractor is delayed at any time in the commencement or progress of the Work by
an act or neglect of
the Owner or Architect, or of an employee of either, or of a separate contractor employed by
the Owner, or by
changes ordered in the Work, or by occurrences beyond the control and without the fault or
negligence of the
Contractor and which by the exercise of reasonable diligence the Contractor is unable to
prevent or provide against,
including labor disputes, fire, unusual delay in deliveries, unavoidable casualties, delay in
obtaining building
permits, severe weather or by other occurrences which the Architect, subject to the Owner’s
approval, determines
may justify delay, then, provided that the Contractor is in compliance with Section_4.3.3
hereof, the Contract Time
shall be extended by Change Order or Construction Change Directive for the length of time
actually and directly
caused by such occurrence as determined by the Architect and approved by the Contractor and
Owner (such
approval not to be unreasonably withheld, delayed, or conditioned); provided, however, that
such extension of
Contract Time shall be net of any delays caused by or due to the fault or negligence of the
Contractor or which are
otherwise the responsibility of the Contractor and shall also be net of any contingency or
“float” time allowance
included in the Contractor’s construction schedule for the delayed activity. The Contractor
shall, in the event of any
occurrence likely to cause a delay, cooperate in good faith with the Architect and Owner to
minimize and mitigate
the impact of any such occurrence and do all things reasonable under the circumstances to
achieve this goal. or by
labor disputes, fire, unusual delay in deliveries, unavoidable casualties, delay in obtaining
building permics or other
causes beyond the Contractor’s control, or by delay authorized by the Owner pending mediation
and arbitration or
by other causes which the Architect determines may justify delay, then the Contract Time shall
be extended by
Change Order for such reasonable time as the Architect may determine.

§ 8.3.2 Claims relating to time shall be made in accordance with applicable provisions of Section
4.3.

§
8.3.3 This Section 8.3 does not preclude recovery of damages for delay by either party under
other provisions of
the Contract Documents, however, if Contractor receives an extension in time, Contractor is
only entitled to his
actual additional costs associated with the delay, but not other damages or penalties beyond
actual costs.

ARTICLE 9 PAYMENTS AND COMPLETION

§ 9.1 CONTRACT SUM

§ 9.1.1 The Contract Sum is stated in the Agreement and, including authorized adjustments, is the
total amount
payable by the Owner to the Contractor for performance of the Work
under the Contract Documents.

§ 9.2 SCHEDULE OF VALUES

§ 9.2.1 Before the first Application for Payment, the Contractor shall submit to the Owner and
Architect a schedule
of values allocated to various portions of the Work, which in the aggregate equals the total
Estimated Contract Sum,
divided so as to facilitate payments to Subcontractors, supported by such evidence of
correctness as the Architect
may direct or as required by the Owner. This schedule, when approved by the Architect and
Owner, shall be used to
monitor the progress of the Work and as a basis for Certificates For Payment. All items with
entered values will be
transferred by the Contractor to the “Application and Certificate For Payment,” and shall
include the latest approved
Change Orders and Construction Change Directives. Change Order values and Construction Change
Directives
values shall be broken down to show the various subcontracts. The Application For Payment
shall be on a form
approved by Owner and Owner’s lender. Each item shall show its total scheduled value, value of
previous
applications, value of the applications, percentage completed, value completed and value yet
to be completed. All
blanks and columns must be filled in, including every percentage complete figure. prepared in
such form and
supported by such data to substantiate its accuracy as the Architect may require. This
schedule, unless objected to by
the Architect shall be used as a basis for reviewing the Contractor’s Applications for
Payment.

 

AlA
Document A201TM—1997. Copyright ©1911, 1915, 1918, 1925,1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This
AIA®
Document is protected
BY U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
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§ 9.3 APPLICATIONS FOR PAYMENT

§ 9.3.1 At least ten days before the date established for each progress payment, the Contractor
shall submit to the
Architect an itemized Application for Payment for operations completed in accordance with the
schedule of values.
Such application shall be notarized, if required, and supported by such data substantiating the
Contractor’s right to
payment as the Owner or Architect may require, such as copies of requisitions from
Subcontractors and material
suppliers, and reflecting retainage if provided for in the Contract Documents. Any allowances
included in the
Application for Payment shall be separately itemized with supporting data attached. The
Application for Payment
shall be accompanied by a certification by an officer of Contractor to the effect that:

“There are no mechanics’ materialmen’s or laborers’ liens or claims or any other liens or
claims, legal or equitable,
contractual, statutory, or constitutional, outstanding or known to exist at the date of this
Application; all due and
payable bills with respect to the Work have been paid to date or are included in the amount
requested in the current
Application and there is no known basis for the filing of any mechanic’s, materialmen’s or
laborer’s lien or claim or
any other lien or claim, legal or equitable, contractual, statutory, or constitutional on the
Work; and waivers and
releases from all Subcontractors, laborers, and materialmen for Work done and materials
furnished and paid for by
the Owner on the previous Month’s Application for Payment have been obtained in such form as to
constitute an
effective waiver and release of all such liens and claims under the laws of the state within
which the Project is
located and shall be delivered to Architect together with Contractors waiver and release of
liens and claims for the
current month’s application at the time of submission of the Application for Payment.”

§ 9.3.1.1 As provided in Section 7.3.8, such applications may include requests for payment on
account of changes in
the Work which have been properly authorized by Construction Change Directives, or by interim
determinations of
the Architect, but not yet included in Change Orders.

§ 9.3.1.2 Such applications may not include requests for payment for portions of the Work for
which the Contractor
does not intend to pay to a Subcontractor or material supplier, unless such Work has been
performed by others
whom the Contractor intends to pay.

§ 9.3.2 Subject to the approval of the Owner’s lender for the Project, Uunless 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 within thirty (30) days after such request for
payment. If approved in
advance by the Owner and Owner’s lender, payment may similarly be made for materials and
equipment suitably
stored off the site at a location agreed upon in writing. Payment for materials and equipment
stored on or off the site
shall be conditioned upon compliance by the Contractor with procedures satisfactory to the
Owner and Owner’s
lender to establish the Owner’s title to such materials and equipment or otherwise protect the
Owner’s and Owner’s
lender’s interest, and shall include the costs of applicable insurance, storage and
transportation to the site for such
materials and equipment stored off the site.

§ 9.3.3 The Contractor warrants that title to all Work covered by an Application for Payment
will pass to the Owner
no later than the time of payment. The Contractor further warrants that upon submittal of an
Application for
Payment all Work for which Certificates for Payment have been previously issued and payments
received from the
Owner shall, to the best of the Contractor’s knowledge, information and belief, be free and
clear of liens, claims,
security interests or encumbrances in favor of the Contractor, Subcontractors, material
suppliers, or other persons or
entities making a claim by reason of having provided labor, materials and equipment relating to the Work.

9.3.4
Duplicate originals of the periodic Subcontractor and materialmen’s lien waivers and releases shall remain on
file at the Contractor’s office for inspection by the Owner or Owner’s lenders. Duplicate
originals of final lien
waivers and releases shall remain on file at the Contractor’s office for a period of one (1) year
from the date of final
payment and shall be available for inspection by the Owner or Owner’s lenders.

9.3.5 When Application for Payment includes materials stored off the project site or stored on the
Project site but
not incorporated in the Work, for which no previous payment has been requested, a complete
description of such
material shall be attached to the application. Suitable storage which is off the Project site
shall be a bonded
warehouse or appropriate storage approved by Owner and Owner’s lenders with the stored materials
properly tagged
and identifiable for this Project and properly segregated from other materials. The Owner’s
written approval shall
be obtained before the use of an offsite storage is made. Such approval may be withheld in Owner’s
sole discretion.

 

AlA
Document A201TM—1997. Copyright ©1911, 1915, 1918, 1925,1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

32

 

§ 9.4 CERTIFICATES FOR PAYMENT

§ 9.4.1 The Architect will, within seven days after receipt of the Contractor’s Application for
Payment, either issue
to the Owner a Certificate for Payment, with a copy to the Contractor, for such amount as the
Architect determines
is properly due, or notify the Contractor and Owner in writing of the Architect’s reasons for
withholding
certification in whole or in part as provided in Section 9.5.1.

§ 9.4.2 The issuance of a Certificate for Payment will constitute a representation by the
Architect to the Owner
based on the Architect’s evaluation of the Work and the data comprising the Application for
Payment, and on all
other information available to the Architect including, without limitation, that the Work has
progressed to the point
indicated and that, to the best of the Architect’s knowledge, information and belief, the
quality of the Work is in
accordance with the Contract Documents and that all lien waivers and certificates required
under the Contract
Documents have been furnished to the Architect in proper form. The foregoing representations
are subject to
specific qualifications stated by the Architect in the Certificate For Payment. an evaluation
of the Work for
conformance—with the Contract Documents upon Substantial Completion, to results of—subsequent
tests and
inspections-, to correction of minor deviations from the Contract Documents prior to completion
and to specific
qualifications expressed by the Architect. The issuance of a Certificate for Payment will
further constitute a
representation that the Contractor is entitled to payment in the amount certified. However, the
issuance of a
Certificate for Payment will not be a representation that the Architect has (1) made exhaustive
or continuous on site
inspections to check the quality or quantity of the Work, (2) reviewed construction means,
methods, techniques,
sequences or procedures, (3) reviewed copies of requisitions received from Subcontractors and
material suppliers
and other data requested by the-Owner-to-substantiate the Contractor’s right to payment, or (4) made examination to
ascertain how or for what purpose the Contractor has used money previously paid on account of
the Contract Sum.

§ 9.5 DECISIONS TO WITHHOLD CERTIFICATION

§ 9.5.1 The Architect may withhold a Certificate for Payment in whole or in part, to the extent
reasonably necessary
to protect the Owner, if in the Architect’s opinion the representations to the Owner required
by Section 9.4.2 cannot
be made. If the Architect is unable to certify payment in the amount of the Application, the
Architect will notify the
Contractor and Owner as provided in Section 9.4.1. If the Contractor and Architect cannot agree
on a revised
amount, the Architect will promptly issue a Certificate for Payment for the amount for which
the Architect is able to
make such representations to the Owner. The Architect may also withhold a Certificate for
Payment or, because of
subsequently discovered evidence, may nullify the whole or a part of a Certificate for Payment
previously issued, to
such extent as may be necessary in the Architect’s opinion to protect the Owner from loss for
which the Contractor
is responsible, including loss resulting from acts and omissions described in Section 3.3.2,
because of:

	 	 	 
	.1

	 	defective Work not remedied;
	 
	 	 
	.2

	 	third party claims filed or reasonable evidence indicating probable filing
of such claims unless
security acceptable to the Owner is provided by the Contractor;
	 
	 	 
	.3

	 	failure of the Contractor to make payments properly to Subcontractors or
for labor, materials or
equipment;
	 
	 	 
	.4

	 	reasonable evidence that the Work cannot be completed for the unpaid balance of the
Contract Sum;
	 
	 	 
	.5

	 	damage to the Owner or another contractor;
	 
	 	 
	.6

	 	reasonable evidence that the Work will not be completed within the Contract
Time, or and that the
unpaid balance would not be adequate to cover actual or liquidated damages for the
anticipated delay;
or
	 
	 	 
	.7

	 	persistent failure to carry out the Work in accordance with the Contract Documents.

§ 9.5.2 When the above reasons for withholding certification are removed, certification will be
made for amounts
previously withheld.

§ 9.6 PROGRESS PAYMENTS

§ 9.6.1 After the Architect has issued a Certificate for Payment, the Owner shall make payment in
the manner and
within the time provided in the Contract Documents, and shall so notify the Architect.

§
9.6.2 The Contractor shall promptly pay each Subcontractor, upon receipt of payment from the
Owner, out of the
amount paid to the Contractor on account of such Subcontractor’s portion of the Work, the
amount to which said
Subcontractor is entitled, reflecting percentages actually retained from payments to the
Contractor on account of

 

AlA Document A201TM-1997. Copyright ©1911, 1915, 1918, 1925,1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for
resale.
User Notes:

33

 

such Subcontractor’s portion of the Work. The Contractor shall, by appropriate agreement
with each Subcontractor,
require each Subcontractor to make payments to Sub-subcontractors in a similar manner.

§ 9.6.3 The Architect will, on request, furnish to a Subcontractor, if practicable,
information regarding percentages of
completion or amounts applied for by the Contractor and action taken thereon by the
Architect and Owner on
account of portions of the Work done by such Subcontractor.

§ 9.6.4 Neither the Owner nor Architect shall have an obligation to pay or to see to the
payment of money to a
Subcontractor except as may otherwise be required by law.

§ 9.6.5 Payment to material suppliers shall be treated in a manner similar to that provided
in Sections 9.6.2, 9.6.3 and
9.6.4.

§ 9.6.6 A Certificate for Payment, a progress payment, or partial or entire use or
occupancy of the Project by the
Owner shall not constitute acceptance of Work not in accordance with the Contract
Documents.

§ 9.6.7 Unless the Contractor provides the Owner with a payment bond in the full penal sum
of the Contract Sum,
payments received by the Contractor for Work properly performed by Subcontractors and
suppliers shall be held by
the Contractor for those Subcontractors or suppliers who performed Work or furnished
materials, or both, under
contract with the Contractor for which payment was made by the Owner. Nothing contained
herein shall require
money to be placed in a separate account and not commingled with money of the Contractor,
shall create any
fiduciary liability or tort liability on the part of the Contractor for breach of trust or
shall entitle any person or entity
to an award of punitive damages against the Contractor for breach of the requirements of
this provision.

§ 9.7 FAILURE OF PAYMENT

§
9.7.1 If the Architect does not issue a Certificate for Payment, through no fault of the
Contractor, within seven days
after receipt of the Contractor’s Application for Payment, or if the Owner does not pay the
Contractor within seven
days after the date established in the Contract Documents the amount certified by the
Architect or awarded by
arbitration, then the Contractor may, upon seven additional days’ written notice to the
Owner and Architect, stop the
Work until payment of the amount owing has been received. The Contract Time shall be
extended appropriately and
the Contract Sum shall be increased by the amount of the Contractor’s reasonable costs of
shut-down, delay and
start-up, plus interest as provided for in the Contract Documents.

§ 9.8 SUBSTANTIAL COMPLETION

§
9.8.1 Substantial Completion is the stage in the progress of the Work when the Work or
designated portion thereof
(which the Owner agrees to accept separately) is sufficiently complete in accordance with
the Contract Documents
so that the Owner can occupy or utilize the Work for its intended use. The Work will not be
considered suitable for
Substantial Completion review until all Project systems included in the Work are
operational as designed and
scheduled, all designated or required governmental inspections and certifications required
for occupancy, which may
consist of a temporary or partial certificate of occupancy, have been made and posted, and
designated instruction of
Owner’s personnel in the operation of system has been completed. In general, the only
remaining Work shall be
minor in nature, so that the Owner or Owner’s tenants could occupy the building on that
date and the completion of
the Work by the Contractor would not materially interfere or hamper the Owner’s or Owner’s
tenants’ (or those
claiming by, through or under Owner) normal business operations. As a further condition of
Substantial Completion
acceptance, the Contractor shall certify that all remaining Work will be completed within
thirty (30) consecutive
calendar days except those items that are weather-dependent, or as agreed upon in writing
with Owner following the
Date of Substantial Completion.

§ 9.8.2 When the Contractor considers that the Work, or a portion thereof which the Owner
agrees to accept
separately, is substantially complete, the Contractor shall prepare and submit to the
Architect a comprehensive list of
items to be completed or corrected prior to final payment. The Contractor shall proceed
promptly to complete and
correct items on the list. Failure to include an item on such list does not alter the
responsibility of the Contractor to
complete all Work in accordance with the Contract Documents.

§ 9.8.3 Upon receipt of the Contractor’s list, the Architect will make an inspection to
determine whether the Work or
designated portion thereof (which the Owner agrees to accept separately) is substantially
complete. If the Architect’s
inspection discloses any item, whether or not included on the Contractor’s list, which is
not sufficiently complete in
accordance with the Contract Documents so that the Owner can occupy or utilize the Work or
designated portion

 

AlA
Document A201TM—1997. Copyright ©1911, 1915, 1918, 1925,1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
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No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

34

 

thereof for its intended use, the Contractor shall, before issuance of the Certificate of
Substantial Completion,
complete or correct such item upon notification by the Architect. In such case, the Contractor
shall then submit a
request for another inspection by the Architect to determine Substantial Completion.

§ 9.8.4 When the Work or designated portion thereof (Which the Owner agrees to accept
separately) is substantially
complete, the Architect will prepare a Certificate of Substantial Completion which shall
establish the date of
Substantial Completion, shall establish responsibilities of the Owner and Contractor for
security, maintenance, heat,
utilities, damage to the Work and insurance, and shall fix the time within which the Contractor
shall finish all items
on the list accompanying the Certificate, Warranties required by the Contract Documents shall
commence on the
date of Substantial Completion of the Work or designated portion thereof (which the Owner
agrees to accept
separately) unless otherwise provided in the Certificate of
Substantial Completion.

§
9.8.5 The Certificate of Substantial Completion shall be submitted to the Owner and
Contractor for their written
acceptance of responsibilities assigned to them in such Certificate. Upon such acceptance (by
both Owner and
Contractor) and consent of surety, if any, the Owner shall make payment of retainage applying
to such Work or
designated portion thereof. Such payment shall be adjusted for reduced by 150% of the value
of Work that is
incomplete or not in accordance with the requirements of the Contract Documents. Final
payment of such withheld
sum shall be made upon correction or completion of such Work.

§ 9.9 PARTIAL OCCUPANCY OR USE

§ 9.9.1 The Owner may occupy or use any completed or partially completed portion of the Work at
any stage when
such portion is designated by separate agreement with the Contractor, provided such occupancy
or use is consented
to by the insurer as required under Section 11.4.1.45 and authorized by public authorities
having jurisdiction over
the Work. Such partial occupancy or use may commence whether or not the portion is
substantially complete,
provided the Owner and Contractor have accepted in writing the responsibilities assigned to
each of them for
payments, retainage, if any, security, maintenance, heat, utilities, damage to the Work and
insurance, and have
agreed in writing concerning the period for correction of the Work and commencement of
warranties required by the
Contract Documents. When the Contractor considers a portion substantially complete, the
Contractor shall prepare
and submit a list to the Architect as provided under Section 9.8.2. Consent of the Contractor
to partial occupancy or
use shall not be unreasonably withheld. The stage of the progress of the Work shall be
determined by written
agreement between the Owner and Contractor or, if no agreement is reached, by decision of the
Architect.

§
9.9.2 Immediately prior to such partial occupancy or use, the Owner, Contractor and Architect
shall jointly inspect
the area to be occupied or portion of the Work to be used in order to determine and record the
condition of the
Work. In the event of Partial Occupancy, the Contractor shall promptly secure endorsement from
its insurance
carrier(s), consent from its surety(ies), if any, and consent from public authorities having
jurisdiction over the Work
permitting Partial Occupancy.

§
9.9.3 Unless otherwise agreed upon, partial occupancy or use of a portion or portions of the
Work shall not
constitute acceptance of Work not complying with the requirements of the Contract Documents.
In the event of
Partial Occupancy before Substantial Completion as provided above, the Contractor shall
cooperate with the Owner
in making available for the Owner’s use and benefit such building services that may be
operational at the time of
Partial Occupancy such as heating, ventilating, cooling, water, lighting, telephone, elevators
and security for the
portion or portions to be occupied, and if the Work required to furnish such services is not
entirely completed at the
time the Owner desires to occupy the aforesaid portion or portions, the Contractor shall make
every reasonably
effort to complete such Work or make temporary provisions for such Work as soon as possible so
that the
aforementioned building services may be put into operation and use.

9.9.4 In the event of Partial Occupancy prior to Substantial Completion, mutually acceptable
arrangements shall be
made between the Owner and Contractor in respect of the operation and cost of necessary
security, maintenance and
utilities, including heating, ventilating, cooling, water, lighting and telephone services and
elevators. This includes
the cost of extended warranties that the Contractor needs to secure from its subcontractors and
suppliers to cover the
period from Partial Occupancy to Final Occupancy. The Owner shall assume proportionate and
reasonable
responsibility for the cost of the above services. Further, mutually acceptable arrangements
shall be made between
the Owner and Contractor in respect of insurance and damage of the Work. Contractor’s
acceptance of
arrangements proposed by Owner in respect of such matters shall not be unreasonably withheld,
delayed or
conditioned.

 

AlA
Document A201TM—1997. Copyright ©1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This
AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

35

 

9.9.5 In each instance, when the Owner elects to exercise its right of Partial Occupancy as
described herein, Owner
will give Contractor and Architect advance written notice of its election to take the portion or
portions involved, and
immediately prior to Partial Occupancy, the Owner, Contractor and Architect shall jointly inspect the area to be
occupied or portion of the Work to be used to determine and record the conditions of the same.

9.9.6 It shall be understood, however, that Partial Occupancy shall not: (1) constitute final acceptance of any Work
(2) relieve the Contractor for responsibility for loss or damage became of or arising out
of defects in, or
malfunctioning of, any Work, material, or equipment, nor from any other unfulfilled obligations or
responsibilities
under the Contract Documents or (3) commence any warranty period other than the extended warranties described in
Section 9.9.4 under the Contract Documents; provided that Contractor shall not be liable for ordinary wear and tear
resulting from such Partial Occupancy.

9.9.7 Subject to the terms and conditions provided herein, if the Contractor claims that delay or additional cost is
involved because of Partial Occupancy by the Owner, Contractor shall make such claim as provided
elsewhere in
the Contract Documents.

§ 9.10 FINAL COMPLETION AND FINAL PAYMENT

§ 9.10.1 Upon receipt of written notice that the Work is ready for final inspection and
acceptance and upon receipt of
a final Application for Payment, the Architect will promptly make such inspection and, when the
Architect finds the
Work acceptable under the Contract Documents and the Contract fully performed, the Architect
will promptly issue
a final Certificate for Payment stating that to the best of the Architect’s knowledge,
information and belief, and on
the basis of the Architect’s on-site visits and inspections, the Work has been completed in
accordance with terms
and conditions of the Contract Documents and that the entire balance found to be due the
Contractor and noted in
the final Certificate is due and payable. The Architect’s final Certificate for Payment will
constitute a further
representation that conditions listed in Section 9.10.2 as precedent to the Contractor’s being
entitled to final payment
have been fulfilled.

§
9.10.2 Neither final payment nor any remaining retained percentage shall become due until the
Contractor submits
to the Architect (1) an affidavit that payrolls, bills for materials and equipment, and other
indebtedness connected
with the Work for which the Owner or the Owner’s property might be responsible or encumbered
(less amounts
withheld by Owner) have been paid or otherwise satisfied, (2) a certificate evidencing that
insurance required by the
Contract Documents to remain in force after final payment is currently in effect and will not
be canceled or allowed
to expire until at least 30 days’ prior written notice has been given to the Owner, (3) a
written statement satisfactory
to the Owner that the Contractor knows of no substantial reason that the insurance will not be
renewable to cover the
period required by the Contract Documents, (4) consent of surety, if any, to final payment and
(5), if required by the
Owner, other data establishing payment or satisfaction of obligations, such as receipts,
releases and waivers of liens,
claims, security interests or encumbrances arising out of the Contract, to the extent and in
such form as may be
designated by the Owner, and the Owner’s lender and (6) evidence of compliance with all
requirements of the
Contract Documents and all notices, certificates, affidavits, other requirements to complete
Contractor’s obligations
under the Contract Documents: including but not limited to (a) instruction of Owner’s
representatives in the
operation of mechanical, electrical, plumbing and other systems, (b) delivery of keys to Owner
with keying
schedule: (inclusive without limitation of all master, sub-master and special keys), (c)
delivery to Architect of
Contractor’s General Warranty (as described in Section 3.5) and each written warranty and
assignment thereof
prepared in duplicate, certificates of inspections, and bonds for Architect’s review and
delivery to Owner, (d) deliver
to Architect of printed or typewritten operating, servicing, maintenance and cleaning
instructions for all Work; parts
lists and special tools for mechanical and electrical Work in approved form, (e) delivery to
the Architect of specific
Project record documents and (f) delivery to Owner of a final Waiver of Liens (AIA) Document
G-706 or other form
satisfactory to Owner submitted simultaneous to Contractor’s receipt of final payment including
retainage and
punchlist hold backs), covering all Work including that of all Subcontractors, vendors, labor,
materials and services,
executed by an authorized officer and duly notarized. In addition to the foregoing, all other
submissions required by
other articles and paragraphs of the Specifications including final construction schedule shall
be submitted to the
Architect before approval of final payment. If a Subcontractor refuses to furnish a release or
waiver required by the
Owner, the Contractor may furnish a bond satisfactory to the Owner to indemnify the Owner
against such lien. In
lieu of a bond, Contractor may furnish to the Owner the Contractor’s indemnification
satisfactory to the Owner or a
title insurance endorsement satisfactory to the Owner to protect against claims of a party
which refuses to furnish a
required release of lien. If such lien remains unsatisfied after payments are made, the
Contractor shall refund to the

 

AIA
Document A201TM—1997. Copyright ©1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

36

 

Owner all money that the Owner may be compelled to pay in discharging such lien, including all
costs and
reasonable attorneys’ fees.

§ 9.10.3 If, after Substantial Completion of the Work, final completion thereof is materially
delayed through no fault
of the Contractor or by issuance of Change Orders affecting final completion, and the Architect
so confirms, the
Owner shall, upon application by the Contractor and certification by the Architect, and without
terminating the
Contract, make payment of the balance due tor that portion of the Work fully completed and
accepted. If the
remaining balance for Work not fully completed or corrected is less than retainage stipulated
in the Contract
Documents, and if bonds have been furnished, the written consent of surety to payment of the
balance due for that
portion of the Work fully completed and accepted shall be submitted by the Contractor to the
Architect prior to
certification of such payment. Such payment shall be made under terms and conditions governing
final payment,
except that it shall not constitute a waiver of claims.

§ 9.10.4 The making of final payment shall constitute a waiver of Claims by the Owner except
those arising from:

	 	 	 
	.1

	 	liens, Claims, security interests or encumbrances arising out of the Contract and
unsettled;
	 
	 	 
	.2

	 	failure of the Work to comply with the requirements of the Contract Documents; or
	 
	 	 
	.3

	 	terms of special warranties required by the Contract Documents.

§ 9.10.5 Acceptance of final payment by the Contractor, a Subcontractor or material supplier
shall constitute a
waiver of claims by that payee except those previously made in writing and identified by that
payee as unsettled on
payee’s final Application for Payment. Such waiver shall be in addition to the waiver described
in Section 9.10.4. at
the time of final Application for Payment.

ARTICLE 10 PROTECTION OF PERSONS AND PROPERTY

§ 10.1 SAFETY PRECAUTIONS AND PROGRAMS

§ 10.1.1 The Contractor shall be responsible for initiating, maintaining and supervising all safety
precautions and
programs in connection with the performance of the Contract.

§ 10.2 SAFETY OF PERSONS AND PROPERTY

§ 10.2.1 The Contractor shall take reasonable precautions for safety of, and shall provide
reasonable protection to
prevent damage, injury or loss to:

	 	 	 
	.1

	 	employees on the Work and other persons who may be affected thereby;
	 
	 	 
	.2

	 	the Work and materials and equipment to be incorporated therein, whether in
storage on or off the
site, under care, custody or control of the Contractor or the Contractor’s
Subcontractors or Sub-subcontractors; and
	 
	 	 
	.3

	 	other property at the site or adjacent thereto, such as trees, shrubs,
lawns, walks, pavements,
roadways, structures and utilities not designated for removal, relocation or
replacement in the course
of construction.

§ 10.2.2 The Contractor shall give notices and comply with applicable laws, ordinances, rules,
regulations and lawful
orders of public authorities bearing on safety of persons or property or their protection from
damage, injury or loss.
Contractor shall provide all facilities and shall follow all procedures required by the
Occupational Safety and Health
Act (OSHA) including, but not limited to providing and posting all required posters and
notices and shall otherwise
be responsible for all mandatory safety laws.

§ 10.2.3 The Contractor shall erect and maintain, as required by existing conditions and
performance of the Contract,
reasonable safeguards for safety and protection, including posting danger signs and other
warnings against hazards,
promulgating safety regulations and notifying owners and users of adjacent sites and
utilities.

§ 10.2.4 When use or storage of explosives or other hazardous materials or equipment or
unusual methods are
necessary for execution of the Work, the Contractor shall exercise utmost care and carry on
such activities under
supervision of properly qualified personnel.

§ 10.2.5 The Contractor shall promptly remedy damage and loss (other than damage or loss
insured under property
insurance required by the Contract Documents) to property referred to in Sections 10.2.1.2 and
10.2.1.3 caused in
whole or in part by the Contractor, a Subcontractor, a Sub-subcontractor, or anyone directly
or indirectly employed
by any of them, or by anyone for whose acts they may be liable and for which the Contractor is
responsible under

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918,
1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This
AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

37

 

Sections 10.2.1.2 and 10.2.1.3, except damage or loss attributable to acts or omissions of the
Owner or Architect or
anyone directly or indirectly employed by either of them, or by anyone for whose acts either
of them may be liable,
and not attributable to the fault or negligence of the Contractor. The foregoing obligations
of the Contractor are in
addition to the Contractor’s obligations under Section 3.18.

§
10.2.6 The Contractor shall designate a responsible member of the
Contractor’s organization
at the site whose duty
shall be the prevention of accidents. This person shall be the Contractor’s superintendent
unless otherwise
designated by the Contractor in writing to the Owner and Architect.

§
10.2.7 The Contractor shall not load or permit any pan of the construction or site to be
loaded so as to endanger its
safety.

§ 10.3 HAZARDOUS MATERIALS

§ 10.3.1 If reasonable precautions will be inadequate to prevent foreseeable bodily injury or
death to persons
resulting from a material or substance, including but not limited to asbestos or
polychlorinated biphenyl (PCB),
encountered on the site by the Contractor, the Contractor shall, upon recognizing the
condition, immediately stop
Work in the affected area and report the condition to the Owner and Architect in writing.

§
10.3.2 The Owner shall obtain the services of a licensed laboratory to verify the presence
or absence of the material
or substance reported by the Contractor and, in the event such material or substance is found
to be present, to verify
that it has been rendered harmless. Unless otherwise required by the Contract Documents, the
Owner shall furnish in
writing to the Contractor and Architect the names and qualifications of persons or entities
who are to perform tests
verifying the presence or absence of such material or substance or who are to perform the task
of removal or safe
containment of such material or substance. The Contractor and the Architect will promptly
reply to the Owner in
writing stating whether or not either has reasonable objection to the persons or entities
proposed by the Owner. If
either the Contractor or Architect has an objection to a person or entity proposed by the
Owner, the Owner shall
propose another to whom the Contractor and the Architect have no reasonable objection. When
the material or
substance has been rendered harmless, Work in the affected area shall resume upon written
agreement of the Owner
and Contractor. The Contract Time shall be extended appropriately and the Contract Sum shall
be increased in the
amount of the Contractor’s reasonable additional costs of shut-down, delay and start-up, which
adjustments shall be
accomplished as provided in Article 7.

§ 10.3.3 To the fullest extent permitted by law, the Owner shall indemnify and hold harmless
the Contractor,
Subcontractors, Architect, Architect’s consultants and agents and employees of any of them
from and against
claims, damages, losses and expenses, including but not limited to attorneys’ fees, arising
out of or resulting from
performance of the Work in the affected area if in fact the material or substance presents the
risk of bodily injury or
death as described in Section 10.3.1 and has not been rendered harmless, provided that such
claim, damage, loss or
expense is attributable to bodily injury, sickness, disease or death, or to injury to or
destruction of tangible property
(other than the Work itself) and provided that such damage, loss or expense is not due to the
sole negligence of a
party seeking indemnity.

§ 10.4 The Owner shall not be responsible under Section 10.3 for materials and substances
brought or deposited to
the site by the Contractor unless such materials or substances were required by the Contract
Documents. To the
fullest extent permitted by law, the Contractor shall indemnify and hold harmless the Owner
and agents and
employees of the Owner from and against claims, damages, losses and expenses, including but
not limited to
attorneys’ fees, arising out of or resulting from performance of the Work in the affected area
if in fact the material or
substance was brought onto the work site by the Contractor or deposited on the work site by
the Contractor or
anyone under contract with the Contractor, except for such materials or substances required by
the Contract
Documents, and such material or substance presents the risk of bodily injury or death as
described in Section 10.3.1
or causes the Owner or the work site to be subject to any remediation obligations with regard
to any applicable state
or federal laws, rules, or regulations relating to hazardous materials, including but not
limited to those as defined in
Section 10.3.1 above.

§ 10.5 If, without negligence on the part of the Contractor, the Contractor is held liable for
the cost of remediation of
a hazardous material or substance solely by reason of performing Work as required by the
Contract Documents, the
Owner shall indemnity the Contractor for all cost and expense thereby incurred.

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

38

 

§ 10.6 EMERGENCIES

§ 10.6.1 In an emergency affecting safety of persons or property, the Contractor shall act, at
the Contractor’s
discretion, to prevent threatened damage, injury or loss. Additional compensation or extension
of time claimed by
the Contractor on account of an emergency shall be determined as provided in Section 4.3,
Section 8.3 and Article 7.

ARTICLE 11 INSURANCE AND BONDS

§
11.1 CONTRACTOR’S LIABILITY INSURANCE

§ 11.1.1 The Contractor shall purchase from and maintain in a company or companies lawfully
authorized to do
business in the jurisdiction in which the Project is located such insurance as will protect the
Contractor from claims
set forth below which may arise out of or result from the Contractor’s operations under the
Contract and for which
the Contractor may be legally liable, whether such operations be by the Contractor or by a
Subcontractor or by
anyone directly or indirectly employed by any of them, or by anyone for whose acts any of them may
be liable:

	 	 	 
	.1

	 	claims under workers’ compensation, disability benefit and other similar employee
benefit acts which
are applicable to the Work to be performed;
	 
	 	 
	.2

	 	claims for damages because of bodily injury, occupational sickness or disease, or
death of the
Contractor’s employees;
	 
	 	 
	.3

	 	claims for damages because of bodily injury, sickness or disease, or death of any
person other than
the Contractor’s employees;
	 
	 	 
	.4

	 	claims for damages insured by usual personal injury liability coverage;
	 
	 	 
	.5

	 	claims for damages, other than to the Work itself, because of injury to or
destruction of tangible
property, including loss of use resulting therefrom;
	 
	 	 
	.6

	 	claims for damages because of bodily injury, death of a person or property damage
arising out of
ownership, maintenance or use of a motor vehicle;
	 
	 	 
	.7

	 	claims for bodily injury or property damage arising out of completed operations; and
	 
	 	 
	.8

	 	claims involving contractual liability insurance applicable to the Contractor’s
obligations under
Section 3.18.

§ 11.1.2 The insurance required by Section 11.1.1 shall be written for not less than limits of
liability specified in the
Contract Documents or required by law, whichever coverage is greater. Coverages, whether
written on an
occurrence or claims-made basis, shall be maintained without interruption from date of
commencement of the Work
until date of final payment and termination of any coverage required to be maintained after
final payment.

§ 11.1.3 Certificates of insurance acceptable to the Owner shall be filed with the Owner prior
to commencement of
the Work. These certificates and the insurance policies required by this Section 11.1 shall
contain a provision that
coverages afforded under the policies will not be canceled or allowed to expire until at least
30 days’ prior written
notice has been given to the Owner. If any of the foregoing insurance coverages are required to
remain in force after
final payment and are reasonably available, an additional certificate evidencing continuation
of such coverage shall
be submitted with the final Application for Payment as required by Section 9.10.2. Information
concerning reduction
of coverage on account of revised limits or claims paid under the General Aggregate, or both,
shall be furnished by
the Contractor with reasonable promptness in accordance with the Contractor’s information and
belief.

§ 11.2 OWNER’S LIABILITY INSURANCE

§
11.2.1 The Owner shall be responsible for purchasing and maintaining its own liability
insurance and, at its option,
may purchase and maintain such insurance as will protect it against claims which may arise from
operations under
the Contract. the Owner’s usual liability insurance.

§ 11.3 PROJECT MANAGEMENT PROTECTIVE LIABILITY INSURANCE

§ 11.3.1 Optionally, the Owner may require the Contractor to purchase and maintain Project
Management Protective
Liability insurance from the Contractor’s usual sources as primary coverage for the Owner’s,
Contractor’s and
Architect’s vicarious liability for construction operations under the Contract. Unless
otherwise required by the
Contract Documents, the Owner shall reimburse the Contractor by increasing the Contract Sum to
pay the cost of
purchasing and maintaining such optional insurance coverage, and the Contractor shall not be
responsible for
purchasing any other liability insurance on behalf of the Owner. The minimum limits of
liability purchased with
such coverage shall be equal to the aggregate of the limits required for Contractor’s Liability
Insurance under
Sections 11.1.1.2 through 11.1.1.5.

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
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prosecuted to the maximum extent possible under the law. This document was produced by AIA software
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User Notes:

39

 

§ 11.3.2 To the extent damages are covered by Project Management Protective Liability insurance,
the Owner,
Contractor and Architect waive all rights against each other for damages, except such rights as
they may have to the
proceeds of such insurance. The policy shall provide for such waivers of subrogation by
endorsement or otherwise.

§
11.3.3 The Owner shall not require the Contractor to include the Owner, Architect or other
persons or entities as
additional insureds on the Contractor’s Liability Insurance coverage under Section 11.1.

§ 11.4 PROPERTY INSURANCE

§ 11.4.1 Unless otherwise provided, the Owner Contractor shall purchase and maintain,
in a company or companies
lawfully authorized to do business in the jurisdiction in which the Project is located,
property insurance written on a
builder’s risk “all-risk” or equivalent policy form in the amount of the initial Contract Sum,
plus value of subsequent
Contract modifications and cost of materials supplied or installed by others, comprising total
value for the entire
Project at the site on a replacement cost basis without optional deductibles. Such property
insurance shall be
maintained, unless otherwise provided in the Contract Documents or otherwise agreed in writing
by all persons and
entities who are beneficiaries of such insurance, until final payment has been made as provided
in Section 9.10 or
until no person or entity other than the Owner has an insurable interest in the property
required by this Section 11.4
to be covered, whichever is later. This insurance shall include interests of the Owner, the
Contractor, Subcontractors
and Sub-subcontractors in the Project.

§ 11.4.1.1 Properly insurance shall be on an “all-risk” or equivalent policy form and shall
include, without limitation,
insurance against the perils of fire (with extended coverage) and physical loss or damage
including, without
duplication of coverage, theft, vandalism, malicious mischief, collapse, earthquake, flood,
windstorm, falsework,
testing and startup, temporary buildings and debris removal including demolition occasioned by
enforcement of any
applicable legal requirements, and shall cover reasonable compensation for Architect’s and
Contractor’s services
and expenses required as a result of such insured loss.

§ 11.4.1.2 If the Owner does not intend to
purchase such property insurance required by the
Contract and with all of
the coverages in the amount described above, the Owner shall so inform the—Contractor in
writing prior to
commencement of the Work. The Contract may then effect insurance which will protect the
interests of the
Contractor, Subcontractors and Sub subcontractors in the Work, and by appropriate Change Order
the cost thereof
shall be charged to the Owner If the Contractor is damaged by the failure or neglect of the
Owner to purchase or
maintain insurance as described above, without so notifying the Contractor in writing, then the
Owner-shall bear all
reasonable costs properly attributable thereto.

§
11.4.1.23 If the property insurance requires deductible, the Owner shall pay costs not
covered because of such
deductibles.

§
11.4.1.34 This property insurance shall cover portions of the Work stored off the site, and
also portions of the Work
in transit.

§ 11.4.1.45 Partial occupancy or use in accordance with Section 9.9 shall not commence until
the insurance company
or companies providing property insurance have consented to such partial occupancy or use by
endorsement or
otherwise. The Owner and the Contractor shall take reasonable steps to obtain consent of the
insurance company or
companies and shall, without mutual written consent, take no action with respect to partial
occupancy or use that
would cause cancellation, lapse or reduction of insurance.

§ 11.4.2 Boiler and Machinery Insurance. The Owner shall purchase and maintain boiler and
machinery insurance
required by the Contract Documents or by law, which shall specifically cover such insured
objects during
installation and until final acceptance by the Owner; this insurance shall include interests
of the Owner, Contractor,
Subcontractors and Sub-subcontractors in the Work, and the Owner and Contractor shall be named
insureds.

§ 11.4.3 Loss of Use Insurance. The Owner, at the Owner’s option, may purchase and maintain
such insurance as
will insure the Owner against loss of use of the Owner’s property due to fire or other
hazards, however caused. The
Owner waives all rights of action against the Contractor for loss of use of the Owner’s
property, including
consequential losses due to fire or other hazards however caused.

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

40

 

§ 11.4.4 If the Contractor Owner requests in writing that insurance for risks other
than those described herein or other
special causes of loss be included in the property insurance policy, the Owner
Contractor shall, if possible, include
such insurance, and the cost thereof shall be charged to the Contractor Owner by
appropriate Change Order.

§ 11.4.5 If during the Project construction period the Owner insures properties, real or
personal or both, at or adjacent
to the site by property insurance under policies separate from those insuring the Project, or
if after final payment
property insurance is to be provided on the completed Project through a policy or policies
other than those insuring
the Project during the construction period, the Owner shall waive all rights in accordance
with the terms of Section
11.4.7 for damages caused by fire or other causes of loss covered by this separate property
insurance. All separate
policies shall provide this waiver of subrogation by endorsement or otherwise.

§ 11.4.6 Before an exposure to loss may occur, the Owner Contractor shall file with
the Contractor a copy of Owner
an insurance certificate for each policy that includes insurance coverages required
by this Section 11.4. Each policy
shall contain all generally applicable conditions, definitions, exclusions and endorsements
related to this Project.
Each policy shall contain a provision that the policy will not be canceled or allowed to
expire, and that its limits will
not be reduced, until at least 30 days’ prior written notice has been given to the
Contractor.

§ 11.4.7 Waivers of Subrogation. The
 Owner and Contractor waive all rights against (1) each
other and any of their
subcontractors, sub-subcontractors, agents and employees, each of the other, and (2) the
Architect, Architect’s
consultants, separate contractors described in Article 6, if any, and any of their
subcontractors, sub-subcontractors,
agents and employees, for damages caused by fire or other causes of loss to the extent
covered by property insurance
obtained pursuant to this Section 11.4 or other property insurance applicable to the Work,
except such rights as they
have to proceeds of such insurance held by the Owner Contractor as fiduciary. The
Owner or Contractor, as
appropriate, shall require of the Architect, Architect’s consultants, separate contractors
described in Article 6, if any,
and the subcontractors, sub-subcontractors, agents and employees of any of them, by
appropriate agreements,
written where legally required for validity, similar waivers each in favor of other parties
enumerated herein. The
policies shall provide such waivers of subrogation by endorsement or otherwise. A waiver of
subrogation shall be
effective as to a person or entity even though that person or entity would otherwise have a
duty of indemnification,
contractual or otherwise, did not pay the insurance premium directly or indirectly, and
whether or not the person or
entity had an insurable interest in the property damaged.

§ 11.4.8 A loss insured under Owner’s Contractor’s property insurance shall be
adjusted by the Owner Contractor as
fiduciary and made payable to the Owner Contractor as fiduciary for the insureds, as
their interests may appear,
subject to requirements of any applicable mortgagee clause and of
Section 11.4.10. The
Contractor shall pay
Subcontractors their just shares of insurance proceeds received by the Contractor, and by
appropriate agreements,
written where legally required for validity, shall require Subcontractors to make payments to
their Sub-subcontractors in similar manner.

§ 11.4.9 If required in writing by a party in interest, the Owner Contractor as
fiduciary shall, upon occurrence of an
insured loss, give bond for proper performance of the
Owner’s Contractor’s duties. The
cost of required bonds shall
be charged against proceeds received as fiduciary. The Owner Contractor shall deposit
in a separate account
proceeds so received, which the Contractor Owner shall distribute in
accordance with such agreement as the parties
in interest may reach, or in accordance with an arbitration award in which, case the procedure
shall be as provided in
Section 4.6. If after such loss no other special agreement is made and unless the Owner
terminates the Contract for
convenience, replacement of damaged property shall be performed by the Contractor after
notification of a Change
in the Work in accordance with Article 7.

§ 11.4.10 The Owner Contractor as fiduciary shall have power to adjust and settle a
loss with insurers unless one of
the parties in interest shall object in writing within five days after occurrence of loss to
the Owner’s exercise the
power; if such-objection is made, the dispute shall be resolved as provided in Sections 4.5
and 4.6. The
Owner Contractor as fiduciary shall, in the case of arbitration, make settlement with
insurers in accordance with directions
of the arbitrators. If distribution of insurance proceeds by arbitration is required, the
arbitrators will direct such
distribution.

§ 11.5 PERFORMANCE BOND AND PAYMENT BOND

§ 11.5.1 If requested by Owner, Contractor shall obtain, and shall require each Subcontractor
designated by Owner to
obtain, a Performance Bond and Labor and Material Payment Bond in the amount of 100% of
the applicable

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
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User Notes:

41

 

Contract Sum. Contractor shall deliver its require bonds not later than the date of execution
of the Agreement and
deliver the required Subcontractor bonds to Owner not later than the date of execution of the
subcontract with any
such Subcontractor or if the Work is commenced prior thereto in response thereto to a notice to
proceed, the
Contractor shall, prior to commencement of the Work, submit evidence satisfactory to Owner that
such bonds will
be issued. The Owner shall have the-right to require the Contractor to furnish-bends covering
faithful performance of
the Contract and payment of obligations arising thereunder as stipulated in bidding
requirements or specifically
required in the Contract Documents on the date of execution of the Contract.

§ 11.5.2 The bonds shall in all respects conform to the requirements of the law of the state in
which the Project is
located and shall (1) name as obligees: the Owner, Owner’s partners and affiliates, any
lender(s) of Owner secured
in whole or in part by a lien on the Project, and the title insurance company(ies) which
has(have) issued title policies
to Owner or its lender(s), (2) be in a form and be issued by a licensed surety satisfactory to
Owner, (3) be in an
amount equal to 100% of the applicable Contract Sum and (4) be automatically increased in the
amount of any
additive Change Orders and Construction Change Directives signed by Owner upon thirty (30)
days’ notice to the
issuing surety. Upon the request of any person or entity appearing to bo a potential
beneficiary of bonds covering
payment of obligations arising under the Contract, the Contractor shall promptly furnish a copy
of the bonds or shall
permit a copy to be made.

11.5.3 The premium for bonds required above shall be paid by Owner.

ARTICLE 12 UNCOVERING AND CORRECTION OF WORK

§ 12.1 UNCOVERING OF WORK

§ 12.1.1 If a portion of the Work is covered contrary to the Architect’s request or to requirements
specifically
expressed in the Contract Documents, it must, if required in writing by the Architect, be uncovered
for the
Architect’s examination and be replaced at the Contractor’s expense without change in the Contract
Time or
Contract Sum.

§
12.1.2 If a portion of the Work has been covered which the Architect has not specifically
requested to examine
prior to its being covered, the Architect may request to see such Work and it shall be
uncovered by the Contractor. If
such Work is in accordance with the Contract Documents, costs of uncovering and replacement
shall, by appropriate
Change Order, be at the Owner’s expense. If such Work is not in accordance with the Contract
Documents,
correction shall be at the Contractor’s expense unless the condition was caused by the Owner or
a separate
contractor in which event the Owner shall be responsible for payment of such costs.

§ 12.2 CORRECTION OF WORK

§ 12.2.1 BEFORE OR AFTER SUBSTANTIAL COMPLETION

§12.2.1.1 The Contractor shall promptly correct Work rejected by the Architect or failing to
conform to the
requirements of the Contract Documents, whether discovered before or after Substantial Completion
and whether or
not fabricated, installed or completed. Costs of correcting such rejected Work, including
additional testing and
inspections and compensation for the Architect’s services and expenses made necessary thereby,
shall be at the
Contractor’s expense.

§ 12.2.2 AFTER SUBSTANTIAL COMPLETION

§12.2.2.1 In addition to the Contractor’s
obligations under Section 3.5, if, within one year
after the date of
Substantial Completion of the entire Work (unless otherwise provided in any Certificates of
partial Substantial
Completion approved by the parties), or within such longer period of time as may be prescribed
by law or in equity,
or designated portion thereof or after the date for commencement of warranties established
under Section 9.9.1, or
by terms of an applicable special warranty required by the Contract Documents, any of the Work
is found to be
defective or otherwise not in accordance with the requirements of the Contract Documents, the
Contractor shall
correct it promptly after receipt of written notice from the Owner to do so unless the Owner
has previously given the
Contractor a written acceptance of such condition. The Owner shall give such notice promptly
after discovery of the
condition. During the one-year period for correction of Work, if the Owner fails to notify the
Contractor and give the
Contractor an opportunity to make the correction, the Owner waives the rights to require
correction by the
Contractor and to make a claim for breach of warranty. If the Contractor fails to correct
nonconforming Work within
a reasonable time during that period after receipt of notice from the Owner or Architect, the
Owner may correct it in
accordance with Section 2.4.

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
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prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

42

 

§ 12.2.2.2 The one-year period for correction of Work shall be extended with respect to
portions of Work first
performed after Substantial Completion by the period of time between Substantial Completion
and the actual
performance of the Work.

§
12.2.2.3 The one-year period for correction of Work shall not be extended by corrective
Work performed by the
Contractor pursuant to this Section 12.2. Corrective Work first performed after Substantial
Completion shall be
warranted to be free from defects for a period equal to the longer of six (6) months after
the completion of the
corrective Work or one (1) year after the Date of Substantial
Completion. Any defect in such
corrective Work shall
be corrected again by Contractor promptly upon notice of the defect
from the Owner. This
obligation shall survive
acceptance of the Work under the Contract.

§12.2.3 The Contractor shall remove from the site portions of the Work which are defective
or otherwise not in
accordance with the requirements of the Contract Documents and are neither corrected by the
Contractor nor
accepted by the Owner.

§ 12.2.4 The Contractor shall bear the cost of correcting destroyed or damaged
construction, whether completed or
partially completed, of the Owner or separate contractors caused in whole or in part by the
Contractor’s correction or
removal of Work which is defective or otherwise not in accordance with the requirements of
the Contract
Documents.

§ 12.2.5 Nothing contained in this Section 12.2 shall be construed to establish a period of
limitation with respect to
other obligations which the Contractor might have under the Contract Documents or under law
or in equity.
Establishment of the one-year period for correction of Work as described in Section 12.2.2
relates only to the
specific obligation of the Contractor to correct the Work, and has no relationship to the
time within which the
obligation to comply with the Contract Documents may be sought to be enforced, nor to the
time within which
proceedings may be commenced to establish the Contractor’s liability with respect to the
Contractor’s obligations
other than specifically to correct the Work.

§ 12.3 ACCEPTANCE OF NONCONFORMING WORK

§ 12.3.1 If the Owner prefers to accept Work which is defective or otherwise not in
accordance with the requirements
of the Contract Documents, the Owner may do so instead of requiring its removal and
correction, in which case the
Contract Sum will be reduced as appropriate and equitable. Such adjustment shall be
effected whether or not final
payment has been made.

ARTICLE 13 MISCELLANEOUS PROVISIONS

§13.1 GOVERNING LAW

§
13.1.1 The Contract shall be governed by the law of the place where the Project is located.

§ 13.2 SUCCESSORS AND ASSIGNS

§ 13.2.1 The Owner and Contractor respectively bind themselves, their partners, successors,
assigns and legal
representatives to the other party hereto and to partners, successors, assigns and legal
representatives of such other
party in respect to covenants, agreements and obligations contained in the Contract
Documents. Except as provided
in Section 13.2.2, neither party to the Contract shall assign the Contract as a whole
without written consent of the
other. If either party attempts to make such an assignment without such consent, that party
shall nevertheless remain
legally responsible for all obligations under the Contract.

§ 13.22 The Owner may, without consent of the Contractor, assign the Contract to an
institutional lender providing
construction financing for the Project. In such event, the lender shall assume the Owner’s
rights and obligations
under the Contract Documents. The Contractor shall execute all consents reasonably required
to facilitate such
assignment. The Contractor shall comply with all reasonable requests from the Owner’s
lender; however, consent or
approval must not require the Contractor to subordinate its lien rights; must not
increase the scope of the
Contractor’s obligations under this Contract, must not decrease the scope of the
Contractor’s rights under this Contract and must be consistent with lending practices typical of institutional lenders
for commercial real estate development in the metropolitan Chicago area.

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

43

 

§ 13.3 WRITTEN NOTICE

§ 13.3.1 All notices to be given hereunder shall be in writing, and may be given, served or
made by depositing the
same in the United States mail addressed to the authorized representative (as specified in
Section 13.3.2 hereof) of
the party to be notified, postpaid and registered or certified with return receipt required
or by delivering the same in
person to the said authorized representative of such party. Notice deposited in the mail in
accordance with the
provisions hereof shall be effective unless otherwise required in the Agreement from and
after the fourth day next
following the date postmarked on the envelope containing such notice, or when actually
received, whichever is
earlier. Notice given in any other manner shall be effective only if and when received by
the party to be notified.
All notices to be given to the parties hereto shall be sent to or made at the addresses set
forth hereinbelow. By
giving the other parties at least seven (7) days’ written notice thereof, the parties
hereto shall have the right to
change their respective addresses and specify as their respective addresses for the
purposes hereof any other address
in the United States of America.

	 	 	 	 	 
	.1

	 	Address of Owner:
	 	John B. Sanfilippo & Son, Inc.
	 

	 	 	 	2299 Busse Road
	 

	 	 	 	Elk Grove Village, Illinois 60007
	 

	 	Fax: (847) 593-9608
	 	Email: cnicketta@jbssinc.com
	 
	 	 	 	 
	.2

	 	Address of Contractor:
	 	McShane Construction Corporation
	 

	 	 	 	9550 West Higgins Road, Suite 200
	 

	 	 	 	Rosemont, Illinois 60018
	 

	 	      Fax: (847) 292-4310
	Email: mtritschler@meshane.com
	 
	 	 	 	 
	.3

	 	Address of Architect:
	 	Heitman Architects
	 

	 	 	 	555 Pierce Road, Suite 105
	 

	 	 	 	Itasca. Illinois 60143
	

	 	Fax: (630) 773-3599
	 	Email: karl@heitmanarchitects.com

Written notice shall be deemed to have been duly served if delivered in person to the individual or
a member of the
firm or entity or to an officer of the corporation for which it was intended, or if delivered at or
sent by registered or
certified mail to the last business address known to the party giving notice:

13.3.2 The parties hereby designate and appoint the following persons, whose addresses are
designated in Section
13.3.1 hereof, as their representatives, respectively, to receive all notice and
communications hereunder and, to the
extent of their obligations hereunder, to act for them in all respects:

	 	 	 
	.1

	 	For Owner:
	 

	 	Chuck Nicketta
	 

	 	Vice President of Manufacturing
	 
	 	 
	.2

	 	For Contractor:
	 

	 	Mark Tritschler
	 

	 	Executive President
	 
	 	 
	.3

	 	For Architect:
	 

	 	Karl Heitman
	 

	 	President

§ 13.4 RIGHTS AND REMEDIES

§ 13.4.1 Duties and obligations imposed by the Contract Documents and rights and remedies
available thereunder
shall be in addition to and not a limitation of duties, obligations, rights and remedies
otherwise imposed or available
by law.

§ 13.4.2 No action or failure to act by the Owner, Architect or Contractor shall constitute
a waiver of a right or duty
afforded them under the Contract, nor shall such action or failure to act constitute
approval of or acquiescence in a
breach thereunder, except as may be specifically agreed in writing.

 

AIA
Document A201TM—1997. Copyright © 1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

44

 

§ 13.5 TESTS AND INSPECTIONS

§ 13.5.1 Tests, inspections and approvals of portions of the Work required by the Contract
Documents or by laws,
ordinances, rules, regulations or orders of public authorities having jurisdiction shall be
made at an appropriate time.
Unless otherwise provided, the Contractor shall make arrangements for such tests, inspections
and approvals with an
independent testing laboratory or entity acceptable to the Owner, or with the appropriate
public authority, and shall
bear all related costs of tests, inspections and approvals. The Contractor shall give the
Architect and Owner timely
notice of when and where tests and inspections are to be made so that the Architect and Owner
may be present for
such procedures. The Owner shall bear costs of tests, inspections or approvals which not become
requirements
until after bids are received or negotiations concluded. The Architect, Owner, and Contractor
shall be afforded a
reasonable opportunity to attend, observe, and witness all inspections and tests of the Work.
The Architect or
Owner may at any time request and receive from Contractor satisfactory evidence that materials,
supplies, or
equipment are in conformance with the Contract Documents. The conduct of any inspection or test
and the receipt
of any approval shall not operate to relieve the Contractor from its obligations under the
Contract Documents unless
specifically so stated by Owner in writing.

§ 13.5.2 If the Architect, Owner or public authorities having jurisdiction determine that
portions of the Work require
additional testing, inspection or approval not included under
Section 13.5.1, the Architect
will, upon written
authorization from the Owner, instruct the Contractor to make arrangements for such additional
testing, inspection
or approval by an entity acceptable to the Owner, and the Contractor shall give timely notice
to the Architect and
Owner of when and where tests and inspections are to be made so that the Architect and Owner
may be present for
such procedures. Such costs, except as provided in Section 13.5.3, shall be at the Owner’s
expense.

§ 13.5.3 If such procedures for testing, inspection or approval under Sections 13.5.1 and
13.5.2 reveal failure of the
portions of the Work to comply with requirements established by the Contract Documents, or
reveal faulty or
otherwise defective Work, or if the necessity of any such testing, inspection or approval
procedures arises out of the
fault, neglect or omission of Contractor, the Contractor shall bear all costs of such testing,
inspection, and approval
procedures and all other costs made necessary by Contractor’s failures, including, without
limitation, those costs of
repeated and additional procedures and compensation for the Architect’s services and consultant
fees and expenses.
Such costs shall be paid by Contractor within thirty (30) days receipt of invoice from Owner
with supporting data
attached all costs made necessary by such failure including
those of repeated procedures and
compensation for the
Architect’s services and expenses shall be at the Contractor’s expense.

§ 13.5.4 Required certificates of testing, inspection or approval shall, unless otherwise
required by the Contract
Documents, be secured by the Contractor and promptly delivered to the Architect.

§13.5.5 If the Architect is to observe tests, inspections or approvals required by the Contract
Documents, the
Architect will do so promptly and, where practicable, at the normal place of testing.

§13.5.6 Tests or inspections conducted pursuant to the Contract Documents shall be made
promptly to avoid
unreasonable delay in the Work.

§ 13.6 INTEREST

§ 13.6.1 Payments due and unpaid under the Contract Documents shall bear interest from the date
payment is due at
such rate as the parties may agree upon in writing or, in the absence thereof, at the prime
rate plus 2% announced as
charged by the Citibank, N.A., New York, New York, to its best large commercial borrowers for
ninety (90) days
unsecured loans while said amount is unpaid; provided, however, that amounts controverted in
good faith shall not
bear interest until and unless determined in the first instance to be due by the Architect (if
the matter is referred to
the Architect for initial decision) as provide under Article 4 hereof. In no event shall any
interest be due and
payable by Owner to Contractor, any Subcontractor or any other party on any of the sums
properly retained by
Owner pursuant to any of the terms or provisions of any of the Contract Documents.at the legal
rate prevailing from
time to time at the place where the Project is located.

§ 13.7 COMMENCEMENT OF STATUTORY LIMITATION PERIOD

§
13.7.1 As between the Owner and Contractor:

	 	 	 
	.1

	 	Before Substantial Completion. As to acts or failures to act occurring
prior to the relevant date of
Substantial Completion, any applicable statute of limitations shall commence to run and
any alleged

 

AIA
Document A201TM—1997. Copyright ©1911, 1915, 1918,
1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
By U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

45

 

	 	 	 
	 

	 	cause of action shall be deemed to have accrued in any and all events not later
than such date of
Substantial Completion;
	 
	 	 
	.2

	 	Between Substantial Completion and Final Certificate for Payment. As to
acts or failures to act
occurring subsequent to the relevant date of Substantial Completion and prior to
issuance of the final
Certificate for Payment, any applicable statute of limitations shall commence to
run and any alleged
cause of action shall be deemed to have accrued in any and all events not later
than the date of
issuance of the final Certificate for Payment; and
	 
	 	 
	.3

	 	After Final Certificate for Payment. As to acts or failures to act
occurring after the relevant date of
issuance of the final Certificate for Payment, any applicable statute of
limitations shall commence to
run and any alleged cause of action shall be deemed to have accrued in any and all
events not later
than the date of any act or failure to act by the Contractor pursuant to any
Warranty provided under
Section 3.5, the date of any correction of the Work or failure to correct the Work
by the Contractor
under Section 12.2, or the date of actual commission of any other act or failure
to perform any duty or
obligation by the Contractor or Owner, whichever occurs last.

13.8 VALUE ENGINEERING

13.8.1 Contractor agrees to make periodic review of design documents, as furnished to
Contractor by Owner or
Owner’s consultant(s), and to advise Owner if design details, concepts, or scope of Work have
materially changed
the Estimated Contract Sum or the schedule prior to completion of Contract Documents. If such
material change in
the design documents occurs, the Contractor, in addition to promptly notifying the Owner of
the nature of such time
and cost change, shall promptly participate in value engineering meetings with Owner and
Owner’s consultant(s) to
review, refine, and rework the design documents to bring the Work back to the time and cost
stated in the
Agreement.

ARTICLE 14 TERMINATION OR SUSPENSION OF THE CONTRACT

§ 14.1 TERMINATION BY THE CONTRACTOR

§ 14.1.1 The Contractor may terminate the Contract if the Work is stopped for a period of 30
consecutive days
through no act or fault of the Contractor or a Subcontractor, Sub-subcontractor or their agents
or employees or any
other persons or entities performing portions of the Work under direct or indirect contract with
the Contractor, for
any of the following reasons:

	 	 	 
	.1

	 	issuance of an order of a court or other public authority having jurisdiction
which requires all Work to
be stopped;
	 
	 	 
	.2

	 	an act of government, such as a declaration of national emergency making
material unavailable or
which requires all Work to be stopped;
	 
	 	 
	.3

	 	because the Architect has not issued a Certificate for Payment and has
not notified the Contractor of
the reason for withholding certification as provided in
Section 9.4.1, or because
the Owner has not
made payment on a Certificate for Payment (without cause) within the time stated
in the Contract
Documents; or
	 
	 	 
	.4

	 	the Owner has failed to furnish to the Contractor promptly, upon the
Contractor’s request, reasonable
evidence as required by Section 2.2.1.

§ 14.1.2 The Contractor may terminate the Contract if, through no act or fault of the
Contractor or a Subcontractor,
Sub-subcontractor or their agents or employees or any other persons or entities performing
portions of the Work
under direct or indirect contract with the Contractor, repeated suspensions, delays or
interruptions of the entire Work
by the Owner as described in Section 14.3 constitute in the aggregate more than 100 percent of
the total number of
days scheduled for completion, or 120 days in any 365-day period, whichever is less.

§ 14.1.3 If one of the reasons described in Section 14.1.1 or 14.1.2 exists, the Contractor
may, upon seven days’
written notice to the Owner and Architect, terminate the Contract and recover from the Owner
payment for Work
executed and for proven loss with respect to materials, equipment, tools, and construction
equipment and machinery,
including reasonable overhead, profit and damages.

§ 14.1.4 If the Work is stopped for a period of 60 consecutive days through no act or fault of
the Contractor or a
Subcontractor or their agents or employees or any other persons performing portions of the
Work under contract
with the Contractor because the Owner has persistently failed to fulfill the Owner’s
obligations under the Contract
Documents with respect to matters important to the progress of the Work, the Contractor may,
upon seven additional

 

AlA
Document A201TM—1997. Copyright ©1911, 1915, 1918,
1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

46

 

days’ written notice to the Owner and the Architect, terminate the Contract and recover
from the Owner as provided
in Section 14.1.3.

14.1.5 The Owner shall not be responsible for damages for loss of anticipated profits on Work not
performed on
account of any termination described in Sections 14.1.1, 14.1.2, 14.1.3 and 14.1.4.

§ 14.2 TERMINATION BY THE OWNER FOR CAUSE

§ 14.2.1 The Owner may terminate the Contract if the Contractor:

	 	 	 
	.1

	 	persistently or
repeatedlyrRefuses or fails to supply enough property skilled
workers or proper
materials and/or equipment;
	 
	 	 
	.2

	 	fails to make payment to Subcontractors for materials or labor in accordance
with the respective
agreements between the Contractor and the Subcontractors;
	 
	 	 
	.3

	 	persistently disregards laws, ordinances, or rules, regulations or orders of a
public authority having
jurisdiction; or
	 
	 	 
	.4

	 	disregards the instructions of Architect or Owner (when such
instructions are based on the
requirements of the Contract Documents);
	 
	 	 
	.5

	 	is adjudged a bankrupt or insolvent, or makes a general assignment for the
benefit of Contractor’s
creditors, or a trustee or receiver is appointed for Contractor or for any of its
property, or files a
petition to take advantage of any debtor’s act, or to reorganise under bankruptcy or
similar laws or;
	 
	 	 
	.6

	 	otherwise is guilty of substantial breach of a provision of the Contract
Documents.

§ 14.2.2 When any of the above reasons exist, the Owner, upon certification by the Architect
that sufficient-cause
exists to justify such action, may without prejudice to any other rights or remedies of the
Owner and after giving the
Contractor and the Contractor’s surety, if any, seven (7) days’ written notice, terminate
employment of the
Contractor and may, subject to any prior rights of the surety:

	 	 	 
	.1

	 	take possession of the site and of all materials, equipment, tools, and
construction equipment and
machinery thereon owned by the Contractor;
	 
	 	 
	.2

	 	accept assignment of subcontracts
pursuant to Section 5.4; and
	 
	 	 
	.3

	 	finish the Work by whatever reasonable method the Owner may deem
expedient. Upon request of the
Contractor, the Owner shall furnish to the Contractor a detailed accounting of
the costs incurred by
the Owner in finishing the Work.

§14.2.3 When the Owner terminates the Contract for one of the reasons stated in Section
14.2.1, the Contractor shall
not be entitled to receive further payment until the Work is finished.

§ 14.2.4 If the unpaid balance of the Contract Sum exceeds costs of finishing the Work,
including compensation for
the Architect’s services and expenses made necessary thereby, and other damages incurred by
the Owner and not
expressly waived, such excess shall be paid to the Contractor. If such costs and damages
exceed the unpaid balance,
the Contractor shall pay the difference to the Owner. The amount to be paid to the
Contractor or Owner, as the case
may be, shall be certified by the Architect, upon application, and this obligation for
payment shall survive
termination of the Contract.

§ 14.3 SUSPENSION BY THE OWNER FOR CONVENIENCE

§ 14.3.1 The Owner may, without cause, order the Contractor in writing to suspend, delay or
interrupt the Work in
whole or in part for such period of time as the Owner may determine.

§ 14.3.2 The Contract Sum and Contract Time shall be adjusted for increases in the cost and
time caused by
suspension, delay or interruption as described in Section 14.3.1. Adjustment of the
Contract Sum shall include
profit. No adjustment shall be made to the extent:

	 	 	 
	.1

	 	that performance is, was or would have been so suspended, delayed or
interrupted by another cause
for which the Contractor is responsible; or
	 
	 	 
	.2

	 	that an equitable adjustment is made or denied under another provision of the
Contract.

§ 14.4 TERMINATION BY THE OWNER FOR CONVENIENCE

§ 14.4.1 The Owner may, at any time, terminate the Contract for the Owner’s convenience and without
cause.

 

AIA
Document A201TM—1997. Copyright ©1911, 1915, 1918, 1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

47

 

§ 14.4.2 Upon receipt of written notice from the Owner of such termination for the Owner’s
convenience, the
Contractor shall:

	 	.1	 	cease operations as directed by the Owner in the notice;
	 
	 	.2	 	take actions necessary, or that the Owner may direct, for the protection and
preservation of the Work;
and
	 
	 	.3	 	except for Work directed to be performed prior to the effective date of
termination stated in the
notice, terminate all existing subcontracts and purchase orders and enter into no
further subcontracts
and purchase orders.

§ 14.4.3 In case of such termination for the Owner’s convenience, the Contractor shall be
entitled to receive payment
for Work executed, and costs incurred by reason of such termination, along with reasonable
overhead and profit on
the Work not executed.

 

AIA
Document A201TM—1997. Copyright ©1911, 1915, 1918,
1925, 1937, 1951, 1958, 1961, 1963, 1966,
1970, 1976, 1987 and 1997 by The American
Institute of Architects. All rights reserved. WARNING: This AIA® Document is protected
by U.S. Copyright Law and International Treaties. Unauthorized reproduction or distribution of this
AIA® Document, or any portion of it, may result in severe civil and criminal penalties,
and will be
prosecuted to the maximum extent possible under the law. This document was produced by AIA software
at 11:25:47 on 08/18/2005 under Order
No. 1000177464_2 which expires on 5/4/2006, and is not for resale.

User Notes:

48

 

8/18/05

EXHIBIT A

Project Construction Schedule

John B. Sanfilippo & Son, Inc.

	 	 	 	 	 	 	 	 	 
	DESIGN/PERMITING/BIDDING	 	START	 	FINISH	 	 
	§

	 	Plant Layout (By Chuck)
	 	May 17th 
	 	Done	 	 
	§

	 	Office/Plant Interior (By Heitman)
	 	May 17th 
	 	October 1st
	 	 
	§

	 	MEP Criteria Plan/Exp (By Chuck)
	 	May 17th 
	 	September 15th
	 	 
	§

	 	Office Interior (By Heitman)
	 	May 17th 
	 	October 1st
	 	 
	§

	 	Finish Selections for Interiors
	 	September 1st
	 	November 1st
	 	 
	§

	 	Bidding (By McShane)
	 	October 4th 
	 	November 1st	 	 
	§

	 	Bid & Award Precast
	 	April 15th 
	 	Done	 	 
	§

	 	Bid & Award Mass Grading Contract
	 	May 16th 
	 	Done	 	 
	§

	 	Bid & Award Steel
	 	May 16th 
	 	Done	 	 
	§

	 	Bid & Award Paving
	 	May 16th 
	 	Done	 	 
	§

	 	Bid & Award Roofing, Dock Equipment & Site Utilities
	 	May 16th 
	 	August 24th 
	 	 
	§

	 	City Approval/Permits — by Owner and McShane as required
	 	In progress
	 	In progress	 	 
	 

	 	     for start dates	 	 	 	 	 	 

 

			
	*	 	NOTE: Any delays to permits, this schedule would extend accordingly.

	 	 	 	 	 	 	 
	FALL SITE WORK	 	 	 	 
	•

	 	Relocate Power Lines & Transformer (by Owner)
	 	October 1st	 	October 5th
	•

	 	Rough Grading
	 	September 5th 
	 	November 15th 
	•

	 	Site Utilities
	 	October 5th 
	 	November lst 
	•

	 	Site Lighting
	 	September 25th 
	 	November lst
	•

	 	Curb
	 	October 10th 
	 	November 20th 
	•

	 	Stone Base
	 	November 4th 
	 	November 11th 
	•

	 	Asphalt Binder
	 	November 11th 
	 	December 10th 

1 of 3

 

8/18/05

EXHIBIT A

EAST
ADDITION — DISTRIBUTION

September 5th — April 1st

	 	 	 	 	 	 	 
	§

	 	Pre-Construction Kick-Off Meeting w/Subcontractors & City Inspectors
	 	August 23rd 
	 	August 23rd 
	§

	 	Site Demo
	 	August 24th 
	 	October lst 
	§

	 	Site Demo & Grading
	 	September 5th 
	 	October 20th 
	§

	 	Site Work
	 	September 5th 
	 	December 20th 
	§

	 	Foundations
	 	September 15th 
	 	October 15th 
	§

	 	East Wall Shoring
	 	October 3rd 
	 	October 19th 
	§

	 	East Wall Demo
	 	October 20th 
	 	November 3rd 
	§

	 	Plumbing Downspouts — Underground
	 	October 2nd 
	 	October 26th 
	§

	 	Stone Pad- dependent on weather to facilitate precast/steel
	 	October 5th 
	 	October 27th 
	§

	 	Precast Deadmen
	 	October 27th 
	 	November 8th 
	§

	 	Precast Mobilize
	 	November 7th 
	 	November 9th 
	§

	 	Erect Precast
	 	November 10th 
	 	December lst 
	§

	 	Struct Steel & Roof Deck
	 	November 15th 
	 	December 20th 
	§

	 	Roofing
	 	December 5th 
	 	January lst 
	§

	 	Install overhead doors — No Floors
	 	December lst 
	 	December 20th 
	§

	 	Slab on Grade — Dependent on shell enclosure & frost
	 	January 15th 
	 	February 18th 
	§

	 	Joint Sealant — 65 to 90 day cure required
	 	March 15th 
	 	May 18th 
	§

	 	MEP’s Overhead and Rough-in
	 	December lst 
	 	April lst 
	§

	 	Dock Equipment
	 	February 5th 
	 	March 15th 
	§

	 	MEP’s Trim
	 	March lst 
	 	April lst 
	§

	 	Temporary Occupancy
	 	April lst 
	 	April lst 
	§

	 	Punchlist
	 	April lst 
	 	May lst 

2 of 3

 

8/18/05

EXHIBIT A

SOUTH ADDITION — COOLERS

October 1st — June 1st

	 	 	 	 	 	 	 
	 	 	 	 	START	 	FINISH
	§

	 	Building Demo — Docks & Canopy
	 	October lst 
	 	November lst 
	§

	 	Foundations
	 	October 15th
	 	November 15th 
	§

	 	Plumbing Downspouts — Underground
	 	November 15th 
	 	December lst 
	§

	 	Deadmen
	 	November 28th 
	 	December 9th 
	§

	 	Stone Pad
	 	December lst 
	 	December 10th
	§

	 	Erect Precast
	 	December lst 
	 	January lst 
	§

	 	Struct Steel & Roof Deck and Penthouses
	 	December 21st
	 	February 15th 
	§

	 	Roofing
	 	February 10th
	 	February 27th 
	§

	 	Install overhead doors — No Floors
	 	January 10th 
	 	January 20th 
	§

	 	Frost Removal
	 	January 20th
	 	February 20th
	§

	 	Cooler Subgrade Vapor barrier & Insulation (Weather Dependent)
	 	February 20th 
	 	March 10th
	§

	 	Slab on Grade — Dependent on shell enclosure & frost
	 	March 15th
	 	April 5th 
	§

	 	Cooler Walls & Doors
	 	March 23rd
	 	May 20th 
	§

	 	MEP’s Overhead & Rough-in
	 	January 15th
	 	May lst 
	§

	 	Dock Equipment
	 	April lst 
	 	May lst 
	§

	 	Exterior Precast Painting — Temperature Dependent
	 	April 10th
	 	May 10th 
	§

	 	MEP’s Trim
	 	May lst 
	 	June lst 
	§

	 	Temporary Occupancy
	 	June lst 
	 	June lst 
	§

	 	Punchlist
	 	June lst 
	 	July lst 
	 
	 	 	 	 	 	 
	§

	 	Site Spring 2006 Completions
	 	April 15th 
	 	June 15th 
	§

	 	Asphalt Surface Course (H, I — N, I — S)
	 	April 15th
	 	June 15th 
	§

	 	Landscaping
	 	April 15th 
	 	June 15th
	§

	 	Site Punchlist
	 	April 15th 
	 	June 15th

3 of 3

 

			
	John B. Sanfilippo & Son, Inc.
	 	McShane Construction corp.

	 	 	 	 	 	 	 
	8/18/2005	 	 	 	 	 
	ITEM DESCRIPTION 347,000 addition	 	Budget for Addition & Site	 	 	Please Note : Electrical and HVAC allowances Include exst'g warehouse work - TBD
	Site Demolition
	 	$	200,000	 	 	 
	MlSC SITEWORK
	 	$	50,000	 	 	 
	Pre-Fab Guard [ILLEGIBLE]
	 	$	15,000	 	 	Allowance
	Site clearing Grading stone Fill, Bldg Excav
	 	$	1,100,000	 	 	incl areas D, E, B, I-North, I -South M and J-2005 Season
	LANDSCAPING No Irrigation new or repair costs incl.
	 	$	165,000	 	 	Allowance - D, B, & J 2005 season- some spring ' 06 no maintenance included
	Landscape Paver retaining wall
	 	$	278,000	 	 	Area J under review wf opportunity pending on Hospital regional detention
	SITE UTILITIES  — Incl
storm sewer only+
watermain (No Sanitary)
	 	$	515,000	 	 	incl areas D, E, B, J, I - North, I - South and H 2005  paving season
	Spoil Removal of Sewer spoils 9500 cy
	 	$	140,000	 	 	 
	Site Concrete curbs
	 	$	155,000	 	 	incl areas D, E, B, I - North, I - South and H 2005 season Excludes: protective Coat or Joint Sealant
	ASPHALT STONE BASE & Geotech fabric
	 	$	838,307	 	 	" " " "  2005 paving season
	CONCRETE revised w/ FF35 FL25 Floor finish tolerance
	 	$	2,520,000	 	 	Incl rebars in slab & 4" styrofoam insul in cooler slabs & concrete stairs on grade
	[ILLEGIBLE]
FLOOR SEALER — new addition
	 	$	65,000	 	 	 
	Scaffold/shoring East expansion wall
	 	$	80,000	 	 	 
	PRECAST
WALLS — based on standard dock design w/[ILLEGIBLE]- 0"-wide door opgs

	 	$	1,723,000	 	 	All new walls :No — Reuse of
exst’g.. Also note: includes plank for shipping office mezzanine 
	CMU @ Shipping office new add’t
	 	$	23,000	 	 	Proposed CMU Shipping Office in east addition
	CMU Interior walls @ exist’g warehouse
	 	 TBD	 	scope to be defined
	Metal wall Panels above interior CMU at existing warehouse
	 	 TBD	 	scope to be defined
	STEEL
	 	$	2,181,697	 	 	 
	MISC METALS
	 	$	25,000	 	 	 
	Metal Wall Panels @ new
cooler over exist’g wall &
Penthouses — doors for
coolers in new addition
area only
	 	$	400,000	 	 	includes (4) 3' x 7' [ILLEGIBLE] cooler doors, (6) 3' x 7' infit Cooler doors(2) ea Mark IV 8' x 10' only
	CARPENTRY
	 	$	60,000	 	 	 
	HM DRS, FRAMES & HDWE for new shipping office and new addition
misc opgs
	 	$	20,000	 	 	No exst’g warehouse interior doors or hardware included in this budget
	ROOFING
	 	$	1,085,000	 	 	Insulation delivery req'd prior to December 15th to site
	OVERHEAD METAL CANOPY @ TRUCK DOCKS
	 	$	135,000	 	 	 
	SMOKE VENTS&SKYLIGHTS-NIC
	 	 NIC	 	 
	JOINT SEALERS —  new addition approx 55,000 LF — Product: RS 88
[ILLEGIBLE] primer
	 	$	80,000	 	 	Owner may consider MM80 as alternative, need to review for proper application ADD:$25,000,000
	OVERHEAD DOORS manual operated per CN
	 	$	82,550	 	 	Wayne Dalton TS 150 Rv 14.16 9' x 11' w vision panel wf 2" Brush Rodent protection
	PUNCHED WINDOW OPENINGS
	 	$	6,000	 	 	Propose Shipping Office openings in new east addition
	GLASS ENTRANCES
	 	 NIC	 	 
	Interior [ILLEGIBLE]
	 	$	80,000	 	 	Scope to be defined by Owner
	PAINT PRECAST — Exterior side Only
	 	$	70,000	 	 	does not include repainting existing warehouse exterior
	Overhead Crane — allowance includes $ for electrical
and structural support
steel for complete system for budget purposes consists of 140’ (70
 per side) or 30lb ASCE Crane rail (one
 runway will be electified)
	 	$	60,000	 	 	Allowance includes 10 ton (20,000lbs) top running single girder 18' span (approx) 38' lift available
	PLASTER/EIFS
	 	 NIC	 	 
	TRUCK SCALE
	 	$	85,000	 	 	Allowance 70'x11' concrete pit application including concrete, excavation and electrical (all inclusive)
	BLINDS -NIC-
	 	 NIC	 	 
	DOCK
EQUIPMENT Models per Panl Company based on [ILLEGIBLE] (68) dock opgs,
	 	$	600,000	 	 	Serco VSLW Vertical Levelors (6' -5" wide x 6' long) Trallor Restraints SL60, WSH Dock Seals & Master Control Panels
	PLUMBING — New addition of Downspouts & Overflows Only
	 	$	350,000	 	 	Does not include existing warehouse work or new office/shipping office/bradley sink - Including re-routing overflows (pricing TBD)
	FIRE SPRINKLER using Exst’g Pump — Current Flow Test still required to [ILLEGIBLE]
	 	$	650,000	 	 	Does not include existing warehouse work or new offices
	HVAC
	 	$	2,500,000	 	 	Scope to be defined by Owner, but includes smoke exhaust per 400" travel/exit requirement.
	ELECTRIC — Site and Bldg
	 	$	1, 500,000	 	 	Scope to be defined by Owner
	TEMPORARY ELECTRIC
	 	incl in elec	 	 
	FIRE ALARM
	 	incl in elec	 	 
	Refrigeration
	 	$	1,500,000	 	 	Scope to be defined by Owner
	ELEVATOR and Conveying Systems
	 	 NIC	 	Will provide pricing for Owner if req'd by Governing Authorities
	NW ENTRY Remodel
	 	 TBD	 	Scope to be defined by Owner
	Office improvements
	 	 TBD	 	Scope to be defined by Owner
	East Wall Removal & Disposal
	 	$	100,000	 	 	Including existing floor sawcutting on removal
	BLDG Demolition
	 	$	400,000	 	 	Allowance
	PERMIT
& GOVERNMENTAL FEES
	 	$	100,000	 	 	Allowance
	Testing & Soil Borings
	 	$	75,000	 	 	Allowance
	COMPACTOR
	 	 NIC	 	 
	Winter Cost & Misc. Labor
	 	$	100,000	 	 	Allowance
	Contingency — should
remain fixed amount rather
than [ILLEGIBLE] %,
	 	$	600,000	 	 	Allowance
	 
	 	 	 	 	 	 
	SUBTOTALS:
	 	$	20,712,454	 	 	 
	 
	 	 	 	 	 	 
	GENERAL CONDITIONS
	 	$	1,242,747	 	 	 
	SUBTOTAL
	 	$	21,955,201	 	 	 
	Fee
	 	$	963,320	 	 	 
	Subtotal
	 	$	22,918,521	 	 	 
	Builders Risk @ (.009)
	 	$	20,000	 	 	 
	Liability Insurance
	 	$	259,071	 	 	 
	TOTAL
	 	$	23,197,592	 	 	 

 

EXHIBIT C

Billing Rate Schedule

	 	 	 	 	 	 	 	 	 
	Position	 	Through 12/31/05	 	01/01/06
— 12/31/06
	Project Executive
	 	  $	131.00	 	 	  $	138.00	 
	Sr. Project Manager
	 	 	115.00	 	 	 	121.00	 
	Project Manager
	 	 	95.00	 	 	 	99.00	 
	Project Engineer
	 	 	74.00	 	 	 	77.00	 
	Estimator
	 	 	74.00	 	 	 	77.00	 
	Clerical
	 	 	42.00	 	 	 	44.00	 
	Superintendent
	 	 	95.00	 	 	 	99.00	 
	MEP Superintendent
	 	 	95.00	 	 	 	99.00	 
	Asst. Superintendent
	 	 	86.00	 	 	 	90.00	 
	Safety Engineer
	 	 	86.00	 	 	 	90.00	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Regular Pay	 	Overtime Pay	 	Regular Pay	 	Overtime Pay
	 	 	06/01/05
— 05/31/06	 	06/01/05 — 05/31/06	 	06/01/06
— 05/31/07	 	06/01/06 — 05/31/07
	Carpenter Journeyman
	 	  $	71.00	 	 	  $	95.00	 	 	  $	75.00	 	 	  $	100.00	 
	Carpenter Foreman
	 	 	80.00	 	 	 	104.00	 	 	 	84.00	 	 	 	109.00	 
	Laborer Journeyman
	 	 	63.00	 	 	 	85.00	 	 	 	66.00	 	 	 	89.00	 
	Laborer Foreman
	 	 	70.00	 	 	 	93.00	 	 	 	73.00	 	 	 	97.00	 
	Cement Mason Journeyman
	 	 	73.00	 	 	 	127.00	 	 	 	77.00	 	 	 	134.00	 
	Cement Mason Foreman
	 	 	81.00	 	 	 	137.00	 	 	 	85.00	 	 	 	144.00	 

 

 

EXHIBIT D

Specification List

Not Used

 

 

EXHIBIT E

Drawing List

 

 

	 	 	 
	
	 	 
	 

	 	CURRENT DRAWING LIST
	 
	 	 
	Sanfilippo

	 	Project # Sanfilippo
	1703 N. Randall Rd.
	 	 
	Elgin, IL 60123

	 	Printed on: 8/17/2005

Architectural

as
prepared by Heitman Architects, Inc.

	 	 	 	 	 	 	 	 	 
	Number	 	Rev	 	Rev Date	 	Title

	A1.1

	 	 	1	 	 	6/29/2005
	 	Site Plan
	A1.2

	 	 	1	 	 	6/29/2005
	 	Site Details
	A10.1

	 	 	1	 	 	6/29/2005
	 	Door Schedule
	A10.2

	 	 	1	 	 	6/29/2005
	 	Door Details
	A2.0

	 	 	1	 	 	6/29/2005
	 	Composite Floor Plan
	A2.1

	 	 	1	 	 	6/29/2005
	 	Second Roof Drainage
	A2.2

	 	 	1	 	 	6/29/2005
	 	Enlarged Floor Plan
	A2.3

	 	 	1	 	 	6/29/2005
	 	Enlarged Floor Plan
	A2.4

	 	 	1	 	 	6/29/2005
	 	Enlarged Floor Plan
	A2.5

	 	 	1	 	 	6/29/2005
	 	Enlarged Floor Plan
	A2.6

	 	 	1	 	 	6/29/2005
	 	Enlarged Floor Plan
	A2.7

	 	 	1	 	 	6/29/2005
	 	Enlarged Floor Plan
	A4.0

	 	 	1	 	 	6/29/2005
	 	Roof Plan
	A4.1

	 	 	1	 	 	6/29/2005
	 	Roof Detail
	A5.0

	 	 	1	 	 	6/29/2005
	 	Elevations
	A5.1

	 	 	1	 	 	6/29/2005
	 	Elevations
	A6.1

	 	 	1	 	 	6/29/2005
	 	Wall Sections
	A6.2

	 	 	1	 	 	6/29/2005
	 	Wall Sections
	A6.3

	 	 	1	 	 	6/29/2005
	 	Wall Sections
	A7.1

	 	 	1	 	 	6/29/2005
	 	Exterior Detail
	A7.2

	 	 	1	 	 	6/29/2005
	 	Cooler Details
	A8.0

	 	 	1	 	 	6/29/2005
	 	Stair Plan & Details
	D2.0

	 	 	1	 	 	6/29/2005
	 	Composite Demolition Plan

Civil

as prepared by Patrick Engineering

	 	 	 	 	 	 	 	 	 
	C-0

	 	 	1	 	 	6/24/2005
	 	Civil Cover Sheet
	C-1

	 	 	1	 	 	6/24/2005
	 	Key Sheet
	C-10

	 	 	1	 	 	6/24/2005
	 	Area H — Grading & Drainage Plan
	C-11

	 	 	1	 	 	6/24/2005
	 	Area I — North — Grading & Drainage Plan
	C-12

	 	 	1	 	 	6/24/2005
	 	Area I — South — Grading & Drainage Plan
	C-13

	 	 	1	 	 	6/24/2005
	 	Area J — Grading & Drainage Plan
	C-14

	 	 	1	 	 	6/24/2005
	 	Area A — Geometric & Paving Plan
	C-15

	 	 	1	 	 	6/24/2C05
	 	Area B — Geometric & Paving Plan

 

 

	 	 	 	 	 	 	 	 	 
	Number	 	Rev	 	Rev Date	 	Title

	C-16

	 	 	1	 	 	6/24/2005
	 	Area D — Geometric & Paving Plan
	C-17

	 	 	1	 	 	6/24/2005
	 	Area E — Geometric & Paving Plan
	C-18

	 	 	1	 	 	6/24/2005
	 	Area F — Geometric & Paving Plan
	C-19

	 	 	1	 	 	6/24/2005
	 	Area G — Geometric & Paving Plan
	C-2

	 	 	1	 	 	6/24/2005
	 	Erosion Control Plan
	C-20

	 	 	1	 	 	6/24/2005
	 	Area H — Geometric & Paving Plan
	C-21

	 	 	1	 	 	6/24/2005
	 	Area I — North — Geometric & Paving Plan
	C-22

	 	 	1	 	 	6/24/2005
	 	Area I — South — Geometric & Paving Plan
	C-23

	 	 	1	 	 	6/24/2005
	 	Sitework Details
	C-24

	 	 	1	 	 	6/24/2005
	 	Sitework Details
	C-25

	 	 	1	 	 	6/24/2005
	 	Sitework Specifications
	C-26

	 	 	1	 	 	6/24/2005
	 	Sitework Specifications & Details
	C-3

	 	 	1	 	 	6/24/2005
	 	Existing Topography Plan
	C-4

	 	 	1	 	 	6/24/2005
	 	Area A — Grading & Drainage Plan
	C-5

	 	 	1	 	 	6/24/2005
	 	Area B — Grading & Drainage Plan
	C-6

	 	 	1	 	 	6/24/2005
	 	Area D — Grading & Drainage Plan
	C-7

	 	 	1	 	 	6/24/2005
	 	Area E — Grading & Drainage Plan
	C-8

	 	 	1	 	 	6/24/2005
	 	Area F — Grading & Drainage Plan
	C-9

	 	 	1	 	 	6/24/2005
	 	Area G — Grading & Drainage Plan

Electrical

	 	 	 	 	 	 	 	 	 
	E-0

	 	 	1	 	 	6/24/2005
	 	Electrical Cover Sheet
	E-1

	 	 	1	 	 	6/24/2005
	 	Area “A” Lighting Plan
	E-10

	 	 	1	 	 	6/24/2005
	 	Area “E” Lighting
Photometrics
	E-11

	 	 	1	 	 	6/24/2005
	 	Area “G” Lighting
Photometrics
	E-12

	 	 	1	 	 	6/24/2005
	 	Area “I South” Lighting
Photometrics
	E-13

	 	 	1	 	 	6/24/2005
	 	Electrical Details
	E-2

	 	 	1	 	 	6/24/2005
	 	Area “B” Lighting Plan
	E-3

	 	 	1	 	 	6/24/2005
	 	Area “D” Lighting Plan
	E-4

	 	 	1	 	 	6/24/2005
	 	Area “E” Lighting Plan
	E-5

	 	 	1	 	 	6/24/2005
	 	Area “G” Lighting Plan
	E-6

	 	 	1	 	 	6/24/2005
	 	Area “I South” Lighting Plan
	E-7

	 	 	1	 	 	6/24/2005
	 	Area “A” Lighting
Photometrics
	E-8

	 	 	1	 	 	6/24/2005
	 	Area “B” Lighting
Photometrics
	E-9

	 	 	1	 	 	6/24/2005
	 	Area “D” Lighting
Photometrics

Landscape

as prepared by Gary R. Weber Associates, Inc.

	 	 	 	 	 	 	 	 	 
	1 of 4

	 	 	1	 	 	6/17/2005
	 	Alternate A
	2 of 4

	 	 	1	 	 	6/17/2005
	 	Alternate B
	3 of 4

	 	 	1	 	 	6/17/2005
	 	Alternate C
	4 of 4

	 	 	1	 	 	6/17/2005
	 	Alternate D

Soil Borings

as prepared by STS Consultants Ltd.

	 	 	 	 	 	 	 	 	 
	[ILLEGIBLE]	 

	 	0	 	 	5/24/2005
	 	Soil Borings

 

 

Structural

as prepared by Heitman Architects, Inc.

	 	 	 	 	 	 	 	 	 
	Number	 	Rev	Rev Date	Title

	S1.0

	 	 	1	 	 	6/29/2005
	 	Foundation Plan
	S2.0

	 	 	1	 	 	6/29/2005
	 	Roof Framing Plan
	S2.1

	 	 	1	 	 	6/29/2005
	 	Partial Framing Plan
	S3.0

	 	 	1	 	 	6/29/2005
	 	Foundation Details
	S4.0

	 	 	1	 	 	6/29/2005
	 	Foundation Details
	S5.0

	 	 	1	 	 	6/29/2005
	 	Floor Framing Details
	S6.0

	 	 	1	 	 	6/29/2005
	 	Roof Framing Details
	S7.0

	 	 	1	 	 	6/29/2005
	 	General Notes

 
9550 W. HIGGINS ROAD, SUITE 200 Rosemont, IL 60018

(847) 292-4300 FAX (847) 292-4310

www.mcshane.com

 

 

EXHIBIT F

Clarifications

 

 

			
	John B. Sanfilippo & Sons, Inc.
	 	8/18/05
	Elgin, IL	 	 

EXHIBIT F

Clarifications/Exclusions

By Owner

	•	 	All design documents and criteria
	 
	•	 	Temporary utilities
	 
	•	 	Security
	 
	•	 	Temporary wall at east warehouse (wall being demolished)
	 
	•	 	Snow removal
	 
	•	 	Relocation of existing power cable and transformers and electrical disconnection of light poles
	 
	•	 	Survey; lawn irrigation and repairs
	 
	•	 	Bonds, letter of credit

Exclusion

	•	 	Parking deck; fencing; furnishings; elevator
	 
	•	 	Off-site work
	 
	•	 	Process work; racks, conveyor, compactor, etc.
	 
	•	 	Telephone, CRT, security, low voltage cable and systems
	 
	•	 	Skylight and smoke vents
	 
	•	 	Signage
	 
	•	 	Floor markings/striping

 

 

EXHIBIT H

Geotechnical

 

 

	 	 	 
	 

	 	STS
Consultants, Ltd.
	 
	 	 
	

	 	Subsurface Exploration and Geotechnical Exploration for the Proposed Warehouse Expansion, Elgin, Illinois
	 
	 	 
	 

	 	McShane Construction Corporation
	 

	 	9550 West Higgins Road, Suite 200
	 

	 	Rosemont, IL 60018
	 
	 	 
	 

	 	STS Project No. 1-26363-E
	 

	 	May 24, 2005

 

 

	 	 	 	 	 
	 

	 	750 Corporate Woods Parkway
	 	 
	 

	 	Vernon Hills, Illinois 60061	 	 
	 

	 	Phone 847-279-2500	 	 
	May 24, 2005

	 	Fax 847-279-2510	 	 
	 
	 	 	 	 
	Mr. Mark Tritschler
	 	 	 	 
	McShane Construction Corporation
	 	 	 	 
	9550 West Higgins Road, Suite 200
	 	 	 	 
	Rosemont, Illinois 60018
	 	 	 	 

	 	 	 
	RE:

	 	Subsurface Exploration and Geotechnical Recommendations for the Proposed
Warehouse Expansion at the Southeast Corner of Randall Road and I-90 in Elgin, Illinois — STS
Project No. 1 -26363-E

Dear Mr. Tritschler:

In accordance with our proposal dated April 18, 2005 and revised May 11, 2005, STS Consultants,
Ltd. (STS) has completed the geotechnical engineering analyses for the above referenced project.
This report presents the results and recommendations for this site based on the soil and
groundwater conditions encountered in the borings and the proposed land use.

If there are any questions with regard to the information contained in this report or if we may be
of further service to you, please do not hesitate to contact us.

Respectfully,

	 	 	 
	STS CONSULTANTS, LTD.
	 	 
	 
	 	 
	/s/ Sara E. Knight

	 	 
	 

Sara E. Knight, P.E.

	 	 
	 Project Engineer
	 	 
	 
	 	 
	/s/ Ronald P. Palmieri
	 	 
	 

Ronald P. Palmieri, P.E.

	 	 
	Principal Engineer
	 	 

	 	 	 
	cc:

	 	Mr. Mark Osman, McShane Construction Corporation

 

 

TABLE OF CONTENTS

	 	 	 	 	 	 	 	 	 
	1.0	 	Project Overview 	 	 	1	 
	 
	 	 	 	 	 	 	 	 
	     1.1
	 	 	 	Project Description 	 	 	1	 
	 
	2.0	 	Exploration Procedures 	 	 	2	 
	 
	 	 	 	 	 	 	 	 
	     2.1
	 	 	 	Subsurface Exploration 	 	 	2	 
	     2.2
	 	 	 	Laboratory Testing Program 	 	 	3	 
	 
	 	 	 	 	 	 	 	 
	3.0	 	Exploration Results 	 	 	4	 
	 
	 	 	 	 	 	 	 	 
	     3.1
	 	 	 	Site Conditions 	 	 	4	 
	     3.2
	 	 	 	Soil Conditions 	 	 	4	 
	     3.3
	 	 	 	Groundwater Conditions 	 	 	6	 
	 
	 	 	 	 	 	 	 	 
	4.0	 	Geotechnical Analysis and Recommendations 	 	 	6	 
	 
	 	 	 	 	 	 	 	 
	     4.1
	 	 	 	Warehouse Expansion 	 	 	6	 
	 	 	4.1.1      Mass Grading and Earthwork 	 	 	7	 
	 	 	4.1.2      Spread Footing Foundations	 	 	8	 
	 	 	4.1.2.1   Footing Foundations on Natural Soils 	 	 	9	 
	 	 	4.1.2.2   Footing Foundations on Structural Fill 	 	 	9	 
	     4.2
	 	 	 	Precast Parking Garage 	 	 	10	 
	     4.3
	 	 	 	Slab-on-Grade and Pavement Subgrade	 	 	12	 
	     4.4
	 	 	 	Detention Pond Expansion 	 	 	13	 
	 
	 	 	 	 	 	 	 	 
	5.0	 	Construction Considerations 	 	 	13	 
	 
	 	 	 	 	 	 	 	 
	6.0	 	General Qualifications 	 	 	14	 
	 
	 	 	 	 	 	 	 	 
	APPENDIX	 	 	 	 	 	 

 

 

SUBSURFACE EXPLORATION AND GEOTECHNICAL ENGINEERING

RECOMMENDATIONS FOR THE PANASONIC WAREHOUSE EXPANSION

SOUTHEAST CORNER OF RANDALL ROAD AND INTERSTATE I-90

ELGIN, ILLINOIS

1.0 PROJECT OVERVIEW

1.1 Project Description

The project consists of the expansion of the existing warehouse located at the southeast corner of
Randall Road and Interstate I-90 in Elgin, Illinois. It is our understanding the project will
consist of expanding the existing warehouse by approximately 337,000 square feet to the south and
east of the existing structure. The proposed warehouse addition will be one story, situated on
shallow foundations with a slab-on-grade. Construction of additional on-grade bituminous concrete
parking lots and the expansion of the east detention pond are also planned. A six-story precast
parking garage, in place of an on grade pavement area, is being considered at the northeast corner
of the proposed warehouse (east of the office building). Proposed finished floor elevations and
columns loads for the proposed parking structure are not known at this time.

The scope of geotechnical exploration of the site consisted of performing 34 soil borings extended
to nominal depths of 5 feet to 42.5 feet. The boring locations were determined and located in the
field by STS Consultants, Ltd. (STS).

The purposes of this report are to describe the site, soil and groundwater conditions, to analyze
and evaluate the data obtained, and to provide recommendations for the design and construction of
the foundations, slab-on-grade areas and pavement for the warehouse expansion. Recommendations
regarding the construction of the detention pond expansion are also included.

1

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

2.0 EXPLORATION PROCEDURES

2.1 Subsurface Exploration

Thirty-four (34) soil borings were completed for the geotechnical exploration program. The
soil borings were extended to depths of 5 to 42.5 feet below existing grade. Borings B-1 through
B-9 were extended to 5 to 10 feet below grade and was performed within the proposed parking lots
located at the northwest area of the site. Borings B-10 through B-14 were extended to depths of
30 to 42.5 feet below grade and located within the proposed parking lot/parking garage area at the
northeast corner of the existing warehouse. Borings B-15 through B-19 were performed within the
footprint of the proposed warehouse expansion, on the east side of the structure and extended to a
depth of 20 feet below grade. Borings B-20 through B-24 were extended to a depth of 15 feet
below grade and was located within the warehouse expansion on the south side of the existing
warehouse. Boring 8-25 was extended to 10 and located within the west parking lot expansion.
Borings B-26 through B-32 were extended to depth ranging from 5 to 10 feet below grade and located
within the area of the east parking lot. The remaining borings, B-33 and B-34 were located in the
area of the proposed detention pond expansion and extended to a depth of 15 feet below grade.

The locations and depths of the soil borings were determined, based on discussion with McShane
Construction and located in the field by STS. The locations are shown on the Soil Boring Location
Diagram, Figure 1 in the Appendix. The existing ground surface elevation at each boring location
was surveyed in the field by STS using the existing warehouse floor slab as an assumed benchmark
of 899.5 feet.

The soil borings were performed with a truck-mounted drilling rig using various cutting bits to
advance the boreholes. Samples from the borings were typically obtained at 2.5 foot intervals to
a depth of 15 feet below grade and then at 5-foot intervals to the termination depth of the
borings. Representative soil samples were obtained by means of split barrel and Shelby tube
sampling procedures in general conformance with ASTM Standards D-1586 and D-1587, respectively.
Samples obtained in the field were logged, labeled, sealed and returned to our Vernon Hills,
Illinois laboratory for further examination and testing.

2

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

In addition to the above described sampling, in-situ pressuremeter testing was performed in
soil borings B-10 and B-13. Four (4) pressuremeter tests were performed in each boring from depths
of 8.5 feet to 28.5 feet. The purpose of the in-situ pressuremeter testing is to maximum the safe
allowable bearing pressure for the precast parking garage, if constructed.

During the field operations, the drilling crew maintained a log of the subsurface conditions
including changes in the stratigraphy and observed groundwater level. The drilling crew made water
level observations in the boreholes both during and upon completion of the drilling and sampling
operations. These readings are indicated at the lower left hand corner on the boring logs in the
Appendix. Upon completion of the drilling operations, the majority of the boreholes were
backfilled with a mixture of bentonite chips and soil cuttings to prevent groundwater migration
which can occur through boreholes otherwise left open. Soil borings B-10 and B-13 were tremie
grouted upon completion of the drilling operations.

2.2 Laboratory Testing Program

The laboratory testing program consisted of performing visual classification and moisture content
testing on each sample recovered. Hand penetrometer tests were performed on cohesive soil samples
to estimate their unconfined compressive strengths. In the hand penetrometer test, the unconfined
compressive strength of a cohesive soil is estimated, to a maximum of 7.0 tons per square foot
(tsf), by measuring the resistance of the soil sample to penetration by a small spring calibrated
cylinder.

In conjunction with the laboratory testing program, the soil samples were visually examined and
classified on the basis of texture and plasticity in accordance with the STS Soil Classification
System. The estimated group symbol included in parentheses following the soil descriptions on the
boring logs is in general conformance with the Unified Soil Classification System which serves as
the basis for the STS Soil Classification System. A brief explanation of the classification of
soil samples is included in the Laboratory Procedures description page included in the Appendix.

3

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

The procedures utilized in preparing the final boring logs from the field logs and laboratory
test data are described in the “STS Field and Laboratory Procedures” attachment. All soil samples
recovered in the borings will be retained on our laboratory for a period of 60 days after which
they will be discarded unless specific instructions as to their disposition are received.

3.0 EXPLORATION RESULTS

3.1 Site Conditions

The site is located at the southeast corner of Interstate I-90 and Randall Road in Elgin,
Illinois. At the time of our subsurface exploration the majority of the site was occupied by the
existing warehouse, 4-story office building and parking lots. The areas where the soil borings
were performed were typically open areas covered with low vegetation. The soil borings on the
south side of the existing warehouse were performed in the existing concrete loading dock area.

Based on the Master Grading and Drainage Plan, C203, dated March 5, 1990 and created by Cowhey
Gudmunson Leder, Ltd. the majority of the site originally ranged in elevation from 877 to 890
feet.

3.2 Soil Conditions

Large variations in soil conditions were encountered at the site. Based on results of the soil
borings completed for this project, the following soil types have been identified. Various
borings encountered clayey topsoil at the ground surface to depths of 3 inches to 2 feet.
Pavement materials were also encountered at the surface of the borings performed in the existing
truck court. Typically cohesive fill soils, such as silty clay fill, were encountered below the
above mentioned materials. Natural silty clay was typically encountered below the fill materials.
Layers of silty organic clay, clayey silt, silt, fine to coarse sand, silty sand and sandy clay
were also noted in numerous soil borings. We refer you to the individual soil borings for the
soil profile encountered in each boring.

4

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

Topsoil — Dark Brown to black topsoil and clayey topsoil was encountered at the
surface of the majority of the borings performed in the grassy areas. The depth of this layer
ranged across the site from 3 inches to 2 feet. In addition, layers of organic clay were also
encountered at various locations. These soils will be referred to as organic soils throughout
this report. The organic soils typically contained roots, fibers and
sand.

Silty Clay Fill — Silty clay fill was predominately encountered below the pavement and
topsoil layers. The silty clay fill was typically brown and was stiff to hard. The depths of the
fill materials encountered ranged across the site.

Brown to Gray Silty Clay — The majority of the soil borings were terminated in the clay
layer encountered at the site. The silty clay typically encountered in the soil borings was stiff
to hard and ranged from brown to gray in color. This layer contained trace to little amounts of
sand and gravel.

Fine to Medium Sand and Silty Sand — Layers of fine to medium sand and silty sand were
encountered at various depths and thicknesses throughout the soil borings. The sand was typically
loose to medium dense. The soil color ranged from brown to gray and the sand was moist to
saturated, depending on the location of the water table.

Clayey
Silt and Silt — Silt layers ranging from clayey to sandy were encountered at
various depths and various thicknesses in the borings performed at the site. The silt was
typically medium dense and varied in color and moisture.

Numerous variations to the general soil profile were noted. We refer you to the individual boring
logs, attached, for specific information at the boring locations. It should be noted that the
stratification lines indicated on the boring logs were selected on the basis of laboratory tests,
field logs and visual observations of the recovered soil samples. Therefore, the stratification
lines that occur on the boring logs are, in some cases, estimated; in-situ, the transition
between soil types in both the horizontal and vertical directions may be gradual.

5

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

3.3 Groundwater Conditions

At the time of field exploration, the majority of the borings performed to a depth of 10 feet or
less were dry both during and after the drilling operations. The majority of the borings extended
below 10 feet encountered groundwater from depths of 7.5 to 15 feet below grade.

We estimate the long-term groundwater level to be between elevations 874 to 879 feet at the time
the borings were performed. Where silt and sand seams are underlain by silty clay, a perched
water table in the cohesionless layers can exist during and after periods of precipitation. The
perched and long-term groundwater levels are subject to change due to seasonal variations,
including precipitation, evaporation and surface run-off.

4.0 GEOTECHNICAL ANALYSIS AND RECOMMENDATIONS

4.1 Warehouse Expansion

The soil borings performed in the footprint of the proposed warehouse expansion, B-15 through
B-24, encountered a variety of soil conditions. Based on the fill materials encountered in the
soil borings, the existing fill does not appear to have been placed in a controlled manner in the
area east of the existing warehouses. Care should be exercised to avoid undermining the existing
warehouse footings and floor slabs. Confinement of below grade walls should be maintained if
loads are placed on the warehouse slab-on-grade within 10 feet of the existing exterior wall. We
understand the areas on the south side of the building, currently occupied by the loading dock
area will be raised 4 to 5 feet above existing grade to match the existing finished floor.

6

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

     4.1.1 Mass Grading and Earthwork

Based on the size of the proposed warehouse expansion and the soils encountered east of the
warehouse, it may be more economical to prepare the east warehouse expansion building pad by mass
grading and filling, versus over excavating for foundations and localized over excavation in the
slab-on-grade area where topsoil is encountered. To prepare the warehouse building pad area for
construction of foundations and the slab on grade, all organic soils including clayey topsoil,
organic clay, vegetation and any other objectionable material including uncontrolled clay fill
should be removed and the subgrade observed by a representative of STS Consultants, Ltd.
Unsuitable soils were encountered 2 to 7.5 feet below existing grade.

We understand that the existing concrete for the truck court area (south warehouse expansion) is
planned for removal and recycled to be used as fill. Once the concrete slab is removed, the
underlying aggregate base course should be recompacted to at least 95% of the maximum laboratory
dry density prior to placement of engineered fill.

As an aid in locating unsuitable subgrade soils for slab-on-grade support, the stripped surface
(removal of topsoil) should be proofrolled. In the proofrolling procedure, the stripped surface
consisting primarily of clayey soils is rolled with the heaviest piece of high-tire-pressure
equipment available on the site, such as a heavily loaded tandem axle dump truck having a minimum
gross weight of 25 tons. Where cohesionless soils are encountered, a minimum 10-ton vibratory drum
roller should be used. Clayey silts, sandy silts and silt materials are highly susceptible to
disturbance. We recommend exposed silt materials be avoided during proofrolling and observed
visually by our geotechnical engineer. A minimum of two coverages of the proofrolling vehicle, in
perpendicular directions, is recommended. The proofrolling should be performed under the
observation of a representative of the geotechnical engineer. Soils which exhibit instability or
excessive deflection beneath the proofrolling vehicle should be removed and the proofrolling
continued until all such soils have been located and removed.

Where new fill is required to reach the design foundation and floor slab elevations, we recommend
that an approved inorganic material be utilized as structural fill. This material could consist
of excavated on-site silty clay (natural or fill) or fine to coarse sand, which is free of

7

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

organic matter, topsoil, and debris from the pond excavation or imported, well graded
granular materials, such as IDOT Grade CA-6. We do not recommend reuse of the site silt materials
as structural fill for building pads and pavement areas. The silt materials may be reused for
landscaped areas, if any.

New fill should be placed in maximum 9-inch loose lifts and compacted to a minimum of 95% of the
maximum dry density obtained in accordance with ASTM D 1557, modified Proctor method for building
pad areas. Moisture contents should be maintained within ±3 points of optimum moisture during
placement and compaction.

The completed top of the building pad should extend outward laterally from the proposed perimeter
building footings by a minimum of 10 feet in order to provide for proper compaction below the
foundations and floor slabs, if mass grading is performed.

For local over excavation of the footings and floor slabs, we recommend two feet laterally outside
the perimeter plus one foot for every vertical foot of fill removed be removed and replaced.

     4.1.2 Spread Footing Foundations

Based on the subsurface exploration results, we recommend a shallow foundation system be used to
support the proposed warehouse addition. The use of footing type foundations supported on the
natural very stiff to hard silty clay or medium dense clayey silt, silt and sand or
engineered fill placed and compacted to at least 95% of the maximum laboratory dry density is
recommended. Specific allowable bearing capacity recommendations are provided in the following
sections.

To provide adequate frost protection, we recommend that all perimeter footing foundations in
non-heated areas be situated at a minimum depth of 4 feet below final outside grade while the
perimeter footings in heated areas should be situated at a minimum depth of 3.5 feet below final
outside grade. Also, in order to avoid disproportionately small footing sizes, we recommend that
all continuous footings have a minimum width of 1.5 feet and that all isolated column footings
have a minimum lateral dimension of 2.5 feet.

8

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

     4.1.2.1 Footing Foundations on Natural Soils

For footing foundations situated within the natural, very stiff to hard silty clay layers or
medium dense sands and silts typically encountered below the surficial fill materials, we
recommend a maximum net allowable design soil bearing pressure of 3,000 pounds per square foot
(psf). The net allowable soil bearing pressure refers to that pressure which may be transmitted to
the foundation soils in excess of the final minimum surrounding overburden pressure. A working mat
of 4 inches of lean concrete should be placed where silt is encountered at the base of the
foundation excavation to avoid disturbance of the material.

Total settlement of footing foundations for the warehouse expansion, situated in the recommended
bearing strata described above, is estimated to be approximately
1⁄2 to 1 inch with typical
differential settlements on the order of 1⁄2 of the total settlement.

     4.1.2.2 Footing Foundations on Structural Fill

Foundations may be supported on new properly compacted silty clay or sand fill as described above.
We do not recommend the site clayey silt and silt materials be used as structural fill for
foundations, slab-on-grade or pavement areas. For spread footings foundations supported on
existing or new silty clay or sand fill materials which are free of topsoil or organic material
and properly compacted, we recommend a maximum net allowable soil bearing pressure of 3,000 psf.
The net allowable soil bearing pressure refers to that pressure which may be transmitted to the
foundation soils in excess of the final minimum surrounding overburden pressure. Careful
observation and testing by our geotechnical engineer or field technician of the prepared
foundation soils is strongly recommended during construction.

Total settlement of footing foundations, situated in the recommended bearing strata described
above, is estimated to be less than 1 inch with typical differential settlements on the order of
1⁄2 of the total settlement.

9

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

4.2 Precast Parking Garage

It is our understanding that a 6-story, precast parking garage is being considered as an
alternative to an on grade parking lot expansion at the northeast corner of the existing
warehouse, directly east of the existing 4-story office building. Soil borings B-10 through B-14
were performed within the proposed footprint of this structure. Unsuitable soils for support of
the proposed building foundations were encountered to typical depths of 7.5 to 10.5 feet below
grade. If the building is to be situated on shallow foundations and a slab-on-grade, we recommend
all existing fill and organic materials be removed below the footings and replaced with structural
fill per the recommendations provided in the Warehouse Expansion section of this report. The
recommendations for the spread footings situated on structural fill are also provided in the
Warehouse Expansion section.

     4.2.1 Drilled Caisson Design and Construction

Alternatively, the proposed structure may be situated on drilled caissons. For the Parking Garage,
we recommend drilled straight shaft or belled caissons extended to the natural, low moisture
content stiff to very stiff silty clay encountered at 13.5 to 15 feet below grade. Granular layers
were encountered in borings B-11, B-13 and B-14. A temporary liner will be required through the
granular layers during caisson installation. Based on our geotechnical evaluation and the in-situ
pressuremeter testing, we recommend a maximum net allowable bearing pressure of 10,000 pounds per
square foot (psf) for caissons supported on the above
recommended bearing layer. The maximum net
allowable soil bearing pressure is that pressure which may be transmitted to the foundation soils
in excess of the final minimum surrounding overburden pressure.

The base of the caissons may be belled as required to achieve the required bearing area. Bells
should be formed within day soils to provide stability during belling operations.

Based on estimated loads for the Parking Garage and the consistency of the soils encountered, we
estimate a maximum settlement on the order of 1 inch for caisson foundations supported on the
above mentioned layer. Maximum differential settlements are typically a maximum of 1⁄2 of

10

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

the total settlement for equal loads. It should be noted that these settlement values are for
soil compression only and that elastic compression of the caisson concrete should be added to
these values.

A minimum caisson shaft diameter of 2.5 feet is recommended. Either belled or straight shaft
caissons may be utilized. If belled, the caisson bell should have a base angle of at least 60
degrees (from horizontal) and the bell diameter should not exceed 3 times the shaft diameter.
Caisson concrete may be placed by the free fall method into the clean and dry shaft excavations
as long as concrete does not hit the sides of the shaft or the rebar cage during placement.
Concrete slump should be in the range of 5 to 7 inches.

Depending on the working grade for caisson construction, it may be necessary to temporarily case
through the existing fill and cohesionless materials to depths typically on the order of 10 to 15
feet below grade. The temporary casing should be sealed a minimum 2 feet into the underlying
natural clay to seal off the upper potentially unstable soils. The bells of the caissons should be
extended below this casing.

Because a caisson technician will not be lowered into the excavation to observe the base of the
caisson excavation directly due to safety concerns, we recommend to oversize the bell area by 15%
or 1 foot, whichever is smaller, to provide some excess bearing area so that any excess spoil not
removed by mechanical cleanup can be backbladed beyond the design bearing area. Alternatively, if
it proves more economical, an explosion proof camera could be lowered into the bell after final
cleanup to verify that the bell is suitably free of loose material and the oversize eliminated.

We recommend that the STS geotechnical engineer of record or his/her appointed representative be
present during all phases of caisson construction to observe that the excavations have reached a
suitable bearing stratum as recommended in this report.

The caisson design and construction procedures should be reviewed with the contractor selected
for this work prior to the start of construction. If you wish, we would be pleased to review the
plans and specifications for the foundation work once they are prepared so that we

11

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

may have the opportunity to comment on the effects of the soil and groundwater conditions on
the construction.

4.3 Slab-on-Grade and Pavement Subgrade

The subgrade in slab-on-grade and pavement areas should be prepared per the recommendations
provided in the Warehouse Expansion section of this report. Prior to an aggregate base course all
vegetation and other unsuitable materials, such as topsoil materials and other organic deposits,
should be stripped and the subgrade should be observed by a representative of STS Consultants,
Ltd. Proofrolling should be performed after unsuitable soil removal and before filling to locate
near-surface soft or unsuitable soils that may require improvement or removal. The proofrolling
procedures are provided in the Warehouse Expansion section of this report. Proofrolling should be
observed by a representative of the geotechnical engineer.

Where new fill is required to reach the design subgrade elevations, we recommend that an approved
inorganic material be utilized. This material could consist of
excavated on-site silty clay or
sand, which is free of organic matter, topsoil, and debris. Fill material used in pavement
subgrades should be a low frost susceptible material, such as the site silty clay. (Soils that are
primarily silty may be frost-heave susceptible). New fill should be placed in maximum 9-inch loose
lifts and compacted to a minimum of 90% of the maximum dry density obtained in accordance with
ASTM D 1557, modified Proctor method. Where pavement areas are to be utilized by heavy trucks,
such as delivery or refuse pickup, or where the fill exceeds a 5 foot thickness, the fill should
be compacted to a minimum of 95% of the dry density referenced above. For landscaped areas, the
fill should be compacted to a minimum 85% of the dry density referenced above. Moisture contents
should be maintained within ±3 points of optimum moisture during placement and compaction.

Design of rigid pavements and concrete floor slabs-on-grade may be based on an estimated subgrade
modulus value of 100 pci for a natural or properly compacted site silty clay subgrade. An
estimated California Bearing Ratio (C.B.R.) of 3 can be used in design of a flexible pavement
section for a properly prepared silty clay subgrade. Pavement subgrades should be sloped to

12

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

drain. Where primarily cohesive materials are encountered, we recommend finger drains be
provided at the catch basins, so that water does not accumulate beneath the pavement. Appropriate
drainage outlets should be provided at catch basins for this purpose. Beneath slab-on-grade areas,
a minimum of 6 inches of granular base course material is recommended to facilitate fine grading
and provide a capillary cut-off.

Floor slabs should be isolated from foundations and other penetrations to permit relative
displacement without cracking. Slabs should also be provided with adequate reinforcement and joint
spacing to control slab cracking. If moisture migration through the slab is a concern, a vapor
barrier should be utilized. Care should be exercised when determining proper concrete mix and
procedure in order to avoid slab curling.

4.4 Detention Pond Expansion

It is our understanding the existing detention pond located at the east side of the property will
be expanded to the north. The soils encountered within the pond area are relatively impermeable
silty clays to a depth of 9 to 10 feet below grade. To this depth, the soils should perform
adequately in the side slopes of the basins. Silt and clayey silt was encountered below the silty
clay layer to the termination depth of the borings, 15 feet. Where silt is encountered along the
side slopes or at the bottom of the detention pond, we recommend a minimum 3-foot, compacted clay
layer be used to protect the slopes and the bottom from erosion and uplift. We recommend that 3:1
(H:V) slope or flatter side slopes be used in order to maintain long-term stability of the slopes.
Above the normal water level, the slopes should be vegetated to control erosion.

5.0 CONSTRUCTION CONSIDERATIONS

Based on the results of our exploration, some seepage may develop from the sand and silt layers,
or accumulated precipitation; this water should be handled with typical sump pit and pump
procedures. Excavations performed in the Spring and early Summer may encounter higher groundwater
conditions than excavations performed during drier seasons.

13

 

	 	 	 
	McShane Construction Corporation

	 	
	STS Project No. 26363-E

	 	 
	May 24, 2005

	 	 

Accumulations of surface runoff or groundwater should not be allowed to remain within
excavations. Concrete or fill material should not be placed on disturbed soils or in excavations
containing standing water or on subgrade soil that is frozen. A representative of STS should be
present during construction to check that the soil conditions are as anticipated and that the work
is being performed in accordance with the recommendations and the design plans and specifications.

All excavations that extend greater than 5 feet in depth should be made in accordance with OSHA
regulations with properly sloped or braced sides to prevent excavation instability. Excavation
safety is the responsibility of the contractor; however, we recommend that excavation sides be
sloped at 1.5H:1 V or flatter above the water table for this purpose. Some of the excavations
required to remove unsuitable soils from within building footprint areas may be relatively deep.
Stockpiles of material or equipment should not be placed near the top of excavation slopes.

6.0 GENERAL QUALIFICATIONS

General Qualifications applicable to subsurface exploration, earthwork, construction and the
recommendations contained in this report are a part of this report and are attached.

14

 

APPENDIX

	 	 	 	 	 	 	 
	 

	 	 	1.	 	 	General Qualifications
	 

	 	 	2.	 	 	Soil Boring Location Diagram
	 

	 	 	3.	 	 	Boring Logs
	 

	 	 	4.	 	 	Pressuremeter Results
	 

	 	 	5.	 	 	General Notes
	 

	 	 	6.	 	 	STS Soil Classification System
	 

	 	 	7.	 	 	Field and Laboratory Procedures
	 

	 	 	8.	 	 	Standard Boring Log Procedures

 

 

 

	 	 	 
	STS General Qualifications

	 	

 

UNDERGROUND ENGINEERING

This report has been prepared in general accordance with normally accepted geotechnical
engineering practices to aid in the evaluation of this site and to assist our Client in the design
of this project. We have prepared this report for the purpose intended by our Client, and reliance
on its contents by anyone other than our Client is done at the sole risk of the user. No other
warranty, either expressed or implied, is made. The scope is limited to the specific project and
location described herein, and our description of the project represents our understanding of the
significant aspects relevant to the geotechnical characteristics. In the event that any changes in
the design or location of the facilities as outlined in this report are planned, we should be
informed so that the changes can be reviewed and the conclusions of this report modified as
necessary in writing by the geotechnical engineer. As a check, we recommend that we be authorized
to review the project plans and specifications to confirm that the recommendations contained in
this report have been interpreted in accordance with our intent. Without this review, we will not
be responsible for the misinterpretation of our data, our analysis, and/or our recommendations,
nor how these are incorporated into the final design.

The analysis and recommendations submitted in this report are based on the data obtained from the
soil borings performed at the locations indicated on the location diagram and from the information
discussed in this report. This report does not reflect any variations which may occur between the
borings. In the performance of subsurface explorations, specific information is obtained at
specific locations at specific times. However, it is a well-known fact that variations in soil and
rock conditions exist on most sites between boring locations and that seasonal and annual
fluctuations in groundwater levels will likely occur. The nature and extent of variations may not
become evident until the course of construction. If variations then appear evident, it will be
necessary for a re-evaluation of the recommendations contained in this report after performing
on-site observations during the construction period and noting the characteristics of the
variations.

The geotechnical engineer of record is the professional engineer who authored the geotechnical
report. It is recommended that all construction operations dealing with earthwork and foundations
be observed by the geotechnical engineer of record or the geotechnical engineer’s appointed
representative to confirm that the design requirements are fulfilled in the actual construction.
For some projects, this may be required by the governing building code.

The scope of services for this project does not include either specifically or by implication any
environmental or biological (e.g., mold, fungi, bacteria, viruses, and the byproducts of such
organisms) assessment of the site, or identification of or prevention of pollutants, hazardous
materials or conditions. Other studies beyond the scope of this project would be required to
evaluate the potential of such contamination or pollution.

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

	 	 	 
	PROJECT NAME:

	 	Panasonic
	STS JOB NUMBER:

	 	26363-E
	OPERATOR:

	 	Seiler
	DATE:

	 	05/14/05

PRESSUREMETER TEST RESULTS

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	BORING	 	DEPTH	 	Po	 	Pf	 	Pt	 	Ed	 	E+	 	 	 	 	 	 
	NUMBER	 	(ft)	 	(tsf)	 	(tsf)	 	(tsf)	 	(tsf)	 	(tsf)	 	Ed/E+	 	Ed/Pt	 	Pt/Pf
	 
	10

	 	11.0-13.5
	 	 	0.8	 	 	 	3.0	 	 	 	5.5	 	 	 	47	 	 	 	111	 	 	 	0.42	 	 	 	8.5	 	 	 	1.8	 
	 

	 	13.5-16.0
	 	 	1.5	 	 	 	12.0	 	 	 	24.2	 	 	 	226	 	 	 	768	 	 	 	0.29	 	 	 	9.3	 	 	 	2.0	 
	 

	 	18.5-21.0
	 	 	2.0	 	 	 	10.0	 	 	 	20.3	 	 	 	162	 	 	 	523	 	 	 	0.31	 	 	 	8.0	 	 	 	2.0	 
	 

	 	23.5-26.0
	 	 	2.0	 	 	 	16.0	 	 	 	33.1	 	 	 	311	 	 	 	788	 	 	 	0.39	 	 	 	9.4	 	 	 	2.1	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	13

	 	8.5-11.0
	 	 	0.8	 	 	 	3.5	 	 	 	7.3	 	 	 	57	 	 	 	134	 	 	 	0.43	 	 	 	7.8	 	 	 	2.1	 
	 

	 	13.5-16.0
	 	 	2.0	 	 	 	11.0	 	 	 	24.5	 	 	 	157	 	 	 	385	 	 	 	0.41	 	 	 	6.4	 	 	 	2.2	 
	 

	 	21.0-23.5
	 	 	2.0	 	 	 	12.0	 	 	 	24.9	 	 	 	278	 	 	 	700	 	 	 	0.40	 	 	 	11.2	 	 	 	2.1	 
	 

	 	26.0-28.5
	 	 	2.5	 	 	 	10.0	 	 	 	21.9	 	 	 	194	 	 	 	542	 	 	 	0.36	 	 	 	8.9	 	 	 	2.2	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	AVERAGE
	 	 	 	 	 	 	0.38	 	 	 	8.7	 	 	 	2.1	 

 

 

	 	 	 
	 
	STS Consultants, Ltd.

	 	
	 

Pressuremeter Data Reduction (BX)

	 	 	 
	STS Job Number: 26363-E

	 	Date: 05-13-05
	Boring No. 10
	 	 
	Test Depth: 11.0-13.5 Feet
	 	 

 

 

	 	 	 
	STS Consultants, Ltd.

	 	Pressuremeter Data Reduction (BX)
	STS Job Number: 26363-E
	 	 
	Boring No.: 10
	 	 
	Test Depth: 11.0-13.5 Feet
	 	 
	 
	 	 
	Water Correction: 0.56
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	Corrected	 	 
	 	 	Pressure	 	Inertia	 	Corrected	 	30 Sec.	 	60 Sec.	 	 	 	 	 	30 Sec.	 	60 Sec.	 	Incremental
	 	 	Readings	 	Correction	 	Pressure	 	Volume	 	Volume	 	Creep	 	Volume	 	Volume	 	Modulus
	No.	 	(bars)	 	(bars)	 	(tsf)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(tsf)
	1
	 	 	0.00	 	 	 	0.26	 	 	 	0.3	 	 	 	40	 	 	 	70	 	 	 	30	 	 	 	39.5	 	 	 	69.5	 	 	 	 	 
	2
	 	 	0.25	 	 	 	0.39	 	 	 	0.4	 	 	 	107	 	 	 	110	 	 	 	3	 	 	 	106.4	 	 	 	109.4	 	 	 	5	 
	3
	 	 	0.75	 	 	 	0.49	 	 	 	0.9	 	 	 	145	 	 	 	145	 	 	 	0	 	 	 	144.2	 	 	 	144.2	 	 	 	21	 
	4
	 	 	1.50	 	 	 	0.56	 	 	 	1.6	 	 	 	175	 	 	 	175	 	 	 	0	 	 	 	173.8	 	 	 	173.8	 	 	 	44	 
	5
	 	 	2.25	 	 	 	0.63	 	 	 	2.3	 	 	 	205	 	 	 	205	 	 	 	0	 	 	 	203.4	 	 	 	203.4	 	 	 	46	 
	6
	 	 	3.00	 	 	 	0.70	 	 	 	3.0	 	 	 	235	 	 	 	235	 	 	 	0	 	 	 	233.1	 	 	 	233.1	 	 	 	48	 
	7
	 	 	1.00	 	 	 	0.65	 	 	 	1.0	 	 	 	210	 	 	 	210	 	 	 	0	 	 	 	209.1	 	 	 	209.1	 	 	 	170	 
	8
	 	 	2.00	 	 	 	0.68	 	 	 	2.0	 	 	 	225	 	 	 	225	 	 	 	0	 	 	 	223.6	 	 	 	223.6	 	 	 	139	 
	9
	 	 	3.00	 	 	 	0.73	 	 	 	3.0	 	 	 	250	 	 	 	250	 	 	 	0	 	 	 	248.1	 	 	 	248.1	 	 	 	83	 
	10
	 	 	3.75	 	 	 	0.82	 	 	 	3.7	 	 	 	290	 	 	 	295	 	 	 	5	 	 	 	287.8	 	 	 	292.8	 	 	 	33	 
	11
	 	 	4.50	 	 	 	0.93	 	 	 	4.3	 	 	 	350	 	 	 	360	 	 	 	10	 	 	 	347.6	 	 	 	357.6	 	 	 	23	 
	12
	 	 	5.25	 	 	 	1.06	 	 	 	5.0	 	 	 	410	 	 	 	440	 	 	 	30	 	 	 	407.4	 	 	 	437.4	 	 	 	20	 
	13
	 	 	5.75	 	 	 	1.26	 	 	 	5.3	 	 	 	520	 	 	 	580	 	 	 	60	 	 	 	517.2	 	 	 	577.2	 	 	 	6	 
	 
	 
	 	Ed=	 	 	47	 	 	TSF	 	 	E+=	 	 	 	111	 	 	TSF	 	Pt=	 	 	5.5	 	 	TSF

 

 

	 	 	 
	 
	STS Consultants, Ltd.

	 	
	 

Pressuremeter Data Reduction (BX)

	 	 	 
	STS Job Number: 26363-E

	 	Date: 05-13-05
	Boring No. 10
	 	 
	Test Depth: 13.5-16.0 Feet
	 	 

 

 

	 	 	 
	STS Consultants, Ltd.

	 	Pressuremeter Data Reduction (BX)
	STS Job Number: 26363-E
	 	 
	Boring No.: 10
	 	 
	Test Depth: 13.5-16.0 Feet
	 	 
	 
	 	 
	Water Correction: 0.64
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	Corrected	 	 
	 	 	Pressure	 	Inertia	 	Corrected	 	30 Sec.	 	60 Sec.	 	 	 	 	 	30 Sec.	 	60 Sec.	 	Incremental
	 	 	Readings	 	Correction	 	Pressure	 	Volume	 	Volume	 	Creep	 	Volume	 	Volume	 	Modulus
	No.	 	(bars)	 	(bars)	 	(tsf)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(tsf)
	1
	 	 	0.00	 	 	 	0.36	 	 	 	0.3	 	 	 	96	 	 	 	100	 	 	 	4	 	 	 	95.5	 	 	 	99.5	 	 	 	 	 
	2
	 	 	0.25	 	 	 	0.43	 	 	 	0.5	 	 	 	120	 	 	 	123	 	 	 	3	 	 	 	119.4	 	 	 	122.4	 	 	 	14	 
	3
	 	 	0.75	 	 	 	0.49	 	 	 	0.9	 	 	 	145	 	 	 	145	 	 	 	0	 	 	 	144.1	 	 	 	144.1	 	 	 	38	 
	4
	 	 	1.50	 	 	 	0.54	 	 	 	1.7	 	 	 	165	 	 	 	165	 	 	 	0	 	 	 	163.7	 	 	 	163.7	 	 	 	68	 
	5
	 	 	2.50	 	 	 	0.60	 	 	 	2.7	 	 	 	190	 	 	 	190	 	 	 	0	 	 	 	188.3	 	 	 	188.3	 	 	 	76	 
	6
	 	 	3.50	 	 	 	0.64	 	 	 	3.7	 	 	 	207	 	 	 	207	 	 	 	0	 	 	 	204.8	 	 	 	204.8	 	 	 	118	 
	7
	 	 	5.00	 	 	 	0.68	 	 	 	5.2	 	 	 	225	 	 	 	225	 	 	 	0	 	 	 	222.3	 	 	 	222.3	 	 	 	174	 
	8
	 	 	6.50	 	 	 	0.72	 	 	 	6.7	 	 	 	243	 	 	 	243	 	 	 	0	 	 	 	239.8	 	 	 	239.8	 	 	 	178	 
	9
	 	 	2.50	 	 	 	0.69	 	 	 	2.6	 	 	 	230	 	 	 	230	 	 	 	0	 	 	 	228.3	 	 	 	228.3	 	 	 	740	 
	10
	 	 	4.50	 	 	 	0.71	 	 	 	4.6	 	 	 	240	 	 	 	240	 	 	 	0	 	 	 	237.5	 	 	 	237.5	 	 	 	461	 
	11
	 	 	6.50	 	 	 	0.73	 	 	 	6.7	 	 	 	252	 	 	 	252	 	 	 	0	 	 	 	248.8	 	 	 	248.8	 	 	 	377	 
	12
	 	 	8.00	 	 	 	0.76	 	 	 	8.2	 	 	 	265	 	 	 	265	 	 	 	0	 	 	 	261.4	 	 	 	261.4	 	 	 	257	 
	13
	 	 	9.50	 	 	 	0.79	 	 	 	9.8	 	 	 	280	 	 	 	280	 	 	 	0	 	 	 	276.0	 	 	 	276.0	 	 	 	225	 
	14
	 	 	11.00	 	 	 	0.82	 	 	 	11.3	 	 	 	295	 	 	 	295	 	 	 	0	 	 	 	290.6	 	 	 	290.6	 	 	 	228	 
	15
	 	 	7.00	 	 	 	0.81	 	 	 	7.1	 	 	 	290	 	 	 	290	 	 	 	0	 	 	 	286.7	 	 	 	286.7	 	 	 	2298	 
	16
	 	 	9.00	 	 	 	0.82	 	 	 	9.2	 	 	 	297	 	 	 	297	 	 	 	0	 	 	 	293.1	 	 	 	293.1	 	 	 	706	 
	17
	 	 	11.00	 	 	 	0.83	 	 	 	11.3	 	 	 	303	 	 	 	303	 	 	 	0	 	 	 	298.6	 	 	 	298.6	 	 	 	831	 
	18
	 	 	12.50	 	 	 	0.86	 	 	 	12.8	 	 	 	317	 	 	 	320	 	 	 	3	 	 	 	312.3	 	 	 	315.3	 	 	 	206	 
	19
	 	 	14.00	 	 	 	0.90	 	 	 	14.4	 	 	 	335	 	 	 	340	 	 	 	5	 	 	 	330.0	 	 	 	335.0	 	 	 	178	 
	20
	 	 	15.50	 	 	 	0.97	 	 	 	15.8	 	 	 	370	 	 	 	380	 	 	 	10	 	 	 	364.8	 	 	 	374.8	 	 	 	89	 
	 
	 
	 	Ed=	 	 	226	 	 	TSF	 	 	E+=	 	 	 	768	 	 	TSF	 	Pt=	 	 	24.2	 	 	TSF

 

 

	 	 	 
	 
	STS Consultants, Ltd.

	 	
	 

Pressuremeter Data Reduction (BX)

	 	 	 
	STS Job Number: 26363-E

	 	Date: 05-13-05
	Boring No. 10
	 	 
	Test Depth: 18.5-21.0 Feet
	 	 

 

 

	 	 	 
	STS Consultants, Ltd.

	 	Pressuremeter Data Reduction (BX)
	STS Job Number: 26363-E
	 	 
	Boring No.: 10
	 	 
	Test Depth: 18.5-21.0 Feet
	 	 
	 
	 	 
	Water Correction: 0.79
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	Corrected	 	 
	 	 	Pressure	 	Inertia	 	Corrected	 	30 Sec.	 	60 Sec.	 	 	 	 	 	30 Sec.	 	60 Sec.	 	Incremental
	 	 	Readings	 	Correction	 	Pressure	 	Volume	 	Volume	 	Creep	 	Volume	 	Volume	 	Modulus
	No.	 	(bars)	 	(bars)	 	(tsf)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(tsf)
	1
	 	 	0.00	 	 	 	0.06	 	 	 	0.8	 	 	 	18	 	 	 	20	 	 	 	2	 	 	 	17.2	 	 	 	19.2	 	 	 	 	 
	2
	 	 	0.25	 	 	 	0.14	 	 	 	0.9	 	 	 	52	 	 	 	55	 	 	 	3	 	 	 	51.1	 	 	 	54.1	 	 	 	7	 
	3
	 	 	0.75	 	 	 	0.21	 	 	 	1.4	 	 	 	85	 	 	 	87	 	 	 	2	 	 	 	83.9	 	 	 	85.9	 	 	 	23	 
	4
	 	 	1.50	 	 	 	0.29	 	 	 	2.1	 	 	 	130	 	 	 	130	 	 	 	0	 	 	 	128.5	 	 	 	128.5	 	 	 	28	 
	5
	 	 	2.50	 	 	 	0.34	 	 	 	3.1	 	 	 	165	 	 	 	165	 	 	 	0	 	 	 	163.1	 	 	 	163.1	 	 	 	52	 
	6
	 	 	3.50	 	 	 	0.38	 	 	 	4.1	 	 	 	190	 	 	 	190	 	 	 	0	 	 	 	187.7	 	 	 	187.7	 	 	 	77	 
	7
	 	 	4.50	 	 	 	0.41	 	 	 	5.1	 	 	 	215	 	 	 	215	 	 	 	0	 	 	 	212.3	 	 	 	212.3	 	 	 	80	 
	8
	 	 	5.50	 	 	 	0.44	 	 	 	6.1	 	 	 	240	 	 	 	240	 	 	 	0	 	 	 	237.0	 	 	 	237.0	 	 	 	83	 
	9
	 	 	1.50	 	 	 	0.42	 	 	 	2.0	 	 	 	223	 	 	 	223	 	 	 	0	 	 	 	221.6	 	 	 	221.6	 	 	 	550	 
	10
	 	 	3.50	 	 	 	0.44	 	 	 	4.0	 	 	 	238	 	 	 	238	 	 	 	0	 	 	 	235.7	 	 	 	235.7	 	 	 	298	 
	11
	 	 	5.50	 	 	 	0.47	 	 	 	6.1	 	 	 	258	 	 	 	258	 	 	 	0	 	 	 	255.0	 	 	 	255.0	 	 	 	222	 
	12
	 	 	7.00	 	 	 	0.49	 	 	 	7.6	 	 	 	280	 	 	 	280	 	 	 	0	 	 	 	276.5	 	 	 	276.5	 	 	 	152	 
	13
	 	 	8.50	 	 	 	0.52	 	 	 	9.2	 	 	 	300	 	 	 	300	 	 	 	0	 	 	 	296.1	 	 	 	296.1	 	 	 	172	 
	14
	 	 	4.50	 	 	 	0.51	 	 	 	5.0	 	 	 	295	 	 	 	295	 	 	 	0	 	 	 	292.3	 	 	 	292.3	 	 	 	2437	 
	15
	 	 	6.50	 	 	 	0.53	 	 	 	7.1	 	 	 	310	 	 	 	310	 	 	 	0	 	 	 	306.7	 	 	 	306.7	 	 	 	321	 
	16
	 	 	8.50	 	 	 	0.54	 	 	 	9.1	 	 	 	317	 	 	 	317	 	 	 	0	 	 	 	313.1	 	 	 	313.1	 	 	 	725	 
	17
	 	 	10.00	 	 	 	0.56	 	 	 	10.7	 	 	 	338	 	 	 	338	 	 	 	0	 	 	 	333.8	 	 	 	333.8	 	 	 	171	 
	18
	 	 	11.50	 	 	 	0.59	 	 	 	12.2	 	 	 	362	 	 	 	365	 	 	 	3	 	 	 	357.4	 	 	 	360.4	 	 	 	135	 
	19
	 	 	13.00	 	 	 	0.64	 	 	 	13.7	 	 	 	400	 	 	 	405	 	 	 	5	 	 	 	395.1	 	 	 	400.1	 	 	 	93	 
	20
	 	 	14.50	 	 	 	0.70	 	 	 	15.2	 	 	 	450	 	 	 	460	 	 	 	10	 	 	 	444.9	 	 	 	454.9	 	 	 	70	 
	 
	 
	 	Ed=	 	 	162	 	 	TSF	 	 	E+=	 	 	 	523	 	 	TSF	 	Pt=	 	 	20.3	 	 	TSF

 

 

	 	 	 
	 
	STS Consultants, Ltd.

	 	
	 

Pressuremeter Data Reduction (BX)

	 	 	 
	STS Job Number: 26363-E

	 	Date: 05-13-05
	Boring No. 10
	 	 
	Test Depth: 23.5-26.0 Feet
	 	 

 

 

	 	 	 
	STS Consultants, Ltd.

	 	Pressuremeter Data Reduction (BX)
	STS Job Number: 26363-E
	 	 
	Boring No.: 10
	 	 
	Test Depth: 23.5-26.0 Feet
	 	 
	 
	 	 
	Water Correction: 0.94
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	Corrected	 	 
	 	 	Pressure	 	Inertia	 	Corrected	 	30 Sec.	 	60 Sec.	 	 	 	 	 	30 Sec,	 	60 Sec.	 	Incremental
	 	 	Readings	 	Correction	 	Pressure	 	Volume	 	Volume	 	Creep	 	Volume	 	Volume	 	Modulus
	No.	 	(bars)	 	(bars)	 	(tsf)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(tsf)
	1
	 	 	0.00	 	 	 	0.06	 	 	 	0.9	 	 	 	18	 	 	 	20	 	 	 	2	 	 	 	17.1	 	 	 	19.1	 	 	 	 	 
	2
	 	 	0.25	 	 	 	0.12	 	 	 	1.1	 	 	 	42	 	 	 	47	 	 	 	5	 	 	 	41.0	 	 	 	46.0	 	 	 	11	 
	3
	 	 	0.75	 	 	 	0.24	 	 	 	1.5	 	 	 	92	 	 	 	105	 	 	 	13	 	 	 	90.8	 	 	 	103.8	 	 	 	11	 
	4
	 	 	1.50	 	 	 	0.30	 	 	 	2.2	 	 	 	138	 	 	 	138	 	 	 	0	 	 	 	136.5	 	 	 	136.5	 	 	 	39	 
	5
	 	 	2.50	 	 	 	0.33	 	 	 	3.2	 	 	 	160	 	 	 	160	 	 	 	0	 	 	 	158.0	 	 	 	158.0	 	 	 	85	 
	6
	 	 	4,00	 	 	 	0.36	 	 	 	4.8	 	 	 	180	 	 	 	180	 	 	 	0	 	 	 	177.4	 	 	 	177.4	 	 	 	148	 
	7
	 	 	5.50	 	 	 	0.39	 	 	 	6.3	 	 	 	195	 	 	 	195	 	 	 	0	 	 	 	191.9	 	 	 	191.9	 	 	 	204	 
	8
	 	 	7.00	 	 	 	0.41	 	 	 	7.9	 	 	 	210	 	 	 	210	 	 	 	0	 	 	 	206.4	 	 	 	206.4	 	 	 	207	 
	9
	 	 	3.00	 	 	 	0.40	 	 	 	3.7	 	 	 	203	 	 	 	203	 	 	 	0	 	 	 	200.8	 	 	 	200.8	 	 	 	1456	 
	10
	 	 	5.00	 	 	 	0.41	 	 	 	5.8	 	 	 	210	 	 	 	210	 	 	 	0	 	 	 	207.1	 	 	 	207.1	 	 	 	654	 
	11
	 	 	7.00	 	 	 	0.41	 	 	 	7.9	 	 	 	217	 	 	 	217	 	 	 	0	 	 	 	213.5	 	 	 	213.5	 	 	 	646	 
	12
	 	 	8.50	 	 	 	0.43	 	 	 	9.4	 	 	 	230	 	 	 	230	 	 	 	0	 	 	 	226.1	 	 	 	226.1	 	 	 	247	 
	13
	 	 	10.00	 	 	 	0.44	 	 	 	11.0	 	 	 	240	 	 	 	240	 	 	 	0	 	 	 	235.7	 	 	 	235.7	 	 	 	328	 
	14
	 	 	12.00	 	 	 	0.46	 	 	 	13.0	 	 	 	255	 	 	 	255	 	 	 	0	 	 	 	250.3	 	 	 	250.3	 	 	 	294	 
	15
	 	 	8.00	 	 	 	0.46	 	 	 	8.9	 	 	 	252	 	 	 	252	 	 	 	0	 	 	 	248.2	 	 	 	248.2	 	 	 	4176	 
	16
	 	 	10.00	 	 	 	0.47	 	 	 	10.9	 	 	 	258	 	 	 	258	 	 	 	0	 	 	 	253.7	 	 	 	253.7	 	 	 	789	 
	17
	 	 	12.00	 	 	 	0.47	 	 	 	13.0	 	 	 	264	 	 	 	264	 	 	 	0	 	 	 	259.3	 	 	 	259.3	 	 	 	786	 
	18
	 	 	14.00	 	 	 	0.49	 	 	 	15.1	 	 	 	280	 	 	 	280	 	 	 	0	 	 	 	274.9	 	 	 	274.9	 	 	 	283	 
	19
	 	 	16.00	 	 	 	0.52	 	 	 	17.2	 	 	 	300	 	 	 	303	 	 	 	3	 	 	 	294.5	 	 	 	297.5	 	 	 	199	 
	20
	 	 	18.00	 	 	 	0.55	 	 	 	19.2	 	 	 	325	 	 	 	330	 	 	 	5	 	 	 	319.1	 	 	 	324.1	 	 	 	174	 
	21
	 	 	20.00	 	 	 	0.59	 	 	 	21.3	 	 	 	355	 	 	 	360	 	 	 	5	 	 	 	348.8	 	 	 	353.8	 	 	 	161	 
	22
	 	 	22.00	 	 	 	0.62	 	 	 	23.3	 	 	 	385	 	 	 	390	 	 	 	5	 	 	 	378.4	 	 	 	383.4	 	 	 	167	 
	23
	 	 	24.00	 	 	 	0.66	 	 	 	25.4	 	 	 	420	 	 	 	430	 	 	 	10	 	 	 	413.0	 	 	 	423.0	 	 	 	129	 
	24
	 	 	26.00	 	 	 	0.73	 	 	 	27.4	 	 	 	480	 	 	 	490	 	 	 	10	 	 	 	472.6	 	 	 	482.6	 	 	 	89	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	Ed=	 	 	311	 	 	TSF	 	 	E+=	 	 	 	788	 	 	TSF	 	Pt=	 	 	33.1	 	 	TSF

 

 

	 	 	 
	 
	STS Consultants, Ltd.

	 	
	 

Pressuremeter Data Reduction (BX)

	 	 	 
	STS Job Number: 26363-E

	 	Date: 05-13-05
	Boring No. 13
	 	 
	Test Depth: 8.5-11.0 Feet
	 	 

 

 

	 	 	 
	STS Consultants, Ltd.

	 	Pressuremeter Data Reduction (BX)
	STS Job Number: 26363-E
	 	 
	Boring No.: 10
	 	 
	Test Depth: 8.5-11.0 Feet
	 	 
	 
	 	 
	Water Correction: 0.49
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	Corrected	 	 
	 	 	Pressure	 	Inertia	 	Corrected	 	30 Sec.	 	60 Sec.	 	 	 	 	 	30 Sec.	 	60 Sec.	 	Incremental
	 	 	Readings	 	Correction	 	Pressure	 	Volume	 	Volume	 	Creep	 	Volume	 	Volume	 	Modulus
	No.	 	(bars)	 	(bars)	 	(tsf)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(tsf)
	1
	 	 	0.00	 	 	 	0.16	 	 	 	0.3	 	 	 	60	 	 	 	65	 	 	 	5	 	 	 	59.5	 	 	 	64.5	 	 	 	 	 
	2
	 	 	0.25	 	 	 	0.24	 	 	 	0.5	 	 	 	100	 	 	 	102	 	 	 	2	 	 	 	99.3	 	 	 	101.3	 	 	 	8	 
	3
	 	 	0.75	 	 	 	0.29	 	 	 	1.0	 	 	 	126	 	 	 	130	 	 	 	4	 	 	 	125.1	 	 	 	129.1	 	 	 	29	 
	4
	 	 	1.50	 	 	 	0.35	 	 	 	1.7	 	 	 	170	 	 	 	170	 	 	 	0	 	 	 	168.7	 	 	 	168.7	 	 	 	33	 
	5
	 	 	2.50	 	 	 	0.40	 	 	 	2.7	 	 	 	205	 	 	 	205	 	 	 	0	 	 	 	203.3	 	 	 	203.3	 	 	 	55	 
	6
	 	 	3.50	 	 	 	0.44	 	 	 	3.7	 	 	 	240	 	 	 	240	 	 	 	0	 	 	 	237.8	 	 	 	237.8	 	 	 	58	 
	7
	 	 	1.50	 	 	 	0.43	 	 	 	1.6	 	 	 	225	 	 	 	225	 	 	 	0	 	 	 	223.8	 	 	 	223.8	 	 	 	300	 
	8
	 	 	2.50	 	 	 	0.44	 	 	 	2.7	 	 	 	239	 	 	 	239	 	 	 	0	 	 	 	237.3	 	 	 	237.3	 	 	 	155	 
	9
	 	 	3.50	 	 	 	0.47	 	 	 	3.7	 	 	 	258	 	 	 	258	 	 	 	0	 	 	 	255.8	 	 	 	255.8	 	 	 	114	 
	10
	 	 	4.50	 	 	 	0.52	 	 	 	4.7	 	 	 	295	 	 	 	300	 	 	 	5	 	 	 	292.5	 	 	 	297.5	 	 	 	51	 
	11
	 	 	5.50	 	 	 	0.59	 	 	 	5.6	 	 	 	355	 	 	 	365	 	 	 	10	 	 	 	352.1	 	 	 	362.1	 	 	 	34	 
	12
	 	 	6.50	 	 	 	0.70	 	 	 	6.6	 	 	 	425	 	 	 	460	 	 	 	35	 	 	 	421.8	 	 	 	456.8	 	 	 	25	 
	13
	 	 	7.00	 	 	 	0.82	 	 	 	7.0	 	 	 	550	 	 	 	580	 	 	 	30	 	 	 	546.7	 	 	 	576.7	 	 	 	9	 
	 
	 
	 	Ed=	 	 	57	 	 	TSF	 	 	E+=	 	 	 	134	 	 	TSF	 	Pt=	 	 	7.3	 	 	TSF

 

 

	 	 	 
	 
	STS Consultants, Ltd.

	 	
	 

Pressuremeter Data Reduction (BX)

	 	 	 
	STS Job Number: 26363-E

	 	Date: 05-13-05
	Boring No.: 13
	 	 
	Test Depth: 13.5-16.0 Feet
	 	 

 

 

	 	 	 
	STS Consultants, Ltd.

	 	Pressuremeter Data Reduction (BX)
	STS Job Number: 26363-E
	 	 
	Boring No.: 10
	 	 
	Test Depth: 13.5-16.0 Feet
	 	 
	 
	 	 
	Water Correction: 0.64
	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	Corrected	 	 
	 	 	Pressure	 	Inertia	 	Corrected	 	30 Sec.	 	60 Sec.	 	 	 	 	 	30 Sec.	 	60 Sec.	 	Incremental
	 	 	Readings	 	Correction	 	Pressure	 	Volume	 	Volume	 	Creep	 	Volume	 	Volume	 	Modulus
	No.	 	(bars)	 	(bars)	 	(tsf)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(cc)	 	(tsf)
	1
	 	 	0.00	 	 	 	0.08	 	 	 	0.6	 	 	 	25	 	 	 	28	 	 	 	3	 	 	 	24.3	 	 	 	27.3	 	 	 	 	 
	2
	 	 	0.25	 	 	 	0.17	 	 	 	0.7	 	 	 	65	 	 	 	70	 	 	 	5	 	 	 	64.2	 	 	 	69.2	 	 	 	6	 
	3
	 	 	0.75	 	 	 	0.28	 	 	 	1.2	 	 	 	122	 	 	 	125	 	 	 	3	 	 	 	121.0	 	 	 	124.0	 	 	 	13	 
	4
	 	 	1.50	 	 	 	0.32	 	 	 	1.9	 	 	 	148	 	 	 	148	 	 	 	0	 	 	 	146.6	 	 	 	146.6	 	 	 	59	 
	5
	 	 	3.00	 	 	 	0.35	 	 	 	3.4	 	 	 	170	 	 	 	170	 	 	 	0	 	 	 	167.9	 	 	 	167.9	 	 	 	132	 
	6
	 	 	4.00	 	 	 	0.39	 	 	 	4.4	 	 	 	200	 	 	 	200	 	 	 	0	 	 	 	197.5	 	 	 	197.5	 	 	 	65	 
	7
	 	 	5.50	 	 	 	0.43	 	 	 	6.0	 	 	 	225	 	 	 	225	 	 	 	0	 	 	 	222.0	 	 	 	222.0	 	 	 	124	 
	8
	 	 	7.00	 	 	 	0.46	 	 	 	7.5	 	 	 	250	 	 	 	250	 	 	 	0	 	 	 	246.6	 	 	 	246.6	 	 	 	128	 
	9
	 	 	3.00	 	 	 	0.44	 	 	 	3.3	 	 	 	240	 	 	 	240	 	 	 	0	 	 	 	238.0	 	 	 	238.0	 	 	 	1004	 
	10
	 	 	5.00	 	 	 	0.46	 	 	 	5.4	 	 	 	255	 	 	 	255	 	 	 	0	 	 	 	252.2	 	 	 	252.2	 	 	 	302	 
	11
	 	 	7.00	 	 	 	0.47	 	 	 	7.5	 	 	 	265	 	 	 	265	 	 	 	0	 	 	 	261.6	 	 	 	261.6	 	 	 	467	 
	12
	 	 	8.50	 	 	 	0.50	 	 	 	9.0	 	 	 	285	 	 	 	285	 	 	 	0	 	 	 	281.2	 	 	 	281.2	 	 	 	169	 
	13
	 	 	10.00	 	 	 	0.52	 	 	 	10.6	 	 	 	307	 	 	 	307	 	 	 	0	 	 	 	302.8	 	 	 	302.8	 	 	 	157	 
	14
	 	 	12.00	 	 	 	0.57	 	 	 	12.6	 	 	 	340	 	 	 	345	 	 	 	5	 	 	 	335.4	 	 	 	340.4	 	 	 	124	 
	15
	 	 	14.00	 	 	 	0.63	 	 	 	14.6	 	 	 	393	 	 	 	400	 	 	 	7	 	 	 	388.0	 	 	 	395.0	 	 	 	89	 
	16
	 	 	16.00	 	 	 	0.69	 	 	 	16.7	 	 	 	437	 	 	 	450	 	 	 	13	 	 	 	431.6	 	 	 	444.6	 	 	 	104	 
	 
	 
	 	Ed=	 	 	157	 	 	TSF	 	 	E+=	 	 	 	385	 	 	TSF	 	Pt=	 	 	24.5	 	 	TSF

 

 

	 	 	 
	 
	STS Consultants, Ltd.

	 	
	 

Pressuremeter Data Reduction (BX)

	 	 	 
	STS Job Number: 26363-E

	 	Date: 05-13-05
	Boring No. 13
	 	 
	Test Depth: 21.0-23.5 Feet
	 	 

 

 

Pressuremeter Data Reduction (BX)

STS Consultants, Ltd.

STS Job Number: 26363-E

Boring No.: 13

Test Depth: 21.0-23.5 Feet

Water Correction:          0.87

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	 	Corrected	 	 	 	 
	 	 	Pressure	 	 	inertia	 	 	Corrected	 	 	30 Sec.	 	 	60 Sec.	 	 	 	 	 	 	30 Sec.	 	 	60 Sec.	 	 	Incremental	 
	 	 	Readings	 	 	Correction	 	 	Pressure	 	 	Volume	 	 	Volume	 	 	Creep	 	 	Volume	 	 	Volume	 	 	Modulus	 
	No.	 	(bars)	 	 	(bars)	 	 	(tsf)	 	 	(cc)	 	 	(cc)	 	 	(cc)	 	 	(cc)	 	 	(cc)	 	 	(tsf)	 
	 1
	 	 	0.00	 	 	 	0.06	 	 	 	0.8	 	 	 	20	 	 	 	22	 	 	 	2	 	 	 	19.2	 	 	 	21.2	 	 	 	 	 
	 2
	 	 	0.25	 	 	 	0.11	 	 	 	1.1	 	 	 	37	 	 	 	40	 	 	 	3	 	 	 	36.1	 	 	 	39.1	 	 	 	18	 
	 3
	 	 	0.75	 	 	 	0.27	 	 	 	1.4	 	 	 	115	 	 	 	120	 	 	 	5	 	 	 	113.9	 	 	 	118.9	 	 	 	7	 
	 4
	 	 	1.50	 	 	 	0.31	 	 	 	2.1	 	 	 	145	 	 	 	145	 	 	 	0	 	 	 	143.5	 	 	 	143.5	 	 	 	53	 
	 5
	 	 	2.50	 	 	 	0.34	 	 	 	3.2	 	 	 	162	 	 	 	162	 	 	 	0	 	 	 	160.0	 	 	 	160.0	 	 	 	112	 
	 6
	 	 	4.00	 	 	 	0.36	 	 	 	4.7	 	 	 	175	 	 	 	175	 	 	 	0	 	 	 	172.4	 	 	 	172.4	 	 	 	233	 
	 7
	 	 	6.00	 	 	 	0.38	 	 	 	6.8	 	 	 	190	 	 	 	190	 	 	 	0	 	 	 	186.8	 	 	 	186.8	 	 	 	274	 
	 8
	 	 	8.00	 	 	 	0.40	 	 	 	8.8	 	 	 	205	 	 	 	205	 	 	 	0	 	 	 	201.2	 	 	 	201.2	 	 	 	278	 
	 9
	 	 	10.00	 	 	 	0.42	 	 	 	10.9	 	 	 	220	 	 	 	220	 	 	 	0	 	 	 	215.7	 	 	 	215.7	 	 	 	282	 
	 10
	 	 	6.00	 	 	 	0.41	 	 	 	6.7	 	 	 	213	 	 	 	213	 	 	 	0	 	 	 	209.8	 	 	 	209.8	 	 	 	1395	 
	 11
	 	 	8.00	 	 	 	0.42	 	 	 	8.8	 	 	 	220	 	 	 	220	 	 	 	0	 	 	 	216.2	 	 	 	216.2	 	 	 	643	 
	 12
	 	 	10.00	 	 	 	0.43	 	 	 	10.9	 	 	 	226	 	 	 	226	 	 	 	0	 	 	 	221.7	 	 	 	221.7	 	 	 	757	 
	 13
	 	 	12.00	 	 	 	0.45	 	 	 	13.0	 	 	 	243	 	 	 	245	 	 	 	2	 	 	 	238.3	 	 	 	240.3	 	 	 	226	 
	 14
	 	 	14.00	 	 	 	0.49	 	 	 	15.0	 	 	 	270	 	 	 	275	 	 	 	5	 	 	 	264.9	 	 	 	269.9	 	 	 	146	 
	 15
	 	 	16.00	 	 	 	0.54	 	 	 	17.1	 	 	 	310	 	 	 	320	 	 	 	10	 	 	 	304.5	 	 	 	314.5	 	 	 	100	 
	 16
	 	 	18.00	 	 	 	0.61	 	 	 	19.1	 	 	 	365	 	 	 	380	 	 	 	15	 	 	 	359.2	 	 	 	374.2	 	 	 	79	 
	 17
	 	 	20.00	 	 	 	0.71	 	 	 	21.1	 	 	 	440	 	 	 	470	 	 	 	30	 	 	 	433.8	 	 	 	463.8	 	 	 	56	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	Ed=	 	 	278	 	 	TSF	 	 	E+=	 	 	 	700	 	 	TSF	 	 	P1=	 	 	 	24.9	 	 	TSF

 

 

			
	STS Consultants, Ltd.
	 	

Pressuremeter Data Reduction (BX)

STS Job Number: 26363-E                 Date: 05-13-05

Boring No. 13

Test Depth: 26.0-28.5 Feet

 

 

Pressuremeter Data Reduction (BX)

STS Consultants, Ltd.

STS Job Number: 26363-E

Boring No.: 13

Test Depth: 26.0-28.5 Feet

Water Correction:                1.02

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	Corrected	 	 	Corrected	 	 	 	 
	 	 	Pressure	 	 	Inertia	 	 	Corrected	 	 	30 Sec.	 	 	60 Sec.	 	 	 	 	 	 	30 Sec.	 	 	60 Sec.	 	 	Incremental	 
	 	 	Readings	 	 	Correction	 	 	Pressure	 	 	Volume	 	 	Volume	 	 	Creep	 	 	Volume	 	 	Volume	 	 	Modulus	 
	No.	 	(bars)	 	 	(bars)	 	 	(tsf)	 	 	(cc)	 	 	(cc)	 	 	(cc)	 	 	(cc)	 	 	(cc)	 	 	(tsf)	 
	 1
	 	 	0.00	 	 	 	0.06	 	 	 	1.0	 	 	 	18	 	 	 	20	 	 	 	2	 	 	 	17.1	 	 	 	19.1	 	 	 	 	 
	 2
	 	 	0.25	 	 	 	0.11	 	 	 	1.2	 	 	 	40	 	 	 	42	 	 	 	2	 	 	 	39.0	 	 	 	41.0	 	 	 	14	 
	 3
	 	 	0.75	 	 	 	0.21	 	 	 	1.6	 	 	 	86	 	 	 	86	 	 	 	0	 	 	 	84.8	 	 	 	84.8	 	 	 	15	 
	 4
	 	 	1.50	 	 	 	0.33	 	 	 	2.3	 	 	 	160	 	 	 	160	 	 	 	0	 	 	 	158.4	 	 	 	158.4	 	 	 	15	 
	 5
	 	 	3.00	 	 	 	0.36	 	 	 	3.8	 	 	 	175	 	 	 	175	 	 	 	0	 	 	 	172.8	 	 	 	172.8	 	 	 	201	 
	 6
	 	 	5.00	 	 	 	0.39	 	 	 	5.9	 	 	 	197	 	 	 	197	 	 	 	0	 	 	 	194.0	 	 	 	194.0	 	 	 	185	 
	 7
	 	 	7.00	 	 	 	0.42	 	 	 	7.9	 	 	 	218	 	 	 	218	 	 	 	0	 	 	 	214.4	 	 	 	214.4	 	 	 	199	 
	 8
	 	 	9.00	 	 	 	0.44	 	 	 	10.0	 	 	 	240	 	 	 	240	 	 	 	0	 	 	 	235.9	 	 	 	235.9	 	 	 	194	 
	 9
	 	 	5.00	 	 	 	0.44	 	 	 	5.8	 	 	 	235	 	 	 	235	 	 	 	0	 	 	 	232.1	 	 	 	232.1	 	 	 	2209	 
	 10
	 	 	7.00	 	 	 	0.45	 	 	 	7.9	 	 	 	243	 	 	 	243	 	 	 	0	 	 	 	239.4	 	 	 	239.4	 	 	 	577	 
	 11
	 	 	9.00	 	 	 	0.46	 	 	 	10.0	 	 	 	252	 	 	 	252	 	 	 	0	 	 	 	247.9	 	 	 	247.9	 	 	 	507	 
	 12
	 	 	11.00	 	 	 	0.49	 	 	 	12.0	 	 	 	273	 	 	 	277	 	 	 	4	 	 	 	268.5	 	 	 	272.5	 	 	 	177	 
	 13
	 	 	13.00	 	 	 	0.53	 	 	 	14.1	 	 	 	312	 	 	 	315	 	 	 	3	 	 	 	307.1	 	 	 	310.1	 	 	 	119	 
	 14
	 	 	15.00	 	 	 	0.60	 	 	 	16.1	 	 	 	365	 	 	 	375	 	 	 	10	 	 	 	359.7	 	 	 	369.7	 	 	 	79	 
	 15
	 	 	17.00	 	 	 	0.70	 	 	 	18.1	 	 	 	435	 	 	 	465	 	 	 	30	 	 	 	429.3	 	 	 	459.3	 	 	 	56	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	 
	 	Ed=	 	 	194	 	 	TSF	 	 	E+=	 	 	 	542	 	 	TSF	 	 	P1=	 	 	 	21.9	 	 	TSF

 

 

			
	STS General Notes
	 	

	 	 	 	 	 
	DRILLING & SAMPLING SYMBOLS:
	 	 	 	 
	SS : Split Spoon - 1-3/8” I.D. 2” O.D,
	 	 	 	OS : Osterberg Sampler
	Unless otherwise noted
	 	 	 	HS : Hollow Stem Auger
	ST: Shelby Tube-2” O.D.
	 	 	 	WS : Wash Sample
	Unless otherwise noted
	 	 	 	FT : Fish Tail
	PA: Power Auger
	 	 	 	RB :  Rock Bit
	DB : Diamond Bit-NX, BX, AX
	 	 	 	BS: Bulk Sample
	AS : Auger Sample
	 	 	 	PM : Pressuremeter Test
	JS : Jar Sample
	 	 	 	GS : Giddings Sampler
	VS : Vane Shear	 	 	 	 
	Standard “N” Penetration:	 	Blows per foot of a 140 pound hammer falling 30 inches on a 2 inch O.D. split spoon sampler, except where otherwise noted.
	 
	 	 	 	 
	WATER LEVEL MEASUREMENT SYMBOLS:
	 	 	 	 
	WL : Water Level
	 	 	 	WCI : Wet Cave In
	WS : While Sampling
	 	 	 	DCI : Dry Cave In
	WD : While Drilling
	 	 	 	BCR : Before Casing Removal
	AB : After Boring
	 	 	 	ACR : After Casing Removal

Water levels indicated on the boring logs are the levels measured in the boring at the time
indicated. In pervious soils, the indicated elevations are considered reliable groundwater levels.
In impervious soils, the accurate determination of groundwater elevations may not be possible, even
after several days of observations; additional evidence of groundwater
elevations must be sought.

GRADATION DESCRIPTION AND TERMINOLOGY:

Coarse grained or granular soils have more than 50% of their dry weight retained on a #200 sieve;
they are described as boulders, cobbles, gravel or sand. Fine grained soils have less than 50% of
their dry weight retained on a #200 sieve; they are described as clay or clayey silt if they are
cohesive and silt if they are non-cohesive. In addition to gradation, granular soils are defined on
the basis of their relative in-place density and fine grained soils on the basis of their strength
or consistency and their plasticity.

	 	 	 	 	 	 	 
	 	 	 	 	Description of Other	 	 
	Major Component of	 	 	 	Components	 	 
	Sample	 	Size Range	 	Present in Sample	 	Percent Dry Weight
	Boulders
	 	Over 8 in. (200 mm)	 	Trace	 	1-9
	Cobbles
	 	8 inches to 3 inches	 	 	 	 
	 
	 	(200 mm to 75 mm)	 	Little	 	10-19
	Gravel
	 	3 inches to #4 sieve	 	 	 	 
	 
	 	(75 mm to 4.76 mm)	 	Some	 	20-34
	Sand
	 	#4 to #200 sieve	 	 	 	 
	 
	 	(4.76 mm to 0.074 mm)	 	And	 	35-50
	Silt
	 	Passing #200 sieve	 	 	 	 
	 
	 	(0.074 mm to 0.005 mm)	 	 	 	 
	Clay
	 	Smaller than 0.005 mm	 	 	 	 

	 	 	 	 	 	 	 
	CONSISTENCY OF COHESIVE SOILS:	 	 	 	 
	Unconfined Compressive	 	 	 	RELATIVE DENSITY OF GRANULAR SOILS:
	Strength, Qu, tsf 	 	Consistency	 	N-Blows per foot	 	Relative Density
	<0.25
	 	Very Soft	 	0-3	 	Very Loose
	0.25-0.49
	 	Soft	 	4-9	 	Loose
	0.50-0.99
	 	Medium (firm)	 	10-29	 	Medium Dense
	1.00-1.99
	 	Stiff	 	30-49	 	Dense
	2.00-3.99
	 	Very Stiff	 	50-80	 	Very Dense
	4.00-8.00
	 	Hard	 	>80	 	Extremely Dense
	>8.00
	 	Very Hard	 	 	 	 

 

 

			
	STS Soil Classification System
	 	

	Fine-grained soilsCoarse-grained soils
(More than half of material is smaller than No. 200 sieve size)(More than half of material is larger than No. ZOO sieve size)
SandGravel
(More than half of coarse fraction(More than half of coorse fraction
Highly            Silt and clay            Silt and clay            is smaller than No. 4. sieve size)is. larger than No. 4 sieve size)
organic (Liquid limit greater than 50) (Liquid limit less than 50) Sand with fines            Clean sandGravel with fines
(Appreciable amount (Little or no fines)(Appreciable amount) (Little or no fines)
of fines)of fines)
Determine percentages of send and gravel from groin-size curve, Depending on percentage of fines (fraction smaller than No. 200 sieve size), coarse-grained soils are classified as fallows:
Less than 5 percentGW, GP, SW, SP
More than 12 percent .... CM, GC, SW, SC(3)
5 to 12 percentBorderline cases requiring dual symbols

	Major Divisions Group Symbols Typical Names Laboratory Classification Criteria GW Well- graded, grovel, gravel- sand mixtures. little or no fines GP Poorly graded grovel, gravel- sand mixtures, little or no lines GM Silly grovel, gravel- sand- silt mixtures GC Clayey gravel, gravel — sand- day mixtures SW Well- graded sand, gravelly sand. little or no fines SP Poorly graded sandr gravelly sand little or no fines SM Silty sand, sand — silt mixtures SC Clayey sand, sand- clay mixtures ML Inorganic silt and very fin* sand. rock flour, silty or clayey fine sand or clayey silt with slight plasticity a Inorganic clay of low to medium plasticity. gravelly clay sandy cloy. silty clay lean clay OL Organic silt and organic silty clay of low plasticity MH Inorganic silt, micaceous or diotomaceous fine sandy or silty soils, elastic silt CH Inorganic clay of high plasticity, fot cloy OH Organic cloy of medium to high plasticity, organic silt PT Peat and other highly organic soil C,+=r- greater thon 4; C = ‘ ., between 1 ic 3
” Dmc            Dn x D«
Not meeting oil grodotion requirements for CW
Atlertoerg limits below “A*
lino or PI less Ihon 4Above            A            line with
PI between 4 and 7
-.are borderf-in*
cases requiring use
Atterberg limits above “A”°f dual symbols
fine or Pt greater Ihon 7
C, = =- Greater than 6: CX_ — -*r-’— between 1 & 3
u            Dio“Oio x Ov
Wot frieetifig oft grodotion requirements for SW
Atterberg limits below ‘A’Umits |(Jtti            in
line or PI less than *hatched ione with PI
between 4 and 7

 

			
	1)	 	See STS General Notes for component gradation terminology, consistency of
cohesive soils and relative density of granular soils.
	 
	2)	 	Reference: Unified Soil Classification System
	 
	3)	 	Borderline classifications, used for soils possessing
characteristics of two
groups, are designated by combinations of group symbols

For example: CW—GC, well—graded gravel—sand mixture
with clay binder.

 

 

			
	STS Field and Laboratory Procedures
	 	

SUBSURFACE EXPLORATION FIELD PROCEDURES

Hand-Auger Drilling (HA)

In this procedure, a sampling device is driven into the soil by repeated blows of a sledge hammer
or a drop hammer. When the sampler is driven to the desired sample depth, the soil sample is
retrieved. The hole is then advanced by manually turning the hand auger until the next sampling
depth increment is reached. The hand auger drilling between sampling intervals also helps to clean
and enlarge the borehole in preparation for obtaining the next sample.

Power Auger Drilling (PA)

In this type of drilling procedure, continuous flight augers are used to advance the boreholes.
They are turned and hydraulically advanced by a truck, trailer or track-mounted unit as site
accessibility dictates. In auger drilling, casing and drilling mud are not required to maintain
open boreholes.

Hollow Stem Anger Drilling (HS)

In this drilling procedure, continuous flight augers having open stems are used to
advance the boreholes. The open stem allows the sampling tool to be used without removing the
augers from the borehole. Hollow stem augers thus provide support to the sides of the borehole
during the sampling operations.

Rotary Drilling (RB)

In employing rotary drilling methods, various cutting bits are used to advance the boreholes. In
this process, surface casing and/or drilling fluids are used to maintain open boreholes.

Diamond Core Drilling (DB)

Diamond core drilling is used to sample cemented formations. In this procedure, a double tube (or
triple tube) core barrel with a diamond bit cuts an annular space around a cylindrical prism of the
material sampled. The sample is retrieved by a catcher just above the bit. Samples recovered by
this procedure are placed in sturdy containers in sequential order.

 

 

			
	STS Standard Boring Log Procedures
	 	

STS STANDARD BORING LOG PROCEDURES

In the process of obtaining and testing samples and preparing this report, standard procedures
are followed regarding field logs, laboratory data sheets and samples.

Field logs are prepared during performance of the drilling and sampling operations and are intended
to essentially portray field occurrences, sampling locations and procedures.

Samples obtained in the field are frequently subjected to additional testing and reclassification
in the laboratory by experienced geotechnical engineers, and as such, differences between the field
logs and the final logs may exist. The engineer preparing the report reviews the field logs,
laboratory test data and classifications, and using judgment and experience in interpreting this
data, may make further changes. It is common practice in the geotechnical engineering profession
not to include field logs and laboratory data sheets in engineering reports, because they do not
represent the engineer’s final opinions as to appropriate descriptions for conditions encountered
in the exploration and testing work. Results of laboratory tests are generally shown on the boring
logs or are described in the text of the report, as appropriate.

Samples taken in the field, some of which are later subjected to laboratory tests, are retained in
our laboratory for sixty days and are then discarded unless special disposition is requested by our
client. Samples retained over a long period of time, even in sealed jars, are subject to moisture
loss which changes the apparent strength of cohesive soil, generally increasing the strength from what was originally encountered in the field.
Since they are then no longer representative of the moisture conditions initially encountered,
observers of these samples should recognize this factor.

 

 

EXHIBIT I

Environmental

 

 

PHASE
I ENVIRONMENTAL SITE ASSESSMENT

1701-1715 Randall Road

Elgin, Illinois

Prepared For:

John B. Sanfilippo & Son, Inc.

2299 Busse Road

Elk Grove Village, Illinois 60007

Attn: Chuck Nicketta

Prepared By:

Pioneer Engineering & Environmental Services, Inc.

700 North Sacramento Boulevard, Suite 100

Chicago, Illinois 60612

(773) 722-9200

Pioneer Project #04-1523

Date Submitted:

November 15,
2004

 

 

The following personnel have prepared and/or reviewed this report.

/s/ Megan Wells-Paske

 

Megan Wells-Paske

Project Manager

Report Reviewer

/s/ Andrea B. Kleinaitis

 

Andrea B. Kleinaitis

Project Manager

Report Author

04-1523

 

Pioneer Project Number

November 15, 2004

 

Date

 

 

CONTENTS

	 	 	 	 	 
	 	 	PAGE
	1.0 EXECUTIVE SUMMARY
	 	 	1	 
	 
	2.0 STATEMENT OF WORK
	 	 	5	 
	 
	3.0 HISTORICAL REVIEW
	 	 	7	 
	 
	3.1 Introduction
	 	 	7	 
	3.2 Sanborn Fire Insurance Maps
	 	 	7	 
	3.3 USGS Topographic Maps
	 	 	8	 
	3.4 Aerial Photographs
	 	 	9	 
	3.5 Local Historical Sources
	 	 	11	 
	3.6 Key Site Manager Interview/Property Owner Questionnaire
	 	 	12	 
	 
	4.0 SITE INSPECTION
	 	 	 	 
	 
	4.1 Introduction
	 	 	14	 
	4.2 Site Location & General Description
	 	 	14	 
	4.3 Surrounding Properties
	 	 	15	 
	4.4 Physical Setting
	 	 	16	 
	4.5 Site Improvements
	 	 	17	 
	4.6 Site Utilities
	 	 	18	 
	4.7 Facility Operations & Wastes
	 	 	18	 
	4.8 Underground Storage Tanks
	 	 	20	 
	4.8.1 Subject Property Underground Storage Tanks
	 	 	20	 
	4.8.2 Adjacent Property Underground Storage Thanks
	 	 	21	 
	4.9 Other Petroleum/Hazardous Substance Storage
	 	 	21	 
	4.10 Asbestos-Containing Materials
	 	 	22	 
	4.11 Lead-Based Paint
	 	 	23	 
	4.12 Polychlorinated Biphenylic Compounds
	 	 	23	 
	 
	5.0 ENVIRONMENTAL DATABASE REVIEW
	 	 	 	 
	 
	5.1 Introduction
	 	 	25	 
	5.2 Federal & State Notifiers/Listings
	 	 	26	 
	 
	6.0 FINDINGS AND OPINIONS
	 	 	29	 
	 
	7.0 CONCLUSIONS
	 	 	31	 
	 
	8.0 CLOSING REMARKS
	 	 	32	 
	 
	9.0 REFERENCES
	 	 	33	 

	 	 	 
	FIGURE 1:
	 	Site Diagram
	 
	 	 
	LIST OF APPENDICES:
	 	 
	APPENDIX A :
	 	Area Map
	APPENDIX B:
	 	USGS Maps
	APPENDIX C:
	 	Aerial Photographs
	APPENDIX D:
	 	Photographic Log
	APPENDIX E:
	 	Environmental Database Report

 

 

Phase I Environmental Site Assessment

1701-1715 Randall Road

Elgin, Illinois

1.0 EXECUTIVE SUMMARY

Pioneer
Engineering & Environmental Services, Inc. (Pioneer) was engaged by John B. Sanfilippo
& Son, Inc. (Client) to complete a Phase I Environmental Site Assessment (ESA) of the subject
property identified as 1701-1715 Randall Road, in Elgin, Illinois. The subject property consists of
an irregular-shaped, approximate 97-acre parcel that is improved with two main structures (subject
buildings) and several additional smaller structures. A four-story office structure (subject
building-A [SB-A]), identified as 1707 Randall Road, encompasses approximately 103,000-square-feet
of the site’s north-central portion, and a two-story
office/warehouse structure (subject building-B
[SB-B]), identified as 1701-1703 Randall Road, encompasses approximately 653,000-square-feet of the
site’s southwestern portion. A fire protection system structure and picnic shelter are located on
the east-central portion of the site; another fire protection system structure is located southwest
of SB-B; a gatehouse is located on the west-central portion of the site; and a barn, identified as
Teeple Barn at 1715 Randall Road, is located on the northwestern portion of the site. See Figure 1
for a Site Diagram.

Investigation indicates that the northwestern portion of the subject property, along Randall Road,
was developed with residential/agricultural structures, including
Teeple Barn, by 1885, Between
1962 and 1972, additional residential structures were constructed on the northwestern and
east-central portions of the site. However, the majority of the subject property was historically
utilized for agricultural purposes. All of the former on-site structures, with the exception of
Teeple Barn, were reportedly demolished in the early 1990s. Subsequently, the subject buildings
and associated structures were constructed on site in the late 1980s, and were completed in
1991/1992. The site has reportedly been utilized exclusively by Matshushita Electric Corporation
of America (MECA) for office, training, electronic repair, diagnostic analysis, and
warehousing/distribution purposes since construction.

Pioneer performed a visual inspection of the site on November 8, 2004. As mentioned, the subject
property is currently occupied by MECA. SB-A is utilized primarily for office purposes; however, a
kitchen/cafeteria is also located on the first floor of this structure. Reportedly, wastes
generated in SB-A consist exclusively of general refuse and waste cooking grease. General refuse
is removed on an as-needed basis by Waste Management and waste cooking grease is removed from the
site on an as-needed basis by Torvac.

			
	 	 	 
	 
	PIONEER ENGINEERING &

ENVIRONMENTAL SERVICES, INC.
	 	November 15, 2004

-1-

 

Phase I Environmental Site Assessment

1701-1715 Randall Road

Elgin, Illinois

Operations conducted in SB-B include electronic equipment repair and diagnostic analysis,
circuit board fabrication, training, warehousing and packaging operations. The type of equipment
repaired and stored on site consists of a variety of electronic products, including television sets
(primarily plasma televisions), cash registers, VCR and DVD players, microwave ovens, massage
chairs, camcorders and robotic equipment. Electronic repair activities primarily consist of
replacing faulty parts, which includes limited soldering activities (to circuit boards) and dusting
the equipment (using compressed air cans). Diagnostic analysis activities include repairing damaged
equipment by identifying faulty parts or programming pre-made electronic equipment (i.e. cash
registers or chip and surging machines). Circuit boards are fabricated in the “Simm Lab” of SB-B by
placing plastic boards into machinery that generates holes and impregnates them with specified
materials contained on reels. Robotic welding machine training activities are also conducted in
SB-B, and electronic equipment packaged in the northwestern portion of SB-B is placed in cardboard
boxes/wooden crates and filled with a packaging foam (“Insta-Pak”).

Waste generated in SB-B includes general refuse, used batteries, electronic component waste (i.e.,
damaged parts/circuit boards), used oil and waste solder. General refuse is removed from SB-B by
Waste Management on an as-needed basis; used batteries are collected and sorted on-site before
being sent to an off-site Panasonic facility for recycling; and electronic waste is removed from
the site by Next Cycle. Reportedly, Safety Kleen is contracted to remove any unused chemicals,
used oil or waste solder generated on site on an as-needed basis; however, no waste oil or solder
was reportedly located on site at the time of the recent inspection,

Pioneer did not observe any unusual staining or odors or the bulk storage of petroleum/hazardous
substances on the subject property during the recent inspection. Additionally, Pioneer did not
observe any obvious evidence of underground storage tank (UST) emplacement on site during the
inspection and the subject property was not identified on the Illinois Register of USTs.

The
subject property, under the facility name MECA, was enrolled into the
Illinois EPA’s (IEPA’s)
Site Remediation Program (SRP) in May 2004, According to the environmental database report (see
Section 5.2), the subject property’s SRP listing currently retains an “open” (unresolved) status
associated with an approximate 500-gallon water/ethylene glycol (utilized as a coolant in the
on-site cooling systems) release that occurred in February 2004 from a cracked pipe attached to a
cooling tower located northwest of SB-B. Pioneer contacted MacTech Engineering & Consulting,

			
	 	 	 
	 
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Inc. (MacTec), the environmental firm handling the site’s SRP listing, and Mr. James Whitesel,
MacTec Project Manager, stated that subsequent to the reported release, MacTec collected soil and
groundwater samples in the area of the cooling tower and throughout the subject property. According
to Mr. Whitesel, no evidence of ethylene glycol was identified in the samples collected. MacTec’s
soil and groundwater investigation report was submitted to the IEPA and accepted as the Site
Investigation, Site Objectives and Remediation Objectives Report, Reportedly, a draft “No Further
Remediation” (NFR) letter (signifying formal closure) was issued by the IEPA in October 2004 for
the site’s SRP listing; however, additional information, including tax identification numbers, was
required by the IEPA in order to release the final NFR letter. Subsequently, a final NFR letter
(signifying formal closure) was issued to the site on December 3, 2004.

Pioneer submitted a Freedom of Information Act (FOIA) request to the IEPA for additional
information pertaining to the site. According to the IEPA, MECA applied for art Illinois Generator
ID Number in July 1993; 20 hazardous waste manifests were requested from the IEPA at that time.
Additionally, MECA submitted a first Notification of Regulated Waste Activity, dated July 1993 for
the generation of less than 2,200 pounds of toxic wastes (“D008” also identified as lead) on site
per calendar month. Hazardous Waste Reports (HWR), dating from 1993 to 1997, indicated that the
subject property was a periodic generator of hazardous waste. In 1994, approximately 157,900
pounds of hazardous waste were generated on site, identified as damaged consumer electric
products/items with the following waste codes: “D006” (cadmium); “D007” (chromium); “D008” (lead);
and “D009” (mercury). In 1995 and 1996, the site only generated “D009” wastes, from spent
fluorescent ballasts. Reportedly, by 1997, no hazardous wastes were reportedly generated on site.

Additional IEPA documentation included an investigative report, dated May 19, 2004, prepared by
MacTec, indicating that a leak of ethylene glycol/water from a cooling tower located outside SB-B
was discovered. MacTec advanced six soil borings on site; two samples were collected in close
proximity to the release, and the remaining four samples were collected on the northern, eastern
and western portions of the site. Additionally, water samples were collected from all four on-site
ponds. The soil and water samples were analyzed for ethylene glycol; reportedly, none of the
samples exhibited levels of ethylene glycol above the laboratory detection limit (ten parts per
million). Based on the results of this investigation, MacTec recommended completing the IEMA
reporting requirements and seeking a Focused NFR letter from the IEPA.

			
	 	 	 
	 
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A review of the appropriate federal and state environmental databases revealed that one SRP
listing (the subject property, refer to preceding discussion) is located at or within the ASTM
minimum search distances.

Upon completion of this report, no recognized environmental conditions (RECs) were identified in
connection with the subject property.

The Executive Summary is intended to provide a brief overview of the findings of this
investigation. It should be noted that although the Executive Summary is an integral part of a
report, it should not be substituted in lieu of reading the entire report. The entire report must
be read in order to fully understand the findings and potential environmental concerns associated
with the subject property.

			
	 	 	 
	 
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2.0 STATEMENT OF WORK

Pioneer Engineering & Environmental Services, Inc. (Pioneer) was engaged by John B. Sanfilippo
& Son, Inc. (Client) to complete a Phase I Environmental Site Assessment (ESA) of the subject
property identified as 1701-1715 Randall Road, in Elgin, Illinois. The site consists of an
irregular-shaped, approximate 97-acre parcel that is improved with two subject buildings and
several smaller structures. The subject buildings encompass a total of approximately 756,000 square
feet of the site’s surface area. See Figure 1 for a Site Diagram and Appendix A for an Area Map.

A Phase I ESA is designed to identify, to the extent feasible pursuant to the processes described
by ASTM Standard Practice E 1527-00, “recognized environmental conditions” (see definition,
following page) in connection with the subject property. The ASTM standard was developed to provide
current owners, prospective buyers, lending institutions or other interested parties with qualified
professional judgments concerning the presence or likely presence of a petroleum/ hazardous
substance release or substantial threat of a release of a petroleum/hazardous substance. The scope
of this Phase I ESA includes a historical review of the site’s development and prior use, visual
inspection of the site and any associated structures and other improvements, and a review of state
and federal environmental/regulatory databases for the subject site and surrounding properties in
accordance with the requirements of the ASTM standard. Pioneer’s Phase I ESAs are generally
expanded to identify several potential “business environmental risk(s),” including a search for
suspect asbestos-containing materials (ACMs), lead-based paint (LBP), and potential polychlorinated
biphenyl (PCB)-containing light ballasts. Thus, the information contained within this Phase I ESA
has been compiled in such a manner that meets or exceeds the recommended practices established by
ASTM Standard Practice E 1527-00, except whereas specified within this report.

The scope of the Phase I ESA can be further expanded from outlined above as specified by the
Client, or “User.” Unless specifically instructed by the User as to the purpose of the Phase I
ESA, Pioneer is required to assume that it is being prepared for the purpose of qualifying for the
innocent landowner defense to CERCLA liability. The following specific additions or instructions
were made by the User with regard to the purpose and practice of this Phase I ESA: none.

			
	 	 	 
	 
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The following terminology and definitions are specific to the ASTM standard:

Recognized Environmental Conditions: “the presence or likely presence of any hazardous
substances or petroleum products on a property under conditions that indicate an existing
release, a past release, or a material threat of a release of any hazardous substances or
petroleum products into structures on the property or into the ground, groundwater, or surface
water of the property. The term includes hazardous substances or petroleum products even under
conditions in compliance with laws. The term is not intended to include ‘de minimis’
conditions (see following definition).”

De
Minimis Conditions: “(environmental) conditions that do not generally present a material
risk of harm to health or the environment and that generally would not be subject to
enforcement action if brought to the attention of appropriate governmental agencies.”

Historical
Recognized Environmental Conditions: “(an) environmental condition which in the
past would have been considered a recognized environmental condition, but which may or may
not be considered a recognized environmental condition currently.”

Business Environmental Risk: “a risk which can have a material environmental or
environmentally-driven impact on the business associated with the current or planned use of a
parcel of commercial real estate (such as asbestos, regulatory compliance, lead-based paint
issues, etc.), not necessarily limited to those environmental issues required to be
investigated in this (ASTM) practice.”

Findings: “known or suspect environmental conditions associated with the property, and which
may include recognized environmental conditions, historical recognized environmental
conditions and de minimis conditions, among other environmental conditions.”

			
	 	 	 
	 
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3.0 HISTORICAL REVIEW

3.1 Introduction

The historical review process is intended to provide a chronological outline of the prior uses and
development of the subject property in accordance with Section 7.3 of the ASTM standard. The
investigative research attempts to identify potential environmental hazards and their associations
with structures or operations of the past and present. Particular attention was focused on past
owners or operations that may have been involved with the generation, treatment, handling, storage,
or disposal of petroleum/hazardous materials and other practices that may have led to recognized
environmental conditions in connection with the subject property.

Pertinent information was collected from standard historical sources that were reasonably
ascertainable, such as Sanborn Fire Insurance Maps, USGS Topographic Maps, aerial photographs,
local building and fire department records, tax assessor records, zoning/land use records and
interviews with persons knowledgeable of the historical use of the site. Primary sources utilized
during this investigation are documented in Section 9.0 of this
report. A detailed account of the
sources contacted during this investigation, including the dates that information was requested and
last updated, is maintained on file at Pioneer and is available upon
request.

It should be noted that Pioneer was unable to obtain site documentation dating back to 1940, in
accordance with ASTM Standard Practice E 1527-00. However, from the documentation available, it
appears that the northwestern portion of the subject property, along Randall Road, was developed
with residential and agricultural (i.e., barn, shed) structures by 1885, and the east-central
portion of the site was developed with a residence by 1972. The remainder of the site was
undeveloped agricultural land prior to the development of the subject buildings in 1992.

3.2 Sanborn Fire Insurance Maps

Sanborn Fire Insurance Maps (Sanborn maps) provide detailed drawings of the location and use of
buildings in a given time period as early as the late 1800s. Pioneer reviewed the Sanborn map
collection on file at the University of Illinois at Chicago (UIC) Library. However, no maps were
found for the subject property or surrounding area.

			
	 	 	 
	 
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3.3 USGS Topographic Maps

Pioneer
reviewed USGS 7.5 Minute Topographic Maps (USGS maps) of the area, dated 1962, 1972, 1980,
1992 and 1998 (see Appendix B). The following provides a summary of the pertinent information
gathered from the USGS maps reviewed:

1962:
On the earliest USGS map reviewed, the northwestern portion of the subject property, along
Randall Road, was developed with small, square, rectangular and circular structures that were
similar in appearance to residential and agricultural (i.e., barn, shed) structures; the
circular structure was similar in appearance to the current on-site Teeple Barn. The southern
portion of the site was traversed (in an east to west direction) by a roadway denoted as Lovers
Lane Road, which contained a “Horizontal Control Station” (a permanent mark utilized by the USGS
for future mapping activities) on its eastern portion. The remainder of the site appeared to be
undeveloped vacant land. The areas northwest of the subject property and west of the site were
developed with structures that appeared residential/agricultural in nature. The remaining
adjacent sites were revealed as being undeveloped vacant land. As a note, the Northwest Tollway
(a.k.a. Interstate 90) was developed farther north of the site.

1972 & 1980: The 1972 and 1980 USGS maps revealed no significant changes to the majority of the
subject property. However, additional structures that appeared residential in nature were
developed on the northwestern portion of the site (along Randall
Road) and on the east-central
portion of the site (north of Lovers Lane Road). No significant changes were revealed to the
adjacent sites.

1992: The 1992 USGS map revealed no significant changes to the subject property, with the
exception that Lovers Lane Road had been relabeled as Fox Lane Road and the “Horizontal Control
Station” was labeled “Almora” (note: Almora is the town located directly south of the subject
property). The area southeast of the site was developed with a large, irregular-shaped
structure that was similar in appearance to a current southeast adjacent industrial structure,
and the west adjacent sites were further developed with structures that appeared residential in
nature. No significant changes were revealed to the north or south adjacent sites.

					
	 
	 	 	 	 
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1998: On the 1998 USGS map, all the former on-site structures, with the exception of the
Teeple Barn (denoted as a “Tank”), had been demolished, and Fox Lane Road no longer traversed
the southern portion of the site but was relocated to the south of the subject property. The
north-central portion of the site was developed with an irregular-shaped structure that was
similar in appearance to subject building-A (SB-A); the southwestern portion of the site was
developed with a rectangular structure that was similar in appearance
to subject building-B
(SB-B); and the east-central portion of the site contained two, small square-shaped structures
that were similar in appearance to the current on-site fire protection system structure and
picnic shelter. Further, stormwater detention ponds were denoted on the southeastern and
western portions of the site, and roadways similar to Alft Lane and Ring Road were denoted on
the western portion of the site (to provide access to the site from Randall Road) and around
the subject buildings, respectively. The former northwest adjacent residential structure had
been demolished and the northwest adjacent site was developed with an off-ramp associated with
the northerly-located Northwest Tollway. The east adjacent sites were located within an area
that did not specifically identify individual buildings due to the high structure density in
the region. However, no significant changes were revealed to the south or west adjacent sites.

As
mentioned, Teeple Barn was denoted as a “Tank” on the 1998 USGS map. This is likely due to an
error in updating the USGS maps.

3.4 Aerial Photographs

The following provides a summary of the pertinent information gathered from the aerial photographs
reviewed, which were dated 1980, 1990, 1999, 2001 and 2002 (see Appendix C):

1980: The 1980 aerial photograph revealed that the northwestern portion of the site, along
Randall Road, was developed with several square and rectangular structures, that were similar in
appearance to a farmstead containing a residence and barns/shed, and
a circular-shaped structure
that was similar in appearance to the current on-site Teeple Barn; a structure that appeared
residential in nature was also located south of the farmstead (along Randall Road). A roadway
traversed the southern portion of the site (in an east to west direction), and another structure
that appeared residential in nature was located on the east-central portion of the site,

					
	 
	 	 	 	 
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north of this roadway. The remainder of the subject property appeared to be undeveloped land
utilized for agricultural purposes, with the exception that the northeastern portion of the
site appeared to contain forested land.

The northwest (north of the on-site farmstead) and west adjacent sites were developed with
structures that appeared similar to residential and/or agricultural structures. The remaining
adjacent areas appeared to be undeveloped agricultural land. The area farther north appeared to
be developed with a roadway that was similar in appearance to the current Northwest Tollway.

1990:
The 1990 aerial photograph revealed that the north-central portion of the subject property
was graded and contained a foundation that was similar in appearance to SB-A. A roadway was
constructed along the western and central portions of the southern site border and traversed
through the southeastern portion of the site (in a northeasterly direction); this roadway was
similar in appearance to the current Fox Lane Road. Another roadway traversed north from Fox
Lane Road to the foundation of SB-A on the central portion of the site. Further, a
triangular-shaped body of water was located on the southeastern portion of the site, south of
Fox Lane Road and similar to the current-day improvements. As a note, several areas that were
similar in appearance to bodies of water were visible on the west-central portion of the site.
No significant changes were revealed to the remainder of the site.

The former north adjacent residential structure had been demolished and this area was
redeveloped with an off-ramp from the farther north Northwest Tollway. The east adjacent site
was developed with an irregular-shaped structure that was similar in appearance to the current
southeast adjacent industrial structure. No significant changes were revealed to the remaining
adjacent sites.

1999
to 2002: The remaining aerial photographs revealed that the former on-site farmstead
structures had been demolished, with the exception of the northwesterly-located Teeple Barn.
The north-central and southwestern portions of the site were developed with structures that
were similar in appearance to the current subject buildings and associated asphalt-paved
parking and loading areas. Two smaller structures, similar to the fire protection system
structure and picnic shelter, were developed on the east-central portion of the site, and a
small structure, similar in appearance to the guard house, was visible on its west-central
portion. A roadway, similar to

					
	 
	 	 	 	 
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Ring Road, was visible around the perimeter of the site, and a roadway, similar to Alft Lane,
was visible on the west-central portion of the site (providing access to the subject property
from Randall Road). Further, an additional stormwater detention pond (north of Fox Lane Road)
was visible on the southeastern portion of the site, and two stormwater detention ponds were
observed on the western portion of the site. The remainder of the subject property contained
undeveloped vegetated (grass) cover; however, its northeastern portion appeared to contain
wooded growth.

The remaining aerial photographs revealed no significant changes to the majority of the adjacent
sites; however, the east adjacent site was further developed with an irregular-shaped structure
that was similar in appearance to the current northeast adjacent industrial structure.

3.5 Local Historical Sources

Pioneer submitted a Freedom of Information Act (FOIA) request to the City of Elgin Clerk’s Office
in an effort to review information the local code development and fire departments may have on
file for the subject property.

Pioneer reviewed the subject property’s file at the Code Development Department. The records did
not pre-date 1989 and indicated that the subject buildings were identified as 1701-1711 Randall
Road and that Teeple Barn was identified as 1715 Randall Road. Zoning Hearing Minutes, dated 1989,
indicated that the city was holding a hearing prior to altering the zoning of the subject
property. At that time, the site was described as a five-parcel site, consisting of approximately
100 acres, that was developed with three residential structures on three parcels (the remaining
two parcels were identified as being vacant). As a note, all of the structures were to be
demolished, with the exception of Teeple Barn, which was reportedly designated as a historic
landmark.

Numerous building permits (including electrical, plumbing, sewer and water utility, and heating,
ventilation and elevator equipment installation permits), dated 1990 to 1991, were issued to
Matsushita Electric Corporation of America (MECA) for the construction of SB-A, a
102,752-square-foot office building, and SB-B, a 653,184-square-foot warehouse structure. Numerous
office interior and alteration permits, dated 1993 to 2003, were also issued to the subject
buildings.

					
	 
	 	 	 	 
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Information provided for Teeple Barn indicated that the structure was stabilized by
repairing its columns, floor, sills barn bridge and buttress in 1997; structural repairs were
conducted and the cupola was reconstructed in 1999; and the structure was re-roofed in 2003.

The Elgin Fire Department file for the site included the following: numerous inspection records,
dating from August 1992 to September 2003; Commercial Cooking System Service Inspection Reports,
dating from November 1995 to July 2004; and numerous records for fire pump testing activities in
1997, 1999, 2000 and 2002. Additionally, “Tier Two Emergency and Hazardous Chemical Inventory”
sheets documented the presence of ethylene glycol (contained in the closed loop cooling system) on
site in 1996; the presence of ethylene glycol and sulfuric acid (in the batteries used in the
on-site fork-lifts) from 1998 through 2000; and the presence of ethylene glycol, sulfuric acid and
lead (in the batteries used in the on-site fork-lifts) from 2001 to 2003. Material Safety Data
Sheets (MSDS) for ethylene glycol and sulfuric acid were also included in the fire department’s
file for the site.

Additionally,
the fire department’s subject property file included an Illinois Hazardous Materials
Incident Report (H20040217), dated February 2004, that documented the release of an unknown amount
of ethylene glycol from a cooling tower and pipeline containing approximately 3,500- to
5,000-gallons of ethylene glycol in a piping loop. The incident report stated the release was due
to a “small leak” that affected approximately 10 square feet of land. No additional information
was provided; however, the incident report indicated that an environmental firm would be out to
assess the release in order to determine the volume of liquid released. See Section 5.2 for
additional information pertaining to the reported release of ethylene glycol at the subject
property.

3.6 Key Site Manager Interview/Property Owner Questionnaire

The subject property is reportedly owned by MECA. Pioneer interviewed Mr. James Indelak, MECA
Group Manager, and Mr. John Wachowski, MECA Purchasing and Fire and Safety Manager, for
information pertaining to the site. Mr. Indelak and Mr. Wachowski informed Pioneer that the
subject buildings and associated structures were constructed on the subject property in the early
1990s, following the demolition of several residential/agricultural structures. The site has
reportedly been utilized by MECA for office, electronic repair, diagnostic, training, warehousing
and

					
	 
	 	 	 	 
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distribution purposes since the time of construction, Mr. Indelak and Mr. Wachowski informed
Pioneer that they had no knowledge of the emplacement of underground storage tanks (USTs) on site;
however, Mr. Wachowski stated that two aboveground storage tanks (ASTs) are currently located on
the subject property (see Section 4.8.1). Further, Pioneer was informed that approximately
500-gallons of ethylene glycol (a cooling agent) was released from the air handling equipment north
of SB-B in 2004 and that the subject property was enrolled into the State’s Site Remediation
Program (SRP) in order to obtain closure for the release (see Section 5.2).

It should be noted that a Kane County Chronicle newspaper clipping, dated May 9, 2004, located in
SB-A’s conference room indicated that Teeple Barn was constructed in 1885. The article further
reported that the structure was the only 16-sided barn in Illinois and was historically a portion of
a dairy farm. Reportedly, residents of Elgin were attempting to raise funds in order to repair the
barn.

					
	 
	 	 	 	 
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4.0 SITE INSPECTION

4.1 Introduction

A visual inspection of the subject property consisted of a physical walk-through of the grounds and
buildings to obtain information regarding recognized environmental conditions in connection with
the subject site in accordance with Section 8.0 of the ASTM standard. Particular attention was
focused on, but not limited to, the nature of apparent past and present operations at and adjacent
to the subject site and a specific search for certain petroleum/hazardous substances. The purpose
of the inspection is to assess the potential of a release or imminent threat of a release of a
petroleum/ hazardous substance and/or waste based on the activities performed and observations
noted.

The following sections address the observations noted during the visual inspection conducted on
November 8, 2004. Pioneer personnel was accompanied by Mr. Wachowski during the inspection of the
interiors of the subject buildings, Teeple Barn and east-centrally-located fire protection
structure. It should be noted that observations of the interiors of the structures were limited
due to the presence of ceiling-high shelving units and stored goods. Further, observations of the
exterior of the site were limited due to the presence of numerous parked automobiles and
semi-trucks. As a note, access was not provided to the southwesterly-located fire protection
system structure, the gatehouse or the locked semi-loading dock area located south of SB-B. A
photographic log for the subject property is included in Appendix D of this report.

4.2 Site Location & General Description

The subject property, which is irregular in shape and encompasses approximately 97 acres, is
located at the northeast corner of Randall and Fox Lane Roads, south of the Northwest Tollway
(a.k.a. Interstate 90), in Elgin, Illinois. The site is improved by a four-story office structure
(SB-A) on its north-central portion; a two-story office/warehouse structure (SB-B) on its
southwestern portion; a fire protection system structure and picnic shelter on its east-central
portion; a second fire protection system structure (located southwest of SB-B); a gatehouse on its
west-central portion; and Teeple Barn on its northwestern portion. As a note, a ground-level
covered walkway is located

					
	 
	 	 	 	 
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on the central portion of the site, providing access from the western portion of SB-A to the
central portion of SB-B. See Figure 1 for a Site Diagram.

The subject property is bisected on its southeastern portion by Fox Lane Road, and Alft Lane is
located on the west-central portion of the site, providing access to the subject property from
Randall Road. Additionally, Ring Road traverses the perimeter of the site. Asphalt-paved parking
areas are located south of SB-A and southwest of SB-B and a cobblestone parking area is located at
the north-central portion of SB-A (this structure’s main entry). A concrete-paved semi-truck
parking area is located southeast of SB-B and a concrete-paved semi-truck loading/parking area is
located south of SB-B.

Two stormwater detention ponds are located on the southeastern portion of the site (one north and
one south of Fox Lane Road) and two stormwater detention ponds are located on the western portion
of the site (one north and one south of Alft Lane). Wooded vegetation, with an associated
mulch-lined walking path, is located on the northeastern portion of the site and the northwestern
portion of the site contains vegetative growth. The area east of SB-B is grass-covered and
contains a soccer field, baseball field and sand-filled volleyball court. Further, the area south
of the fire protection system structure/picnic shelter is improved with two fenced tennis courts.
Decorative landscaping and grass-cover are located throughout the remainder of the site, and a
large, grass-covered mound is located on the northern border of the site, east of the vegetated
area.

43 Surrounding Properties

The subject property is located within a mixed-use area of Elgin. The following provides a summary
of the adjacent properties noted during the recent site inspection.

North: The subject property is bordered to the north by undeveloped grass-covered land
(containing Commonwealth Edison overhead electric transmission lines), followed by a Northwest
Tollway off-ramp (to the northwest). Farther north is the Northwest Tollway.

East: The subject property is bordered to the east by Fox Lane Road (center) and two, one-story
industrial structures occupied by Colony Display (2000 Fox Lane Road) to the north, and Uni-

					
	 
	 	 	 	 
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Chem (1875 Fox Lane Road) to the south. Farther east are the Northwest Tollway and additional
industrial structures.

South: The subject property is bordered to the south by Fox Lane Road on its western and central
portions and by undeveloped agricultural land on its eastern portion. Farther south is undeveloped
agricultural land.

West: The subject property is bordered to the west by Randall Road, followed by (in a north to
south direction) undeveloped vacant land, Alft Lane and a 7-Eleven/Citgo gasoline station (1570
Randall Road).

4.4 Physical Setting

The topography of the central portion of the subject property is relatively level, with no
significant natural relief features. However, a mounded grass-covered area is located on the
northwestern portion of the site, and stormwater detention ponds are located on the southeastern
portion of the site and along its western border. According to the most recent USGS map available,
the elevation of the subject property is between 870 and 890 feet above mean sea level. Based on
further interpretation of this source, localized groundwater is expected to flow in a southerly
direction, towards Tyler Creek, which is located approximately 1.5 miles from the site (note:
site-specific conditions may vary due to a variety of factors, including geologic anomalies,
utilities, nearby pumping wells [if present] and subsurface structures and/or developments).

Pioneer reviewed Plate 1 of the ISGS Circular, dated 1984 and titled Potential for Contamination of
Shallow Aquifers in Illinois, by Berg, et al., indicating that the regional geologic materials
underlying the subject site are designated as “AX”-type soil. An “AX” soil type classification is
described as containing alluvium, a mixture of gravel, sand, silt and clay, which is located along
streams and is variable in composition and thickness.

Pioneer contacted Cowhey Gudmundson Leder, Ltd. (CGL), the engineering firm contracted by MECA to
assist in the design, development and construction of the on-site structures. According to Mr.
Hubert Loftus, Project Engineer for CGL, no fill materials were brought onto the subject

					
	 
	 	 	 	 
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property during construction activities. However, Mr. Loftus stated that there was an excess of
fill material generated during the development of the subject buildings and associated structures.
This excess fill was reportedly utilized to create the earthen berm (previously referred to as a
grass-covered mound) located along the northern portion of the site
(northeast of the Teeple Barn).

4.5
Site Improvements

SB-A, a four-story office structure, encompasses approximately 103,000-square-feet of the site’s
north-central portion and is constructed of masonry and steel atop a concrete slab foundation.
SB-A’s first floor contains the main entry (north-central portion), a cafeteria/kitchen
(south-central portion) and miscellaneous support offices (i.e., copy center, mail room, computer
rooms), the pump room, maintenance room and a fitness center. The remainder of the first floor and
the second and third floors are improved with office areas. The fourth floor is vacant and does not
contain interior improvements. Six cable-operated elevators are located in SB-A and a belowground
grease trap is located in SB-A’s kitchen. Flooring materials utilized throughout SB-A include
terrazzo, carpeting, vinyl and ceramic tile and concrete; walls consist of drywall, concrete block,
concrete and insulated concrete; and ceilings consist of drywall, drop-panel ceiling tile, concrete
and insulated concrete. Four overhead doors are located along the SB-A’s south exterior wall. An
enclosed outdoor patio is located southwest of SB-A and enclosed air-handling/cooling equipment is
located southeast of SB-A.

SB-B, a two-story office and warehouse/distribution structure, encompasses approximately
653,000-square-feet of the site’s southwestern portion and is constructed of masonry and steel
atop a concrete slab foundation. The northwestern portion of SB-B (first and second floors)
contains general office areas, electronic repair/diagnostic offices and training rooms (note: the
second floor is currently unoccupied); the northeastern portion of the structure contains a small
garage and electric switch room; and the remainder of the structure consists of warehouse areas
(some areas are locked). As a note, a small mezzanine area, utilized to store small
parts/equipment, is located in the southeastern portion of the structure. The warehouse area is
equipped with a conveyor system and two hydraulic elevators are located in SB-B’s office area.
Flooring materials utilized throughout SB-B include terrazzo (main entry at the northwestern
portion), carpeting, vinyl and ceramic tile, epoxy-coated and exposed concrete; walls consist of
drywall, concrete block and concrete; and

					
	 
	 	 	 	 
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ceilings consist of drywall, drop-panel ceiling tile, concrete and a steel deck system in the
warehouse areas.

The east-centrally located fire protection system structure is constructed of concrete block atop a
concrete slab foundation, and the east-centrally located picnic shelter is constructed of concrete,
atop a concrete foundation with a wooden roof and no walls. The
Teeple Barn is constructed of wood
atop a concrete slab foundation, and the covered walkway, which connects SB-A to the SB-B, is
constructed of masonry, glass and steel. None of these structures contain interior improvements.

4.6 Site Utilities

The subject property is reportedly connected to the City of Elgin municipal water and sanitary
sewer systems. Elgin receives potable water from the Fox River Water Reclamation Plant. SB-A is
heated by internal natural-gas fired units (located on each floor); supplemental heat is provided
to the maintenance and kitchen areas by natural gas-fired, ceiling-suspended units. SB-A is cooled
by cooling towers located in a concrete block-walled area southeast of the structure. The office
areas of SB-B are heated by internal natural-gas fired units (located on each floor); supplemental
heat is provided to the garage and warehouse areas by natural gas-fired, ceiling-suspended units.
SB-B is cooled by cooling towers located in a concrete block-walled area northwest of the
structure. As a note, a natural gas-fired, ceiling-suspended unit was observed in the east-central
fire protection system structure. Natural gas is supplied by Nicor, and electrical service is
provided by Commonwealth Edison (ComEd).

4.7 Facility Operations & Wastes

The subject property is currently occupied by MECA primarily for office, electronic repair,
diagnostic analysis, training, warehousing and distribution purposes. Equipment repaired and
stored on site consists of a variety of electronic products, including television sets (primarily
plasma televisions), cash registers, VCR and DVD players, microwave ovens, massage chairs,
camcorders and robotic equipment

					
	 
	 	 	 	 
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SB-A is utilized primarily for office purposes; however, a copy center, a kitchen/cafeteria
and a maintenance room are also located on the first floor of this structure. As a note, Pioneer
was informed that only pre-packaged toner (i.e., no wet inks or solvents) is used in the copy
center, which conducts typical copying operations on a larger scale. Maintenance activities
conducted on site include replacing light bulbs, constructing cubicles and limited touch-up
painting activities. Reportedly, wastes generated in SB-A consist exclusively of general refuse and
waste cooking grease. General refuse, which is disposed into a compactor or numerous dumpsters
observed in the south-central loading dock, is removed on an as-needed basis by Waste Management.
As a note, numerous smaller recycling dumpsters were observed in SB-A’s kitchen area. Waste cooking
grease is removed from the site on an as-needed basis by Torvac, as observed by a waste grease
receptacle located in the south-central loading dock. Further, a below-ground grease trap located
in the kitchen area is reportedly serviced by Torvac four times per year.

Operations conducted in SB-B include electronic equipment repair and diagnostic analysis, circuit
board fabrication, training, warehousing and packaging operations. Electronic repair activities
primarily consist of replacing faulty parts, which includes limited soldering activities (to
circuit boards) and dusting the equipment (using compressed air cans). Diagnostic analysis
activities include repairing damaged equipment by identifying faulty parts or programming pre-made
electronic equipment (i.e. cash registers or chip and surging machines). Circuit boards are
fabricated in the “Simm Lab” of SB-B by placing plastic boards into machinery that generates holes
and impregnates them with specified materials contained on reels. Robotic welding machine training
activities are also conducted on site, and electronic equipment packaged in the northwestern
portion of SB-B is placed in cardboard boxes/wooden crates and filled with a packaging foam
(“Insta-Pak”).

Waste generated in SB-B includes general refuse, used batteries, electronic component waste (i.e.,
damaged parts/circuit boards), used oil and waste solder. General refuse is removed from SB-B by
Waste Management on an as-needed basis, as observed by dumpsters located throughout the structure
and two compactors located along the south exterior wall (note: one compactor was located in the
enclosed, southeasterly-located loading dock). Used batteries are collected and sorted on-site
before being sent to an off-site Panasonic facility for recycling, and electronic waste is removed
from the site by Next Cycle. Reportedly, Safety Kleen is contracted to remove any unused

					
	 
	 	 	 	 
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chemicals, used oil or waste solder generated on site on an as-needed basis; however, no
waste oil or solder was reportedly located on site at the time of the recent inspection.

As a note, MECA utilizes contractors for painting and lawn, elevator and fork-lift maintenance
activities. Pioneer was informed that Otis maintains the on-site elevators and Norvanco manages
SB-B’s warehouse activities. Further, J&D Lift maintains all on-site fork-lifts in a fork-lift
battery charging/repair area located in the southwestern portion of SB-B. A locked maintenance area
and triple trap oil/water separator system were observed in this area; however, Pioneer was
informed that this equipment is maintained by employees of J&D Lift. Further, the contractors
reportedly bring all supplies on-site and remove all wastes generated from their maintenance
activities.

Pioneer was informed that no wastewater discharge permits are associated with the subject property
as on-site operations do not involve any process wastewater. Further, Pioneer was informed that
the subject property formerly maintained an air permit associated with emissions generated during
the cleaning of computer key boards with air; however, these operations reportedly ceased and the
air permit was not renewed. It should be noted that a formal compliance audit was not included
within the scope of this assessment.

4.8 Underground Storage Tanks

Underground storage tanks (USTs) that exist or previously existed at sites may represent a
potential environmental risk due to the possibility of tank system failures and/or spills and
overfills. An inspection was conducted at the subject property in order to identify the location
of any USTs that exist or may have existed. Specific attention was focused on visual indications
of equipment associated with USTs, such as fill or vent piping, dispensers, dispenser islands, or
evidence of excavations. Information for the UST investigation was gathered from the visual
inspection, personal interviews, the local municipal agencies, and the Illinois Register of USTs.

4.8.1 Subject Property Underground Storage Tanks

No obvious evidence of the emplacement of USTs was observed on the subject property and the
site was not identified on the Illinois Register of USTs. Additionally, there was no
information

					
	 
	 	 	 	 
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pertaining to UST emplacement at the subject property in the Elgin Code Development or Fire
Department’s files for the site.

4.8.2 Adjacent Property Underground Storage Tanks

None of the adjacent sites were identified on the Illinois Register of USTs. However, Pioneer
observed a currently-operating Citgo/7-Eleven gasoline station on the west adjacent site, across
Randall Road. Visual observations, including vent pipes, fill ports and dispenser islands,
indicated the presence of two USTs on this site, directly east of the on-site convenient store
structure. It should be noted that this site, which is located approximately 100 feet from the
subject property, is not currently identified as having a reported release (i.e., leaking UST
[LUST] incident).

No obvious evidence of the emplacement of USTs was observed on the remaining adjacent sites.

4.9 Other Petroleum/Hazardous Substance Storage

No bulk storage of petroleum/hazardous substances was note on site; however, Pioneer observed an
approximate 200-gallon diesel fuel AST in the east-centrally-located fire protection system
structure during the recent inspection. Reportedly, diesel fuel is utilized to run the fire
protection equipment in case of a fire; this equipment is tested once a week. Additionally, a
back-up generator is located at the southeastern portion of SB-A (in the enclosed cooling tower
area). A 270-gallon diesel fuel AST is located in the base of this equipment, which has only been
utilized once since installation in the early 1990s; this equipment is tested semi-annually. No
significant staining or other signs of leakage were observed in the area of the ASTs at the time of
the inspection. It should be noted the second fire protection system structure reportedly does not
contain any ASTs as its fire protection equipment is powered by electricity.

Pioneer also observed 55-gallon drums of Insta-Pak and a cleaner/degrcaser; and several
small-volume containers (one-pint to five-gallon) of the following materials in the subject
buildings: miscellaneous cleaning supplies; hydrochloric and nitric acid; acetone; paints; water
treatment

					
	 
	 	 	 	 
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chemicals (i.e., oxidizers); gasoline; spray paint; black top sealer; carpet adhesive;
primer; and hydraulic oil. The majority of these substances were
observed in flammables cabinets,
or in the individual workstations in the electronic repair areas. No significant staining or other
signs of product leakage were observed around the containers at the time of the recent site
inspection. As a note, Pioneer also observed 55-gallon “spill kits” and an overpack drum in SB-A’s
kitchen area; these containers are reportedly stored on site in case of a spill.

4.10 Asbestos-Containing Materials

This section addresses a potential environmental concern beyond the scope of ASTM Standard
Practice E 1527-00. Restrictions for asbestos use in building materials became more stringent in
the 1970s, and the use of friable and sprayed-on asbestos was prohibited in 1978 by the
Environmental Protection Agency with the passage of the National Emission Standards for Hazardous
Air Pollutants (NESHAP). Friable and sprayed-on asbestos-containing materials (ACMs) are easily
crumbled or pulverized and therefore easily made airborne. Friable ACMs are a potential health
hazard. Non-friable ACMs are not a major concern unless they become airborne by such processes as
sanding, drilling, milling, cutting, etc. during renovation or demolition.

A comprehensive asbestos survey is beyond the scope of this Phase I ESA. The asbestos survey
conducted at the subject property was limited to an inspection of readily-accessible interior
areas and was not intended to be suitable for pre-renovation or demolition purposes. Particular
attention was focused on identifying asbestos-containing insulation, plaster materials, floor
tiles, and sprayed or troweled-on structural coverings. Sampling and analysis were not included as
part of this investigation.

Pioneer
identified drywall (and associated tape/joint compound), 12" x
12" vinyl floor tile (and
associated mastic), and 2' x 4' drop ceiling tile, which are generally considered suspect ACMs, in
the office areas of the subject buildings; additionally, spray-on insulation was observed on the
fourth floor and in the kitchen area of SB-A. Based on the date of construction of the subject
buildings (early 1990s), Pioneer believes it is unlikely that these materials contain asbestos.
However, a review of original building supply lists, manufacturer’s documentation, and/or
analytical testing would be necessary to confirm this contention.

					
	 
	 	 	 	 
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4.11 Lead-Based Paint

The use of lead-based paint (LBP) was widespread in the construction industry prior to 1973, due
to its durability. At that time, amendments to the Lead-Based Paint Poisoning Prevention Act
established the allowable level of lead in paint to 0.5 percent by weight of dry sample. This
limit was implemented to eliminate the hazard of LBP in housing. LBPs can exist on any painted
surface. Such paint, if properly maintained and in good condition, poses little risk. However,
damaged or deteriorated surfaces can present a health threat, especially to children under six
years of age. Chipping or peeling paint poses a threat if ingested; however, the greatest danger
lies in the inhalation of dust particles. Lead dust particles, frequently associated with
deteriorating LBP, can be brought to the surface by moisture or can be released by friction or by
frequent impact on surfaces such as windows and door frames.

A comprehensive survey is beyond the scope of this Phase I ESA. The LBP survey conducted at the
subject property was necessarily limited to a visual inspection of readily accessible areas.
Particular attention was focused on identifying deteriorated areas of painted surfaces and frequent
impact surfaces such as window and door frames. Bulk sampling and analysis of suspect LBPs were not
included within the scope of this survey.

Painted surfaces were observed to be in good condition throughout the interior of the subject
buildings. Based upon the construction dates of the structures (early 1990s), the painted surfaces
are not considered to contain to LBP.

4.12 Potychlorinated Biphenylic Compounds

The use of Polychlorinated Biphenylic (PCB) compounds was widespread in various manufacturing and
industrial applications due to their superior dielectric, lubricating and fire-retardant
properties prior to their federal ban in 1979. Pioneer’s focus has been limited to the more common
potential PCB sources, which include dielectric fluids used in electrical equipment such as
transformers and capacitors, unless otherwise stated.

					
	 
	 	 	 	 
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Numerous step-down transformers were observed throughout the subject buildings during the recent
inspection. Based on their installation date Pioneer does not believe that this equipment
represents a significant environmental concern to the subject property at this time.

Several pad-mounted electrical transformers were observed on the subject property during the
recent inspection. The transformers appeared to be in sound condition, and no signs of leakage or
staining were noted. According to information previously received from ComEd, which owns and
maintains this equipment, all ComEd transformers in the northern Illinois area were replaced or
tested by 1988 and should now be considered “non-PCB.” Therefore, Pioneer does not believe that
this equipment represents a significant environmental concern to the subject property.

The ballasts associated with fluorescent light fixtures are also possible sources of PCBs
depending on their specific manufacturer and the date of manufacture. Equipment containing PCBs
that is old, neglected, or damaged may leak and is therefore potentially hazardous depending on
the actual PCB content and the specific PCB isomer involved. As a result, Pioneer includes a
discussion of this equipment although this specific potential source of PCBs is beyond the scope
of the ASTM standard.

Fluorescent light ballasts were observed throughout the subject buildings and in the
east-centrally-located fire protection system structure. However, ballasts located in these
structures were not considered as potential sources of PCBs, based upon their apparent age. No
additional suspect PCB-containing equipment was observed during the site inspection.

					
	 
	 	 	 	 
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5.0 ENVIRONMENTAL DATABASE REVIEW

5.1
Introduction

The purpose of this section is to identify sites within a prescribed distance from the subject
property that are listed on standard environmental databases that may have a potential impact on
the subject property in accordance with Section 7.2 of the ASTM Standard. The following is a list
of federal and state databases searched for the area surrounding the subject property; the search
distances are noted in parenthesis.

	 	 	 	 	 
	•

	 	NPL:	 	The National Priorities List (NPL) is a federal list of abandoned or uncontrolled hazardous
waste sites identified for priority remedial action under the Superfund program (1.0 mile).
	 
	 	 	 	 
	•

	 	CERCLIS:
	 	The Comprehensive Environmental Response, Compensation and Liability Information
System (CERCLIS) is a compilation of the sites that the EPA has
investigated or is currently investigating, pursuant to the Comprehensive
Environmental Response, Compensation and Liability Act (CERCLA), for a
release or threatened release of a hazardous substance. It also includes
abandoned or uncontrolled waste sites identified under the federal
Superfund program (0.5 mile). Sites which have been investigated and
subsequently delisted from CERCLIS are designated as No Further Remedial
Action Planned (NFRAP) sites (subject and adjacent properties).
	 
	 	 	 	 
	•

	 	RCRIS:
	 	The Resource Conservation and Recovery Information System (RCRIS) is a listing of
facilities that are regulated by the Resource Conservation and Recovery
Act (RCRA). RCRIS lists facilities that treat, store or dispose (TSD) of
hazardous waste (0.5 mile) and identifies hazardous waste handlers with
corrective action (CORRACTS) activity (1.0 mile). RCRIS also lists
small-quantity generators (SQGs) and large-quantity generators (LQGs) of
hazardous waste (subject and adjacent properties).
	 
	 	 	 	 
	•

	 	ERNS:
	 	The Emergency Response Notification System (ERNS) records and stores information on
reported releases of oil and hazardous substances (subject property only).
	 
	 	 	 	 
	•

	 	UST:
	 	The Underground Storage Tank (UST) database lists USTs registered with the Office of the
State Fire Marshal (subject property and adjacent properties).
	 
	 	 	 	 
	•

	 	LUST:
	 	The Leaking Underground Storage Tank (LUST) records contain an inventory of LUST
incidents reported to the state (0.5 mile).
	 
	 	 	 	 
	•

	 	SRP:
	 	The Illinois Site Remediation Program (SRP) database includes properties that are enrolled in
the state’s voluntary clean-up program (0.5 mile).
	 
	 	 	 	 
	•

	 	SCL:
	 	The State Category List (SCL), which is no longer active, was compiled by the Illinois EPA
(IEPA) and includes sites identified for investigation or remediation. The
SCL is the state equivalent to the NPL or CERCLIS (1.0 mile).
	 
	 	 	 	 
	•

	 	SWF/LF:
	 	The Solid Waste Facilities/Landfills (SWF/LF) records typically contain an inventory of solid
waste disposal facilities or landfills, active or inactive, in a particular state (0.5 mile).
	 
	 	 	 	 
	•

	 	HISWD:
	 	The Historical Inventory of Solid Waste Disposal (HISWD) database is a one-time issued list,
compiled by the Northeastern Illinois Planning Commission (NIPC), which
identifies historical waste sites in Northern Illinois (0,5 mile).

	 	 	 
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It should be noted that a Freedom of Information Act (FOIA) request would be required to
obtain more information concerning the compliance status of any of the sites identified during the
environmental database review. This request may take four to six weeks to obtain. As a matter of
standard practice, Pioneer would require client authorization prior to initiation of the process.
Any pertinent information subsequently received would then be forwarded to the client and
amendments, if warranted, to any recommendations made in this report would be evaluated at that
time.

5.2
Federal & State Notifiers/Listings

FirstSearch Technology Corporation (FirstSearch) provided regulatory information for the site and
surrounding properties in a radius map report. Properties/listings identified in the Environmental
FirstSearchTM Report within the ASTM minimum search distances from the subject property include one
SRP listing. Specific information regarding this listing can be found in the complete FirstSearch
report, which is included as Appendix E to this report.

The subject property was identified as an “active” SRP site on the environmental database report.
According to the FirstSearch report, the subject property was enrolled into the SRP in May 2004
and the listing currently retains an “open” (unresolved) status; however, the current on-line IEPA
database reported the SRP listing was “closed” and a “No Further Remediation” (NFR) letter
(signifying formal closure) was issued to the site on December 3, 2004. Mr. Indelak and Mr.
Wachowski stated that the site’s SRP listing is associated with an approximate 500-gallon water/ethylene glycol (utilized as a coolant in the on-site cooling systems) release that occurred from
a cracked pipe attached to a cooling tower located northwest of SB-B in February 2004. Pioneer
contacted MacTech Engineering & Consulting, Inc. (MacTec), the environmental firm handling the
site’s SRP listing. According to Mr. James Whitesel, MacTec Project Manager, subsequent to the
reported release, MacTec collected soil and groundwater samples in the area of the release and
throughout the subject property. According to Mr. Whitesel, no evidence of ethylene glycol was
identified in the samples collected. Further, Mr. Whitesel stated that ethylene glycol degrades
very rapidly and it was unlikely that elevated levels of ethylene glycol would be identified in
the samples analyzed. MacTec’s soil and groundwater investigation report was submitted to the IEPA
and accepted as the Site Investigation, Site Objectives and Remediation Objectives Report.
Reportedly, a draft NFR letter was issued by the IEPA in October 2004 for the site’s SRP listing;
however,

	 	 	 
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additional information, including tax identification numbers, was required by the IEPA in
order to release the final NFR letter.

Pioneer reviewed the Focused NFR letter, dated December 3, 2004, issued for the subject property’s
SRP listing. Reportedly, the letter was issued for the specified release of ethylene glycol at the
subject property, which is restricted to commercial/industrial land use. Further, the letter states
that the disturbance or removal of contamination that has been left in place must be done in
accordance with the Remedial Action Plan (RAP); access to soil contamination may be allowed if,
during and after any access, public heath and the environment are protected consistent with the
RAP.

Pioneer also submitted a FOIA request to the IEPA for additional information pertaining to
the subject property. According to the IEPA, MECA applied for an Illinois Generator ID Number in
July 1993; 20 hazardous waste manifests were requested from the IEPA at that time. Additionally,
MECA submitted a first Notification of Regulated Waste Activity, dated July 1993 for the generation
of less than 2,200 pounds of toxic wastes (“D008” also identified as lead) per calendar month.

A 1993 IEPA Hazardous Waste Report (HWR), dated May 1994, indicated that the subject property did
not generate hazardous waste in 1993. A 1994 HWR, dated February 1995, stated that in 1994,
approximately 157,900 pounds of hazardous waste were generated on site, which was identified as
damaged consumer electric products/items that contained the following waste codes: “D006”
(cadmium); “D007” (chromium); “D008” (lead); and
“D009” (mercury). A 1995 HWR, dated February 1996,
and a 1996 HWR, dated February 1997, indicated the site was only a periodic generator at this time
and that only “D009” wastes, from spent fluorescent ballasts, were generated on site during 1995
and 1996. A 1997 HWR, dated February 1998, indicated that no hazardous wastes were generated on
site in 1997.

Additional IEPA documentation included an investigative report, dated May 19, 2004 and prepared by
MacTec Engineering and Consulting (MacTec). MacTec reported that HVAC contractor personnel
discovered a leak of ethylene glycol/water from a cooling tower located outside SB-B. MECA
reportedly called an incident in to IEMA, and incident number 20040217 was issued to the site,
MacTec subsequently advanced six soil borings on site; two samples were collected in close

	 	 	 
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proximity to the release, and the remaining four samples were collected on the northern,
eastern and western portions of the site. Additionally, water samples were collected from all four
on-site ponds. The soil and water samples were analyzed for ethylene glycol; reportedly, none of
the samples exhibited levels of ethylene glycol above the laboratory detection limit (ten parts
per million). Based on the results of this investigation, MacTec recommended completing the IEMA
reporting requirements and seeking a Focused NFR letter from the IEPA.

Subsequently, MECA submitted a Site Remediation Program Application and Services Agreement Form,
dated May 20, 2005, to the IEPA. This form documented MECA’s request to be enrolled into the SRP
and requested a Focused NFR letter for the release of ethylene glycol documented at the site. A
letter, dated May 24, 2004, issued to MECA by the IEPA indicated
that the site’s enrollment into the
SRP was complete and the Mr. Todd Gross would be assigned as the lEPA’s Project Manager for the
site.

	 	 	 
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6.0 FINDINGS & OPINIONS

Based on the information gathered during this Phase I Environmental Site Assessment, within the
scope of this investigation and pursuant to the requirements of ASTM Standard Practice E 1527-00,
the following findings and opinions are presented below:

1. Recognized Environmental Conditions:

	 	•	 	None

2. Historical Recognized Environmental Conditions:

	 	•	 	None

3. De Minimis Conditions:

	 	•	 	According to the IEPA, the subject property is identified as a “closed” SRP
site associated with an approximate 500-gallon water/ethylene glycol release that occurred
from a cracked pipe attached to a cooling tower located northwest of SB-B in February
2004. Apparently, the subject property was enrolled into the SRP in May 2004 and
according to a representative of MacTec, soil and groundwater samples were collected in
the area of the release and throughout the site and no evidence of ethylene glycol was
identified in the samples collected. Reportedly, a draft NFR letter for the site’s SRP
listing was issued by the IEPA in October 2004 and the final Focused NFR letter was
issued by the IEPA on December 3, 2004. Based on the available information, Pioneer
believes the site’s SRP listing represents a de minimis condition to the subject property
at this time. However, Pioneer recommends that the final Focused NFR letter be
properly recorded.
	 
	 	•	 	Pioneer observed a currently-operating Citgo/7-Eleven gasoline station on the west
adjacent site, across Randall Road. Two USTs are currently located on this site, which
is apparently not identified on the Illinois Register of USTs. However, based on its
distance (~100 feet), the available information and/or the inferred southerly direction
of

	 	 	 
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groundwater flow, Pioneer believes the west adjacent gasoline station represents a
de minimis condition to the subject property at this time.

4. Business Environmental Risks:

	 	•	 	None

	 	 	 
	PIONEER ENGINEERING &

ENVIRONMENTAL SERVICES, INC.
	 	November 15, 2004

-30-

 

Phase I Environmental Site Assessment

1701-1715 Randall Road

Elgin, Illinois

7.0 CONCLUSIONS

Pioneer Engineering & Environmental Services, Inc. has performed this Phase I Environmental Site
Assessment in conformance with the scope and limitations of ASTM Practice E 1527-00 of the subject
property located at 1701-1715 Randall Road, in Elgin, Illinois. Any exceptions to, or deletions
from, this practice are expressed herein. This assessment has revealed no evidence of recognized
environmental conditions (RECs) in connection with the subject property.

	 	 	 
	PIONEER ENGINEERING &

ENVIRONMENTAL SERVICES, INC.
	 	November 15, 2004

-31-

 

Phase I Environmental Site Assessment

1701-1715 Randall Road

Elgin, Illinois

8.0 CLOSING REMARKS

Pioneer warrants that the findings and conclusions contained herein have been promulgated in
accordance with ASTM Standard Practice E 1527-00, Phase I Environmental Site Assessment Process,
only for the site described in this report. No environmental assessment can eliminate the
uncertainty regarding the potential for recognized environmental conditions in connection with a
property. The Phase I ESA is designed to reduce, but not eliminate, uncertainty regarding the
potential for recognized environmental conditions in connection with
a property.

Due to the limited nature of the work, there is a possibility that conditions may exist which
could not be identified within the scope of the assessment, or which were not apparent at the time
of the report preparation. The scope of the Phase I ESA does not include the sampling or
analytical testing of substances encountered at the subject site. Consequently, a subsurface
investigation would be necessary in order to analytically determine the environmental condition of
the subject site.

Pioneer is not responsible for independently verifying the information provided. Further, Pioneer
cannot be held responsible if the user, current owner or key site manager does not communicate to
Pioneer any specialized knowledge or experience that is material to recognized environmental
conditions in connection directly or indirectly with the subject property.

This report has been prepared for the sole use of the Client identified in the report and can not
be relied upon by other persons or entities without the joint permission of the Client and
Pioneer. The observations and conclusions contained herein are limited by the scope and intent of
the work mutually agreed upon by the Client and Pioneer and the work actually performed. Pioneer
believes the findings and conclusions provided in this report are reasonable. However, no
warranties are implied or expressed.

Pioneer appreciates the opportunity to be of service to you on this project. We hope this
information meets your needs at this time. If you have any questions regarding this initial
assessment, please contact us at (773) 722-9200.

	 	 	 
	PIONEER ENGINEERING &

ENVIRONMENTAL SERVICES, INC.
	 	November 15, 2004

-32-

 

Phase I Environmental Site Assessment

1701-1715 Randall Road

Elgin, Illinois

9.0 REFERENCES

Berg, et al. Potential for Contamination of Shallow Aquifers in Illinois: Illinois State
Geologic Survey Circular 532. Champaign: ISGS, 1984. Plate 1.

Elgin,
City of. Code Development Department. Review of subject property file. November 8, 2004.

Elgin, City of. Fire Department. Review of subject property file. November 15, 2004.

FirstSearch Technology Corporation (FirstSearch). Environmental FirstSearchTM Report — 1707 Randall
Road, Elgin, Illinois. November 1, 2004.

Focused No Further Remediation Letter. December 3, 2004. 

IEPA.
FOIA documentation. November 22, 2004.

Indelak, James. MECA (the subject property owner) Group Manager. Interview during site
inspection. November 8, 2004.

Loftus,
Hubert. Cowhey Gudmundson Leder, Ltd. Telephone interview. November 15, 2004.

Northeastern Illinois Planning Commission. “Aerial Photographs.” UIC Library. Docs/Maps Dept.

Terraserver.com. Aerial Photographs. On-line.

United States Geological Survey. “7.5 Minute Series Topographic Maps Elgin, Illinois
Quadrangle.” UIC Library. Docs/Maps Dept.

Wachowski, John. MECA Purchasing and Fire and Safety Manager. Interview during site inspection.
November 8, 2004.

Whitesel, James. MacTec Engineering & Consulting, Inc. Telephone interview. November 15,
2004.

	 	 	 
	PIONEER ENGINEERING &

ENVIRONMENTAL SERVICES, INC.
	 	November 15, 2004

-33-

 

FIGURE 1

SITE DIAGRAM

 

 

 

 

Appendix A

 

 

APPENDIX A

AREA MAP

 

 

 

 

Appendix B

 

 

APPENDIX B

USGS MAPS

 

 

 

 

 

 

 

 

 

 

 

 

Appendix C

 

 

APPENDIX C

AERIAL PHOTOGRAPHS

 

 

 

 

 

 

 

 

 

 

 

 

Appendix D

 

 

APPENDIX D

PHOTOGRAPHIC LOG

 

 

 

 

 

 

 

 

 

 

Appendix E

 

 

APPENDIX E

ENVIRONMENTAL DATABASE REPORT

 

 

FirstSearch Technology Corporation

Environmental FirstSearchTM Report

TARGET PROPERTY:

 

1707 RANDALL ROAD

ELGIN IL 60123

Job Number: 04-1253

PREPARED FOR:

Pioneer Engineering & Environmental Services

700 N
Sacramento Blvd, Suite 101

Chicago, IL 60612

11-01-04

	 	 	 
	Tel: (317) 543-0010

	 	Fax: (317) 543-1344

 

Environmental FirstSearch is a registered trademark of FirstSearch Technology Corporation. All rights reserved.

 

 

Environmental FirstSearch

Search Summary Report

	 	 	 
	Target Site:

	 	1707 RANDALL ROAD
	 

	 	ELGIN IL 60123

FirstSearch Summary

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Database	 	Sel	 	Updated	 	Radius	 	Site	 	1/8	 	1/4	 	1/2	 	l/2>	 	ZIP	 	TOTALS
	 
	NPL
	 	 	Y	 	 	 	09-12-04	 	 	 	1.00	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 
	CERCLIS
	 	 	Y	 	 	 	09-13-04	 	 	 	0.50	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	0	 	 	 	0	 
	NFRAP
	 	 	Y	 	 	 	06-23-04	 	 	 	0.25	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	—	 	 	 	0	 	 	 	0	 
	RCRA TSD
	 	 	Y	 	 	 	09-12-04	 	 	 	0.50	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	0	 	 	 	0	 
	RCRA COR
	 	 	Y	 	 	 	09-12-04	 	 	 	1.00	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 
	RCRA GEN
	 	 	Y	 	 	 	09-12-04	 	 	 	0.25	 	 	 	0	 	 	 	0	 	 	 	1	 	 	 	—	 	 	 	—	 	 	 	14	 	 	 	15	 
	ERNS
	 	 	Y	 	 	 	12-31-03	 	 	 	0.15	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	—	 	 	 	6	 	 	 	6	 
	State Sites
	 	 	Y	 	 	 	10-25-04	 	 	 	1.00	 	 	 	0	 	 	 	1	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	1	 
	Spills- 1990
	 	 	Y	 	 	 	NA	 	 	 	0.25	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	—	 	 	 	0	 	 	 	0	 
	SWL
	 	 	Y	 	 	 	12-31-02	 	 	 	0.50	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	2	 	 	 	2	 
	REG UST/AST
	 	 	Y	 	 	 	07-08-04	 	 	 	0.25	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	—	 	 	 	11	 	 	 	11	 
	Leaking UST
	 	 	Y	 	 	 	09-07-04	 	 	 	0.50	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	0	 	 	 	—	 	 	 	0	 	 	 	0	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	- TOTALS -
	 	 	 	 	 	 	 	 	 	 	 	 	 	 	0	 	 	 	1	 	 	 	1	 	 	 	0	 	 	 	0	 	 	 	33	 	 	 	35	 

Notice of Disclaimer

Due to the limitations, constraints, inaccuracies and incompleteness of government
information and computer mapping data currently available to FirstSearch Technology Corp.,
certain conventions have been utilized in preparing the locations of
all federal, state and
local agency sites residing in FirstSearch Technology Corp.’s databases. All EPA NPL and state
landfill sites are depicted by a rectangle approximating their location and size. The
boundaries of the rectangles represent the eastern and western most longitudes; the northern
and southern most latitudes. As such, the mapped areas may exceed the actual areas and do not
represent the actual boundaries of these properties. All other sites are depicted by a point
representing their approximate address location and make no attempt to represent the actual
areas of the associated property. Actual boundaries and locations of individual properties can
be found in the files residing at the agency responsible for such information.

Waiver of Liability

Although
FirstSearch Technology Corp. uses its best efforts to research the actual
location of each site, FirstSearch Technology Corp. does not and can not warrant the
accuracy of these sites with regard to exact location and size. All authorized users of
FirstSearch Technology Corp.’s services proceeding are signifying an understanding of
FirstSearch Technology Corp.’s searching and mapping conventions, and agree to waive any and
all liability claims associated with search and map results showing incomplete and or
inaccurate site locations.

 

 

Environmental
FirstSearch

Site
Information Report

	 	 	 	 	 	 	 
	Request Date:

	 	11-01-04
	 	Search Type:
	 	COORD
	Requestor Name:

	 	andrea kleinaitis
	 	Job Number:
	 	04-1253
	Standard:

	 	ASTM	 	 	 	 

	 	 	 
	TARGET ADDRESS:

	 	1707 RANDALL ROAD
	 

	 	ELGIN IL 60123

Demographics

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	Sites:

	35	 	Non-Geocoded:
	 	 	33	 	 	Population:
	 	NA
	Radon:

	0.9- 14.6 PCI/L
	 	 	 	 	 	 	 	 	 	 

Site Location

	 	 	 	 	 	 	 	 	 	 	 	 	 
	 	 	Degrees (Decimal)	 	Degrees (Min/Sec)	 	 	 	UTMs
	Longitude:

	 	 	-88.333718	 	 	-88:20:1
	 	Easting:
	 	 	389673.281	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	Latitude:

	 	 	42.076684	 	 	42:4:36
	 	Northing:
	 	 	4658937.33	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	 

	 	 	 	 	 	 	 	Zone:
	 	 	16	 

Comment

Comment:

Additional Requests/Services

	 	 	 	 	 	 	 	 	 	 	 
	Adjacent ZIP Codes: 0 Mile(s)	 	 	 	 	 	Services:	 	 	 	 
	ZIP	 	 	 	 	 	 	 	 	 	 
	Code
            City Name	 	 	 	ST
  Dist/Dir   Sel	 	 	 	Requested?	 	Date
	 

	 	 	 	 	 	Sanboms
	 	No	 	 
	 

	 	 	 	 	 	Aerial Photographs
	 	No	 	 
	 

	 	 	 	 	 	Topographical Maps
	 	No	 	 
	 

	 	 	 	 	 	City Directories
	 	No	 	 
	 

	 	 	 	 	 	Title Search
	 	No	 	 
	 

	 	 	 	 	 	Municipal Reports
	 	No	 	 
	 

	 	 	 	 	 	Online Topos
	 	No	 	 

 

 

Environmental FirstSearch

Sites Summary Report

	 	 	 	 	 	 	 
	TARGET SITE:

	 	1707 RANDALL ROAD
	 	JOB:
	 	04-1253
	 

	 	ELGIN IL 60123	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	TOTAL:

	 	 	35	 	 	GEOCODED:
	 	 	2	 	 	NON GEOCODED:
	 	 	33	 	 	SELECTED:
	 	 	0	 

	 	 	 	 	 	 	 	 	 	 	 	 	 
	ID	 	DB Type	 	Site Name/ID/Status	 	Address	 	Dist/Dir	 	Map ID
	 
	2

	 	STATE
	 	MATSUSHITA ELECTRIC
CORPORATION OF 0894385239/SRP-
ACTIVE
	 	1707 NORTH RANDALL ROAD 
ELGIN IL
60123
	 	0.11 SW
	 	 	2	 
	 
	 	 	 	 	 	 	 	 	 	 	 	 
	1

	 	RCRAGN
	 	VISION 
ILR000118539/SGN
	 	2425 ALFT LN 
ELGIN IL 60123
	 	0.21 SW
	 	 	1	 

 

 

Environmental FirstSearch

Sites Summary Report

	 	 	 	 	 	 	 
	TARGET SITE:

	 	1707 RANDALL ROAD

ELGIN IL 60123
	 	JOB:
	 	04-1253

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	TOTAL:

	 	 	35	 	 	GEOCODED:
	 	 	2	 	 	NON GEOCODED:
	 	 	33	 	 	SELECTED:
	 	 	0	 

	 	 	 	 	 	 	 	 	 	 	 
	ID	 	DB Type	 	Site Name/ID/Status	 	Address	 	Dist/Dir	 	Map ID
	 
	21

	 	ERNS
	 	NRC-543884/RAILROAD
	 	ST CHARLES STREET 
ELGIN IL
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	22

	 	ERNS
	 	587163/RAIL HIGHWAY CLEARIN
	 	ST STREET RT 31 
ELGIN IL
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	25

	 	UST
	 	ACE COFFEE BAR INC 2002895/ACTIVE
	 	30 W 626 ROUTE 20 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	3

	 	RCRAGN
	 	ARIANS AUTO BODY ILD984849737/VGN
	 	38 W 604 RTE 20 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	26

	 	UST
	 	CHICAGO GRAVEL-ELGIN PIT 2002874/CLOSED
	 	RT 25 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	17

	 	ERNS
	 	COMMONWEALTH EDISON 175111/FIXED
FACILITY
	 	TSS 79, SPAULDING ADJACENT TO 
ELGIN IL
60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	4

	 	RCRAGN
	 	DIGITAL APPLIANCE CONTROLS

ILR000118265/VGN
	 	1901 SOUTH ST 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	5

	 	RCRAGN
	 	DUO FAST CORP ILR000103341/VGN
	 	2400 GALVIN DR 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	24

	 	SWL
	 	ELGIN COMPOST FACILITY
0894380047-COMP/CLOSED
	 	SOUTH MCLEAN BLVD, SOUTH OF RO 
ELGIN IL
60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	23

	 	SWL
	 	ELGIN COMPOST FACILITY

0894380047/ACTIVE
	 	SOUTH MCLEAN BLVD, SOUTH OF RO 
ELGIN IL
60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	6

	 	RCRAGN
	 	FIRST PRIORITY INC ILR000124222/LGN
	 	1585 TODD FARM DR 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	7

	 	RCRAGN
	 	HERITAGE CRYSTAL CLEAN LLC

ILR000130062/TR
	 	2250 POINT BLVD STE 250 ELGIN IL
60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	8

	 	RCRAGN
	 	HOME DEPOT 1934 ILR000125591/SGN
	 	966 N RANDALL RD 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	18

	 	ERNS
	 	1-90 WEST BOUND ON THE RAMP TO IL R

NRC-618328/MOBILE
	 	ELGIN IL
	 	NON GC 	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	27

	 	UST
	 	LANDWEIER LYNN 2005762/EXEMPT
	 	RT 2 BOX 198 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	9

	 	RCRAGN
	 	LARKIN CENTER ILR000116921/SGN
	 	59 PARK ROW 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	19

	 	ERNS
	 	LIPTON FOODS PLANT 
NRC-546584/RAILROAD
	 	ELGIN IL
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	10

	 	RCRAGN
	 	M TEK 
ILR000123281/SGN
	 	1175 JANSEN FARM CT 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	28

	 	UST
	 	METROPOLITAN RAIL 2033057/EXEMPT
	 	NATIONAL ST PARKING FAC ELGIN IL
60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	11

	 	RCRAGN
	 	MOTOROLA D1ST & SERV CENTER

ILR000108332/SGN
	 	2200 CALVIN DR 
ELGIN IL 60123
	 	NON GC	 	 

 

 

Environmental
FirstSearch

Sites
Summary Report

	 	 	 	 	 	 	 
	TARGET SITE:

	 	1707 RANDALL ROAD
	 	JOB:
	 	04-1253
	 

	 	ELGIN IL 60123	 	 	 	 

	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 	 
	TOTAL:

	 	 	35	 	 	GEOCODED:
	 	 	2	 	 	NON GEOCODED:
	 	 	33	 	 	SELECTED:
	 	 	0	 

	 	 	 	 	 	 	 	 	 	 	 
	ID	 	DB Type	 	Site Name/ID/Status	 	Address	 	Dist/Dir	 	Map ID
	 
	29

	 	UST
	 	MP 326

 2022097/MERGED
	 	R R SPAULING RD 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	12

	 	RCRAGN
	 	NICOR GAS STATION 234

ILD984901421/SGN
	 	SHOE FACTORY RD 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	30

	 	UST
	 	NU-WAY TREE MOVING INC 2008217/EXEMPT
	 	RT 2 BOX 191 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	13

	 	RCRAGN
	 	PARKER SEALS ILR000119735/VGN
	 	2565 NORTHWEST PKWY 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	31

	 	UST
	 	PET-AG INC 
2035465/EXEMPT
	 	30W432 ROUTE 20 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	32

	 	UST
	 	READ SEPTIC SER 2018576/CLOSED
	 	322 LONGRIDGE RD 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	14

	 	RCRAGN
	 	ROHM & HAAS MIDWEST TECH
CTR

ILR000111716/SGN
	 	2531 TECHNOLOGY DR STE 301 
ELGIN EL
60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	20

	 	ERNS
	 	SAFETY KLEEN 390362/HIGHWAY RELATED
	 	BETWEEN ST CHARLES AND ELGIN/R 
ELGIN IL
60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	15

	 	RCRAGN
	 	STAR DISPLAYS INC ILD984848481/VGN
	 	38 W 636 RTE 20 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	33

	 	UST
	 	VACANT 
2041880/CLOSED
	 	960 N. MCLEAN BLVD. 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	16

	 	RCRAGN
	 	VICTORY LITHOGRAPH INC
ILR000121277/SGN
	 	39 W 433 HIGHLAND 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	34

	 	UST
	 	VILLAGE OF BARTLETT 2027362/ACTIVE
	 	31 W 124-RT 20 
ELGIN IL 60123
	 	NON GC	 	 
	 
	 	 	 	 	 	 	 	 	 	 
	35

	 	UST
	 	W R MEADOWS HANGER 2015132/CLOSED
	 	RT 31 ELGIN AIRPORT 
ELGIN IL 60123
	 	NON GC	 	 

 

 

Environmental
FirstSearch

Site Detail Report

	 	 	 	 	 	 	 
	TARGET SITE:

	 	1707 RANDALL ROAD
	 	JOB:
	 	04-1253
	 

	 	ELGIN IL 60123	 	 	 	 

STATE SITE

	 	 	 	 	 	 	 	 	 	 	 
	SEARCH
ID: 2	 	DIST/DIR: 0.11 SW	 	 	 	MAP
ID: 2	 	 
	 

	 	 
	 	 
	 	 	 	 	 	 
	NAME:

	 	MATSUSHITA ELECTRIC CORPORATION OF AMERI
	 	REV:
	 	 	10/25/04	 	 	 
	ADDRESS:

	 	1707 NORTH RANDALL ROAD
	 	ID1:
	 	 	0894385239	 	 	 
	 

	 	ELGIN IL 60123
	 	ID2:
	 	 	ILD984921296
	 	 	 
	 

	 	KANE
	 	STATUS:
	 	SRP- ACTIVE
	 	 
	CONTACT:

	 	JAMES INDELAK
	 	PHONE:
	 	 	8474684944	 	 	 
	 

SITE INFORMATION

	 	 	 	 	 
	DATE
ENROLLED:

	 	5/21/2004
	AVERAGE:

	 	99
	SITE
TYPE:
	 	 	 	 
	 
	 	 	 	 
	REMEDIATION
APPLICANT:

	 	MR. JAMES INDELAK

	 

	 	1707
NORTH RANDALL ROAD

	 

	 	ELGIN,
IL 60123-

	 
	 	 	 	 
	PHONE:

	 	8474684944
	 
	 	 	 	 
	CONSULTANT:

	 	JAMES L. WHITESEL

	 

	 	MACTEC
ENGINEERING & CONSULTING,
INC.

	 

	 	1200 JORIE BOULEVARD
SUITE 230

	 

	 	OAK BROOK, IL
60523-

	 
	 	 	 	 
	PHONE:

	 	(630) 571-2162
	 
	 	 	 	 
	PROJECT
MANAGER:

	 	GROSS

	SECTION
4 (Y) LETTER:
	 	 	 	 
	NFR
LETTER:
	 	 	 	 
	DATE
RECORDED:
	 	 	 	 

Site Details Page - 1

 

Environmental FirstSearch

Site Detail Report

	 	 	 	 	 	 	 	 	 
	 

	 	TARGET SITE:
	 	1707 RANDALL ROAD
	 	JOB:
	 	04-1253
	 

	 	 	 	ELGIN IL 60123	 	 	 	 

RCRA GENERATOR SITE

					
	SEARCH ID:       1
	 	D1ST/DIR:      0.21 SW
	 	MAP ID:      1

	 	 	 	 	 	 	 
	NAME:

	 	VISION
	 	REV:
	 	9/13/04
	ADDRESS:

	 	2425 ALFT LN
	 	ID1:
	 	ILR000118539
	 

	 	ELGIN IL 60123
	 	ID2:	 	 
	 

	 	KANE
	 	STATUS:
	 	SGN
	CONTACT:

	 	BOB NELSON
	 	PHONE:
	 	8479318977

SITE INFORMATION

	 	 	 	 	 	 	 
	CONTACT INFORMATION:

	 	BOB NELSON	 	 	 	 
	 

	 	2425 ALFT LN	 	 	 	 
	 

	 	ELGIN IL 60123	 	 	 	 
	 
	 	 	 	 	 	 
	PHONE:

	 	8479318977	 	 	 	 
	 
	 	 	 	 	 	 
	UNIVERSE INFORMATION:
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	SNC:

	 	N-NO	 	 	 	 
	BOYSNC:

	 	N-NO	 	 	 	 
	GPRA PERMIT:

	 	N-NO	 	 	 	 
	GPRA POSTCLOSURE:

	 	N-NO	 	 	 	 
	GPRA CA:

	 	N-NO	 	 	 	 
	GPRA CME:

	 	N-NO	 	 	 	 
	PERM PROG:

	 	N-NO	 	 	 	 
	PREM W
	 	 	 	 	 	 
	IMPORTER ACTIVITY:

	 	N-NO
	 	MIX WASTE GEN:
	 	N-NO
	RECYCLER ACT:

	 	N-NO
	 	TRANS ACT:
	 	N-NO
	TSD ACT:

	 	N-NO
	 	U GRND INJ ACT:
	 	N-NO
	UNIV
	 	 	 	 	 	 
	USED OIL INFORMATION
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	BURNER:

	 	N-NO
	 	PROCESSOR:
	 	N-NO
	REFINER:

	 	N-NO
	 	MARKET BURNER:
	 	N-NO
	SPEC MARKETER:

	 	N-NO
	 	TRANSFER FAC:
	 	N-NO
	TRANSPORTER:
	 	 	 	 	 	 
	SECOND ID:

	 	 	 	OFF SITE RECEIPT:	 	 
	ACCESSIBILITY:

	 	 	 	COUNTY OWNER:	 	 
	FED WSTE GEN OWNER:

	 	HQ
	 	FED WASTE GEN:
	 	2
	STATE WSTE GEN OWNER:
	 	 	 	 	 	 
	NAIC
INFORMATION
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	62132 — OFFICES OF OPTOMETRISTS
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	ENFORCEMENT INFORMATION:
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	VIOLATION INFORMATION:
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	HAZARDOUS WASTE INFORMATION:
	 	 	 	 	 	 
	 
	 	 	 	 	 	 
	Ignitable waste
	 	 	 	 	 	 

Site Details Page — 2

 

 

Environmental FirstSearch

Site Detail Report

	 	 	 	 	 	 	 	 	 
	 

	 	TARGET SITE:
	 	1707 RANDALL ROAD
	 	JOB:
	 	04-1253
	 

	 	 	 	ELGIN IL 60123	 	 	 	 

No sites were selected!

Selected Site Details Page — 1

 

 

Environmental FirstSearch

Federal Databases and Sources

ASTM Databases:

CERCLIS: Comprehensive Environmental Response Compensation and Liability Information System.
The EPA’s database of current and potential Superfund sites currently or previously under
investigation. Source: Environmental Protection Agency.

Updated
quarterly.

CERCLIS-NFRAP (Archive) : Comprehensive Environmental Response Compensation and Liability
Information System Archived Sites. The Archive designation means that, to the best of EPA’s
knowledge, assessment at a site has been completed and that EPA has determined no further steps
will be taken to list this site on the National Priorities List (NPL). This decision does not
necessarily mean that there is no hazard associated with a given site; it only means that, based
upon available information, the location is not judged to be a potential NPL site.

Updated quarterly.

ERNS: Emergency Response Notification System. The EPA’s database of emergency response actions.
Source: Environmental Protection Agency. Data since January, 2001, has been received from the
National Response Center as the EPA no longer maintains this data.

Updated quarterly.

FINDS: The Facility Index System. The EPA’s Index of identification numbers associated with a
property or facility which the EPA has investigated or has been made aware of in conjunction
with various regulatory programs. Each record indicates the EPA office that may have files on
the site or facility. Source: Environmental Protection Agency.

Updated semi-annually.

NPL: National Priority List. The EPA’s list of confirmed or proposed Superfund sites. Source:
Environmental Protection Agency.

Updated quarterly.

RCRIS: Resource Conservation and Recovery Information System. The EPA’s database of registered
hazardous waste generators and treatment, storage and disposal
facilities. Included are RAATS (RCRA
Administrative Action Tracking System) and CMEL (Compliance
Monitoring & Enforcement List). Source:
Environmental Protection Agency.

RCRA TSD: Resource Conservation and Recovery Information System Treatment, Storage, and
Disposal Facilities. The EPA’s database of RCRIS sites which treat, store, dispose, or
incinerate hazardous waste. This information is also reported in the standard RCRIS detailed
data.

 

 

ASTM Databases (continued):

RCRA COR: Resource Conservation and Recovery Information System Corrective Action Sites.
The EPA’s database of RCRIS sites with reported corrective action. This information is also
reported in the standard RCRIS detailed data.

RCRA GEN: Resource Conservation and Recovery Information System Large and Small Quantity
Generators. The EPA’s database of RCRIS sites that create more than 100kg of hazardous waste
per month or meet other RCRA requirements. Included are RAATS (RCRA Administrative Action
Tracking System) and CMEL Compliance Monitoring & Enforcement List).

RCRA NLR: Resource Conservation and Recovery Information System sites No Longer Regulated.
The EPA’s database of RCRIS sites that create less than 100kg of hazardous waste per month or
do not meet other RCRA requirements.

All RCRA databases are Updated quarterly

 

 

Environmental FirstSearch

Federal Databases and Sources

Non-ASTM Databases:

HMIRS: Hazardous Materials Incident Response System. This database
contains information from the US Department of Transportation regarding materials, packaging,
and a description of events for tracked incidents.

Updated quarterly.

NCDB: National Compliance Database. The National Compliance Data Base System (NCDB) tracks
regional compliance and enforcement activity and manages the Pesticides and Toxic Substances
Compliance and Enforcement program at a national level. The system tracks all compliance
monitoring and enforcement activities from the time an inspector conducts and inspection until the
time the inspector closes or the case settles the enforcement action. NCDB is the national
repository of the 10 regional and Headquarters FIFRA/TSCA Tracking System (FITS). Data collected
in the regional FTTS is transferred to NCDB to support the need for monitoring national
performance of regional programs.

Updated quarterly

NPDES: National Pollution Discharge Elimination System. The EPA’s database of all permitted
facilities receiving and discharging effluents. Source: Environmental Protection Agency.

Updated semi-annually.

NRDB: National Radon Database. The NRDB was created by the EPA to distribute information
regarding the EPA/State Residential Radon Surveys and the National Residential Radon Survey. The
data is presented by zipcode in Environmental FirstSearch Reports. Source: National Technical
Information Service (NTIS)

Updated Periodically

Nuclear: The Nuclear Regulatory Commission’s (NRC) list of permitted nuclear facilities.

Updated Periodically

PADS: PCB Activity Database System

The EPA’s database PCB handlers (generators, transporters, storers
and/or disposers) that are required to notify the EPA, the rules being
similar to RCRA. This database indicates the type of handler and
registration number. Also included is the PCB Transformer Registration
Database.

Updated semi-annually.

Receptors: 1995 TIGER census listing of schools and hospitals that may house individuals
deemed sensitive to environmental discharges due to their fragile immune systems.

Updated Periodically .

 

 

Non-ASTM Databases (continued) :

RELEASES: Air and Surface Water Releases. A subset of the EPA’s ERNS database which have
impacted only air or surface water.

Updated semi-annually.

Soils: This database includes the State Soil Geographic (STATSGO) data for the conterminous
United States. It contains information regarding soil characteristics such as water capacity,
percent clay, organic material, permeability, thickness of layers, hydrological characteristics,
quality of drainage, surface, slope, liquid limit, and the annual frequency of flooding. Source:
United States Geographical Survey (USGS).

Updated
quarterly.

TRIS: Toxic Release Inventory System. The EPA’s database of all facilities that have had
or may be prone to toxic material releases. Source: Environmental Protection Agency.

Updated semi-annually.

 

 

Environmental FirstSearch

Illinois Databases and Sources

STATE SITES: The Site Remediation Program (“SRP”) database identifies the status of all
voluntary remediation projects administered through the Pre-Notice Site Cleanup Program (1989 to
1995) and the Site Remediation Program (1996 to the present).

Updated quarterly or when available.

UST: Underground Storage Tanks. The Illinois State Fire Marshal’s Office listing of registered
underground storage tanks as maintained by the Underground Storage Tank System.

Updated semi-annually or when available.

LUST: Leaking Underground Storage Tanks. The Illinois Environmental Protection Agency database
listing of all leaking underground storage tanks as maintained by the Illinois EPA LUST Department.

Updated quarterly or when available.

LANDFILLS: The Illinois Environmental Protection Agency’s Annual Report on Available Disposal for
Solid Waste in as maintained by the Illinois Environmental Protection Agency, Bureau of Land.

Updated annually of when available.

PWS: Public Water Supply. The Safe Drinking Hater Information System (SDWIS) is a repository of
information about Public Water Supplies. This database is a requirement of the Safe Drinking Water
Act (SDWA) of 1986 and was previously known as the Federal Reporting Data System (FRDS) .

Updated when available.

 

 

Environmental FirstSearch

Street Name Report for Streets within .25 Mile(s) of Target Property

	 	 	 	 	 	 	 	 	 
	 

	 	TARGET SITE:
	 	1707 RANDALL ROAD
	 	JOB:
	 	04-1253
	 

	 	 	 	ELGIN IL 60123	 	 	 	 

	 	 	 	 	 	 	 
	Street Name	 	Dist/Dir	 	Street Name	 	Dist/Dir
	 
	Alft Ln
	 	0.12 SW
	Fox Ln
	 	0.17 SW
	I-90
	 	0.17 NE
	Mason Rd
	 	0.17 NW
	Randall Rd
	 	0.08 NW
	Westfield Dr
	 	0.13 NW

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