EXCLUDESExcludes all other data systems or multiple systems which include control function or power supply; excludes
installation of raceway systems, line voltage work,
industrial work, life-safety systems (all buildings having floors located more than 75' above the lowest floor level having building access); excludes energy management
systems.
ELEC0659-006 01/01/2025
MODOC and SISKIYOU COUNTIES
Rates Fringes
ELECTRICIAN......................$ 45.58 20.70
ELEC0659-008 02/01/2023
DEL NORTE, MODOC & SISKIYOU COUNTIES
Rates Fringes
Line Construction
(1) Cable Splicer. .........$ 67.80 4.5%+22.15
(2) Lineman, Pole Sprayer,
Heavy Line Equipment Man....$ 60.54 4.5%+22.15
(3) Tree Trimmer. ..........$ 37.84 4.5%+14.30
(4) Line Equipment Man......$ 53.82 4.5%+19.40
(5) Powdermen,
Jackhammermen. .............$ 40.37 4.5%+14.30
(6) Groundman. .............$ 33.37 4.5%+14.30
ELEC1245-004 01/01/2025
ALL COUNTIES EXCEPT DEL NORTE, MODOC & SISKIYOU
Rates Fringes
LINE CONSTRUCTION
(1) Lineman; Cable splicer..$ 70.16 24.71
(2) Equipment specialist
(operates crawler
tractors, commercial motor
vehicles, backhoes,
trenchers, cranes (50 tons
and below), overhead &
underground distribution
line equipment)...........$ 53.30 22.26
277
(3) Groundman...............$ 40.76 21.76
(4) Powderman...............$ 51.87 18.79
HOLIDAYS: New Year's Day, M.L. King Day, Memorial Day,
Independence Day, Labor Day, Veterans Day, Thanksgiving Day and day after Thanksgiving, Christmas Day
ELEV0008-001 01/01/2025
Rates Fringes
ELEVATOR MECHANIC................$ 84.05 38.435+a+b
FOOTNOTE:
a. PAID VACATION: Employer contributes 8% of regular hourly rate as vacation pay credit for employees with more than 5 years of service, and 6% for 6 months to 5 years of service. b. PAID HOLIDAYS: New Year's Day, Memorial Day, Independence Day, Labor Day, Veterans' Day, Thanksgiving Day, Friday after Thanksgiving, and Christmas Day.
ENGI0003-008 08/01/2024
Dredging: (DREDGING:
CLAMSHELL & DIPPER DREDGING;
HYDRAULIC SUCTION DREDGING:)
AREA 1:
Rates Fringes
(1) Leverman...............$ 60.61 39.55
(2) Dredge Dozer; Heavy
duty repairman.............$ 55.65 39.55
(3) Booster Pump
Operator; Deck
Engineer; Deck mate;
Dredge Tender; Winch
Operator...................$ 54.53 39.55
(4) Bargeman; Deckhand;
Fireman; Leveehand; Oiler..$ 51.23 39.55
AREA 2:
(1) Leverman. .............$ 62.61 39.55
(2) Dredge Dozer; Heavy
duty repairman. ...........$ 57.65 39.55
(3) Booster Pump
Operator; Deck
Engineer; Deck mate;
Dredge Tender; Winch
Operator. .................$ 56.53 39.55
(4) Bargeman; Deckhand;
278
Fireman; Leveehand; Oiler..$ 53.23 39.55
AREA DESCRIPTIONS
AREA 1: ALAMEDA,BUTTE, CONTRA COSTA, KINGS, MARIN, MERCED,
NAPA, SACRAMENTO, SAN BENITO, SAN FRANCISCO, SAN JOAQUIN,
SAN MATEO, SANTA CLARA, SANTA CRUZ, SOLANO, STANISLAUS,
SUTTER, YOLO, AND YUBA COUNTIES
AREA 2: MODOC COUNTY
THE REMAINGING COUNTIES ARE SPLIT BETWEEN AREA 1 AND AREA 2 AS NOTED BELOW:
ALPINE COUNTY:
Area 1: Northernmost part
Area 2: Remainder
CALAVERAS COUNTY:
Area 1: Remainder
Area 2: Eastern part
COLUSA COUNTY:
Area 1: Eastern part
Area 2: Remainder
ELDORADO COUNTY:
Area 1: North Central part
Area 2: Remainder
FRESNO COUNTY:
Area 1: Remainder
Area 2: Eastern part
GLENN COUNTY:
Area 1: Eastern part
Area 2: Remainder
LASSEN COUNTY:
Area 1: Western part along the Southern portion of border with Shasta County
Area 2: Remainder
MADERA COUNTY:
Area 1: Except Eastern part
Area 2: Eastern part
MARIPOSA COUNTY
Area 1: Except Eastern part
Area 2: Eastern part
279
MONTERREY COUNTY
Area 1: Except Southwestern part
Area 2: Southwestern part
NEVADA COUNTY:
Area 1: All but the Northern portion along the border of Sierra County
Area 2: Remainder
PLACER COUNTY:
Area 1: Al but the Central portion
Area 2: Remainder
PLUMAS COUNTY:
Area 1: Western portion
Area 2: Remainder
SHASTA COUNTY:
Area 1: All but the Northeastern corner
Area 2: Remainder
SIERRA COUNTY:
Area 1: Western part
Area 2: Remainder
SISKIYOU COUNTY:
Area 1: Central part
Area 2: Remainder
SONOMA COUNTY:
Area 1: All but the Northwestern corner
Area 2: Remainder
TEHAMA COUNTY:
Area 1: All but the Western border with Mendocino & Trinity Counties
Area 2: Remainder
TRINITY COUNTY:
Area 1: East Central part and the Northeastern border with Shasta County
Area 2: Remainder
TUOLUMNE COUNTY:
Area 1: Except Eastern part
Area 2: Eastern part
ENGI0003-019 07/01/2024
SEE AREA DESCRIPTIONS BELOW
280
Rates Fringes
OPERATOR: Power Equipment
(LANDSCAPE WORK ONLY)
GROUP 1
AREA 1 ....................$ 52.40 28.52
AREA 2 ....................$ 54.40 28.52
GROUP 2
AREA 1 ....................$ 48.80 28.52
AREA 2 ....................$ 50.80 28.52
GROUP 3
AREA 1 ....................$ 44.19 28.52
AREA 2 ....................$ 46.19 28.52
GROUP DESCRIPTIONS:
GROUP 1: Landscape Finish Grade Operator: All finish grade work regardless of equipment used, and all equipment with a rating more than 65 HP.
GROUP 2: Landscape Operator up to 65 HP: All equipment with a manufacturer's rating of 65 HP or less except equipment covered by Group 1 or Group 3. The following equipment
shall be included except when used for finish work as long as manufacturer's rating is 65 HP or less: A-Frame and
Winch Truck, Backhoe, Forklift, Hydragraphic Seeder
Machine, Roller, Rubber-Tired and Track Earthmoving
Equipment, Skiploader, Straw Blowers, and Trencher 31 HP up to 65 HP.
GROUP 3: Landscae Utility Operator: Small Rubber-Tired
Tractor, Trencher Under 31 HP.
AREA DESCRIPTIONS:
AREA 1: ALAMEDA, BUTTE, CONTRA COSTA, KINGS, MARIN, MERCED,
NAPA, SACRAMENTO, SAN BENITO, SAN FRANCISCO, SAN JOAQUIN,
SAN MATEO, SANTA CLARA, SANTA CRUZ, SOLANO, STANISLAUS,
SUTTER, YOLO, AND YUBA COUNTIES
AREA 2 - MODOC COUNTY
THE REMAINING COUNTIES ARE SPLIT BETWEEN AREA 1 AND AREA 2 AS NOTED BELOW:
ALPINE COUNTY:
Area 1: Northernmost part
Area 2: Remainder
CALAVERAS COUNTY:
281
Area 1: Except Eastern part
Area 2: Eastern part
COLUSA COUNTY:
Area 1: Eastern part
Area 2: Remainder
DEL NORTE COUNTY:
Area 1: Extreme Southwestern corner
Area 2: Remainder
ELDORADO COUNTY:
Area 1: North Central part
Area 2: Remainder
FRESNO COUNTY
Area 1: Except Eastern part
Area 2: Eastern part
GLENN COUNTY:
Area 1: Eastern part
Area 2: Remainder
HUMBOLDT COUNTY:
Area 1: Except Eastern and Southwestern parts
Area 2: Remainder
LAKE COUNTY:
Area 1: Southern part
Area 2: Remainder
LASSEN COUNTY:
Area 1: Western part along the Southern portion of border with Shasta County
Area 2: Remainder
MADERA COUNTY
Area 1: Remainder
Area 2: Eastern part
MARIPOSA COUNTY
Area 1: Remainder
Area 2: Eastern part
MENDOCINO COUNTY:
Area 1: Central and Southeastern parts
Area 2: Remainder
MONTEREY COUNTY
Area 1: Remainder
Area 2: Southwestern part
282
NEVADA COUNTY:
Area 1: All but the Northern portion along the border of Sierra County
Area 2: Remainder
PLACER COUNTY:
Area 1: All but the Central portion
Area 2: Remainder
PLUMAS COUNTY:
Area 1: Western portion
Area 2: Remainder
SHASTA COUNTY:
Area 1: All but the Northeastern corner
Area 2: Remainder
SIERRA COUNTY:
Area 1: Western part
Area 2: Remainder
SISKIYOU COUNTY:
Area 1: Central part
Area 2: Remainder
SONOMA COUNTY:
Area 1: All but the Northwestern corner
Area 2: Reaminder
TEHAMA COUNTY:
Area 1: All but the Western border with mendocino & Trinity Counties
Area 2: Remainder
TRINITY COUNTY:
Area 1: East Central part and the Northeaster border with Shasta County
Area 2: Remainder
TULARE COUNTY;
Area 1: Remainder
Area 2: Eastern part
TUOLUMNE COUNTY:
Area 1: Remainder
Area 2: Eastern Part
ENGI0003-038 06/28/2023
283
""AREA 1"" WAGE RATES ARE LISTED BELOW
""AREA 2"" RECEIVES AN ADDITIONAL $2.00 PER HOUR ABOVE AREA 1 RATES.
SEE AREA DEFINITIONS BELOW
Rates Fringes
OPERATOR: Power Equipment
(AREA 1:)
GROUP 1 ....................$ 60.72 31.03
GROUP 2 ....................$ 59.19 31.03
GROUP 3 ....................$ 57.71 31.03
GROUP 4 ....................$ 56.33 31.03
GROUP 5 ....................$ 55.06 31.03
GROUP 6 ....................$ 53.74 31.03
GROUP 7 ....................$ 52.60 31.03
GROUP 8 ....................$ 51.46 31.03
GROUP 8-A. .................$ 49.25 31.03
OPERATOR: Power Equipment
(Cranes and Attachments -
AREA 1:)
GROUP 1
Cranes.....................$ 52.30 31.15
Oiler......................$ 43.79 31.15
Truck crane oiler..........$ 46.08 31.15
GROUP 2
Cranes.....................$ 50.54 31.15
Oiler......................$ 42.83 31.15
Truck crane oiler..........$ 45.07 31.15
GROUP 3
Cranes.....................$ 48.80 31.15
Hydraulic..................$ 44.44 31.15
Oiler......................$ 42.55 31.15
Truck crane oiler..........$ 44.83 31.15
GROUP 4
Cranes.....................$ 45.76 31.15
OPERATOR: Power Equipment
(Piledriving - AREA 1:)
GROUP 1
Lifting devices............$ 52.64 31.15
Oiler......................$ 43.38 31.15
Truck Crane Oiler..........$ 45.66 31.15
GROUP 2
Lifting devices............$ 50.82 31.15
Oiler......................$ 43.11 31.15
Truck Crane Oiler..........$ 45.41 31.15
GROUP 3
Lifting devices............$ 49.14 31.15
284
Oiler......................$ 42.89 31.15
Truck Crane Oiler..........$ 45.12 31.15
GROUP 4
Lifting devices............$ 47.37 31.15
GROUP 5
Lifting devices............$ 44.73 31.15
GROUP 6
Lifting devices............$ 42.50 31.15
OPERATOR: Power Equipment
(Steel Erection - AREA 1:)
GROUP 1
Cranes.....................$ 53.27 31.15
Oiler......................$ 43.72 31.15
Truck Crane Oiler..........$ 45.95 31.15
GROUP 2
Cranes.....................$ 51.50 31.15
Oiler......................$ 43.45 31.15
Truck Crane Oiler..........$ 45.73 31.15
GROUP 3
Cranes.....................$ 50.02 31.15
Hydraulic..................$ 45.07 31.15
Oiler......................$ 43.23 31.15
Truck Crane Oiler..........$ 45.46 31.15
GROUP 4
Cranes.....................$ 48.00 31.15
GROUP 5
Cranes.....................$ 46.70 31.15
OPERATOR: Power Equipment
(Tunnel and Underground Work
- AREA 1:)
SHAFTS, STOPES, RAISES:
GROUP 1. .................. $ 56.82 31.03
GROUP 1-A. ................ $ 49.99 31.15
GROUP 1A. ................. $ 59.29 31.03
GROUP 2. .................. $ 55.56 31.03
GROUP 3. .................. $ 54.23 31.03
GROUP 4. .................. $ 53.09 31.03
GROUP 5. ..................$
UNDERGROUND:
51.95 31.03
GROUP 1....................$ 47.42 31.15
GROUP 1-A..................$ 49.89 31.15
GROUP 2....................$ 46.16 31.15
GROUP 3....................$ 44.83 31.15
GROUP 4....................$ 43.69 31.15
GROUP 5....................$ 42.55 31.15
FOOTNOTE: Work suspended by ropes or cables,
Yo-Yo Cat: $.60 per hour additional.
or work on a
POWER EQUIPMENT OPERATOR CLASSIFICATIONS
285
GROUP 1: Operator of helicopter (when used in erection work); Hydraulic excavator, 7 cu. yds. and over; Power shovels, over 7 cu. yds.
GROUP 2: Highline cableway; Hydraulic excavator, 3-1/2 cu. yds. up to 7 cu. yds.; Licensed construction work boat
operator, on site; Power blade operator (finish); Power shovels, over 1 cu. yd. up to and including 7 cu. yds.
m.r.c.
GROUP 3: Asphalt milling machine; Cable backhoe; Combination backhoe and loader over 3/4 cu. yds.; Continuous flight tie back machine assistant to engineer or mechanic; Crane
mounted continuous flight tie back machine, tonnage to
apply; Crane mounted drill attachment, tonnage to apply; Dozer, slope brd; Gradall; Hydraulic excavator, up to 3 1/2 cu. yds.; Loader 4 cu. yds. and over; Long reach excavator; Multiple engine scraper (when used as push pull); Power shovels, up to and including 1 cu. yd.; Pre-stress wire wrapping machine; Side boom cat, 572 or larger; Track
loader 4 cu. yds. and over; Wheel excavator (up to and
including 750 cu. yds. per hour)
GROUP 4: Asphalt plant engineer/box person; Chicago boom; Combination backhoe and loader up to and including 3/4 cu. yd.; Concrete batch plant (wet or dry); Dozer and/or push cat; Pull- type elevating loader; Gradesetter, grade
checker (GPS, mechanical or otherwise); Grooving and
grinding machine; Heading shield operator; Heavy-duty
drilling equipment, Hughes, LDH, Watson 3000 or similar; Heavy-duty repairperson and/or welder; Lime spreader;
Loader under 4 cu. yds.; Lubrication and service engineer (mobile and grease rack); Mechanical finishers or spreader machine (asphalt, Barber-Greene and similar); Miller
Formless M-9000 slope paver or similar; Portable crushing and screening plants; Power blade support; Roller operator, asphalt; Rubber-tired scraper, self-loading (paddle-wheels, etc.); Rubber- tired earthmoving equipment (scrapers); Slip form paver (concrete); Small tractor with drag; Soil
stabilizer (P & H or equal); Spider plow and spider puller; Tubex pile rig; Unlicensed constuction work boat operator, on site; Timber skidder; Track loader up to 4 yds.;
Tractor-drawn scraper; Tractor, compressor drill
combination; Welder; Woods-Mixer (and other similar Pugmill equipment)
GROUP 5: Cast-in-place pipe laying machine; Combination slusher and motor operator; Concrete conveyor or concrete pump, truck or equipment mounted; Concrete conveyor,
building site; Concrete pump or pumpcrete gun; Drilling 286
equipment, Watson 2000, Texoma 700 or similar; Drilling and boring machinery, horizontal (not to apply to waterliners, wagon drills or jackhammers); Concrete mixer/all; Person and/or material hoist; Mechanical finishers (concrete)
(Clary, Johnson, Bidwell Bridge Deck or similar types); Mechanical burm, curb and/or curb and gutter machine,
concrete or asphalt); Mine or shaft hoist; Portable
crusher; Power jumbo operator (setting slip-forms, etc., in tunnels); Screed (automatic or manual); Self-propelled
compactor with dozer; Tractor with boom D6 or smaller;
Trenching machine, maximum digging capacity over 5 ft.
depth; Vermeer T-600B rock cutter or similar
GROUP 6: Armor-Coater (or similar); Ballast jack tamper; Boom- type backfilling machine; Assistant plant engineer; Bridge and/or gantry crane; Chemical grouting machine,
truck-mounted; Chip spreading machine operator; Concrete saw (self-propelled unit on streets, highways, airports and canals); Deck engineer; Drilling equipment Texoma 600,
Hughes 200 Series or similar up to and including 30 ft. m.r.c.; Drill doctor; Helicopter radio operator;
Hydro-hammer or similar; Line master; Skidsteer loader, Bobcat larger than 743 series or similar (with
attachments); Locomotive; Lull hi-lift or similar; Oiler, truck mounted equipment; Pavement breaker, truck-mounted, with compressor combination; Paving fabric installation and/or laying machine; Pipe bending machine (pipelines
only); Pipe wrapping machine (tractor propelled and
supported); Screed (except asphaltic concrete paving);
Self- propelled pipeline wrapping machine; Tractor;
Self-loading chipper; Concrete barrier moving machine
GROUP 7: Ballast regulator; Boom truck or dual-purpose
A-frame truck, non-rotating - under 15 tons; Cary lift or similar; Combination slurry mixer and/or cleaner; Drilling equipment, 20 ft. and under m.r.c.; Firetender (hot plant); Grouting machine operator; Highline cableway signalperson; Stationary belt loader (Kolman or similar); Lift slab
machine (Vagtborg and similar types); Maginnes internal full slab vibrator; Material hoist (1 drum); Mechanical trench shield; Pavement breaker with or without compressor combination); Pipe cleaning machine (tractor propelled and supported); Post driver; Roller (except asphalt); Chip
Seal; Self-propelled automatically applied concrete curing mahcine (on streets, highways, airports and canals);
Self-propelled compactor (without dozer); Signalperson; Slip-form pumps (lifting device for concrete forms); Tie spacer; Tower mobile; Trenching machine, maximum digging capacity up to and including 5 ft. depth; Truck- type loader GROUP 8: Bit sharpener; Boiler tender; Box operator;
287
Brakeperson; Combination mixer and compressor
(shotcrete/gunite); Compressor operator; Deckhand; Fire tender; Forklift (under 20 ft.); Generator;
Gunite/shotcrete equipment operator; Hydraulic monitor; Ken seal machine (or similar); Mixermobile; Oiler; Pump
operator; Refrigeration plant; Reservoir-debris tug (selfpropelled floating); Ross Carrier (construction site); Rotomist operator; Self-propelled tape machine; Shuttlecar; Self-propelled power sweeper operator (includes vacuum
sweeper); Slusher operator; Surface heater; Switchperson; Tar pot firetender; Tugger hoist, single drum; Vacuum
cooling plant; Welding machine (powered other than by
electricity)
GROUP 8-A: Elevator operator; Skidsteer loader-Bobcat 743 series or smaller, and similar (without attachments); Mini excavator under 25 H.P. (backhoe-trencher); Tub grinder wood chipper
ALL CRANES AND ATTACHMENTS
GROUP 1: Clamshell and dragline over 7 cu. yds.; Crane, over 100 tons; Derrick, over 100 tons; Derrick barge
pedestal-mounted, over 100 tons; Self-propelled boom-type lifting device, over 100 tons
GROUP 2: Clamshell and dragline over 1 cu. yd. up to and including 7 cu. yds.; Crane, over 45 tons up to and
including 100 tons; Derrick barge, 100 tons and under;
Self-propelled boom-type lifting device, over 45 tons;
Tower crane
GROUP 3: Clamshell and dragline up to and including 1 cu. yd.; Cranes 45 tons and under; Self-propelled boom-type lifting device 45 tons and under;
GROUP 4: Boom Truck or dual purpose A-frame truck,
non-rotating over 15 tons; Truck-mounted rotating
telescopic boom type lifting device, Manitex or similar (boom truck) over 15 tons; Truck-mounted rotating
telescopic boom type lifting device, Manitex or similar (boom truck) - under 15 tons;
PILEDRIVERS
GROUP 1: Derrick barge pedestal mounted over 100 tons;
Clamshell over 7 cu. yds.; Self-propelled boom-type lifting 288
device over 100 tons; Truck crane or crawler, land or barge mounted over 100 tons
GROUP 2: Derrick barge pedestal mounted 45 tons to and
including 100 tons; Clamshell up to and including 7 cu. yds.; Self-propelled boom-type lifting device over 45 tons; Truck crane or crawler, land or barge mounted, over 45 tons up to and including 100 tons; Fundex F-12 hydraulic pile rig GROUP 3: Derrick barge pedestal mounted under 45 tons; Selfpropelled boom-type lifting device 45 tons and under; Skid/scow piledriver, any tonnage; Truck crane or crawler, land or barge mounted 45 tons and under
GROUP 4: Assistant operator in lieu of assistant to engineer; Forklift, 10 tons and over; Heavy-duty repairperson/welder GROUP 5: Deck engineer
GROUP 6: Deckhand; Fire tender
STEEL ERECTORS
GROUP 1: Crane over 100 tons; Derrick over 100 tons; Selfpropelled boom-type lifting device over 100 tons GROUP 2: Crane over 45 tons to 100 tons; Derrick under 100 tons; Self-propelled boom-type lifting device over 45 tons to 100 tons; Tower crane
GROUP 3: Crane, 45 tons and under; Self-propelled boom-type lifting device, 45 tons and under
GROUP 4: Chicago boom; Forklift, 10 tons and over; Heavy-duty repair person/welder
GROUP 5: Boom cat
--
TUNNEL AND UNDERGROUND WORK
GROUP 1-A: Tunnel bore machine operator, 20' diameter or more GROUP 1: Heading shield operator; Heavy-duty repairperson; Mucking machine (rubber tired, rail or track type); Raised bore operator (tunnels); Tunnel mole bore operator
289
GROUP 2: Combination slusher and motor operator; Concrete pump or pumpcrete gun; Power jumbo operator
GROUP 3: Drill doctor; Mine or shaft hoist
GROUP 4: Combination slurry mixer cleaner; Grouting Machine operator; Motorman
GROUP 5: Bit Sharpener; Brakeman; Combination mixer and compressor (gunite); Compressor operator; Oiler; Pump
operator; Slusher operator
AREA DESCRIPTIONS:
POWER EQUIPMENT OPERATORS, CRANES AND ATTACHMENTS,TUNNEL AND UNDERGROUND [These areas do not apply to Piledrivers and Steel Erectors]
AREA 1: DEL NORTE, HUMBOLDT, LAKE, MENDOCINO
AREA 2 -NOTED BELOW
THE REMAINING COUNTIES ARE SPLIT BETWEEN AREA 1 AND AREA 2 AS NOTED BELOW:
DEL NORTE COUNTY:
Area 1: Extreme Southwest corner
Area 2: Remainder
HUMBOLDT COUNTY:
Area 1: Except Eastern and Southwestern parts
Area 2: Remainder
LAKE COUNTY:
Area 1: Southern part
Area 2: Remainder
MENDOCINO COUNTY:
Area 1: Central and Southeastern Parts
Area 2: Remainder
IRON0118-012 01/01/2025
ALPINE, LASSEN, MODOC, SISKIYOU and TRINITY COUNTIES
Rates Fringes
IRONWORKER.......................$ 43.75 34.45
290
IRON0118-013 01/01/2025
AMADOR, BUTTE, COLUSA,EL DORADO, GLENN,MARIN, NAPA, NEVADA,
PLACER,PLUMAS, SACRAMENTO, SHASTA, SIERRA, SOLANO, SONOMA, SUTTER, TEHAMA, YOLO and YUBA COUNTIES
Rates Fringes
IRONWORKER.......................$ 50.70 35.15
LABO0067-003 07/01/2024
AREA ""1"" - MARIN and NAPA COUNTIES
AREA ""2"" - ALPINE, AMADOR, BUTTE COLUSA EL DORADO, GLENN,
LASSEN, MODOC, NEVADA, PLACER, PLUMAS, SACRAMENTO, SHASTA,
SIERRA, SISKIYOU, SOLANO, SONOMA, SUTTER, TEHAMA, TRINITY,
YOLO, AND YUBA COUNTIES
Rates Fringes
LABORER (ASBESTOS/MOLD/LEAD
LABORER)
Marin and Napa Counties.....$ 37.75 29.69
Remaining Counties..........$ 36.75 29.69
LABO0067-005 01/01/2024
AREA ""A"" - ALAMEDA, CONTRA COSTA, SAN FRANCISCO, SAN MATEO AND
SANTA CLARA COUNTIES
AREA ""B"" - ALPINE, AMADOR, BUTTE, CALAVERAS, COLUSA, DEL
NORTE, EL DORADO, FRESNO, GLENN, HUMBOLDT, KINGS, LAKE, LASSEN,
MADERA, MARIPOSA, MENDOCINO, MERCED, MODOC, MONTEREY, NEVADA,
PLACER, PLUMAS, SANCREMENTO, SAN BENITO, SAN JOAQUIN, SANTA
CRUZ, SIERRA, SHASTA, SISKIYOU, STANISLAUS, TEHAMA, TRINITY,
TULARE, TUOLUMNE, YOLO AND YOUBA COUNTIES
Rates Fringes
LABORER (TRAFFIC CONTROL/LANE
CLOSURE)
Escort Driver, Flag Person
Area A.....................$ 37.26 27.32
Area B.....................$ 36.26 27.32
Traffic Control Person I
Area A.....................$ 37.56 27.32
Area B.....................$ 36.56 27.32
291
Traffic Control Person II
Area A.....................$ 35.06 27.32
Area B.....................$ 34.06 27.32
TRAFFIC CONTROL PERSON I: Layout of traffic control, crash cushions, construction area and roadside signage.
TRAFFIC CONTROL PERSON II: Installation and removal of
temporary/permanent signs, markers, delineators and crash cushions.
LABO0185-002 07/01/2023
ALPINE, AMADOR, BUTTE, COLUSA, EL DORADO, GLENN, LASSEN, MODOC,
NEVADA, PLACER, PLUMAS, SACRAMENTO, SHASTA, SIERRA, SISKIYOU,
SUTTER, TEHAMA, TRINITY, YOLO AND YUBA COUNTIES
Rates Fringes
LABORER
Mason Tender-Brick..........$ 36.29 25.55
LABO0185-005 06/26/2023
ALPINE, AMADOR, BUTTE, COLUSA, EL DORADO, GLENN, LASSEN, MODOC,
NEVADA, PLACER, PLUMAS, SACRAMENTO, SHASTA, SIERRA, SISKIYOU,
SUTTER, TEHAMA, TRINITY, YOLO AND YUBA COUNTIES
Rates Fringes
Tunnel and Shaft Laborers:
GROUP 1.....................$ 45.89 27.72
GROUP 2.....................$ 45.66 27.72
GROUP 3.....................$ 45.41 27.72
GROUP 4.....................$ 44.96 27.72
GROUP 5.....................$ 44.42 27.72
Shotcrete Specialist........$ 46.41 27.72
TUNNEL AND SHAFT CLASSIFICATIONS
GROUP 1: Diamond driller; Groundmen; Gunite and shotcrete nozzlemen
GROUP 2: Rodmen; Shaft work & raise (below actual or
excavated ground level)
GROUP 3: Bit grinder; Blaster, driller, powdermen, heading; Cherry pickermen - where car is lifted; Concrete finisher 292
in tunnel; Concrete screedman; Grout pumpman and potman; Gunite & shotcrete gunman & potman; Headermen; High
pressure nozzleman; Miner - tunnel, including top and
bottom man on shaft and raise work; Nipper; Nozzleman on slick line; Sandblaster - potman, Robotic Shotcrete Placer, Segment Erector, Tunnel Muck Hauler, Steel Form raiser and setter; Timberman, retimberman (wood or steel or substitute materials therefore); Tugger (for tunnel laborer work); Cable tender; Chuck tender; Powderman - primer house
GROUP 4: Vibrator operator, pavement breaker; Bull gang - muckers, trackmen; Concrete crew - includes rodding and spreading, Dumpmen (any method)
GROUP 5: Grout crew; Reboundman; Swamper/ Brakeman
LABO0185-006 06/26/2023
ALPINE, AMADOR, BUTTE, COLUSA, EL DORADO, GLENN, LASSEN, MODOC,
NEVADA, PLACER, PLUMAS, SACRAMENTO, SHIASTA, SIERRA, SISKIYOU,
SUTTER, TEHAMA, TRINITY, YOLO, YUBA COUNTIES
Rates Fringes
LABORER (CONSTRUCTION CRAFT
LABORERS - AREA B:)
Construction Specialist
Group.......................$ 36.20 27.30
GROUP 1.....................$ 35.50 27.30
GROUP 1-a...................$ 35.72 27.30
GROUP 1-c...................$ 35.55 27.30
GROUP 1-e...................$ 36.05 27.30
GROUP 1-f...................$ 30.37 23.20
GROUP 2.....................$ 35.35 27.30
GROUP 3.....................$ 35.25 27.30
GROUP 4.....................$ 28.94 27.30
See groups 1-b and 1-d under laborer classifications.
LABORER (GARDENERS,
HORTICULTURAL & LANDSCAPE
LABORERS - AREA B:)
(1) New Construction........$ 35.25 27.30
(2) Establishment Warranty
Period......................$ 28.94 27.30
LABORER (GUNITE - AREA B:)
GROUP 1.....................$ 36.46 27.30
GROUP 2.....................$ 35.96 27.30
GROUP 3.....................$ 35.37 27.30
GROUP 4.....................$ 35.25 27.30
LABORER (WRECKING - AREA B:)
293
GROUP 1.....................$ 35.50 27.30
GROUP 2.....................$ 35.35 27.30
FOOTNOTES:
Laborers working off or with or from bos'n chairs, swinging scaffolds, belts shall receive $0.25 per hour above the applicable wage rate. This shall not apply to workers
entitled to receive the wage rate set forth in Group 1-a below.
LABORER CLASSIFICATIONS
CONSTRUCTION SPECIALIST GROUP: Asphalt ironer and raker; Chainsaw; Laser beam in connection with laborers' work; Cast-in- place manhole form setter; Pressure pipelayer; Davis trencher - 300 or similar type (and all small
trenchers); Blaster; Diamond driller; Multiple unit drill; Hydraulic drill
GROUP 1: Asphalt spreader boxes (all types); Barko, Wacker and similar type tampers; Buggymobile; Caulker, bander, pipewrapper, conduit layer, plastic pipelayer; Certified hazardous waste worker including Leade Abatement;
Compactors of all types; Concrete and magnesite mixer, 1/2 yd. and under; Concrete pan work; Concrete sander; Concrete saw; Cribber and/or shoring; Cut granite curb setter;
Dri-pak-it machine; Faller, logloader and bucker; Form
raiser, slip forms; Green cutter; Headerboard, Hubsetter, aligner, by any method; High pressure blow pipe (1-1/2"" or over, 100 lbs. pressure/over); Hydro seeder and similar type; Jackhammer operator; Jacking of pipe over 12 inches; Jackson and similar type compactor; Kettle tender, pot and worker applying asphalt, lay-kold, creosote, lime, caustic and similar type materials (applying means applying,
dipping or handling of such materials); Lagging, sheeting, whaling, bracing, trenchjacking, lagging hammer; Magnesite, epoxyresin, fiberglass, mastic worker (wet or dry); No
joint pipe and stripping of same, including repair of
voids; Pavement breaker and spader, including tool grinder; Perma curb; Pipelayer (including grade checking in
connection with pipelaying); Precast-manhole setter;
Pressure pipe tester; Post hole digger, air, gas and
electric; Power broom sweeper; Power tampers of all types (except as shown in Group 2); Ram set gun and stud gun; Riprap stonepaver and rock-slinger, including placing of sacked concrete and/or sand (wet or dry) and gabions and similar type; Rotary scarifier or multiple head concrete chipping scarifier; Roto and Ditch Witch; Rototiller;
294
Sandblaster, pot, gun, nozzle operators; Signalling and rigging; Tank cleaner; Tree climber; Turbo blaster;
Vibrascreed, bull float in connection with laborers' work; Vibrator; Hazardous waste worker (lead removal); Asbestos and mold removal worker
GROUP 1-a: Joy drill model TWM-2A; Gardner-Denver model DH143 and similar type drills; Track driller; Jack leg driller; Wagon driller; Mechanical drillers, all types regardless of type or method of power; Mechanical pipe layers, all types regardless of type or method of power; Blaster and powder; All work of loading, placing and blasting of all powder and explosives of whatever type regardless of method used for such loading and placing; High scalers (including drilling of same); Tree topper; Bit grinder
GROUP 1-b: Sewer cleaners shall receive $4.00 per day above Group 1 wage rates. ""Sewer cleaner"" means any worker who handles or comes in contact with raw sewage in small
diameter sewers. Those who work inside recently active, large diameter sewers, and all recently active sewer
manholes shal receive $5.00 per day above Group 1 wage
rates.
GROUP 1-c: Burning and welding in connection with laborers' work; Synthetic thermoplastics and similar type welding GROUP 1-d: Maintenance and repair track and road beds. All employees performing work covered herein shall receive $ .25 per hour above their regular rate for all work
performed on underground structures not specifically
covered herein. This paragraph shall not be construed to apply to work below ground level in open cut. It shall
apply to cut and cover work of subway construction after the temporary cover has been placed.
GROUP 1-e: Work on and/or in bell hole footings and shafts thereof, and work on and in deep footings. (A deep footing is a hole 15 feet or more in depth.) In the event the
depth of the footing is unknown at the commencement of
excavation, and the final depth exceeds 15 feet, the deep footing wage rate would apply to all employees for each and every day worked on or in the excavation of the footing from the date of inception.
GROUP 1-f: Wire winding machine in connection with guniting or shot crete
GROUP 2: Asphalt shoveler; Cement dumper and handling dry cement or gypsum; Choke-setter and rigger (clearing work); Concrete bucket dumper and chute; Concrete chipping and 295
grinding; Concrete laborer (wet or dry); Driller tender, chuck tender, nipper; Guinea chaser (stake), grout crew; High pressure nozzle, adductor; Hydraulic monitor (over 100 lbs. pressure); Loading and unloading, carrying and hauling of all rods and materials for use in reinforcing concrete construction; Pittsburgh chipper and similar type brush shredders; Sloper; Single foot, hand-held, pneumatic
tamper; All pneumatic, air, gas and electric tools not
listed in Groups 1 through 1-f; Jacking of pipe - under 12 inches
GROUP 3: Construction laborers, including bridge and general laborer; Dump, load spotter; Flag person; Fire watcher; Fence erector; Guardrail erector; Gardener, horticultural and landscape laborer; Jetting; Limber, brush loader and piler; Pavement marker (button setter); Maintenance, repair track and road beds; Streetcar and railroad construction track laborer; Temporary air and water lines, Victaulic or similar; Tool room attendant (jobsite only)
GROUP 4: Final clean-up work of debris, grounds and building including but not limited to: street cleaner; cleaning and washing windows; brick cleaner (jobsite only); material cleaner (jobsite only). The classification ""material
cleaner"" is to be utilized under the following conditions:
A: at demolition site for the salvage of the material.
B: at the conclusion of a job where the material is to be salvaged and stocked to be reused on another job.
C: for the cleaning of salvage material at the jobsite or temporary jobsite yard.
The material cleaner classification should not be used in the performance of ""form stripping, cleaning and oiling and moving to the next point of erection"".
GUNITE LABORER CLASSIFICATIONS
GROUP 1: Structural Nozzleman
GROUP 2: Nozzleman, Gunman, Potman, Groundman
GROUP 3: Reboundman
GROUP 4: Gunite laborer
WRECKING WORK LABORER CLASSIFICATIONS
296
GROUP 1: Skilled wrecker (removing and salvaging of sash, windows and materials)
GROUP 2: Semi-skilled wrecker (salvaging of other building materials)
LABO0185-008 07/01/2023
Rates Fringes
Plasterer tender.................$ 39.77 28.54
Work on a swing stage scaffold: $1.00 per hour additional.
LABO0261-002 07/01/2023
MARIN COUNTY
Rates Fringes
LABORER (TRAFFIC CONTROL/LANE
CLOSURE)
Escort Driver, Flag Person..$ 37.26 27.30
Traffic Control Person I....$ 37.56 27.30
Traffic Control Person II...$ 35.06 27.30
TRAFFIC CONTROL PERSON I: Layout of traffic control, crash cushions, construction area and roadside signage.
TRAFFIC CONTROL PERSON II: Installation and removal of
temporary/permanent signs, markers, delineators and crash cushions.
LABO0261-004 06/26/2023
MARIN COUNTY
Tunnel and Shaft Laborers:
Rates Fringes
GROUP 1.....................$ 45.89 27.72
GROUP 2.....................$ 45.66 27.72
GROUP 3.....................$ 45.41 27.72
GROUP 4.....................$ 44.96 27.72
GROUP 5.....................$ 44.42 27.72
Shotcrete Specialist........$ 46.41 27.72
TUNNEL AND SHAFT CLASSIFICATIONS
297
GROUP 1: Diamond driller; Groundmen; Gunite and shotcrete nozzlemen
GROUP 2: Rodmen; Shaft work & raise (below actual or
excavated ground level)
GROUP 3: Bit grinder; Blaster, driller, powdermen, heading; Cherry pickermen - where car is lifted; Concrete finisher in tunnel; Concrete screedman; Grout pumpman and potman; Gunite & shotcrete gunman & potman; Headermen; High
pressure nozzleman; Miner - tunnel, including top and
bottom man on shaft and raise work; Nipper; Nozzleman on slick line; Sandblaster - potman, Robotic Shotcrete Placer, Segment Erector, Tunnel Muck Hauler, Steel Form raiser and setter; Timberman, retimberman (wood or steel or substitute materials therefore); Tugger (for tunnel laborer work); Cable tender; Chuck tender; Powderman - primer house
GROUP 4: Vibrator operator, pavement breaker; Bull gang - muckers, trackmen; Concrete crew - includes rodding and spreading, Dumpmen (any method)
GROUP 5: Grout crew; Reboundman; Swamper/ Brakeman
LABO0261-007 07/01/2023
MARIN COUNTY
LABORER
Rates Fringes
Mason Tender-Brick..........$ 37.54 25.55
LABO0261-010 06/26/2023
MARIN COUNTY
Rates Fringes
LABORER (CONSTRUCTION CRAFT
LABORERS - AREA A:)
Construction Specialist
Group.......................$ 37.20 27.30
GROUP 1.....................$ 36.50 27.30
GROUP 1-a...................$ 36.72 27.30
GROUP 1-c...................$ 36.55 27.30
GROUP 1-e...................$ 37.05 27.30
GROUP 1-f...................$ 31.37 23.20
GROUP 2.....................$ 36.35 27.30
GROUP 3.....................$ 36.25 27.30
298
GROUP 4.....................$ 29.94 27.30
See groups 1-b and 1-d under laborer classifications.
LABORER (GARDENERS,
HORTICULTURAL & LANDSCAPE
LABORERS - AREA A:)
(1) New Construction........$ 36.25 27.30
(2) Establishment Warranty
Period......................$ 29.94 27.30
LABORER (GUNITE - AREA A:)
GROUP 1.....................$ 37.46 27.30
GROUP 2.....................$ 36.96 27.30
GROUP 3.....................$ 36.37 27.30
GROUP 4.....................$ 36.25 27.30
LABORER (WRECKING - AREA A:)
GROUP 1.....................$ 36.50 27.30
GROUP 2.....................$ 36.35 27.30
FOOTNOTES:
Laborers working off or with or from bos'n chairs, swinging scaffolds, belts shall receive $0.25 per hour above the applicable wage rate. This shall not apply to workers
entitled to receive the wage rate set forth in Group 1-a below.
LABORER CLASSIFICATIONS
CONSTRUCTION SPECIALIST GROUP: Asphalt ironer and raker; Chainsaw; Laser beam in connection with laborers' work; Cast-in- place manhole form setter; Pressure pipelayer; Davis trencher - 300 or similar type (and all small
trenchers); Blaster; Diamond driller; Multiple unit drill; Hydraulic drill
GROUP 1: Asphalt spreader boxes (all types); Barko, Wacker and similar type tampers; Buggymobile; Caulker, bander, pipewrapper, conduit layer, plastic pipelayer; Certified hazardous waste worker including Leade Abatement;
Compactors of all types; Concrete and magnesite mixer, 1/2 yd. and under; Concrete pan work; Concrete sander; Concrete saw; Cribber and/or shoring; Cut granite curb setter;
Dri-pak-it machine; Faller, logloader and bucker; Form
raiser, slip forms; Green cutter; Headerboard, Hubsetter, aligner, by any method; High pressure blow pipe (1-1/2"" or over, 100 lbs. pressure/over); Hydro seeder and similar type; Jackhammer operator; Jacking of pipe over 12 inches; Jackson and similar type compactor; Kettle tender, pot and worker applying asphalt, lay-kold, creosote, lime, caustic and similar type materials (applying means applying,
299
dipping or handling of such materials); Lagging, sheeting, whaling, bracing, trenchjacking, lagging hammer; Magnesite, epoxyresin, fiberglass, mastic worker (wet or dry); No
joint pipe and stripping of same, including repair of
voids; Pavement breaker and spader, including tool grinder; Perma curb; Pipelayer (including grade checking in
connection with pipelaying); Precast-manhole setter;
Pressure pipe tester; Post hole digger, air, gas and
electric; Power broom sweeper; Power tampers of all types (except as shown in Group 2); Ram set gun and stud gun; Riprap stonepaver and rock-slinger, including placing of sacked concrete and/or sand (wet or dry) and gabions and similar type; Rotary scarifier or multiple head concrete chipping scarifier; Roto and Ditch Witch; Rototiller;
Sandblaster, pot, gun, nozzle operators; Signalling and rigging; Tank cleaner; Tree climber; Turbo blaster;
Vibrascreed, bull float in connection with laborers' work; Vibrator; Hazardous waste worker (lead removal); Asbestos and mold removal worker
GROUP 1-a: Joy drill model TWM-2A; Gardner-Denver model DH143 and similar type drills; Track driller; Jack leg driller; Wagon driller; Mechanical drillers, all types regardless of type or method of power; Mechanical pipe layers, all types regardless of type or method of power; Blaster and powder; All work of loading, placing and blasting of all powder and explosives of whatever type regardless of method used for such loading and placing; High scalers (including drilling of same); Tree topper; Bit grinder
GROUP 1-b: Sewer cleaners shall receive $4.00 per day above Group 1 wage rates. ""Sewer cleaner"" means any worker who handles or comes in contact with raw sewage in small
diameter sewers. Those who work inside recently active, large diameter sewers, and all recently active sewer
manholes shal receive $5.00 per day above Group 1 wage
rates.
GROUP 1-c: Burning and welding in connection with laborers' work; Synthetic thermoplastics and similar type welding GROUP 1-d: Maintenance and repair track and road beds. All employees performing work covered herein shall receive $ .25 per hour above their regular rate for all work
performed on underground structures not specifically
covered herein. This paragraph shall not be construed to apply to work below ground level in open cut. It shall
apply to cut and cover work of subway construction after the temporary cover has been placed.
GROUP 1-e: Work on and/or in bell hole footings and shafts 300
thereof, and work on and in deep footings. (A deep footing is a hole 15 feet or more in depth.) In the event the
depth of the footing is unknown at the commencement of
excavation, and the final depth exceeds 15 feet, the deep footing wage rate would apply to all employees for each and every day worked on or in the excavation of the footing from the date of inception.
GROUP 1-f: Wire winding machine in connection with guniting or shot crete
GROUP 2: Asphalt shoveler; Cement dumper and handling dry cement or gypsum; Choke-setter and rigger (clearing work); Concrete bucket dumper and chute; Concrete chipping and grinding; Concrete laborer (wet or dry); Driller tender, chuck tender, nipper; Guinea chaser (stake), grout crew; High pressure nozzle, adductor; Hydraulic monitor (over 100 lbs. pressure); Loading and unloading, carrying and hauling of all rods and materials for use in reinforcing concrete construction; Pittsburgh chipper and similar type brush shredders; Sloper; Single foot, hand-held, pneumatic
tamper; All pneumatic, air, gas and electric tools not
listed in Groups 1 through 1-f; Jacking of pipe - under 12 inches
GROUP 3: Construction laborers, including bridge and general laborer; Dump, load spotter; Flag person; Fire watcher; Fence erector; Guardrail erector; Gardener, horticultural and landscape laborer; Jetting; Limber, brush loader and piler; Pavement marker (button setter); Maintenance, repair track and road beds; Streetcar and railroad construction track laborer; Temporary air and water lines, Victaulic or similar; Tool room attendant (jobsite only)
GROUP 4: Final clean-up work of debris, grounds and building including but not limited to: street cleaner; cleaning and washing windows; brick cleaner (jobsite only); material cleaner (jobsite only). The classification ""material
cleaner"" is to be utilized under the following conditions:
A: at demolition site for the salvage of the material.
B: at the conclusion of a job where the material is to be salvaged and stocked to be reused on another job.
C: for the cleaning of salvage material at the jobsite or temporary jobsite yard.
The material cleaner classification should not be used in the performance of ""form stripping, cleaning and oiling and moving to the next point of erection"".
301
GUNITE LABORER CLASSIFICATIONS
GROUP 1: Structural Nozzleman
GROUP 2: Nozzleman, Gunman, Potman, Groundman
GROUP 3: Reboundman
GROUP 4: Gunite laborer
WRECKING WORK LABORER CLASSIFICATIONS
GROUP 1: Skilled wrecker (removing and salvaging of sash, windows and materials)
GROUP 2: Semi-skilled wrecker (salvaging of other building materials)
LABO0261-015 07/01/2023
Rates Fringes
Plasterer tender.................$ 39.77 28.54
Work on a swing stage scaffold: $1.00 per hour additional.
LABO0324-004 07/01/2023
NAPA, SOLANO, AND SONOMA, COUNTIES
Rates Fringes
LABORER (TRAFFIC CONTROL/LANE
CLOSURE)
Escort Driver, Flag Person..$ 36.26 27.30
Traffic Control Person I....$ 36.56 27.30
Traffic Control Person II...$ 34.06 27.30
TRAFFIC CONTROL PERSON I: Layout of traffic control, crash cushions, construction area and roadside signage.
TRAFFIC CONTROL PERSON II: Installation and removal of
temporary/permanent signs, markers, delineators and crash cushions.
LABO0324-008 06/26/2023
302
NAPA, SOLANO, AND SONOMA COUNTIES
Rates Fringes
Tunnel and Shaft Laborers:
GROUP 1.....................$ 45.89 27.72
GROUP 2.....................$ 45.66 27.72
GROUP 3.....................$ 45.41 27.72
GROUP 4.....................$ 44.96 27.72
GROUP 5.....................$ 44.42 27.72
Shotcrete Specialist........$ 46.41 27.72
TUNNEL AND SHAFT CLASSIFICATIONS
GROUP 1: Diamond driller; Groundmen; Gunite and shotcrete nozzlemen
GROUP 2: Rodmen; Shaft work & raise (below actual or
excavated ground level)
GROUP 3: Bit grinder; Blaster, driller, powdermen, heading; Cherry pickermen - where car is lifted; Concrete finisher in tunnel; Concrete screedman; Grout pumpman and potman; Gunite & shotcrete gunman & potman; Headermen; High
pressure nozzleman; Miner - tunnel, including top and
bottom man on shaft and raise work; Nipper; Nozzleman on slick line; Sandblaster - potman, Robotic Shotcrete Placer, Segment Erector, Tunnel Muck Hauler, Steel Form raiser and setter; Timberman, retimberman (wood or steel or substitute materials therefore); Tugger (for tunnel laborer work); Cable tender; Chuck tender; Powderman - primer house
GROUP 4: Vibrator operator, pavement breaker; Bull gang - muckers, trackmen; Concrete crew - includes rodding and spreading, Dumpmen (any method)
GROUP 5: Grout crew; Reboundman; Swamper/ Brakeman
LABO0324-010 07/01/2023
SOLANO AND SONOMA COUNTIES
LABORER
Rates Fringes
Mason Tender-Brick..........$ 36.84 26.24
LABO0324-013 06/26/2023
NAPA, SOLANO, AND SONOMA COUNTIES
303
Rates Fringes
LABORER (CONSTRUCTION CRAFT
LABORERS - AREA B:)
Construction Specialist
Group.......................$ 36.20 27.30
GROUP 1.....................$ 35.50 27.30
GROUP 1-a...................$ 35.72 27.30
GROUP 1-c...................$ 35.55 27.30
GROUP 1-e...................$ 36.05 27.30
GROUP 1-f...................$ 36.08 27.30
GROUP 2.....................$ 35.35 27.30
GROUP 3.....................$ 35.25 27.30
GROUP 4.....................$ 28.94 27.30
See groups 1-b and 1-d under laborer classifications.
LABORER (GARDENERS,
HORTICULTURAL & LANDSCAPE
LABORERS - AREA B:)
(1) New Construction........$ 35.25 27.30
(2) Establishment Warranty
Period......................$ 28.94 27.30
LABORER (GUNITE - AREA B:)
GROUP 1.....................$ 36.46 27.30
GROUP 2.....................$ 35.96 27.30
GROUP 3.....................$ 35.37 27.30
GROUP 4.....................$ 35.25 27.30
LABORER (WRECKING - AREA B:)
GROUP 1.....................$ 35.50 27.30
GROUP 2.....................$ 35.35 27.30
FOOTNOTES:
Laborers working off or with or from bos'n chairs, swinging scaffolds, belts shall receive $0.25 per hour above the applicable wage rate. This shall not apply to workers
entitled to receive the wage rate set forth in Group 1-a below.
LABORER CLASSIFICATIONS
CONSTRUCTION SPECIALIST GROUP: Asphalt ironer and raker; Chainsaw; Laser beam in connection with laborers' work; Cast-in- place manhole form setter; Pressure pipelayer; Davis trencher - 300 or similar type (and all small
trenchers); Blaster; Diamond driller; Multiple unit drill; Hydraulic drill
GROUP 1: Asphalt spreader boxes (all types); Barko, Wacker 304
and similar type tampers; Buggymobile; Caulker, bander, pipewrapper, conduit layer, plastic pipelayer; Certified hazardous waste worker including Leade Abatement;
Compactors of all types; Concrete and magnesite mixer, 1/2 yd. and under; Concrete pan work; Concrete sander; Concrete saw; Cribber and/or shoring; Cut granite curb setter;
Dri-pak-it machine; Faller, logloader and bucker; Form
raiser, slip forms; Green cutter; Headerboard, Hubsetter, aligner, by any method; High pressure blow pipe (1-1/2"" or over, 100 lbs. pressure/over); Hydro seeder and similar type; Jackhammer operator; Jacking of pipe over 12 inches; Jackson and similar type compactor; Kettle tender, pot and worker applying asphalt, lay-kold, creosote, lime, caustic and similar type materials (applying means applying,
dipping or handling of such materials); Lagging, sheeting, whaling, bracing, trenchjacking, lagging hammer; Magnesite, epoxyresin, fiberglass, mastic worker (wet or dry); No
joint pipe and stripping of same, including repair of
voids; Pavement breaker and spader, including tool grinder; Perma curb; Pipelayer (including grade checking in
connection with pipelaying); Precast-manhole setter;
Pressure pipe tester; Post hole digger, air, gas and
electric; Power broom sweeper; Power tampers of all types (except as shown in Group 2); Ram set gun and stud gun; Riprap stonepaver and rock-slinger, including placing of sacked concrete and/or sand (wet or dry) and gabions and similar type; Rotary scarifier or multiple head concrete chipping scarifier; Roto and Ditch Witch; Rototiller;
Sandblaster, pot, gun, nozzle operators; Signalling and rigging; Tank cleaner; Tree climber; Turbo blaster;
Vibrascreed, bull float in connection with laborers' work; Vibrator; Hazardous waste worker (lead removal); Asbestos and mold removal worker
GROUP 1-a: Joy drill model TWM-2A; Gardner-Denver model DH143 and similar type drills; Track driller; Jack leg driller; Wagon driller; Mechanical drillers, all types regardless of type or method of power; Mechanical pipe layers, all types regardless of type or method of power; Blaster and powder; All work of loading, placing and blasting of all powder and explosives of whatever type regardless of method used for such loading and placing; High scalers (including drilling of same); Tree topper; Bit grinder
GROUP 1-b: Sewer cleaners shall receive $4.00 per day above Group 1 wage rates. ""Sewer cleaner"" means any worker who handles or comes in contact with raw sewage in small
diameter sewers. Those who work inside recently active, large diameter sewers, and all recently active sewer
manholes shal receive $5.00 per day above Group 1 wage
rates.
305
GROUP 1-c: Burning and welding in connection with laborers' work; Synthetic thermoplastics and similar type welding GROUP 1-d: Maintenance and repair track and road beds. All employees performing work covered herein shall receive $ .25 per hour above their regular rate for all work
performed on underground structures not specifically
covered herein. This paragraph shall not be construed to apply to work below ground level in open cut. It shall
apply to cut and cover work of subway construction after the temporary cover has been placed.
GROUP 1-e: Work on and/or in bell hole footings and shafts thereof, and work on and in deep footings. (A deep footing is a hole 15 feet or more in depth.) In the event the
depth of the footing is unknown at the commencement of
excavation, and the final depth exceeds 15 feet, the deep footing wage rate would apply to all employees for each and every day worked on or in the excavation of the footing from the date of inception.
GROUP 1-f: Wire winding machine in connection with guniting or shot crete
GROUP 2: Asphalt shoveler; Cement dumper and handling dry cement or gypsum; Choke-setter and rigger (clearing work); Concrete bucket dumper and chute; Concrete chipping and grinding; Concrete laborer (wet or dry); Driller tender, chuck tender, nipper; Guinea chaser (stake), grout crew; High pressure nozzle, adductor; Hydraulic monitor (over 100 lbs. pressure); Loading and unloading, carrying and hauling of all rods and materials for use in reinforcing concrete construction; Pittsburgh chipper and similar type brush shredders; Sloper; Single foot, hand-held, pneumatic
tamper; All pneumatic, air, gas and electric tools not
listed in Groups 1 through 1-f; Jacking of pipe - under 12 inches
GROUP 3: Construction laborers, including bridge and general laborer; Dump, load spotter; Flag person; Fire watcher; Fence erector; Guardrail erector; Gardener, horticultural and landscape laborer; Jetting; Limber, brush loader and piler; Pavement marker (button setter); Maintenance, repair track and road beds; Streetcar and railroad construction track laborer; Temporary air and water lines, Victaulic or similar; Tool room attendant (jobsite only)
GROUP 4: Final clean-up work of debris, grounds and building including but not limited to: street cleaner; cleaning and washing windows; brick cleaner (jobsite only); material 306
cleaner (jobsite only). The classification ""material
cleaner"" is to be utilized under the following conditions:
A: at demolition site for the salvage of the material.
B: at the conclusion of a job where the material is to be salvaged and stocked to be reused on another job.
C: for the cleaning of salvage material at the jobsite or temporary jobsite yard.
The material cleaner classification should not be used in the performance of ""form stripping, cleaning and oiling and moving to the next point of erection"".
GUNITE LABORER CLASSIFICATIONS
GROUP 1: Structural Nozzleman
GROUP 2: Nozzleman, Gunman, Potman, Groundman
GROUP 3: Reboundman
GROUP 4: Gunite laborer
WRECKING WORK LABORER CLASSIFICATIONS
GROUP 1: Skilled wrecker (removing and salvaging of sash, windows and materials)
GROUP 2: Semi-skilled wrecker (salvaging of other building materials)
LABO0324-019 07/01/2023
Rates Fringes
Plasterer tender.................$ 39.77 28.54
Work on a swing stage scaffold: $1.00 per hour additional.
PAIN0016-004 01/01/2025
MARIN, NAPA, SOLANO & SONOMA COUNTIES
Rates Fringes
Painters:........................$ 53.38 28.04
307
PREMIUMS:
EXOTIC MATERIALS - $1.25 additional per hour.
SPRAY WORK: - $0.50 additional per hour.
INDUSTRIAL PAINTING - $0.25 additional per hour
[Work on industrial buildings used for the manufacture and processing of goods for sale or service; steel construction (bridges), stacks, towers, tanks, and similar structures] HIGH WORK:
over 50 feet - $2.00 per hour additional
100 to 180 feet - $4.00 per hour additional
Over 180 feet - $6.00 per houir additional
PAIN0016-005 01/01/2025
ALPINE, BUTTE, COLUSA, EL DORADO (west of the Sierra Nevada Mountains), GLENN, LASSEN (west of Hwy. 395, excluding Honey Lake); MARIN, MODOC, NAPA, NEVADA (west of the Sierra Nevada Mountains), PLACER (west of the Sierra Nevada Mountains), PLUMAS, SACRAMENTO, SHASTA, SIERRA (west of the Sierra Nevada Mountains), SISKIYOU, SOLANO, SONOMA, SUTTER, TEHAMA, TRINITY,
YOLO AND YUBA COUNTIES
Rates Fringes
DRYWALL FINISHER/TAPER...........$ 59.63 31.29
PAIN0016-007 01/01/2025
ALPINE, AMADOR, BUTTE, COLUSA. EL DORADO (west of the Sierra Nevada Mountains), GLENN, LASSEN (west of Highway 395,
excluding Honey Lake), MODOC, NEVADA (west of the Sierra Nevada Mountains), PLACER (west of the Sierra Nevada Mountains), PLUMAS, SACRAMENTO, SHASTA, SIERRA (west of the Sierra Nevada Mountains), SISKIYOU, SUTTER, TEHAMA, TRINITY, YOLO & YUBA
COUNTIES
Rates Fringes
Painters:........................$ 43.45 22.80
SPRAY/SANDBLAST: $0.50 additional per hour.
EXOTIC MATERIALS: $1.25 additional per hour.
HIGH TIME: Over 50 ft above ground or water level $2.00 additional per hour. 100 to 180 ft above ground or water level $4.00 additional per hour. Over 180 ft above ground or water level $6.00 additional per hour.
308
PAIN0016-008 01/01/2024
MARIN, NAPA, SOLANO AND SONOMA COUNTIES
Rates Fringes
SOFT FLOOR LAYER.................$ 59.00 33.03
PAIN0169-004 01/01/2024
MARIN , NAPA & SONOMA COUNTIES; SOLANO COUNTY (west of a line defined as follows: Hwy. 80 corridor beginning at the City of Fairfield, including Travis Air Force Base and Suisun City; going north of Manakas Corner Rd., continue north on Suisun Valley Rd. to the Napa County line; Hwy. 80 corridor south on Grizzly Island Rd. to the Grizzly Island Management area) Rates Fringes
GLAZIER..........................$ 56.22 34.00
* PAIN0567-001 07/01/2024
EL DORADO COUNTY (east of the Sierra Nevada Mountains); LASSEN COUNTY (east of Highway 395, beginning at Stacey and including Honey Lake); NEVADA COUNTY (east of the Sierra Nevada
Mountains); PLACER COUNTY (east of the Sierra Nevada
Mountains); AND SIERRA COUNTY (east of the Sierra Nevada Mountains)
Rates Fringes
Painters:
Brush and Roller............$ 36.87 15.82
Spray Painter & Paperhanger.$ 38.87 15.82
PREMIUMS:
Special Coatings (Brush), and Sandblasting = $0.50/hr
Special Coatings (Spray), and Steeplejack = $1.00/hr
Special Coating Spray Steel = $1.25/hr
Swing Stage = $2.00/hr
*A special coating is a coating that requires the mixing of 2 or more products.
PAIN0567-007 07/01/2022
309
EL DORADO COUNTY (east of the Sierra Nevada Mountains); LASSEN COUNTY (east of Highway 395, beginning at Stacey and including Honey Lake); NEVADA COUNTY (east of the Sierra Nevada
Mountains); PLACER COUNTY (east of the Sierra Nevada Mountains) AND SIERRA COUNTY (east of the Sierra Nevada Mountains) Rates Fringes
SOFT FLOOR LAYER.................$ 34.27 16.47
PAIN0567-010 07/01/2024
EL DORADO COUNTY (east of the Sierra Nevada Mountains); LASSEN COUNTY (east of Highway 395, beginning at Stacey and including Honey Lake); NEVADA COUNTY (east of the Sierra Nevada
Mountains); PLACER COUNTY (east of the Sierra Nevada
Mountains); AND SIERRA COUNTY (east of the Sierra Nevada Mountains)
Rates Fringes
Drywall
(1) Taper...................$ 42.79 16.12
(2) Steeplejack - Taper,
over 40 ft with open space
below.......................$ 44.29 16.12
PAIN0767-004 01/01/2024
ALPINE, AMADOR, BUTTE, COLUSA, EL DORADO, GLENN, LASSEN, MODOC,
NEVADA, PLACER, PLUMAS, SACRAMENTO, SHASTA, SIERRA, SISKIYOU, SOLANO (Remainder), SUTTER, TEHAMA, TRINITY, YOLO, YUBA Rates Fringes
GLAZIER..........................$ 43.25 35.62
PAID HOLIDAYS: New Year's Day, Martin Luther King, Jr. Day, President's Day, Memorial Day, Independence Day, Labor Day, Veteran's Day, Thanksgiving Day, and Christmas Day.
Employee required to wear a body harness shall receive $1.50 per hour above the basic hourly rate at any elevation.
PAIN1176-001 07/01/2022
HIGHWAY IMPR0VEMENT
310
Rates Fringes
Parking Lot Striping/Highway
Marking:
GROUP 1.....................$ 40.83 17.62
GROUP 2.....................$ 34.71 17.62
GROUP 3.....................$ 35.11 17.62
CLASSIFICATIONS
GROUP 1: Striper: Layout and application of painted traffic stripes and marking; hot thermo plastic; tape, traffic
stripes and markings
GROUP 2: Gamecourt & Playground Installer
GROUP 3: Protective Coating, Pavement Sealing
PAIN1237-001 01/01/2024
ALPINE; COLUSA; EL DORADO (west of the Sierra Nevada
Mountains); GLENN; LASSEN (west of Highway 395, beginning at Stacey and including Honey Lake); MODOC; NEVADA (west of the Sierra Nevada Mountains); PLACER (west of the Sierra Nevada Mountains); PLUMAS; SACRAMENTO; SHASTA; SIERRA (west of the Sierra Nevada Mountains); SISKIYOU; SUTTER; TEHAMA; TRINITY;
YOLO AND YUBA COUNTIES
Rates Fringes
SOFT FLOOR LAYER.................$ 48.54 26.59
PLAS0300-003 07/01/2018
Rates Fringes
PLASTERER
AREA 295: Alpine, Amador,
Butte, Colusa, El Dorado,
Glenn, Lassen, Modoc,
Nevada, Placer, Plumas,
Sacramento, Shasta,
Sierra, Siskiyou, Solano,
Sutter, Tehema, Trinity,
Yolo & Yuba Counties. ......$ 32.70 31.68
AREA 355: Marin. ...........$ 36.73 31.68
AREA 355: Napa & Sonoma
Counties. ..................$ 32.70 31.68
311
PLAS0300-005 07/01/2016
Rates Fringes
CEMENT MASON/CONCRETE FINISHER...$ 32.15 23.27
PLUM0038-002 07/01/2022
MARIN AND SONOMA COUNTIES
PLUMBER (Plumber,
Steamfitter, Refrigeration
Fitter)
Rates Fringes
PLUM0038-006 07/01/2022
MARIN & SONOMA COUNTIES
Landscape/Irrigation Fitter
Rates Fringes
(Underground/Utility Fitter).....$ 69.70 33.15
PLUM0228-001 01/01/2025
BUTTE, COLUSA, GLENN, LASSEN, MODOC, PLUMAS, SHASTA, SIERRA,
SISKIYOU, SUTTER, TEHAMA, TRINITY & YUBA COUNTIES
Rates Fringes
PLUMBER..........................$ 50.00 40.34
(1) Work on wooden frame
structures 5 stories or
less excluding high-rise
buildings and commercial
work such as hospitals,
prisons, hotels, schools,
casinos, wastewater
treatment plants, and
resarch facilities as well
as refrigeration
pipefitting, service and
repair work - MARKET
RECOVERY RATE. ............. $ 69.70 46.38
(2) All other work - NEW
CONSTRUCTION RATE. ......... $ 82.00 48.18
312
PLUM0343-001 07/01/2024
NAPA AND SOLANO COUNTIES
PLUMBER/PIPEFITTER
Rates Fringes
Light Commercial............$ 30.85 20.40
All Other Work..............$ 69.60 36.63
DEFINITION OF LIGHT COMMERICIAL:
Work shall include strip shopping centers, office buildings, schools and other commercial structures which the total plumbing bid does not exceed Two Hundred and Fifty Thousand ($250,000) and the total heating and cooling does not
exceed Two Hundred Fifty Thousand ($250,000); or Any
projects bid in phases shall not qualify unless the total project is less than Two Hundred Fifty Thousand ($250,000) for the plumbing bid; and Two Hundred Fifty Thousand
($250,000) for the heating and cooling bid. Excluded are hospitals, jails, institutions and industrial projects, regardless size of the project
FOOTNOTES: While fitting galvanized material: $.75 per hour additional. Work from trusses, temporary staging,
unguarded structures 35' from the ground or water: $.75 per hour additional. Work from swinging scaffolds, boatswains chairs or similar devices: $.75 per hour additional.
PLUM0350-001 08/01/2023
EL DORADO COUNTY (Lake Tahoe area only); NEVADA COUNTY (Lake Tahoe area only); AND PLACER COUNTY (Lake Tahoe area only) Rates Fringes
PLUMBER/PIPEFITTER...............$ 52.14 18.71
PLUM0355-001 07/01/2024
ALPINE, AMADOR, BUTTE, COLUSA, EL DORADO, GLENN, LASSEN, MODOC,
NAPA, NEVADA, PLACER, PLUMAS, SACRAMENTO, SHASTA, SIERRA,
SISKIYOU, SOLANO, SUTTER, TEHAMA, TRINITY, YOLO, AND YUBA
COUNTIES
Rates Fringes
Underground Utility Worker
313
/Landscape Fitter...........$ 34.51 18.30
PLUM0442-003 01/01/2025
AMADOR (South of San Joaquin River) and ALPINE COUNTIES Rates Fringes
PLUMBER..........................$ 55.95 37.64
PLUM0447-001 07/01/2024
AMADOR (north of San Joaquin River), EL DORADO (excluding Lake Tahoe area), NEVADA (excluding Lake Tahoe area); PLACER (excluding Lake Tahoe area), SACRAMENTO AND YOLO COUNTIES Rates Fringes
PLUMBER/PIPEFITTER
Journeyman..................$ 64.37 29.25
Light Commercial Work.......$ 53.08 23.52
ROOF0081-006 08/01/2024
MARIN, NAPA, SOLANO AND SONOMA COUNTIES
Rates Fringes
Roofer...........................$ 54.94 23.34
ROOF0081-007 08/01/2023
ALPINE, BUTTE, COLUSA, EL DORADO, GLENN,LASSEN, MODOC, NEVADA,
PLACER, PLUMAS, SACRAMENTO, SHASTA, SIERRA, SISKIYOU, SUTTER,
TEHAMA, TRINITY, YOLO, AND YUBA COUNTIES
Rates Fringes
Roofer...........................$ 46.73 21.36
SFCA0483-003 01/01/2025
MARIN, NAPA, SOLANO AND SONOMA COUNTIES
Rates Fringes
SPRINKLER FITTER (Fire
Sprinklers)......................$ 78.94 39.10
314
SFCA0669-003 01/01/2025
ALPINE, BUTTE, COLUSA, EL DORADO, GLENN, LASSEN, MODOC, NEVADA,
PLACER, PLUMAS, SACRAMENTO, SHASTA, SIERRA, SISKIYOU, SUTTER,
TEHAMA, TRINITY, YOLO AND YUBA COUNTIES
Rates Fringes
SPRINKLER FITTER.................$ 48.65 28.56
SHEE0104-006 06/29/2020
MARIN, NAPA, SOLANO SONOMA & TRINITY COUNTIES
Rates Fringes
Sheet Metal Worker
Mechanical Contracts
$200,000 or less............$ 55.92 45.29
All other work..............$ 64.06 46.83
SHEE0104-009 07/01/2021
AMADOR, COLUSA, EL DORADO, NEVADA, PLACER, SACRAMENTO, SUTTER,
YOLO AND YUBA COUNTIES
Rates Fringes
SHEET METAL WORKER...............$ 47.85 41.90
SHEE0104-010 07/01/2020
AlPINE COUNTY
Rates Fringes
SHEET METAL WORKER...............$ 43.50 37.42
SHEE0104-011 07/01/2020
BUTTE, COLUSA, EL DORADO, GLENN, LASSEN, MODOC, NEVADA, PLACER,
PLUMAS, SACRAMENTO, SHASTA, SIERRA, SISKIYOU, SUTTER, TEHAMA,
YOLO AND YUBA COUNTIES
Rates Fringes
Sheet Metal Worker (Metal
decking and siding only).........$ 44.45 35.55
315
SHEE0104-014 07/01/2020
MARIN, NAPA, SOLANO, SONOMA AND TRINITY COUNTIES
Rates Fringes
SHEET METAL WORKER (Metal
Decking and Siding only).........$ 44.45 35.55
SHEE0104-019 07/01/2020
BUTTE, GLENN, LASSEN, MODOC, PLUMAS, SHASTA, SIERRA, SISKIYOU
AND TEHAMA COUNTIES
Rates Fringes
SHEET METAL WORKER
Mechanical Jobs $200,000 &
under.......................$ 35.16 35.88
Mechanical Jobs over
$200,000....................$ 46.60 40.21
* TEAM0094-001 07/01/2025
Rates Fringes
Truck drivers:
GROUP 1.....................$ 43.26 34.28
GROUP 2.....................$ 43.56 34.28
GROUP 3.....................$ 43.86 34.28
GROUP 4.....................$ 44.21 34.28
GROUP 5.....................$ 44.56 34.28
FOOTNOTES:
Articulated dump truck; Bulk cement spreader (with or without auger); Dumpcrete truck; Skid truck (debris box); Dry
pre-batch concrete mix trucks; Dumpster or similar type; Slurry truck: Use dump truck yardage rate.
Heater planer; Asphalt burner; Scarifier burner; Industrial lift truck (mechanical tailgate); Utility and clean-up
truck: Use appropriate rate for the power unit or the
equipment utilized.
TRUCK DRIVER CLASSIFICATIONS
GROUP 1: Dump trucks, under 6 yds.; Single unit flat rack (2- axle unit); Nipper truck (when flat rack truck is used
appropriate flat rack shall apply); Concrete pump truck 316
(when flat rack truck is used appropriate flat rack shall apply); Concrete pump machine; Fork lift and lift jitneys; Fuel and/or grease truck driver or fuel person; Snow buggy; Steam cleaning; Bus or personhaul driver; Escort or pilot car driver; Pickup truck; Teamster oiler/greaser and/or serviceperson; Hook tender (including loading and
unloading); Team driver; Tool room attendant (refineries) GROUP 2: Dump trucks, 6 yds. and under 8 yds.; Transit
mixers, through 10 yds.; Water trucks, under 7,000 gals.; Jetting trucks, under 7,000 gals.; Single-unit flat rack (3-axle unit); Highbed heavy duty transport; Scissor truck; Rubber-tired muck car (not self-loaded); Rubber-tired truck jumbo; Winch truck and ""A"" frame drivers; Combination winch truck with hoist; Road oil truck or bootperson;
Buggymobile; Ross, Hyster and similar straddle carriers; Small rubber-tired tractor
GROUP 3: Dump trucks, 8 yds. and including 24 yds.; Transit mixers, over 10 yds.; Water trucks, 7,000 gals. and over; Jetting trucks, 7,000 gals. and over; Vacuum trucks under 7500 gals. Trucks towing tilt bed or flat bed pull
trailers; Lowbed heavy duty transport; Heavy duty transport tiller person; Self- propelled street sweeper with
self-contained refuse bin; Boom truck - hydro-lift or
Swedish type extension or retracting crane; P.B. or similar type self-loading truck; Tire repairperson; Combination bootperson and road oiler; Dry distribution truck (A
bootperson when employed on such equipment, shall receive the rate specified for the classification of road oil
trucks or bootperson); Ammonia nitrate distributor, driver and mixer; Snow Go and/or plow
GROUP 4: Dump trucks, over 25 yds. and under 65 yds.; Water pulls - DW 10's, 20's, 21's and other similar equipment when pulling Aqua/pak or water tank trailers; Helicopter pilots (when transporting men and materials); Lowbedk Heavy Duty Transport up to including 7 axles; DW10's, 20's, 21's and other similar Cat type, Terra Cobra, LeTourneau Pulls, Tournorocker, Euclid and similar type equipment when
pulling fuel and/or grease tank trailers or other
miscellaneous trailers; Vacuum Trucks 7500 gals and over and truck repairman
GROUP 5: Dump trucks, 65 yds. and over; Holland hauler; Low bed Heavy Duty Transport over 7 axles
WELDERS - Receive rate prescribed for craft performing
operation to which welding is incidental.
317
================================================================ Note: Executive Order (EO) 13706, Establishing Paid Sick Leave for Federal Contractors applies to all contracts subject to the Davis-Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2017. If this contract is covered by the EO, the contractor must provide employees with 1 hour of paid sick leave for every 30 hours they work, up to 56 hours of paid sick leave each year.
Employees must be permitted to use paid sick leave for their own illness, injury or other health-related needs, including preventive care; to assist a family member (or person who is like family to the employee) who is ill, injured, or has other health-related needs, including preventive care; or for reasons resulting from, or to assist a family member (or person who is like family to the employee) who is a victim of, domestic violence, sexual assault, or stalking. Additional information on contractor requirements and worker protections under the EO is available at
https://www.dol.gov/agencies/whd/government-contracts.
Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (iii)).
The body of each wage determination lists the classifications and wage rates that have been found to be prevailing for the type(s) of construction and geographic area covered by the wage determination. The classifications are listed in alphabetical order under rate identifiers indicating whether the particular rate is a union rate (current union negotiated rate), a survey rate, a weighted union average rate, a state adopted rate, or a supplemental classification rate.
Union Rate Identifiers
A four-letter identifier beginning with characters other than ""SU"", ""UAVG"", ?SA?, or ?SC? denotes that a union rate was prevailing for that classification in the survey. Example:
PLUM0198-005 07/01/2024. PLUM is an identifier of the union whose collectively bargained rate prevailed in the survey for this classification, which in this example would be Plumbers. 0198 indicates the local union number or district council number where applicable, i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. The date, 07/01/2024 in the 318
example, is the effective date of the most current negotiated rate.
Union prevailing wage rates are updated to reflect all changes over time that are reported to WHD in the rates
in the collective bargaining agreement (CBA) governing the classification.
Union Average Rate Identifiers
The UAVG identifier indicates that no single rate prevailed for those classifications, but that 100% of the data reported for the classifications reflected union rates. EXAMPLE:
UAVG-OH-0010 01/01/2024. UAVG indicates that the rate is a weighted union average rate. OH indicates the State of Ohio.
The next number, 0010 in the example, is an internal number used in producing the wage determination. The date, 01/01/2024 in the example, indicates the date the wage determination was updated to reflect the most current union average rate.
A UAVG rate will be updated once a year, usually in January, to reflect a weighted average of the current rates in the
collective bargaining agreements on which the rate is based.
Survey Rate Identifiers
The ""SU"" identifier indicates that either a single non-union rate prevailed (as defined in 29 CFR 1.2) for this
classification in the survey or that the rate was derived by computing a weighted average rate based on all the rates reported in the survey for that classification. As a weighted average rate includes all rates reported in the survey, it may include both union and non-union rates. Example: SUFL2022-007 6/27/2024. SU indicates the rate is a single non-union
prevailing rate or a weighted average of survey data for that classification. FL indicates the State of Florida. 2022 is the year of the survey on which these classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination. The date, 6/27/2024 in the example, indicates the survey completion date for the classifications and rates under that identifier. ?SU? wage rates typically remain in effect until a new survey is conducted. However, the Wage and Hour Division (WHD) has the discretion to update such rates under 29 CFR 1.6(c)(1).
State Adopted Rate Identifiers
The ""SA"" identifier indicates that the classifications and prevailing wage rates set by a state (or local) government were adopted under 29 C.F.R 1.3(g)-(h). Example: SAME2023-007 319
01/03/2024. SA reflects that the rates are state adopted. ME refers to the State of Maine. 2023 is the year during which the state completed the survey on which the listed classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination.
The date, 01/03/2024 in the example, reflects the date on which the classifications and rates under the ?SA? identifier took effect under state law in the state from which the rates were adopted.
WAGE DETERMINATION APPEALS PROCESS
1) Has there been an initial decision in the matter? This can be:
a) a survey underlying a wage determination
b) an existing published wage determination
c) an initial WHD letter setting forth a position on
a wage determination matter
d) an initial conformance (additional classification
and rate) determination
On survey related matters, initial contact, including requests for summaries of surveys, should be directed to the WHD Branch of Wage Surveys. Requests can be submitted via email to [email protected] or by mail to:
Branch of Wage Surveys
Wage and Hour Division
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
Regarding any other wage determination matter such as
conformance decisions, requests for initial decisions should be directed to the WHD Branch of Construction Wage Determinations.
Requests can be submitted via email to [email protected] or by mail to:
Branch of Construction Wage Determinations
Wage and Hour Division
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
2) If an initial decision has been issued, then any interested party (those affected by the action) that disagrees with the decision can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). 320
Requests for review and reconsideration can be submitted via email to [email protected] or by mail to:
Wage and Hour Administrator
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
The request should be accompanied by a full statement of the interested party's position and any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue.
3) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to:
Administrative Review Board
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210.
================================================================ END OF GENERAL DECISION"
321
Swedish type extension or retracting crane; P.B. or similar type self-loading truck; Tire repairperson; Combination bootperson and road oiler; Dry distribution truck (A
bootperson when employed on such equipment, shall receive the rate specified for the classification of road oil
trucks or bootperson); Ammonia nitrate distributor, driver and mixer; Snow Go and/or plow
GROUP 4: Dump trucks, over 25 yds. and under 65 yds.; Water pulls - DW 10's, 20's, 21's and other similar equipment when pulling Aqua/pak or water tank trailers; Helicopter pilots (when transporting men and materials); Lowbedk Heavy Duty Transport up to including 7 axles; DW10's, 20's, 21's and other similar Cat type, Terra Cobra, LeTourneau Pulls, Tournorocker, Euclid and similar type equipment when
pulling fuel and/or grease tank trailers or other
miscellaneous trailers; Vacuum Trucks 7500 gals and over and truck repairman
GROUP 5: Dump trucks, 65 yds. and over; Holland hauler; Low bed Heavy Duty Transport over 7 axles
WELDERS - Receive rate prescribed for craft performing
operation to which welding is incidental.
================================================================ Note: Executive Order (EO) 13706, Establishing Paid Sick Leave for Federal Contractors applies to all contracts subject to the Davis-Bacon Act for which the contract is awarded (and any solicitation was issued) on or after January 1, 2017. If this contract is covered by the EO, the contractor must provide employees with 1 hour of paid sick leave for every 30 hours they work, up to 56 hours of paid sick leave each year.
Employees must be permitted to use paid sick leave for their own illness, injury or other health-related needs, including preventive care; to assist a family member (or person who is like family to the employee) who is ill, injured, or has other health-related needs, including preventive care; or for reasons resulting from, or to assist a family member (or person who is like family to the employee) who is a victim of, domestic violence, sexual assault, or stalking. Additional information on contractor requirements and worker protections under the EO is available at
https://www.dol.gov/agencies/whd/government-contracts.
322
Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (iii)).
The body of each wage determination lists the classifications and wage rates that have been found to be prevailing for the type(s) of construction and geographic area covered by the wage determination. The classifications are listed in alphabetical order under rate identifiers indicating whether the particular rate is a union rate (current union negotiated rate), a survey rate, a weighted union average rate, a state adopted rate, or a supplemental classification rate.
Union Rate Identifiers
A four-letter identifier beginning with characters other than ""SU"", ""UAVG"", ?SA?, or ?SC? denotes that a union rate was prevailing for that classification in the survey. Example:
PLUM0198-005 07/01/2024. PLUM is an identifier of the union whose collectively bargained rate prevailed in the survey for this classification, which in this example would be Plumbers. 0198 indicates the local union number or district council number where applicable, i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. The date, 07/01/2024 in the example, is the effective date of the most current negotiated rate.
Union prevailing wage rates are updated to reflect all changes over time that are reported to WHD in the rates
in the collective bargaining agreement (CBA) governing the classification.
Union Average Rate Identifiers
The UAVG identifier indicates that no single rate prevailed for those classifications, but that 100% of the data reported for the classifications reflected union rates. EXAMPLE:
UAVG-OH-0010 01/01/2024. UAVG indicates that the rate is a weighted union average rate. OH indicates the State of Ohio.
The next number, 0010 in the example, is an internal number used in producing the wage determination. The date, 01/01/2024 323
in the example, indicates the date the wage determination was updated to reflect the most current union average rate.
A UAVG rate will be updated once a year, usually in January, to reflect a weighted average of the current rates in the
collective bargaining agreements on which the rate is based.
Survey Rate Identifiers
The ""SU"" identifier indicates that either a single non-union rate prevailed (as defined in 29 CFR 1.2) for this
classification in the survey or that the rate was derived by computing a weighted average rate based on all the rates reported in the survey for that classification. As a weighted average rate includes all rates reported in the survey, it may include both union and non-union rates. Example: SUFL2022-007 6/27/2024. SU indicates the rate is a single non-union
prevailing rate or a weighted average of survey data for that classification. FL indicates the State of Florida. 2022 is the year of the survey on which these classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination. The date, 6/27/2024 in the example, indicates the survey completion date for the classifications and rates under that identifier. ?SU? wage rates typically remain in effect until a new survey is conducted. However, the Wage and Hour Division (WHD) has the discretion to update such rates under 29 CFR 1.6(c)(1).
State Adopted Rate Identifiers
The ""SA"" identifier indicates that the classifications and prevailing wage rates set by a state (or local) government were adopted under 29 C.F.R 1.3(g)-(h). Example: SAME2023-007 01/03/2024. SA reflects that the rates are state adopted. ME refers to the State of Maine. 2023 is the year during which the state completed the survey on which the listed classifications and rates are based. The next number, 007 in the example, is an internal number used in producing the wage determination.
The date, 01/03/2024 in the example, reflects the date on which the classifications and rates under the ?SA? identifier took effect under state law in the state from which the rates were adopted.
WAGE DETERMINATION APPEALS PROCESS
324
1) Has there been an initial decision in the matter? This can be:
a) a survey underlying a wage determination
b) an existing published wage determination
c) an initial WHD letter setting forth a position on
a wage determination matter
d) an initial conformance (additional classification
and rate) determination
On survey related matters, initial contact, including requests for summaries of surveys, should be directed to the WHD Branch of Wage Surveys. Requests can be submitted via email to [email protected] or by mail to:
Branch of Wage Surveys
Wage and Hour Division
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
Regarding any other wage determination matter such as
conformance decisions, requests for initial decisions should be directed to the WHD Branch of Construction Wage Determinations.
Requests can be submitted via email to [email protected] or by mail to:
Branch of Construction Wage Determinations
Wage and Hour Division
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
2) If an initial decision has been issued, then any interested party (those affected by the action) that disagrees with the decision can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7).
Requests for review and reconsideration can be submitted via email to [email protected] or by mail to:
Wage and Hour Administrator
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210
The request should be accompanied by a full statement of the 325
interested party's position and any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue.
3) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to:
Administrative Review Board
U.S. Department of Labor
200 Constitution Avenue, N.W.
Washington, DC 20210.
================================================================ END OF GENERAL DECISION"
326
01300
APPENDIX C1
Federal Labor Standards Provisions (HUD 4010)
HUD-4010 U.S. Department of Housing and Urban Development Federal Labor Standards Provisions
Office of Davis-Bacon and Labor Standards
A. APPLICABILITY
The Project or Program to which the construction work covered by this Contract pertains is being assisted by the United States of America, and the following Federal Labor Standards Provisions are included in this Contract pursuant to the provisions applicable to such Federal assistance.
Minimum wages and fringe benefits
i. All laborers and mechanics employed or working upon the site of the work (or otherwise working in construction or development of the project under a development statute), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of basic hourly wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. As provided in 29 CFR 5.5(d) and (e), the appropriate wage determinations are effective by operation of law even if they have not been attached to the contract. Contributions made or costs reasonably anticipated for bona fide fringe benefits under the DavisBacon Act (40 U.S.C. 3141(2)(B)) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (a)(1)(v) of these contract clauses; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics must be paid the appropriate wage rate and fringe benefits on the wage determination for the classification(s) of work actually performed, without regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, That the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classifications and wage rates conformed under 29 CFR 5.5(a)(1)(iii)) and the Davis-Bacon poster (WH-1321) must be posted at all times 327
01300
by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. ii.
Frequently recurring classifications
A. In addition to wage and fringe benefit rates that have been determined to be prevailing under the procedures set forth in 29 CFR part 1, a wage determination may contain, pursuant to § 1.3(f), wage and fringe benefit rates for classifications of laborers and mechanics for which conformance requests are regularly submitted pursuant to 29 CFR 5.5(a)(1)(iii), provided that:
1. The work performed by the classification is not performed by a classification in the wage determination for which a prevailing wage rate has been determined;
2. The classification is used in the area by the construction industry; and
3. The wage rate for the classification bears a reasonable relationship to the prevailing wage rates contained in the wage determination.
B. The Administrator will establish wage rates for such classifications in accordance with 29 CFR 5.5(a)(1)(iii)(A)(3). Work performed in such a classification must be paid at no less than the wage and fringe benefit rate listed on the wage determination for such classification.
Conformance
C. The contracting officer must require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the contract be classified in conformance with the wage determination. Conformance of an additional classification and wage rate and fringe benefits is appropriate only when the following criteria have been met:
1. The work to be performed by the classification requested is not performed by a classification in the wage determination; and
2. The classification is used in the area by the construction industry; and
3. The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.
D. The conformance process may not be used to split, subdivide, or otherwise avoid application of classifications listed in the wage determination.
E. If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken will be sent by the contracting officer by email to [email protected]. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer 328
01300
or will notify the contracting officer within the 30–day period that additional time is necessary.
F. In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer will, by email to [email protected], refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30–day period that additional time is necessary.
G. The contracting officer must promptly notify the contractor of the action taken by the Wage and Hour Division under 29 CFR 5.5 (a)(1)(iii)(C) and (D). The contractor must furnish a written copy of such determination to each affected worker or it must be posted as a part of the wage determination. The wage rate (including fringe benefits where appropriate) determined pursuant to 29 CFR 5.5 (a)(1)(iii)(C) or (D) must be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.
Fringe benefits not expressed as an hourly rate
Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor may either pay the benefit as stated in the wage determination or may pay another bona fide fringe benefit or an hourly cash equivalent thereof.
Unfunded plans
If the contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written request of the contractor, in accordance with the criteria set forth in 29 CFR 5.28, that the applicable standards of the Davis-Bacon Act have been met.
The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program. iii. Interest In the event of a failure to pay all or part of the wages required by the contract, the contractor will be required to pay interest on any underpayment of wages.
Withholding
iv.Withholding requirements
The U. S. Department of Housing and Urban Development may, upon its own action, or must, upon written request of an authorized representative of the 329
01300
Department of Labor, withhold or cause to be withheld from the contractor so much of the accrued payments or advances as may be considered necessary to satisfy the liabilities of the prime contractor or any subcontractor for the full amount of wages and monetary relief, including interest, required by the clauses set forth in 29 CFR 5.5(a) for violations of this contract, or to satisfy any such liabilities required by any other Federal contract, or federally assisted contract subject to Davis-Bacon labor standards, that is held by the same prime contractor (as defined in 29 CFR 5.2). The necessary funds may be withheld from the contractor under this contract, any other Federal contract with the same prime contractor, or any other federally assisted contract that is subject to Davis-Bacon labor standards requirements and is held by the same prime contractor, regardless of whether the other contract was awarded or assisted by the same agency, and such funds may be used to satisfy the contractor liability for which the funds were withheld. In the event of a contractor’s failure to pay any laborer or mechanic, including any apprentice or helper working on the site of the work (or otherwise working in construction or development of the project under a development statute) all or part of the wages required by the contract, or upon the contractor’s failure to submit the required records as discussed in 29 CFR 5.5(a)(3)(iv), HUD may on its own initiative and after written notice to the contractor, sponsor, applicant, owner, or other entity, as the case may be, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.
Priority to withheld funds
The Department has priority to funds withheld or to be withheld in accordance with 29 CFR 5.5(a)(2)(i) or (b)(3)(i), or both, over claims to those funds by:
A. A contractor’s surety(ies), including without limitation performance bond sureties and payment bond sureties;
B. A contracting agency for its reprocurement costs;
C. A trustee(s) (either a court-appointed trustee or a U.S. trustee, or both) in bankruptcy of a contractor, or a contractor’s bankruptcy estate; D. A contractor’s assignee(s);
E. A contractor’s successor(s); or
F. A claim asserted under the Prompt Payment Act, 31 U.S.C. 3901-3907.
Records and certified payrolls
v. Basic record requirements
A. Length of record retention. All regular payrolls and other basic records must be maintained by the contractor and any subcontractor during the course of the work and preserved for all laborers and mechanics working at the site of the work (or otherwise working in construction or development of the project under a 330
01300
development statute) for a period of at least 3 years after all the work on the prime contract is completed.
B. Information required Such records must contain the name; Social Security number; last known address, telephone number, and email address of each such worker; each worker’s correct classification(s) of work actually performed; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in 40 U.S.C. 3141(2)(B) of the Davis-Bacon Act); daily and weekly number of hours actually worked in total and on each covered contract; deductions made; and actual wages paid.
C. Additional records relating to fringe benefits. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(v) that the wages of any laborer or mechanic include the amount of anycosts reasonably anticipated in providing benefits under a plan or program described in 40
U.S.C. 3141(2)(B) of the Davis-Bacon Act, the contractor must maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits.
D. Additional records relating to apprenticeship Contractors with apprentices working under approved programs must maintain written evidence of the registration of apprenticeship programs, the registration of the apprentices, and the ratios and wage rates prescribed in the applicable programs.
Certified payroll requirements
E. Frequency and method of submission The contractor or subcontractor must submit weekly, for each week in which any DBA- or Related Acts-covered work is performed, certified payrolls to HUD if the agency is a party to the contract, but if the agency is not such a party, the contractor will submit the certified payrolls to the applicant, sponsor, owner, or other entity, as the case may be, that maintains such records, for transmission to HUD. The prime contractor is responsible for the submission of all certified payrolls by all subcontractors. A contracting agency or prime contractor may permit or require contractors to submit certified payrolls through an electronic system, as long as the electronic system requires a legally valid electronic signature; the system allows the contractor, the contracting agency, and the Department of Labor to access the certified payrolls upon request for at least 3 years after the work on the prime contract has been completed; and the contracting agency or prime contractor permits other methods of submission in situations where the contractor is unable or limited in its ability to use or access the electronic system F. Information required The certified payrolls submitted must set out accurately and completely all of the information required to be maintained under 29 CFR 331
01300
5.5(a)(3)(i)(B), except that full Social Security numbers and last known addresses, telephone numbers, and email addresses must not be included on weekly transmittals. Instead, the certified payrolls need only include an individually identifying number for each worker (e.g., the last four digits of the worker’s Social Security number). The required weekly certified payroll information may be submitted using Optional Form WH-347 or in any other format desired.
Optional Form WH-347 is available for this purpose from the Wage and Hour Division Web site at https://www.dol.gov/
sites/dolgov/files/WHD/legacy/files/wh347.pdf or its successor website. It is not a violation of this section for a prime contractor to require a subcontractor to provide full Social Security numbers and last known addresses, telephone numbers, and email addresses to the prime contractor for its own records, without weekly submission by the subcontractor to the sponsoring government agency (or the applicant, sponsor, owner, or other entity, as the case may be, that maintains such records).
G. Statement of Compliance Each certified payroll submitted must be accompanied by a “Statement of Compliance,” signed by the contractor or subcontractor, or the contractor’s or subcontractor’s agent who pays or supervises the payment of the persons working on the contract, and must certify the following:
1. That the certified payroll for the payroll period contains the information required to be provided under 29 CFR 5.5(a)(3)(ii), the appropriate information and basic records are being maintained under 29 CFR 5.5 (a)(3)(i), and such information and records are correct and complete;
2. That each laborer or mechanic (including each helper and apprentice) working on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in 29 CFR part 3; and
3. That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification(s) of work actually performed, as specified in the applicable wage determination incorporated into the contract.
H. Use of Optional Form WH-347 The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 will satisfy the requirement for submission of the “Statement of Compliance” required by 29 CFR 5.5(a)(3)(ii)(C).
I. Signature The signature by the contractor, subcontractor, or the contractor’s or subcontractor’s agent must be an original handwritten signature or a legally valid electronic signature.
J. Falsification The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 3729.
K. Length of certified payroll retention The contractor or subcontractor must 332
01300
preserve all certified payrolls during the course of the work and for a period of 3 years after all the work on the prime contract is completed. vi. Contracts, subcontracts, and related documents The contractor or subcontractor must maintain this contract or subcontract and related documents including, without limitation, bids, proposals, amendments, modifications, and extensions. The contractor or subcontractor must preserve these contracts, subcontracts, and related documents during the course of the work and for a period of 3 years after all the work on the prime contract is completed.
Required disclosures and access
A. Required record disclosures and access to workers The contractor or subcontractor must make the records required under 29 CFR 5.5(a)(3)(i)–(iii), and any other documents that HUD or the Department of Labor deems necessary to determine compliance with the labor standards provisions of any of the applicable statutes referenced by 29 CFR 5.1, available for inspection, copying, or transcription by authorized representatives of HUD or the Department of Labor, and must permit such representatives to interview workers during working hours on the job.
B. Sanctions for non-compliance with records and worker access requirements If the contractor or subcontractor fails to submit the required records or to make them available, or refuses to permit worker interviews during working hours on the job, the Federal agency may, after written notice to the contractor, sponsor, applicant, owner, or other entity, as the case may be, that maintains such records or that employs such workers, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds.
Furthermore, failure to submit the required records upon request or to make such records available, or to permit worker interviews during working hours on the job, may be grounds for debarment action pursuant to 29 CFR 5.12. In addition, any contractor or other person that fails to submit the required records or make those records available to WHD within the time WHD requests that the records be produced will be precluded from introducing as evidence in an administrative proceeding under 29 CFR part 6 any of the required records that were not provided or made available to WHD. WHD will take into consideration a reasonable request from the contractor or person for an extension of the time for submission of records. WHD will determine the reasonableness of the request and may consider, among other things, the location of the records and the volume of production.
C. Required information disclosures Contractors and subcontractors must maintain the full Social Security number and last known address, telephone number, and email address of each covered worker, and must provide them upon request to HUD if the agency is a party to the contract, or to the Wage and Hour Division of the Department of Labor. If the Federal agency is not such a party to the contract, the contractor, subcontractor, or both, must, upon request, provide the full Social Security number and last known address, telephone number, and email address of each covered worker to the applicant, 333
01300
sponsor, owner, or other entity, as the case may be, that maintains such records, for transmission to HUD, the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or other compliance action.
Apprentices and equal employment opportunity
vii. Apprentices
A. Rate of pay Apprentices will be permitted to work at less than the predetermined rate for the work they perform when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship (OA), or with a State Apprenticeship Agency recognized by the OA. A person who is not individually registered in the program, but who has been certified by the OA or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice, will be permitted to work at less than the predetermined rate for the work they perform in the first 90 days of probationary employment as an apprentice in such a program. In the event the OA or a State Apprenticeship Agency recognized by the OA withdraws approval of an apprenticeship program, the contractor will no longer be permitted to use apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.
B. Fringe benefits Apprentices must be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringe benefits must be paid in accordance with that determination.
C. Apprenticeship ratio The allowable ratio of apprentices to journeyworkers on the job site in any craft classification must not be greater than the ratio permitted to the contractor as to the entire work force under the registered program or the ratio applicable to the locality of the project pursuant to 29 CFR
5.5(a)(4)(i)(D). Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated in 29 CFR 5.5(a)(4)(i)(A), must be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under this section must be paid not less than the applicable wage rate on the wage determination for the work actually performed.
D. Reciprocity of ratios and wage rates Where a contractor is performing construction on a project in a locality other than the locality in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyworker’s hourly rate) applicable within the locality in which the 334
01300
construction is being performed must be observed. If there is no applicable ratio or wage rate for the locality of the project, the ratio and wage rate specified in the contractor’s registered program must be observed.
ii Equal employment opportunity The use of apprentices and journeyworkers under this part must be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR part 30. 5 Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. 6 Subcontracts. The contractor or subcontractor must insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (11), along with the applicable wage determination(s) and such other clauses or contract modifications as the U.S. Department of Housing and Urban Development may by appropriate instructions require, and a clause requiring the subcontractors to include these clauses and wage determination(s) in any lower tier subcontracts. The prime contractor is responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in this section.
In the event of any violations of these clauses, the prime contractor and any subcontractor(s) responsible will be liable for any unpaid wages and monetary relief, including interest from the date of the underpayment or loss, due to any workers of lower-tier subcontractors, and may be subject to debarment, as appropriate. 7 Contract termination: debarment. A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
8 Compliance with Davis-Bacon and Related Act requirements. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract.
9 Disputes concerning labor standards. Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.
Certification of eligibility.
i. By entering into this contract, the contractor certifies that neither it nor any person or firm who has an interest in the contractor’s firm is a person or firm ineligible to be awarded Government contracts by virtue of 40 U.S.C. 3144(b) or 29 CFR 5.12(a). ii. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of 40 U.S.C. 3144(b) or 29 CFR
5.12(a).
iii. The penalty for making false statements is prescribed in the U.S. Code, Title 18 335
01300
Crimes and Criminal Procedure, 18 U.S.C. 1001.
11 Anti-retaliation It is unlawful for any person to discharge, demote, intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, or to cause any person to discharge, demote, intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, any worker or job applicant for:
i. Notifying any contractor of any conduct which the worker reasonably believes constitutes a violation of the DBA, Related Acts, or 29 CFR parts 1, 3, or 5; ii. Filing any complaint, initiating or causing to be initiated any proceeding, or otherwise asserting or seeking to assert on behalf of themselves or others any right or protection under the DBA, Related Acts, or 29 CFR parts 1, 3, or 5; iii. Cooperating in any investigation or other compliance action, or testifying in any proceeding under the DBA, Related Acts, or 29 CFR parts 1, 3, or 5; or iv. Informing any other person about their rights under the DBA, Related Acts, or 29 CFR parts 1, 3, or 5.
Contract Work Hours and Safety Standards Act (CWHSSA)
The Agency Head must cause or require the contracting officer to insert the following clauses set forth in 29 CFR 5.5(b)(1), (2), (3), (4), and (5) in full, or (for contracts covered by the Federal Acquisition Regulation) by reference, in any contract in an amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses must be inserted in addition to the clauses required by 29 CFR 5.5(a) or 4.6. As used in this paragraph, the terms “laborers and mechanics” include watchpersons and guards.
2. Overtime requirements. No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.
3. Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in 29 CFR 5.5(b)(1) the contractor and any subcontractor responsible therefor shall be liable for the unpaid wages and interest from the date of the underpayment. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchpersons and guards, employed in violation of the clause set forth in 29 CFR 5.5(b)(1), in the sum of $31 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages 336
01300
required by the clause set forth in 29 CFR 5.5(b)(1).
Withholding for unpaid wages and liquidated damages
i. Withholding process The U.S Department of Housing and Urban Development or the recipient of Federal assistance may, upon its own action, or must, upon written request of an authorized representative of the Department of Labor, withhold or cause to be withheld from the contractor so much of the accrued payments or advances as may be considered necessary to satisfy the liabilities of the prime contractor or any subcontractor for any unpaid wages; monetary relief, including interest; and liquidated damages required by the clauses set forth in 29 CFR 5.5(b) on this contract, any other Federal contract with the same prime contractor, or any other federally assisted contract subject to the Contract Work Hours and Safety Standards Act that is held by the same prime contractor (as defined in 29 CFR 5.2).
The necessary funds may be withheld from the contractor under this contract, any other Federal contract with the same prime contractor, or any other federally assisted contract that is subject to the Contract Work Hours and Safety Standards Act and is held by the same prime contractor, regardless of whether the other contract was awarded or assisted by the same agency, and such funds may be used to satisfy the contractor liability for which the funds were withheld. ii Priority to withheld funds The Department has priority to funds withheld or to be withheld in accordance with 29 CFR 5.5(a)(2)(i) or (b)(3)(i), or both, over claims to those funds by:
A. A contractor’s surety(ies), including without limitation performance bond sureties and payment bond sureties;
B. A contracting agency for its reprocurement costs;
C. A trustee(s) (either a court-appointed trustee or a U.S. trustee, or both) in bankruptcy of a contractor, or a contractor’s bankruptcy estate; D. A contractor’s assignee(s);
E. A contractor’s successor(s); or
F. A claim asserted under the Prompt Payment Act, 31 U.S.C. 3901-3907.
4. Subcontracts. The contractor or subcontractor must insert in any subcontracts the clauses set forth in 29 CFR 5.5(b)(1) through (5) and a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor is responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in 29 CFR 5.5(b)(1) through (5). In the event of any violations of these clauses, the prime contractor and any subcontractor(s) responsible will be liable for any unpaid wages and monetary relief, including interest from the date of the underpayment or loss, due to any workers of lower-tier subcontractors, and associated liquidated damages and may be subject to debarment, as appropriate.
5 Anti-retaliation It is unlawful for any person to discharge, demote, intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, or to cause any person to discharge, demote, 337
01300
intimidate, threaten, restrain, coerce, blacklist, harass, or in any other manner discriminate against, any worker or job applicant for:
i. Notifying any contractor of any conduct which the worker reasonably believes constitutes a violation of the Contract Work Hours and Safety Standards Act (CWHSSA) or its implementing regulations in 29 CFR part 5; ii. Filing any complaint, initiating or causing to be initiated any proceeding, or otherwise asserting or seeking to assert on behalf of themselves or others any right or protection under CWHSSA or 29 CFR part 5;
iii. Cooperating in any investigation or other compliance action, or testifying in any proceeding under CWHSSA or 29 CFR part 5; or
iv. Informing any other person about their rights under CWHSSA or 29 CFR part 5.
B. CWHSSA required records clause In addition to the clauses contained in 29 CFR 5.5(b), in any contract subject only to the Contract Work Hours and Safety Standards Act and not to any of the other laws referenced by 29 CFR 5.1, the Agency Head must cause or require the contracting officer to insert a clause requiring that the contractor or subcontractor must maintain regular payrolls and other basic records during the course of the work and must preserve them for a period of 3 years after all the work on the prime contract is completed for all laborers and mechanics, including guards and watchpersons, working on the contract. Such records must contain the name; last known address, telephone number, and email address; and social security number of each such worker; each worker’s correct classification(s) of work actually performed; hourly rates of wages paid; daily and weekly number of hours actually worked; deductions made and actual wages paid. Further, the Agency Head must cause or require the contracting officer to insert in any such contract a clause providing that the records to be maintained under this paragraph must be made available by the contractor or subcontractor for inspection, copying, or transcription by authorized representatives of the (write the name of agency) and the Department of Labor, and the contractor or subcontractor will permit such representatives to interview workers during working hours on the job.
C. Incorporation of contract clauses and wage determinations by reference Although agencies are required to insert the contract clauses set forth in this section, along with appropriate wage determinations, in full into covered contracts, and contractors and subcontractors are required to insert them in any lower-tier subcontracts, the incorporation by reference of the required contract clauses and appropriate wage determinations will be given the same force and effect as if they were inserted in full text.
D. Incorporation by operation of law The contract clauses set forth in this section (or their equivalent under the Federal Acquisition Regulation), along with the correct wage determinations, will be considered to be a part of every prime contract required by the applicable statutes referenced by 29 CFR 5.1 to include such clauses, and will be effective by operation of law, whether or not they are included or incorporated by reference into such contract, unless the Administrator grants a variance, tolerance, or exemption from the application of this paragraph. Where the clauses and applicable wage determinations are effective by operation of law under this paragraph, the prime contractor must be compensated for any resulting increase in wages in accordance with applicable law. 338
01300
HEALTH AND SAFETY
The provisions of this paragraph (F) are applicable where the amount of the prime contract exceeds $100,000.
1. No laborer or mechanic shall be required to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his or her health and safety, as determined under construction safety and health standards promulgated by the Secretary of Labor by regulation.
2. The contractor shall comply with all regulations issued by the Secretary of Labor pursuant to 29 CFR Part 1926 and failure to comply may result in imposition of sanctions pursuant to the Contract Work Hours and Safety Standards Act, (Public Law 91-54, 83 Stat 96), 40 U.S.C. § 3701 et seq.
3. The contractor shall include the provisions of this paragraph in every subcontract, so that such provisions will be binding on each subcontractor. The contractor shall take such action with respect to any subcontractor as the Secretary of Housing and Urban Development or the Secretary of Labor shall direct as a means of enforcing such provisions.
339
01300
APPENDIX C2
GUIDELINES FOR MINORITY-OWNED AND WOMEN-OWNED
BUSINESS ENTERPRISES (MBE/WBE)
Section 281 of the National Affordable Housing Act requires each grantee, contractor, developer, and/or subrecipient to make good faith efforts and take affirmative steps to see that Minority and Women Business Enterprises (MBE/WBE) are provided contracting opportunities as a result of federal funding (e.g., CDBG, HOME, HOME-ARP).
To demonstrate compliance, the grantee, contractor, developer, and/or subrecipient must report all sub grant and procurement awards in excess of $10,000 for supplies, equipment, construction or services through Form HUD-2516.
Definitions:
x Women-Owned Business Enterprise (WBE): Primarily owned (51%) by one or more females. x Minority-Owned Business Enterprise (MBE): Business primarily (51%) owned, operated and controlled by one or more members of the following race/ethnicity: Pacific Islander, American Native, African American/Black, American Indian/Alaskan Native, Hawaiian/Pacific Islander, Asian, or Hispanic.
x Developer/Contractor/Sub-recipient: The entity that enters into a contract with the City or an agency that is receiving federal funds from the City to carrying out a service, or a project. x Subcontractor: Any entity which has agreed to undertake a portion of a contract in which federal funds are used.
x Good Faith Effort: Comprehensive and continuing effort. x Affirmative Steps: Examples of Affirmative Steps include, but are not limited to:
o When feasible, structure solicitations so that the total requirements are divided into subsets of smaller tasks or quantities for the purpose of retaining multiple firms or facilitating subcontracting opportunities for MBE/WBEs. o Use the services of the Small Business Administration. o Use the California Supplier Clearinghouse to find certified MBE/WBE businesses.
Required Outreach Criteria:
x When grantee, contractor, developer, and/or subrecipient are soliciting bids, they will include in any notice to local newspaper that “Women and Minority Owned Businesses are strongly encouraged to apply.”
x Grantee, contractor, developer, and/or subrecipient, when feasible, are strongly encouraged to consider posting in Spanish and Vietnamese newspapers. x Use Affirmative Steps when soliciting subcontracting opportunities.
340
01300
MINORITY / FEMALE BUSINESS ENTERPRISE (MBE/WBE)
VOLUNTARY SELF-CERFIFICATION
A MINORITY /FEMALE OWNED BUSINESS IS ONE IN WHICH AT LEAST FIFTY ONE PERCENT (51%) OF THE FIRM IS OWNED BY MINORITIES OR FEMALES.
Please mark all boxes that apply:
A. MINORITY OWNED BUSINESS
American Indian or Alaska Native: A person having origins in any of the original peoples of North and South America (including Central America), and who maintains tribal affiliation or community attachment.
Asian: A person having origins in any of the original peoples of the Far East or Southeast Asia.
Asian-Indian: A person whose origins are from India, Pakistan or Bangladesh.
Black or African American: A person having origins in any of the black racial groups of Africa. Terms such as “Haitian” or “Negro” can be used in addition to “Black or African American”.
Native Hawaiian or Other Pacific Islander: A person having origins in any of the original peoples of Hawaii, Guam, Samoa or other Pacific Islands.
Hispanic: A person of Cuban, Mexican, Puerto Rican, South or Central American, or other Spanish culture or origin, regardless of race.
Other: A group of natural persons identified as minorities.
B. FEMALE OWNED BUSINESS
Female Owned Business
C. COMPANY/BUSINESS IS NEITHER MINORITY NOR FEMALE OWNED.
My Company/Business is neither minority or female owned.
Company/Business
Company/Business Address/City/Zip
I certify the above information is accurate.
_________________________________ ________________________________ Print Name Owner Signature /Date
341
01300
EXHIBIT B
TRPA CONSTRUCTION PERMIT
342
343
5/22/25
344
345
346
347
01300
EXHIBIT C
QUALITY ASSURANCE PLAN
348
Quality Assurance Plan – November 2021
City of South Lake Tahoe
QUALITY ASSURANCE PROGRAM
FOR
PROJECTS FUNDED BY
THE FEDERAL HIGHWAY ADMINISTRATION (FHWA)
Public Works Department
'HFHPEHU, 2021
349
Quality Assurance Plan – November 2021
City of South Lake Tahoe
Pageϭ
QUALITY ASSURANCE PROGRAM (QAP)
AGENCY: City of South Lake Tahoe (City)
The purpose of this program is to provide assurance that the materials incorporated into the construction projects are in conformance with the contract specifications. This program should be updated every five years or more frequent if there are changes of the testing frequencies or to the tests themselves. To accomplish this purpose, the following terms and definitions will be used:
DEFINITION OFTERMS
• Acceptance Testing (AT)Ͳ Sampling and testing, or inspection, to determine the degree of compliance with contract requirements.
• Independent Assurance Program (IAP) ͲVerification that AT is being performed correctly by qualified testers and laboratories.
• Quality Assurance Program (QAP)ͲA samplingand testing program that will provide assurancethat the materials and workmanship incorporatedinto the constructionproject are in conformance with the contract specifications. The main elements of the QAP are the AT, and IAP.
• Source Inspection ͲAT of manufactured and prefabricated materials at locations other than the job site, generally at the manufacturing location.
MATERIALS LABORATORY
The City will use a private consultant materials laboratory to perform AT on FederalͲaid and other designated projects. The materials laboratory shall be under the responsible management of a California registered Engineer with experience in sampling, inspection and testing of construction materials. The Engineer shall certify the results of all tests performed by laboratory personnel under the Engineer's supervision.The materials laboratory shall contain certified test equipment capable of performing the tests conforming to the provisions of this QAP.
The materials laboratory used shall provide documentation that the laboratory complies with the following procedures:
1 . Correlation Testing ProgramͲThe materials laboratory shall be a participant in one or more of the following testing programs:
a. AASHTO Materials Reference Laboratory (AMRL)
b. Cement and Concrete Reference Laboratory (CCRL)
c. Caltrans' Reference Samples Program (RSP)
2. Certification of PersonnelͲThe materials laboratory shall employ personnel who are certified by one or more of the following:
a. Caltrans District Materials Engineer
b. Nationally recognized nonͲCaltrans organizations such as the American Concrete 350
Quality Assurance Plan – November 2021
City of South Lake Tahoe
PageϮ
Institute, Asphalt, National Institute of Certification of Engineering Technologies, etc.
c. Other recognized organizations approved by the State of California and/or recognized by local governments or private associations.
3. Laboratoryand Testing EquipmentͲThe materials laboratory shall only use laboratory and testing equipmentthat is in good working order. All such equipment shall be calibrated at least once each year. All testing equipment must be calibrated by impartial means using devices of accuracy traceable to the National Institute of Standards and Technology.A decal shall be firmly affixed to each piece of equipment showing the date of the last calibration. All testing equipment calibration decals shall be checked as part of the IAP.
ACCEPTANCE TESTING (AT)
AT will be performed by a materials laboratory certified to perform the required tests. The tests results will be used to ensure that all materials incorporated into the project are in compliance with the contract specifications.
Testing methods will be in accordance with the CT Methods or a national recognized standard (i.e., AASHTO, ASTM, etc.) as specified in the contract specifications.
Sample locations and frequencies may be in accordance with the contract specifications.If not so specified in the contract specifications, samples shall be taken at the locations and frequencies as shown in Attachment #I (Appendix D, "Acceptance Sampling and Testing Frequencies" of the QAP Manual).
INDEPENDENT ASSURANCE PROGRAM IAP)
IAP shall be provided by personnel from Caltrans, the Agency's certified materials laboratory, or consultant's certified materials laboratory.IAP will be used to verify that sampling and testing procedures are being performed properly and that all testing equipment is in good condition and properly calibrated.
IAP personnel shall be certified in all required testing procedures, as part of IAP, and shall not be involved in any aspect of AT.
IAP shall be performed on every type of materials test required for the project.Proficiency tests shall be performed on Sieve Analysis, Sand Equivalent, and Cleanness Value tests. All other types of IAP shall be witness tests.
Poor correlation between acceptance tester's results and other test results may indicate probable deficiencies with the acceptance sampling and testing procedures. In cases of unresolved discrepancies, a complete review of AT shall be performed by IAP personnel, or an independent materials laboratory chosen by the Agency. IAP samples and tests are not to be used for determining compliance with contract requirements.Compliance with contract requirements is 351
Quality Assurance Plan – November 2021
City of South Lake Tahoe
Pageϯ
determined only by AT.
REPORTING ACCEPTANCE TESTING RESULTS
The following are time periods for reporting material test results to the Resident Engineer:
• When the aggregate is sampled at material plants, test results for Sieve Analysis, Sand Equivalent and Cleanness Value should be submitted to the Resident Engineer within 24 hours after sampling.
• When materials are sampled at the job site, test results for compaction and maximum density should be submitted to the Resident Engineer within 24 hours after sampling. • When soils and aggregates are sampled at the job site:
1) Test results for Sieve Analysis, Sand Equivalent and Cleanness Value should be submitted to the Resident Engineer within 72 hours after sampling. 2) Test results for "R" Value and asphalt concrete extraction should be submitted to the Resident Engineer within 96 hours after sampling.
When sampling products such as Portland Cement Concrete (PCC), cementͲtreated base (CTB), hot mix asphalt (HMA), and other such materials; the time of such sampling shall be varied with respect to the time of the day insofar as possible, in order to avoid a predictable sampling routine. The reporting of AT results, if not performed by the Resident Engineer's staff, shall be done on an expedited basis such as by fax or telephone.
TESTING OF MANUFACTURED MATERIALS
During the Design phase of the project, the Project Engineer may submit a "Source Inspection Request" see Attachment#2 (Exhibit 16ͲV of the LAPM) to the Agency, consultant, or Caltrans for inspection and testing of manufactured and prefabricated materials by their materials laboratory.
A list of materials that can be typically accepted on the basis of certificates of compliance during construction is found in Attachment #3 (Appendix F of the QAP Manual). All certificates of compliance shall conform to the requirements of the contract specifications, for examples see Attachment #4 (Appendix J of the QAP Manual).
Should the Agency request Caltrans to conduct the source inspection, and the request is accepted, all sampling, testing, and acceptance of manufactured and prefabricated materials will be performed by Caltrans' Office of Materials Engineering and Testing Services.
For FederalͲaid projects on the National Highway System (NHS), Caltrans will assist in certifying the materials laboratory, and the acceptance samplers and testers. For FederalͲaid projects off the NHS, Caltrans may be able to assist in certifying the materials laboratory, and the acceptance samplers and testers.
PROJECT CERTIFICATION
Upon completion of a FederalͲaid project, a "Materials Certificate" shall be completed by the Resident Engineer. The Agency shall include a "Materials Certificate" in the Report of Expenditures 352
Quality Assurance Plan – November 2021
City of South Lake Tahoe
WĂŐĞϰ
submitted to the Caltrans District Director, Attention: District Local Assistance Engineer.A copy of the "Materials Certificate" shall also be included in the Agency's construction records. The Resident Engineer in charge of the construction function for the Agency shall sign the certificate. All materials incorporated into the work which did not conform to specifications must be explained and justified on the "Materials Certification," including changes by virtue of contract change orders.
See Attachment # 5 for an example (Appendix K of the QAP Manual).
RECORDS
All material records of samples and tests, material releases and certificates of compliance for the construction project shall be incorporated into the Resident Engineer's project file. If a FederalͲaid project:
• The files shall be organized as described in Section 16.8 "Project Files" of the Local Assistance Procedures Manual.
• It is recommended that the complete project file be available at a single location for inspection by Caltrans and Federal Highway Administration (FHWA) personnel. • The project files shall be available for at least three years following the date of final project voucher.
• The use of a "Log Summary," as shown in Appendix H of the QAP Manual, facilitates reviews of material sampling and testing by Caltrans and FHWA, and assists the Resident Engineer in tracking the frequency of testing.
When two or more projects are being furnished identical materials simultaneously from the same plant, it is not necessary to take separate samples or perform separate tests for each project; however, copies of the test reports are to be provided for each of the projects to complete the records.
Attachments: 1 – Appendix D, “Acceptance Sampling and Testing Frequencies” 2 – Exhibit 16ͲV, “Sample Cover Memo Source Inspection Request Form” 3 – Appendix F of the QAP Manual, “Construction Materials Accepted by Certificate ofCompliance” 4 – Appendix J of the QAP Manual, “Example of Vender’s Certificate of Compliance” 5 – Appendix K of the QAP Manual, “Materials Certifications/Exceptions" APPROVED BY: 42681 March 31, 2022
(Signature) CE# and Expiration Date
NAME: Anush Nejad DATE: 11/03/2021
TITLE: Director of Public Works City of South Lake Tahoe 353
Quality Assurance Plan – November 2021
City of South Lake Tahoe
Attachment 1
Appendix D of QAP Manual
Acceptance Sampling and Testing Frequencies
354
!"#$%!&#
'&(
"#%#
%$&#)
*+%%(",#$(
-.(!'%*%
"&%")
/0
1
234
1
5
6
07
0
8
9
44
6
:0
0010
;
(<*& #=
2
045
>?&!)#
'&
*'##$!&,@&#(#
'&'%A!,B($*
=
%$&$#..'"!#"(;%$*$.*
;
'&$(.)
CDEF
GHI,
;JKJ
;
ELMI
C
CDN
E
O
ELMH,
F>I,FMKI
D("%"*%#
'&$(-= "%P&$..
(%
*& #=)
;
(
Q
R45
>?&!)#
'&
*='%"P.$#..'"!#"(;%$*$.
*;
'&$(.,#$(-$#(%SP$%")
*='%"P.
$#(..'"P#$(-;%$*$.*;
'&$(.,#&#(.'%A!)
CDEF
;LTK
;
EILI
C
CDN
E
O
ELTU
*#$(-''%#+%%(",*!%$.#$V
M?$()
%%.P!#P#$(-=W%&("Q%
= "%P&$..
(X)E#*%.
'%##$B
#%(-=) /0
1
10
234
1
10
5
6
07
0
8
9
44
6
:0
0010
C--%-*%N "%P?
&$.;
(;(.%
2
Y
5
IT?&!)#
'&E@(--%-#
'&*%.=LTTT.P) ")*
W
;
;<N
;
;.(.%)E#&#(#
'&'%
A!)
CDEF
GHI
;
ELMI
C
CDN
E
OFU,
EM,
F>T
D
'&--%-*%
!&%=''%
Q%("
!#$#X) Z%
2
Y
5
E@+?SP%#
'&
P#$(-.&('&#$.AP-
Q+$=&$($(-X("#&"&$")D
'&='$(*P#)
*=+ %$#.&(+$=(%.%"*.=&%$"#%
#P&*#-%%=(L[,(#$(-$#%SP$%")
*
=+%$#"$% "(P#$)E#(& +=(=.=&%$"%#P&*#%#P#'."!-%%=(L[) ;
EJTI,;
E
JMM,
;
EJLH
C
CDN
E
O\M]
*#$(-''%#+%%(",#*%.=&%$"#("#P&*#) G$B$#$(*^.&C##$#(.,O**$.*W%."P%#GB&' (("E%$($(-
_P&$ C##P%(.W%-%
Q_CWXF(P&*%`#! ^.&C-(.$#\B$#"a(P% MT,MTLL MM
355
!"
#$#$%%
&''()*+,-./0)1+)2(*3
405167)*8(9()180)/5(1(.:;*5726+/8(9()180)/5(1(3<80)1+)2(* =71(5+76>10?(
@79'6(*05
A(>1(*
@79'6(@+B(@79'6+)CDA(>1+)CE5(F2()/;A;'+/76A(>1
=(1G0*>
-(>/5+'1+0)0H8099()1>
I
J
.@79'6+)CK
A(>1+)C3
L
MN
NOPQ
L
#OR
O
O
PS
T
T
NO
L
U O
S
LQST
IV
O
V
T#WW
VX
%RY
%RZT#[$
P
Q
S
JQS
S
S
%\S
O
]
!
V
!
.@79'6+)CK
A(>1+)C3
P
N
L
%MNO
OPQ
L
#OR
O
O
PS
T
T
NPO
U O
S
S
LQST
IV
O
V
TY^Y
VX
%^Y
P
Q
S
O
J
QS
S
S
%\S
O
_S
M
J
T
.@79'6+)C3
JO%R$
O
%
OO
J
S
O
]S
N
L
SR$$%$$$
OO
TT`XTTO
V
T%Z#
T[aR
TRW^
VX%Y%
%RZ
S
S
S
MJ
O
_S
M
J
T
.A(>1+)C3
JO%R$
`
%
O
O
J
S
O
U
QSR$$
OO
U O
V
T%YW
VX%%^
SS
S
S
MJ
O
_S
M
J
T
.A(>1+)C3
JO%R$
`
%
O
O
J
S
U
QSR$$
OO
U O
V
TW[$
TRWW
SS
SS
MJ
O
_S
M
J
T
.A(>1+)C3
JO%R$
`
%
O
O
J
S
U
QSR$$
OO
U O
V
T#W%
TR$Y
VX%R#
SS
S
MJ
S
O
_S
M
J
T
.A(>1+)C3
JO%R$
`
%
O
O
J
S
U
QSR$$
OO
U O
V
T%Wa
TR%a
VX%#%
SSQS
S
J
O
#W
356
!"
#$#$%%
#&
'
(
(
)
*
+,-./0
1 *2,*
3 )
+4
516278*
+9):)
*291*06)2)/;<
+6837,09):)
*291*06)2)4=91*2,*
3)+
>82)6,87?21@)
A8:(7)+16
B)?2)+
A8:(7)AC,)A8:(7,*DEB)?2,*DF6)G
3)*0<B
<
(,087B)?2
>)2H1+?
.)?06,(2,1*1691::)
*2?
IJ
K
L
M
B)?2,*D4
LN%O$
P
%
NN
L
J
I
Q
R
N
J
JO$$%$$$
N
N
N
S
MTU
M
O#%
SV
##
J
WXL%#X
NM
J
Q
J
N
IJ
K
L
M
B)?2,*D4
L
#%$
N
J
N
O$$%$$$
N
N
N
S
MYZ
M
T%
SV
UY[
#T
J
J
L
J
JK
A1,7?8*
+'DD6)D82)?
>82)6,87?21@)
A8:(7)+16
B)?2)+
A8:(7)A,C)A8:(7,*DEB)?2,*DF6)G
3 *)0<B
<
(,087B)?2
>)2H1+?
.)?06,(2,1*1691::)
*2?
S
O$K
N
\
O$$%$$$
N
R
N
S
YO
M
%#O
SV
#
J
J
J
J
N
I
/B)?2,*D4
O$K
N
\
O$$%$$$
N
R
N
S
M%#Z
M
#$Z
SV
Z&
J
J
L
N
I
/B)?2,*D4
O$K
N
\
O$$%$$$
N
R
N
S
M%#Z
M
#$Y
SV
Z&
J
J
\
SS
J
J]N
&N
M
/B)?2,*D4
O$K
N
\
O$$%$$$
N
R
N
M
#$W
J
J
N
357
!"#$
%
&
'
($)*+
,,-
,+%
*./$
%
&
0+%
-+)*%$1
(+2)
$-
3 *%
(+2)
(4
(+2)
,53
*%
,6-
7&
#838#+)3
*%
0 %9$
*
!
*#-%$
$-/$22
%*
:
;
"3
*%
,'
<=;
>?
@
A<==B===
?
C
?
DE:BFG
:FFG
DHI<
JJ
A
>
K
JL?
MN?
D
"3
*%
,'
<=;
>?
@
A<==B===
?
C
?
DE:BOP
:F=F
DHFG
JJ
>A
A?
D
"3
*%
,'
<=;
>?
@
A<==B===
?
C
?
DEFMBQ
:FBG
DHBGP
JJD
RS
;
?
D
3"
*%
,'
<=;
>?
@
A<==B===
?
C
?
DE:BBG
DHBB
JJ
J
JL?F==
K>AT
JJN?
D
"3
*%
,'
<=;
>?
@
A<==B===
?
C
?
DEOGMM
:FFQ
DHFB=
JJ
>
A
UV
?
D
"3
*%
,'
<=;
>?
@
A<==B===
?
C
?
DEFIMM
:O=B
DHBQ=
JJW
X
KW;N
V
?
D
"3
*%
,'
AF<==S??
@
A<==B===
?
C
?
DEFQFF
:FOB
DHFOI
J
J
?
D
"3
*%
,'
AF<==S??
@
A<==B===
?
C
?
DEO=BG
:FOB
DHFOQ
JJT
J
?
F<
358
!"
#$#$%%
&''()*+,-./0)1+)2(*3
&4'56718+)*(9
:61(9+67410;(
<6='7(*09>(41(*
<6='7(<+?(<6='7+)@A>(41+)@B9(C2()/D>D'+/67>(41
:(150*4
-(4/9+'1+0)09E0==()14
F
G
.<6='7+)@3
$HIJ
H
H
K
L
F
F
H
M%#I
K
NON
KP%QR
SR
F
FF
F
F
H
F
G
.>(41+)@3
$HIJ
H
H
K
L
F
F
H
K
N#%%O
KPSR
F F
FF
F
M
H
F
G
.>(41+)@3
$HIJ
H
H
F
F
F%$$$
F
H
K
#RO#T
N#
MUSQ
KP#S$
TSR
FF
FJ
!V
H
F
G
.>(41+)@3
$HIJ
H
H
F
F
F%$$$
F
H
K
#$S#
KPSS
FF
F
F
F
H
F
G
.>(41+)@3
$HIJ
H
H
F
F
F%$$$
F
H
K
#%O%
KP#$#
FF
F
W%S$V FX
M
X
H
F
G
.>(41+)@3
$HIJ
H
H
F
F
F%$$$
F
H
K
I
KPSN
FF
J
WOOV
J
F
H
F
G
.>(41+)@3
$HIJ
H
H
F
F
F%$$$
F
H
K
%%U
KPI%
FF
F
WOOVH
F
G
.>(41+)@3
$HIJ
H
H
F
F
F%$$$
F
H
K
#%O$
KP#$%
FFY
F
W#OIV
MY
H
#Q
359
!"
#$#$%%
#&
'
(
(
)
*
+,-./0
1 *2,*
3 )
+4
'5(
67829,*
+):;<1*2,*
3)+
=72):,78521>)
?7@(8)+1:A)52)+
?7@(8)?,B)
?7@(8,*CDA)52,*CE:)F
3)*0G
A
G
(,078A)52
=)261+5
.)50:,(2,1*1:<1@@)
*25
H
I
/A)52,*C4
$JKL
J
J
H
H
H%$$$
H
J
M
#%&%
MN
#$#
H
H
J
H
O%$PQ
H
R
S
R
J
H
I
/A)52,*C4
$JKL
J
J
H
H
H%$$$
H
J
M
TU
MN
KT
H
H
H
J
'5(
6 782V@385,W,)+
=72):,78521>)
?7@(8)+1:A)52)+
?7@(8)?,B)?7@(8,*CDA)52,*CE:)F
3)*0GA
G
(,078A)52
=)261+5
.)50:,(2,1*1:<1@@)
*25
X
H
/?7@(8,*C4
$JKL
J
J
H
H
H%$$$
H
J
M
%P$
Y&Y
S
%#K
MN
P$
%UZ
H
H
H
H
J
X
H
/A)52,*C4
$JKL
J
J
H
H
H%$$$
H
J
M
#PP
MN
KY
H
H
H
J
X
H
/A)52,*C4
$JKL
J
J
H
H
H%$$$
H
J
M
#PP
MN
KY
H
H[
H
H
J
X
H
/A)52,*C4
$JKL
J
J
H
H
H%$$$
H
J
M
#PP
MN
KY
H
H
H
H
J
X
H
/A)52,*C4
$JKL
J
J
H
H
H%$$$
H
J
M
#PP
S
TT$
MN
KY
H
HOT#K
Q
H
J
360
!" !#
$
%
%
&'()*+,+-./*0
12)3
!
4 5-6789:2)7*2'0)-0)2;-.
+52;)-25<*-2)-.;257
4 =32+5>5-*2'0)-2331-2*0
12)3
;>5;?-3-0)253,>?-2;1@<6663>5*
>,2*0
12)3;>5;?-3-0)2;-.7
/ABC
DEE6
/
/AF
B
4B6@
B
1+*3-*3.-3-?'+
5-*31-G?>>H,+-).
I+*;>*+3J7
&'()*+,+-./*0
12)3
!
4 5-6789:2)7*2'0)-0)2;-.
+52;)-25<*-2)-.;257
4 =32+5>5-*2'0)-2331-2*0
12)3
;>5;?-3-0)253,>?-2;1@<6663>5*
>,2*0
12)3;>5;?-3-0)2;-.7
/ABC
D
/
/AF
B
4BK
B
1+*3-*3.-3-?'+
5-*31-A2J=>)39
L
(?>)I >+*;*+3J>,-'()*+,+-.2*0
12)3
MKK.-:?--*LN*-;>5
.*O7
P
Q
!" !#
$
%
%
/*0
12)3R>5;?-3-
!
4 =32+5>5-S69)=7*2'0)--2;1
.2J>,0?>.
(;3+>5
4 =32+5>5-*2'0)-2331-2*0
12)3
;>5;?-3-0)253,>?-2;18<6663>5*>,2*0
12)3;>5;?-3-0)2;-.7
/ABC
DK8<D@E6<
DTKT
R
B@8
/
/AF
B
4BE6<B@U
B
1+*3-*3.-*;?+=-*31-0?>;-.(?-3>
*2'0)-31-2*0
12)3;>5;?-3-7
/*0
12)3R>5;?-3-
!
EVWV;>?-*
B2H->5-EVWV;>?-,>?-I-?J866
,3>,02I-.?>2.
X2J7
/ABC
D@@<
D@8U6<D@8U@<
D8SU@
R
BS6E
/
/AF
B
4BEU<BEK
B
1+*3-*3.-3-?'+
5-*31-,+-)..-5*+3J
>,*3?--3*2'0)-*7
/*0
12)3R>5;?-3-
!
4 =32+5>5-S69)=7*2'0)-,>?
-2;1.2J>,0?>.(;3+>5
4 =32+5>5-*2'0)-,>?-I-?J,+I-
;>?-*32H-57
/ABC
D@@<
D@8U6<D@8U@<
D8SU@
R
BS6E
/
/AF
B
4BEU<BEK
B
1+*3-*3.-3-?'+
5-*31-)2=>?23>?J
.-5*+3J25
.?-)23+I-;>'02;3+>5>,
2*0
12)3;>5;?-3-7
/*0
12)3R>5;?-3-
!
EVWV;>?-*4
=32+5>5-*2'0)-,>?-I-?J,+I-
;>?-*32H-57
/ABC
DKU<
D@@<D8SU@
B
1+*3-*3.-3-?'+
5-*31-*0-;+,+;
:?2I+3J>,;>'02;3-.=+3('+
5>(*
'+
W3(?-
.-5*-9:?2.-.>?5>592=*>?03+I-7
D+I+*+>5>,Y>;2)/**+*325;-<4,,+;->,Z?>;-.(?-*D-I-)>0'-5325.B?2+5+5:
2)+3J/**(?25;-Z?>:?2'N[/ZOC25(2),>?\*-=JY>;2)/:-5;+-*]-I+*-.^25(2?J6<6@@ 361
!"
#$#$%%
&
'
'
(
)
*+,-./
0 )1+)
2 (
*3
4015+
,&6'
7891.&6'
7891:0)/;(1(3<
:0)1+)
2(*
581(;+89610=(
>8?'9(*0;
@(61(*
>8?'9(>+A(>8?'9+)BC@(61+)BD;(E
2()/F@
F
'+/89@(61
5(170*6
-(6/;+'1+0)0;:0??(
)16
G
H
.@(61+)B3
I$J
%$$$
G
K
L
%MMN
LO
#PM
G
G
Q
R
G
G
GK
G
H
.@(61+)B3
I$J
%$$$
G
K
L
H%%S
#%S#
GT
LO
%UP
GG
G
K
VR
W
G
G
HJ
.@(61+)B3
%#KRIK
X K
L
PUI#
LO
#YY
G
GQ
GZK
K
G
R
K
G
H
.@(61+)B3
L
%$$$
G
K
L
#NM$
H
ISM
G
G
J
G
K
G
H
.@(61+)B3
%$J
K
L
%MU$
%MU%
H
IUU
LO
#PU
#PS
G
G
G
K
L
L
.>8?'9(3
$KM
K
K
[
L
NSN
H
%#M
LO
P$
%UY
G
G
G
K
L
L
.@(61+)B3
I$J
K
K
X
G
G
[
L
\
Z
L
#P%N
H
#%S
LO
%SU
G GL
\
Z
K
#N
362
!"
#$#$%%
&''()*+,-./0)1+)2(*3
4526674(859
:81(6+85910;(
48<'5(*06=(91(*
48<'5(4+>(48<'5+)?@=(91+)?A6(B2()/7=7'+/85=(91
:(1C0*9
-(9/6+'1+0)06D0<<()19
E
E
.=(91+)?3
F$G
H
H
I
J
J
K
H
E
L%%M
EN%%
JJ
J
O H#$$
P
J
H
E
E
.=(91+)?3
$HQ
H
G
H
I
H
E
FR%$ JJS
K
#
S
H
:81(6+85910;(
48<'5(*06=(91(*
48<'5(4+>(48<'5+)?@=(91+)?A6(B2()/7=7'+/85=(91
:(1C0*9
- 9(/6+'1+0)06D0<<()19
E
E
.=(91+)?3
E
TH
J
L
L
HE
P
I PJ
L
L
H
E
FM$
U%VWF#X
EN#UU
JJ
J
GP
G
G
H
E
!
.=(91+)?3
E
TH
J
L
L
HE
P
I PJ
L
L
H
E
V%Q
FM$
EN#UU
J J
J
H
41((5
F$
363
Quality Assurance Plan – November 2021
City of South Lake Tahoe
Attachment 2
Exhibit 16Ͳtof the LAPM
Sample Cover Memo
Source Inspection Request FƌŽŵ>ŽĐĂůŐĞŶĐLJΖƐ
ZĞƐŝĚĞŶƚ
ŶŐŝŶĞĞƌto CaltransΖKĨĨŝĐĞŽĨDĂƚĞƌŝĂůƐ
ŶŐŝŶĞĞƌŝŶŐĂŶĚdĞƐƚŝŶŐ^ĞƌǀŝĐĞƐ
364
365
Quality Assurance Plan – November 2021
City of South Lake Tahoe
Attachment 3
Appendix F of the QAP Manual
Construction Materials Acceptance by a Certificate of
Compliance
366
!"
#$#$%%
&''()*+,-./0)123452+0)672(3+781&55('2(*9:7/(32+;+572(0; /0<'8+7)5(=
>
?
@
>
AB
!
>
>
C
"
!
C
C
>
C
>
@
>
@
@
>
C@
@
>
B
D
!
C
E
>
"
B
@D
!
C
E
>
"
B
C
C
C
F
GHC
>
>
#$$I
J
KL
@
@
@M J
367
Quality Assurance Plan – November 2021
City of South Lake Tahoe
Attachment 4
Appendix J of the QAP
Example of Vendor’s Certificate of Compliance
368
!"
#$#$%%
&''()*+,-./01,23'4(5627()*589:;(8<+6+=2<(56;53'4+2)=(
369
!
" #
$ %
&'&'((
)**+,-./01234/56*7+895:+;<.9.=5<+89:86*7.5,=+98; >8;<75,-:+6+,<?=8,<.,@+-A
B
#
C
D
E
FF
D
DB!GHIH
J K LMNOPQRSTUVSTU
W&(XY'YYX(((
Z
C
['\]'\]'\
370
Quality Assurance Plan – November 2021
City of South Lake Tahoe
Attachment 5
Appendix K of the QAP
Examples of Materials Certificates/Exceptions
(Signed by the RE at the Completion of the Project)
371
!"
#$#$%%
&''()*+,-./,01'2(345607(8+0239(87+5+:07(3;/,:('7+4)3
<=+>)(*?@7A(B(3+*()7/)>+)((8077A(941'2(7+4)
457A(C84D(:7E
F
G
H
IJKH
L#% MN$NNM%%%
=O?D(:7P607(8+0239(87+5+:07+4)
Q
Q
Q
Q
Q
Q
Q
RS
Q
R
RQQ
J T
U
Q
QH
RJ
IU
RQ
QH
J
V
W
XXXXXXXXX YZ[[\]^_`abcdcd$c B(3+*()7/)>+)((8<C8+)7e01(EB(3+*()7/)>+)((8<=+>)07O8(E<f07(E e47(PQ
Q
Q!ghH
Q
g
i!gUJj
=((7A(0770:A1()7<)(,7'0>(E
372
!!!
"
#
$#
"
$
%
&'(
!
)##
*!
+
& ,
"
"
"
*
%
+
& ,
"
-
"
.
"/
,""
"0
.
!
1
(
0
!21 03+
"
4 *(/
!
5 6
(&#&#
7889:;<=>?@A:B<:C9;D
7BBE@FG9:BHIJEB9K<ELHM=@98B<A:H?7@@98BE:@9N9HB<:OD (
"
.
"
0"
,
0
P*
"Q
!!!
"
#
$#
"
$
%
&'(
!
)##
*!
+
&,
"
"
"
*
%
+ '
&,
"
-
"
R
STUUVWXYZ[\6()&##$
5
!
20
P35
!
2!
3.
373
01300
EXHIBIT D
ACKNOWLEDGEMENT OF MONUMENT RESPONSIBILITY
374
'6WUHHWŇ6RXWK/DNH7DKRH&$
Ň
ŇZZZFLW\RIVOWXV
3XEOLF:RUNV 'HSDUWPHQW
$FNQRZOHGJHPHQWRI0RQXPHQW5HVSRQVLELOLW\
³3UH&RQVWUXFWLRQ´
0RQXPHQW3UHVHUYDWLRQSULRUWRSHUPLWWHGFRQVWUXFWLRQDFWLYLW\ ,BBBBBBBBBBBBBBBBBBBBBDGXO\/LFHQVHG/DQG6XUYH\RURU/LFHQVHG&LYLO(QJLQHHU
3OHDVHSULQW
OHJDOO\DXWKRUL]HGWRSUDFWLFH/DQG6XUYH\LQJ/LFHQVH1RBBBBBBBBBBBBBKHUHE\ DFNQRZOHGJHDQGDFFHSWDOOUHVSRQVLELOLW\IRUWKHPRQXPHQWSUHVHUYDWLRQDVUHTXLUHG SHU6HFWLRQ
DI
RIWKH%XVLQHVVDQG3URIHVVLRQV&RGHZLWKLQWKHERXQGVRIWKH FRQVWUXFWLRQDFWLYLW\DXWKRUL]HGE\WKH&LW\&RQWUDFW1RBBBBBBBBBBBBBBB &RQVWUXFWLRQ6LWH$GGUHVV
3URMHFW1DPH
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
,IXUWKHUDFNQRZOHGJHWKDW,DPKHUHE\UHVSRQVLEOHIRUWKH$FNQRZOHGJHPHQWRI 0RQXPHQW3UHVHUYDWLRQSULRUWRILQDODFFHSWDQFHRIWKHFRQVWUXFWLRQDFWLYLW\DXWKRUL]HG E\WKH&LW\&RQWUDFW1RBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 6HDO
6LJQDWXUH±/DQG6XUYH\RU5HVSRQVLEOHIRU
0RQXPHQW3UHVHUYDWLRQ
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
'DWH
5HTXLUHPHQWV1HHGHG3ULRUWR&RQVWUXFWLRQ&RPPHQFLQJ
([KLELWRIDJUHHGGHILQLWLRQRI0RQXPHQW3UHVHUYDWLRQ=RQH $FNQRZOHGJLQJ6XUYH\RUDJUHHVWRSURYLGH&RXQW\6XUYH\RUGUDIW3UH &RQVWUXFWLRQ&RUQHU5HFRUG
V
RU5HFRUGRI6XUYH\ZLWKLQDVSHFLILHGWLPHOLPLW
GHSHQGLQJRQWKHQXPEHURIPRQXPHQWVLQYROYHG
375
'6WUHHWŇ6RXWK/DNH7DKRH&$
Ň
ŇZZZFLW\RIVOWXV
3XEOLF:RUNV 'HSDUWPHQW
$FNQRZOHGJHPHQWRI0RQXPHQW3UHVHUYDWLRQ
³3RVW&RQVWUXFWLRQ´
0RQXPHQW3UHVHUYDWLRQSULRUWRILQDODFFHSWDQFHRISHUPLWWHGFRQVWUXFWLRQDFWLYLW\ ,BBBBBBBBBBBBBBBBBBBBBDGXO\/LFHQVHG/DQG6XUYH\RURU/LFHQVHG&LYLO(QJLQHHU
3OHDVHSULQW
OHJDOO\DXWKRUL]HGWRSUDFWLFH/DQG6XUYH\LQJ/LFHQVH1RBBBBBBBBBBBBBKHUHE\ DFNQRZOHGJHDQGDFFHSWDOOUHVSRQVLELOLW\IRUWKHPRQXPHQWSUHVHUYDWLRQDVUHTXLUHG SHU6HFWLRQ
DI
RIWKH%XVLQHVVDQG3URIHVVLRQV&RGHZLWKLQWKHERXQGVRIWKH FRQVWUXFWLRQ]RQHDXWKRUL]HGE\WKH&LW\&RQWUDFW1RBBBBBBBBBBBBBBB &RQVWUXFWLRQ6LWH$GGUHVV
3URMHFW1DPH
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
,KHUHE\VWDWHWKDWDOOPRQXPHQWVZLWKLQWKHERXQGVRIWKHFRQVWUXFWLRQDFWLYLW\ DXWKRUL]HGE\&LW\&RQWUDFW1RBBBBBBBBBBBBBBBDUHLQWKHRULJLQDOORFDWLRQRUKDYH EHHQUHVHWLQDFFRUGDQFHZLWK6HFWLRQ
DI
RIWKH%XVLQHVVDQG3URIHVVLRQV&RGH
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 6HDO
6LJQDWXUH±/DQG6XUYH\RU5HVSRQVLEOHIRU
0RQXPHQW3UHVHUYDWLRQ
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
'DWH
5HTXLUHPHQWV1HHGHG3ULRUWR,VVXLQJ1RWLFHRI&RPSOHWLRQ
([KLELWFRQILUPLQJRULJLQDODJUHHGGHILQLWLRQRI0RQXPHQW3UHVHUYDWLRQ =RQH
'UDIWFRS\RI&RUQHU5HFRUG
V
RU5HFRUGRI6XUYH\
376
01300
EXHIBIT E
SWPPP
377
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
67250:$7(532//87,2135(9(17,213/$1
IRU
%LMRX3DUN&RQQHFWRU7UDLO
/HJDOO\5HVSRQVLEOH3HUVRQ
/53
&LW\RI6RXWK/DNH7DKRH3XEOLF:RUNV
'6WUHHW6RXWK/DNH7DKRH&$
$QXVK1HMDG3(
$SSURYHG6LJQDWRU\
3UHSDUHGIRU
$QXVK1HMDG3(
&LW\RI6RXWK/DNH7DKRH
'6WUHHW6RXWK/DNH7DKRH&$
3URMHFW$GGUHVV
$O7DKRH%OYG6RXWK/DNH7DKRH&DOLIRUQLD 6:3333UHSDUHGE\
(DVWHUQ6LHUUD(QJLQHHULQJ
32%R[
=HSK\U&RYH19
-HQQLIHU*5RPDQ3(46'
6:3333UHSDUDWLRQ'DWH
(VWLPDWHG3URMHFW'DWHV
6WDUWRI&RQVWUXFWLRQ &RPSOHWLRQRI&RQVWUXFWLRQ 378
%LMRX3DUN&RQQHFWRU7UDLO L 0DUFK
7DEOHRI&RQWHQWV
7DEOHRI&RQWHQWVL 4XDOLILHG6:333'HYHORSHU /HJDOO\5HVSRQVLEOH3HUVRQ $PHQGPHQW/RJ 6HFWLRQ 6:3335HTXLUHPHQWV ,QWURGXFWLRQ 3HUPLW5HJLVWUDWLRQ'RFXPHQWV 6:333$YDLODELOLW\DQG,PSOHPHQWDWLRQ 6:333$PHQGPHQWV 5HWHQWLRQRI5HFRUGV 5HTXLUHG1RQ&RPSOLDQFH5HSRUWLQJ $QQXDO5HSRUW &KDQJHVWR3HUPLW&RYHUDJH 6HFWLRQ 3URMHFW,QIRUPDWLRQ 3URMHFWDQG6LWH'HVFULSWLRQ
1RWLFHRI7HUPLQDWLRQ 6LWH'HVFULSWLRQ ([LVWLQJ&RQGLWLRQV ([LVWLQJ'UDLQDJH *HRORJ\DQG*URXQGZDWHU 3URMHFW'HVFULSWLRQ 'HYHORSHG&RQGLWLRQ
3HUPLWVDQG*RYHUQLQJ'RFXPHQWV
6WRUPZDWHU5XQ2QIURP2IIVLWH$UHDV )LQGLQJVRIWKH&RQVWUXFWLRQ6LWH6HGLPHQWDQG5HFHLYLQJ:DWHU5LVN'HWHUPLQDWLRQ
&RQVWUXFWLRQ6FKHGXOH 3RWHQWLDO&RQVWUXFWLRQ$FWLYLW\DQG3ROOXWDQW6RXUFHV ,GHQWLILFDWLRQRI1RQ6WRUPZDWHU'LVFKDUJHV 5HTXLUHG6LWH0DS,QIRUPDWLRQ 6HFWLRQ %HVW0DQDJHPHQW3UDFWLFHV 379
%LMRX3DUN&RQQHFWRU7UDLO LL 0DUFK
6FKHGXOHIRU%03,PSOHPHQWDWLRQ (URVLRQDQG6HGLPHQW&RQWURO (URVLRQ&RQWURO 6HGLPHQW&RQWUROV 1RQ6WRUPZDWHU&RQWUROVDQG:DVWHDQG0DWHULDOV0DQDJHPHQW 1RQ6WRUPZDWHU&RQWUROV 0DWHULDOV0DQDJHPHQWDQG:DVWH0DQDJHPHQW $OLFHQVHGVHUYLFHZLOOGHOLYHUDQGPDLQWDLQSRUWDEOHUHVWURRPVWRWKHSURMHFWDUHD7KH UHVWURRPVZLOOEHORFDWHGDPLQLPXPRI
DZD\IURPFRQFHQWUDWHGIORZVRIVWRUPZDWHU
GUDLQDJHFRXUVHVDQGGRZQVWUHDPLQOHWV3RUWDEOHUHVWURRPVZLOOEHLQVSHFWHGGDLO\E\WKH FRQWUDFWRUZHHNO\E\WKH:3&0DQGEHIRUHGXULQJDQGDIWHUDQ\VWRUPHYHQWV 3RVWFRQVWUXFWLRQ6WRUPZDWHU0DQDJHPHQW0HDVXUHV 6HFWLRQ %03,QVSHFWLRQDQG0DLQWHQDQFHDQG5DLQ(YHQW$FWLRQ3ODQV %03,QVSHFWLRQDQG0DLQWHQDQFH 5DLQ(YHQW$FWLRQ3ODQV 6HFWLRQ 7UDLQLQJ 6HFWLRQ 5HVSRQVLEOH3DUWLHVDQG2SHUDWRUV 5HVSRQVLEOH3DUWLHV &RQWUDFWRU/LVW
6HFWLRQ &RQVWUXFWLRQ6LWH0RQLWRULQJ3URJUDP 3XUSRVH $SSOLFDELOLW\RI3HUPLW5HTXLUHPHQWV :HDWKHUDQG5DLQ(YHQW7UDFNLQJ :HDWKHU7UDFNLQJ 5DLQ*DXJHV 0RQLWRULQJ/RFDWLRQV 6DIHW\DQG0RQLWRULQJ([HPSWLRQV 9LVXDO0RQLWRULQJ 5RXWLQH2EVHUYDWLRQVDQG,QVSHFWLRQV 5RXWLQH%03,QVSHFWLRQV 1RQ6WRUPZDWHU'LVFKDUJH2EVHUYDWLRQV 5DLQ(YHQW7ULJJHUHG2EVHUYDWLRQVDQG,QVSHFWLRQV 9LVXDO2EVHUYDWLRQV3ULRUWRD)RUHFDVWHG4XDOLI\LQJ5DLQ(YHQW 380
%LMRX3DUN&RQQHFWRU7UDLO LLL 0DUFK
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
$QDO\WLFDO&RQVWLWXHQWV 6DPSOH&ROOHFWLRQ 6DPSOH$QDO\VLV 'DWD(YDOXDWLRQDQG5HSRUWLQJ 381
%LMRX3DUN&RQQHFWRU7UDLO LY 0DUFK
6DPSOLQJDQG$QDO\VLV3ODQIRU2WKHU3ROOXWDQWV5HTXLUHGE\WKH5HJLRQDO :DWHU%RDUG 7UDLQLQJRI6DPSOLQJ3HUVRQQHO 6DPSOH&ROOHFWLRQ 6DPSOH+DQGOLQJ 6DPSOH'RFXPHQWDWLRQ3URFHGXUHV $FWLYH7UHDWPHQW6\VWHP0RQLWRULQJ
%LRDVVHVVPHQW0RQLWRULQJ :DWHUVKHG0RQLWRULQJ2SWLRQ 4XDOLW\$VVXUDQFHDQG4XDOLW\&RQWURO )LHOG/RJV &OHDQ6DPSOLQJ7HFKQLTXHV &KDLQRI&XVWRG\ 4$4&6DPSOHV )LHOG'XSOLFDWHV (TXLSPHQW%ODQNV )LHOG%ODQNV 7UDYHO%ODQNV 'DWD9HULILFDWLRQ 5HFRUGV5HWHQWLRQ &603$WWDFKPHQW
:HDWKHU5HSRUWV &603$WWDFKPHQW
0RQLWRULQJ5HFRUGV &603$WWDFKPHQW
([DPSOH)RUPV &603$WWDFKPHQW
)LHOG0HWHU,QVWUXFWLRQV &603$WWDFKPHQW
6XSSOHPHQWDO,QIRUPDWLRQ 6HFWLRQ 5HIHUHQFHV $SSHQGL[$
&DOFXODWLRQV
$SSHQGL[%
6LWH0DSV $SSHQGL[&
3HUPLW5HJLVWUDWLRQ'RFXPHQWV
$SSHQGL['
6:333$PHQGPHQW&HUWLILFDWLRQV $SSHQGL[(
6XEPLWWHG&KDQJHVWR35'V $SSHQGL[)
&RQVWUXFWLRQ6FKHGXOH $SSHQGL[*
&RQVWUXFWLRQ$FWLYLWLHV0DWHULDOV8VHGDQG$VVRFLDWHG3ROOXWDQWV 382
%LMRX3DUN&RQQHFWRU7UDLO Y 0DUFK
$SSHQGL[+
&$64$6WRUPZDWHU%03+DQGERRN3RUWDO
&RQVWUXFWLRQ)DFW6KHHWV
$SSHQGL[,
%03,QVSHFWLRQ)RUP
$SSHQGL[-
3URMHFW6SHFLILF5DLQ(YHQW$FWLRQ3ODQ7HPSODWH
$SSHQGL[.
7UDLQLQJ5HSRUWLQJ)RUP $SSHQGL[/
5HVSRQVLEOH3DUWLHV $SSHQGL[0
&RQWUDFWRUVDQG6XEFRQWUDFWRUV $SSHQGL[1
&RQVWUXFWLRQ*HQHUDO3HUPLW $SSHQGL[2
6SLOO5HVSRQVH3ODQ(UURU%RRNPDUNQRWGHILQHG 383
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
4XDOLILHG6:333'HYHORSHU
$SSURYDODQG&HUWLILFDWLRQRIWKH6WRUPZDWHU3ROOXWLRQ3UHYHQWLRQ3ODQ 3URMHFW1DPH
%LMRX3DUN&RQQHFWRU7UDLO
3URMHFW1XPEHU,'
³7KLV6WRUPZDWHU3ROOXWLRQ3UHYHQWLRQ3ODQDQG$WWDFKPHQWVZHUHSUHSDUHGXQGHUP\GLUHFWLRQWR PHHWWKHUHTXLUHPHQWVRIWKH&DOLIRUQLD&RQVWUXFWLRQ*HQHUDO3HUPLW 6:5&%2UGHUV1R
':4DVDPHQGHGE\2UGHU':4DQG2UGHU':4 ,FHUWLI\WKDW,DPD
4XDOLILHG6:333'HYHORSHULQJRRGVWDQGLQJDVRIWKHGDWHVLJQHGEHORZ´
46'6LJQDWXUH
-HQQLIHU*5RPDQ3(46'
'DWH
46'1DPH
3ULQFLSDO(QJLQHHU(DVWHUQ6LHUUD
(QJLQHHULQJ
46'&HUWLILFDWH1XPEHU
7LWOHDQG$IILOLDWLRQ
-URPDQ#HVHQJUFRP
7HOHSKRQH1XPEHU
(PDLO
384
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
/HJDOO\5HVSRQVLEOH3HUVRQ
$SSURYDODQG&HUWLILFDWLRQRIWKH6WRUPZDWHU3ROOXWLRQ3UHYHQWLRQ3ODQ 3URMHFW1DPH
%LMRX3DUN&RQQHFWRU7UDLO
3URMHFW1XPEHU,'
³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
&LW\RI6RXWK/DNH7DKRH3XEOLF:RUNV
/HJDOO\5HVSRQVLEOH3HUVRQ>LIRUJDQL]DWLRQ@
6LJQDWXUHRI/HJDOO\5HVSRQVLEOH3HUVRQRU$SSURYHG
6LJQDWRU\
'DWH
$QXVK1HMDG3(
1DPHRI/HJDOO\5HVSRQVLEOH3HUVRQRU$SSURYHG
6LJQDWRU\
7HOHSKRQH1XPEHU
385
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$PHQGPHQW/RJ
3URMHFW1DPH
%LMRX3DUN&RQQHFWRU7UDLO
3URMHFW1XPEHU,'
$PHQGPHQW
1R 'DWH %ULHI'HVFULSWLRQRI$PHQGPHQWLQFOXGHVHFWLRQDQGSDJHQXPEHU 3UHSDUHGDQG$SSURYHG
%\
1DPH
46'
1DPH
46'
1DPH
46'
1DPH
46'
1DPH
46'
1DPH
46'
1DPH
46'
1DPH
46'
1DPH
46'
386
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6HFWLRQ 6:3335HTXLUHPHQWV
,1752'8&7,21
7KH%LMRX3DUN&RQQHFWRU7UDLOSURMHFWFRPSULVHVDSSUR[LPDWHO\$&DQGLVORFDWHG $O7DKRH%OYGLQ6RXWK/DNH7DKRH&DOLIRUQLD7KHSURSHUW\LVRZQHGE\&LW\RI6RXWK /DNH7DKRHDQGLVEHLQJGHYHORSHGE\&LW\RI6RXWK/DNH7DKRH3XEOLF:RUNV7KHSURMHFW¶V ORFDWLRQLVVKRZQLQWKH,PSURYHPHQW3ODQVLQ$SSHQGL[% 7KLV6WRUPZDWHU3ROOXWLRQ3UHYHQWLRQ3ODQ
6:333
LVGHVLJQHGWRFRPSO\ZLWK&DOLIRUQLD¶V
*HQHUDO3HUPLWIRU6WRUPZDWHU'LVFKDUJHV$VVRFLDWHGZLWK&RQVWUXFWLRQ$FWLYLW\LQWKH/DNH 7DKRH+\GURORJLF8QLW&RXQWLHVRI$OSLQH(O'RUDGRDQG3ODFHU *HQHUDO3HUPLW
2UGHU1R
57
13'(61R&$*
LVVXHGE\WKH&DOLIRUQLD5HJLRQDO:DWHU4XDOLW\
&RQWURO%RDUG/DKRQWDQ5HJLRQ
/DKRQWDQ
7KLV6:333KDVEHHQSUHSDUHGIROORZLQJWKH
6:3337HPSODWHSURYLGHGRQWKH&DOLIRUQLD6WRUPZDWHU4XDOLW\$VVRFLDWLRQ6WRUPZDWHU%HVW 0DQDJHPHQW3UDFWLFH+DQGERRN3RUWDO
&RQVWUXFWLRQ
&$64$
,QDFFRUGDQFHZLWKWKH
*HQHUDO3HUPLW6HFWLRQ,;WKLV6:333LVGHVLJQHGWRDGGUHVVWKHIROORZLQJ
,GHQWLI\SROOXWDQWVRXUFHVLQFOXGLQJVHGLPHQWVRXUFHVWKDWPD\DIIHFWWKHTXDOLW\RIVWRUP ZDWHUGLVFKDUJHVDVVRFLDWHGZLWKFRQVWUXFWLRQDFWLYLW\ ,GHQWLI\QRQVWRUPZDWHUGLVFKDUJHV
,GHQWLI\FRQVWUXFWLPSOHPHQWDQGPDLQWDLQ%03VWRUHGXFHRUHOLPLQDWHSROOXWDQWVLQ VWRUPZDWHUGLVFKDUJHVDQGDXWKRUL]HGQRQVWRUPZDWHUGLVFKDUJHVIURPWKHFRQVWUXFWLRQ VLWH
,GHQWLI\DOOHIIOXHQWGLVFKDUJHRXWIDOOORFDWLRQVVDPSOLQJDQGDQDO\VLVVWUDWHJ\DQG SURWRFROVDQGDVDPSOLQJVFKHGXOHIRUGLVFKDUJHVIURPWKHLGHQWLILHGRXWIDOOVIRUWKH SURMHFWDUHD
&DOFXODWLRQVDQGGHVLJQGHWDLOVDVZHOODV%03FRQWUROVDUHLQFOXGHGLQ$SSHQGL[$ 5DLQ(YHQW$FWLRQ3ODQV
5($3V
ZLOOEHSUHSDUHGDVGLVFXVVHGLQ6HFWLRQ
3(50,75(*,675$7,21'2&80(176
5HTXLUHG3HUPLW5HJLVWUDWLRQ'RFXPHQWV
35'V
VKDOOEHVXEPLWWHGWRWKH6WDWH:DWHU
5HVRXUFHV&RQWURO%RDUG
6WDWH:DWHU%RDUG
YLDWKH6WRUPZDWHU0XOWL$SSOLFDWLRQDQG5HSRUW
7UDFNLQJ6\VWHP
60$576
E\WKH/HJDOO\5HVSRQVLEOH3HUVRQ
/53
RUDXWKRUL]HGSHUVRQQHO
LH$SSURYHG6LJQDWRU\
XQGHUWKHGLUHFWLRQRIWKH/537KHSURMHFWVSHFLILF35'VLQFOXGH
1RWLFHRI,QWHQW
12,
6LWH0DS
$QQXDO)HH
6LJQHG&HUWLILFDWLRQ6WDWHPHQW
/53&HUWLILFDWLRQLVSURYLGHGHOHFWURQLFDOO\ZLWK
60$57635'VXEPLWWDO
DQG
6:333
387
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6LWH0DSVFDQEHIRXQGLQ$SSHQGL[%$FRS\RIWKHVXEPLWWHG35'VVKDOODOVREHNHSWLQ $SSHQGL[&DORQJZLWKWKH:DVWH'LVFKDUJH,GHQWLILFDWLRQ :','
FRQILUPDWLRQ
6:333$9$,/$%,/,7<$1',03/(0(17$7,21
7KHGLVFKDUJHUVKDOOPDNHWKH6:333DQGDQ\DPHQGPHQWVDYDLODEOHDWWKHFRQVWUXFWLRQVLWH GXULQJZRUNLQJKRXUV
VHH6HFWLRQRI&603IRUZRUNLQJKRXUV
ZKLOHFRQVWUXFWLRQLV
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
7KH6:333VKDOOEHLPSOHPHQWHGFRQFXUUHQWO\ZLWKWKHVWDUWRIJURXQGGLVWXUELQJDFWLYLWLHV 6:333$0(1'0(176
7KH6:333VKRXOGEHUHYLVHGZKHQ
x ,IWKHUHLVD*HQHUDO3HUPLWYLRODWLRQ
x :KHQWKHUHLVDUHGXFWLRQRULQFUHDVHLQWRWDOGLVWXUEHGDFUHDJH x %03VGRQRWPHHWWKHREMHFWLYHVRIUHGXFLQJRUHOLPLQDWLQJSROOXWDQWVLQVWRUPZDWHU GLVFKDUJHV
$GGLWLRQDOO\WKH6:333VKDOOEHDPHQGHGZKHQ
x 7KHUHLVDFKDQJHLQFRQVWUXFWLRQRURSHUDWLRQVZKLFKPD\DIIHFWWKHGLVFKDUJHRI SROOXWDQWVWRVXUIDFHZDWHUVJURXQGZDWHU
V
RUDPXQLFLSDOVHSDUDWHVWRUPVHZHUV\VWHP
06
x :KHQWKHUHLVDFKDQJHLQWKHSURMHFWGXUDWLRQWKDWFKDQJHVWKHSURMHFW¶VULVNOHYHO RU
x :KHQGHHPHGQHFHVVDU\E\WKH46'7KH46'KDVGHWHUPLQHGWKDWWKHFKDQJHVOLVWHGLQ 7DEOHFDQEHILHOGGHWHUPLQHGE\WKH463$OORWKHUFKDQJHVVKDOOEHPDGHE\WKH 46'DVIRUPDODPHQGPHQWVWRWKH6:333
7KHIROORZLQJLWHPVVKDOOEHLQFOXGHGLQHDFKDPHQGPHQW
x :KRUHTXHVWHGWKHDPHQGPHQW
x 7KHORFDWLRQRISURSRVHGFKDQJH
x 7KHUHDVRQIRUFKDQJH
x 7KHRULJLQDO%03SURSRVHGLIDQ\
DQG
x 7KHQHZ%03SURSRVHG
$PHQGPHQWVKDOOEHORJJHGDWWKHIURQWRIWKH6:333DQGFHUWLILFDWLRQNHSWLQ$SSHQGL[' 7KH6:333WH[WVKDOOEHUHYLVHGUHSODFHGDQGRUKDQGDQQRWDWHGDVQHFHVVDU\WRSURSHUO\ FRQYH\WKHDPHQGPHQW6:333DPHQGPHQWVPXVWEHPDGHE\D46'7KHIROORZLQJFKDQJHV 388
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
KDYHEHHQGHVLJQDWHGE\WKH46'DVWREHILHOGGHWHUPLQHG´DQGFRQVWLWXWHPLQRUFKDQJHVWKDW WKH463PD\LPSOHPHQWEDVHGRQILHOGFRQGLWLRQV
7DEOH /LVWRI&KDQJHVWREH)LHOG'HWHUPLQHG
&DQGLGDWHFKDQJHVIRUILHOGORFDWLRQRU
GHWHUPLQDWLRQE\463
&KHFNFKDQJHVWKDWFDQEHILHOGORFDWHG
RUILHOGGHWHUPLQHGE\463
,QFUHDVHTXDQWLW\RIDQ(URVLRQRU6HGLPHQW&RQWURO
0HDVXUH
5HORFDWH$GGVWRFNSLOHVRUVWRUHGPDWHULDOV
5HORFDWHRUDGGWRLOHWV
5HORFDWHYHKLFOHVWRUDJHDQGRUIXHOLQJORFDWLRQV
5HORFDWHDUHDVIRUZDVWHVWRUDJH
5HORFDWHZDWHUVWRUDJHDQGRUZDWHUWUDQVIHUORFDWLRQ
&KDQJHVWRDFFHVVSRLQWV
HQWUDQFHH[LWV
&KDQJHW\SHRI(URVLRQRU6HGLPHQW&RQWURO0HDVXUH
&KDQJHVWRORFDWLRQRIHURVLRQRUVHGLPHQWFRQWURO
0LQRUFKDQJHVWRVFKHGXOHRUSKDVHV
&KDQJHVLQFRQVWUXFWLRQPDWHULDOV
$Q\ILHOGFKDQJHVQRWLGHQWLILHGIRUILHOGORFDWLRQRUILHOGGHWHUPLQDWLRQE\463PXVWEHDSSURYHG E\46'
5(7(17,212)5(&25'6
3DSHURUHOHFWURQLFUHFRUGVRIGRFXPHQWVUHTXLUHGE\WKLV6:333VKDOOEHUHWDLQHGIRUD PLQLPXPRIWKUHH\HDUVIURPWKHGDWHJHQHUDWHGRUGDWHVXEPLWWHGZKLFKHYHULVODWHUIRUWKH IROORZLQJLWHPV
x 6:333
x ,QVSHFWLRQ5HSRUWV
x $PHQGPHQWV
x $QQXDO5HSRUWV
7KHVHUHFRUGVVKDOOEHDYDLODEOHDWWKH6LWHXQWLOFRQVWUXFWLRQLVFRPSOHWH5HFRUGVDVVLVWLQJLQ WKHGHWHUPLQDWLRQRIFRPSOLDQFHZLWKWKH*HQHUDO3HUPLWVKDOOEHPDGHDYDLODEOHZLWKLQD UHDVRQDEOHWLPHWRWKH5HJLRQDO:DWHU%RDUG6WDWH:DWHU%RDUGRU86(QYLURQPHQWDO 3URWHFWLRQ$JHQF\
(3$
XSRQUHTXHVW5HTXHVWVE\WKH5HJLRQDO:DWHU%RDUGIRUUHWHQWLRQRI UHFRUGVIRUDSHULRGORQJHUWKDQWKUHH\HDUVVKDOOEHDGKHUHGWR 389
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
5(48,5('121&203/,$1&(5(3257,1*
,ID*HQHUDO3HUPLWGLVFKDUJHYLRODWLRQRFFXUVWKH463VKDOOLPPHGLDWHO\QRWLI\WKH/537KH /53VKDOOLQFOXGHLQIRUPDWLRQRQWKHYLRODWLRQZLWKWKH$QQXDO5HSRUW&RUUHFWLYHPHDVXUHV ZLOOEHLPSOHPHQWHGLPPHGLDWHO\IROORZLQJLGHQWLILFDWLRQRIWKHGLVFKDUJHRUZULWWHQQRWLFHRI QRQFRPSOLDQFHIURPWKH5HJLRQDO:DWHU%RDUG'LVFKDUJHVDQGFRUUHFWLYHDFWLRQVPXVWEH GRFXPHQWHGDQGLQFOXGHWKHIROORZLQJLWHPV
x 7KHGDWHWLPHORFDWLRQQDWXUHRIRSHUDWLRQDQGW\SHRIXQDXWKRUL]HGGLVFKDUJH x 7KHFDXVHRUQDWXUHRIWKHQRWLFHRURUGHU
x 7KHFRQWUROPHDVXUHV
%03V
GHSOR\HGEHIRUHWKHGLVFKDUJHHYHQWRUSULRUWRUHFHLYLQJ QRWLFHRURUGHU
x 7KHGDWHRIGHSOR\PHQWDQGW\SHRIFRQWUROPHDVXUHV
%03V
GHSOR\HGDIWHUWKH
GLVFKDUJHHYHQWRUDIWHUUHFHLYLQJWKHQRWLFHRURUGHULQFOXGLQJDGGLWLRQDOPHDVXUHV LQVWDOOHGRUSODQQHGWRUHGXFHRUSUHYHQWUHRFFXUUHQFH 5HSRUWLQJUHTXLUHPHQWVIRU1XPHULF$FWLRQ/HYHOV
1$/V
H[FHHGDQFHVDUHGLVFXVVHGLQ6HFWLRQ
$118$/5(3257
7KH*HQHUDO3HUPLWUHTXLUHVWKDWSHUPLWWHHVSUHSDUHFHUWLI\DQGHOHFWURQLFDOO\VXEPLWDQ$QQXDO 5HSRUWQRODWHUWKDQ1RYHPEHUWKRIHDFK\HDUIRUWKHSHULRGRI2FWREHUWKRIWKHSULRU\HDU WKURXJK2FWREHUWK5HSRUWLQJUHTXLUHPHQWVDUHLGHQWLILHGLQ6HFWLRQ9RIWKH*HQHUDO3HUPLW $QQXDOUHSRUWVZLOOEHILOHGLQ60$576DQGLQDFFRUGDQFHZLWKLQIRUPDWLRQUHTXLUHGE\WKHRQ OLQHIRUPV
&+$1*(6723(50,7&29(5$*(
7KH*HQHUDO3HUPLWDOORZVIRUWKHUHGXFWLRQRULQFUHDVHRIWKHWRWDODFUHDJHFRYHUHGXQGHUWKH *HQHUDO3HUPLWZKHQ
DSRUWLRQRIWKHSURMHFWLVFRPSOHWHDQGRUFRQGLWLRQVIRUWHUPLQDWLRQRI FRYHUDJHKDYHEHHQPHW
ZKHQRZQHUVKLSRIDSRUWLRQRIWKHSURMHFWLVSXUFKDVHGE\DGLIIHUHQW HQWLW\
RUZKHQQHZDFUHDJHLVDGGHGWRWKHSURMHFW
0RGLILHG35'VVKDOOEHILOHGHOHFWURQLFDOO\ZLWKLQGD\VRIDUHGXFWLRQRULQFUHDVHLQWRWDO GLVWXUEHGDUHDLIDFKDQJHLQSHUPLWFRYHUHGDFUHDJHLVWREHVRXJKW7KH6:333VKDOOEH PRGLILHGDSSURSULDWHO\VKDOOEHORJJHGDWWKHIURQWRIWKH6:333DQGFHWULILFDWLRQRI6:333 DPHQGPHQWVDUHWREHNHSWLQ$SSHQGL['8SGDWHG35'VVXEPLWWHGHOHFWURQLFDOO\YLD60$576 FDQEHIRXQGLQ$SSHQGL[(
6HFWLRQ 3URMHFW,QIRUPDWLRQ
352-(&7$1'6,7('(6&5,37,21
127,&(2)7(50,1$7,21
$1RWLFHRI7HUPLQDWLRQ
127
PXVWEHVXEPLWWHGHOHFWURQLFDOO\E\WKH/53YLD60$576WR WHUPLQDWHFRYHUDJHXQGHUWKH*HQHUDO3HUPLW7KH127PXVWLQFOXGHDILQDO6LWH0DSDQG UHSUHVHQWDWLYHSKRWRJUDSKVRIWKHSURMHFWVLWHWKDWGHPRQVWUDWHILQDOVWDELOL]DWLRQKDVEHHQ 390
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
DFKLHYHG7KH127VKDOOEHVXEPLWWHGZLWKLQ
GD\VRIFRPSOHWLRQRIFRQVWUXFWLRQ7KH
5HJLRQDO:DWHU%RDUGZLOOFRQVLGHUDFRQVWUXFWLRQVLWHFRPSOHWHZKHQWKHFRQGLWLRQVRIWKH *HQHUDO3HUPLW6HFWLRQ,,'KDYHEHHQPHW
391
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6LWH'HVFULSWLRQ
7KH%LMRX3DUN&RQQHFWRU7UDLOSURMHFWVLWHFRPSULVHVDSSUR[LPDWHO\$&DQGLVORFDWHGDW $O7DKRH%OYGLQ6RXWK/DNH7DKRH&DOLIRUQLD7KHSURMHFWVLWHLVORFDWHGRQ$O 7DKRH%RXOHYDUGMXVWHDVWRIWKHLQWHUVHFWLRQRI-RKQVRQ%RXOHYDUGDQG$O7DKRH%RXOHYDUG DSSUR[LPDWHO\PLOHVHDVWRI+LJKZD\LQ6RXWK/DNH7DKRH7KHSURMHFWLVORFDWHGDW
1
:DQGLVLGHQWLILHGLQWKH,PSURYHPHQW3ODQVLQ$SSHQGL[% ([LVWLQJ&RQGLWLRQV
$VRIWKHLQLWLDOGDWHRIWKLV6:333WKHSURMHFWVLWHLVWKHH[LVWLQJ%LMRX&RPPXQLW\3DUN RZQHGDQGPDQDJHGE\WKH&LW\RI6RXWK/DNH7DKRH7KHUHDUHQRNQRZQKLVWRULFVRXUFHVRI FRQWDPLQDWLRQDWWKHVLWH
([LVWLQJ'UDLQDJH
7KHSURMHFWVLWHWRSRJUDSK\UDQJHVIURPUHODWLYHO\OHYHOWRUROOLQJ7KHHOHYDWLRQRIWKHSURMHFW VLWHUDQJHVIURPIHHWWRIHHWDERYHPHDQVHDOHYHO PVO
6XUIDFHGUDLQDJHDWWKHVLWH
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
G
OLVWIRU
x 1LWURJHQ
x 3KRVSKRURXV
x 6HGLPHQWDWLRQ6LOWDWLRQ
*HRORJ\DQG*URXQGZDWHU
7KHVLWHLVXQGHUODLQE\ORDP\FRDUVHVDQGSHUWKH15&66RLO6XUYH\*URXQGZDWHURFFXUV EHQHDWKWKHVLWHPRUHWKDQLQFKHVEHORZJURXQGVXUIDFH7KHJURXQGZDWHUJUDGLHQWLVWRZDUG WKHZHVWRQWKHQRUWKHUQSRUWLRQRIWKHVLWHDQGWRZDUGWKHHDVWRQWKHVRXWKHUQSRUWLRQRIWKHVLWH 3URMHFW'HVFULSWLRQ
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
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
DSSURYHGORFDWLRQRURXWVLGHRIWKH7DKRHEDVLQ6RLOZLOOEHVWRFNSLOHGDWWKHVWDJLQJDUHDVKRZQ RQWKH6LWH0DSLQ$SSHQGL[%&RQVWUXFWLRQDFWLYLWLHVZLOOQRWEHSKDVHG 'HYHORSHG&RQGLWLRQ
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
VWDJLQJLVSURSRVHGRQH[LVWLQJSDYHGVXUIDFHDVVKRZQLQWKH6LWH 0DSLQ$SSHQGL[%
7DEOH &RQVWUXFWLRQ6LWH(VWLPDWHV
&RQVWUXFWLRQVLWHDUHD DFUHV
3HUFHQWLPSHUYLRXVEHIRUHFRQVWUXFWLRQ
5XQRIIFRHIILFLHQWEHIRUHFRQVWUXFWLRQ
3HUFHQWLPSHUYLRXVDIWHUFRQVWUXFWLRQ
5XQRIIFRHIILFLHQWDIWHUFRQVWUXFWLRQ
3(50,76$1'*29(51,1*'2&80(176
,QDGGLWLRQWRWKH*HQHUDO3HUPLWWKHIROORZLQJGRFXPHQWVKDYHEHHQWDNHQLQWRDFFRXQWZKLOH SUHSDULQJWKLV6:333
x 5HJLRQDO:DWHU%RDUGUHTXLUHPHQWV
x %DVLQ3ODQUHTXLUHPHQWV
x &RQWUDFW'RFXPHQWV
x $LU4XDOLW\5HJXODWLRQVDQG3HUPLWV
x )HGHUDO(QGDQJHUHG6SHFLHV$FW
x 1DWLRQDO+LVWRULF3UHVHUYDWLRQ$FW5HTXLUHPHQWVRIWKH6WDWH+LVWRULF3UHVHUYDWLRQ 2IILFH
x 6WDWHRI&DOLIRUQLD(QGDQJHUHG6SHFLHV$FW
x &OHDQ:DWHU$FW6HFWLRQ:DWHU4XDOLW\&HUWLILFDWLRQVDQG3HUPLWV x &$'HSDUWPHQWRI)LVKDQG*DPH6WUHDPEHG$OWHUDWLRQ$JUHHPHQW 393
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
67250:$7(558121)5202))6,7($5($6
5XQRQWRWKHVLWHLVJHQHUDWHGE\DFUHVRISDUNDQGEDOOILHOGGHYHORSPHQWLQWKH%LMRX&UHHN ZDWHUVKHGDQGPLQLPDOO\GHYHORSHGDFUHVRI7URXW&UHHNZDWHUVKHG5XQRQYLDVKHHWIORZ ZLOOEHSUHYHQWHGIURPHQWHULQJWKHSURMHFWDUHD
KRZHYHUWKHLQVWDOODWLRQRIWKHVHGLPHQWWUDS
DQGFXOYHUWFURVVLQJFRXOGRFFXUZKHQFKDQQHOL]HGUXQRQIORZLVFRQYH\HG 7KHVWRUPZDWHUUXQRIIGUDLQDJHDUHDFRQWULEXWLQJWRRIIVLWHUXQRQLVHVWLPDWHGWREH DSSUR[LPDWHO\DFUHV7KHDQWLFLSDWHGUXQRIIFRHIILFLHQWVUDQJHIURPWR7KH DQWLFLSDWHGRIIVLWHUXQRQWRWKHSURMHFWVLWHLVHVWLPDWHGWREH FIVIRUWKHFRPSOLDQFHVWRUP
FDOFXODWLRQVDUHLQFOXGHGLQ$SSHQGL[$
7KH*HQHUDO3HUPLWUHTXLUHVWKDWWHPSRUDU\%03VEHLPSOHPHQWHGWRGLUHFWRIIVLWHUXQRQDZD\ IURPGLVWXUEHGDUHDVWKURXJKWKHXVHRIUXQRIIFRQWUROV7KHIROORZLQJ%03VZLOOEH
LPSOHPHQWHG
ILEHUUROOV7KHVH%03VZLOOEHORFDWHGXSVWUHDPRIWKHZRUNDQGVWDJLQJDUHDVWR GLYHUWXSVWUHDPVKHHWIORZDURXQGWKHZRUNDQGVWDJLQJDUHDV7KHRIIVLWHGUDLQDJHDUHDVDQG DVVRFLDWHGVWRUPZDWHUFRQYH\DQFHIDFLOLWLHVRU%03VDUHVKRZQRQLQWKH,PSURYHPHQW3ODQVLQ $SSHQGL[%
),1',1*62)7+(&216758&7,216,7(6(',0(17$1'
5(&(,9,1*:$7(55,6.'(7(50,1$7,21
7KHUHLVQRULVNOHYHOLQWKH7DKRH&RQVWUXFWLRQ*HQHUDO3HUPLW &*3
$OOSURMHFWVDUH
FRQVLGHUHGWKHVDPHULVN
$OOVXUIDFHIORZVJHQHUDWHGZLWKLQWKHSURMHFWVLWHWKDWGLVFKDUJHWRVXUIDFHZDWHUVRUPXQLFLSDO VWRUPVHZHUFROOHFWLRQV\VWHPVVKDOOQRWFRQWDLQFRQVWLWXHQWVLQH[FHVVRIWKHIROORZLQJ
FRQFHQWUDWLRQV
(IIOXHQW/LPLWDWLRQV
3DUDPHWHU 8QLWV 0D[LPXP'DLO\(IIOXHQW
/LPLWDWLRQVIRU'LVFKDUJH
WR6XUIDFH:DWHUV
7RWDO1LWURJHQ
DV1
PJ/
7RWDO3KRVSKRUXV
DV3
PJ/
7RWDO,URQ PJ/
7XUELGLW\ 178
*UHDVHDQG2LO PJ/
1RWH
)RU$76
178IRUGDLO\IORZZHLJKWHGDYHUDJHDQG178IRUDQ\VLQJOH VDPSOH
,IFRQVWLWXHQWFRQFHQWUDWLRQVRIZDWHUVHQWHULQJWKHSURMHFWDUHDH[FHHGWKHQXPHULFDOOLPLWDWLRQV VSHFLILHGDERYHWKHUHVKDOOEHQRLQFUHDVHLQWKHFRQVWLWXHQWFRQFHQWUDWLRQVLQWKHZDWHUVWKDWDUH GLVFKDUJHGIURPWKHSURMHFWDUHD
$OOVXUIDFHIORZVJHQHUDWHGZLWKLQWKHSURMHFWDUHDRUDVDUHVXOWRIWKHGHYHORSPHQWRIWKH SURMHFWWKDWDUHGLVFKDUJHGWRVXUIDFHZDWHUVRUPXQLFLSDOVWRUPZDWHUFROOHFWLRQV\VWHPVVKDOO QRWFRQWDLQWKHIROORZLQJ
394
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
x 6XEVWDQFHVLQFRQFHQWUDWLRQVWKDWDUHWR[LFWRRUWKDWSURGXFHGHWULPHQWDOSK\VLRORJLFDO UHVSRQVHVLQKXPDQSODQWRUDQLPDOOLIH
DQG
x &ROLIRUPRUJDQLVPVDWWULEXWDEOHWRKXPDQZDVWHV
&216758&7,216&+('8/(
7KHSURSRVHGFRQVWUXFWLRQVFKHGXOHOLPLWVHDUWKZRUNUHODWHGDFWLYLWLHVEHWZHHQ0D\WR 2FWREHUXQOHVVDJUDGLQJH[FHSWLRQLVREWDLQHG0RGLILFDWLRQRUH[WHQVLRQRIWKH VFKHGXOH
VWDUWDQGHQGGDWHV
PD\DIIHFWULVNGHWHUPLQDWLRQDQGSHUPLWUHTXLUHPHQWV7KH/53 VKDOOFRQWDFWWKH46'LIWKHVFKHGXOHFKDQJHVGXULQJFRQVWUXFWLRQWRDGGUHVVSRWHQWLDOLPSDFWWR WKH6:333
327(17,$/&216758&7,21$&7,9,7<$1'32//87$176285&(6 $SSHQGL[*LQFOXGHVDOLVWRIFRQVWUXFWLRQDFWLYLWLHVDQGDVVRFLDWHGPDWHULDOVWKDWDUHDQWLFLSDWHG WREHXVHGRQVLWH7KHVHDFWLYLWLHVDQGDVVRFLDWHGPDWHULDOVZLOORUFRXOGSRWHQWLDOO\FRQWULEXWH SROOXWDQWVRWKHUWKDQVHGLPHQWWRVWRUPZDWHUUXQRII 7KHDQWLFLSDWHGDFWLYLWLHVDQGDVVRFLDWHGSROOXWDQWVZHUHXVHGLQ6HFWLRQWRVHOHFWWKH%HVW 0DQDJHPHQW3UDFWLFHVIRUWKHSURMHFW/RFDWLRQRIDQWLFLSDWHGSROOXWDQWVDQGDVVRFLDWHG%03V DUHVKRZQRQWKH6LWH0DSLQ$SSHQGL[%
)RUVDPSOLQJUHTXLUHPHQWVIRUQRQYLVLEOHSROOXWDQWVDVVRFLDWHGZLWKFRQVWUXFWLRQDFWLYLW\SOHDVH UHIHUWR6HFWLRQ)RUDIXOODQGFRPSOHWHOLVWRIRQVLWHSROOXWDQWVUHIHUWRWKH0DWHULDO 6DIHW\'DWD6KHHWV
06'6
ZKLFKDUHUHWDLQHGRQVLWHDWWKHFRQVWUXFWLRQWUDLOHU ,'(17,),&$7,212)12167250:$7(5',6&+$5*(6
1RQVWRUPZDWHUGLVFKDUJHVFRQVLVWRIGLVFKDUJHVZKLFKGRQRWRULJLQDWHIURPSUHFLSLWDWLRQ HYHQWV7KH*HQHUDO3HUPLWSURYLGHVDOORZDQFHVIRUVSHFLILHGQRQVWRUPZDWHUGLVFKDUJHVWKDWGR QRWFDXVHHURVLRQRUFDUU\RWKHUSROOXWDQWV
1RQVWRUPZDWHUGLVFKDUJHVLQWRVWRUPGUDLQDJHV\VWHPVRUZDWHUZD\VZKLFKDUHQRWDXWKRUL]HG XQGHUWKH*HQHUDO3HUPLWDQGOLVWHGLQWKH6:333RUDXWKRUL]HGXQGHUDVHSDUDWH13'(6 SHUPLWDUHSURKLELWHG
1RQRQVWRUPZDWHUGLVFKDUJHVWKDWDUHDXWKRUL]HGIURPWKLVSURMHFWVLWH $FWLYLWLHVDWWKLVVLWHWKDWPD\UHVXOWLQXQDXWKRUL]HGQRQVWRUPZDWHUGLVFKDUJHVLQFOXGH
x 6DZFXWWLQJ
x 'HPROLWLRQ
x 9HKLFOH (TXLSPHQW)XHOLQJ 0DLQWHQDQFH
6WHSVZLOOEHWDNHQLQFOXGLQJWKHLPSOHPHQWDWLRQRIDSSURSULDWH%03VWRHQVXUHWKDW XQDXWKRUL]HGGLVFKDUJHVDUHHOLPLQDWHGFRQWUROOHGGLVSRVHGRUWUHDWHGRQVLWH'LVFKDUJHVRI FRQVWUXFWLRQPDWHULDOVDQGZDVWHVVXFKDVIXHORUSDLQWUHVXOWLQJIURPGXPSLQJVSLOOVRUGLUHFW FRQWDFWZLWKUDLQZDWHURUVWRUPZDWHUUXQRIIDUHDOVRSURKLELWHG 7KHIROORZLQJGLVFKDUJH
V
KDYHEHHQDXWKRUL]HGE\
D
UHJLRQDO13'(6SHUPLW
V
395
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
x 1RQH
5(48,5('6,7(0$3,1)250$7,21
7KHFRQVWUXFWLRQSURMHFW¶V6LWH0DS
V
VKRZLQJWKHSURMHFWORFDWLRQVXUIDFHZDWHUERXQGDULHV JHRJUDSKLFIHDWXUHVFRQVWUXFWLRQVLWHSHULPHWHUDQGJHQHUDOWRSRJUDSK\DQGRWKHUUHTXLUHPHQWV LGHQWLILHGLQ$WWDFKPHQW%RIWKH*HQHUDO3HUPLWLVORFDWHGLQ$SSHQGL[%7DEOHLGHQWLILHV 0DSRU6KHHW1RVZKHUHUHTXLUHGHOHPHQWVDUHLOOXVWUDWHG 7DEOH 5HTXLUHG0DS,QIRUPDWLRQ
,QFOXGHGRQ
0DS3ODQ6KHHW
1R
5HTXLUHG(OHPHQW
,PSURYHPHQW3ODQV 7KHSURMHFW¶VVXUURXQGLQJDUHD
YLFLQLW\
,PSURYHPHQW3ODQV 6LWHOD\RXW
,PSURYHPHQW3ODQV &RQVWUXFWLRQVLWHERXQGDULHV
6LWH0DS 'UDLQDJHDUHDV
,PSURYHPHQW3ODQV 'LVFKDUJHORFDWLRQV
6LWH0DS 6DPSOLQJORFDWLRQV
,PSURYHPHQW3ODQV $UHDVRIVRLOGLVWXUEDQFH
WHPSRUDU\RUSHUPDQHQW
,PSURYHPHQW3ODQV $FWLYHDUHDVRIVRLOGLVWXUEDQFH
FXWRUILOO
,PSURYHPHQW3ODQV /RFDWLRQVRIUXQRII%03V
,PSURYHPHQW3ODQV /RFDWLRQVRIHURVLRQFRQWURO%03V
,PSURYHPHQW3ODQV /RFDWLRQVRIVHGLPHQWFRQWURO%03V
1RW$SSOLFDEOH $76ORFDWLRQ
LIDSSOLFDEOH
1RW$SSOLFDEOH /RFDWLRQVRIVHQVLWLYHKDELWDWVZDWHUFRXUVHVRURWKHUIHDWXUHVZKLFKDUHQRWWREH GLVWXUEHG
,PSURYHPHQW3ODQV /RFDWLRQVRIDOOSRVWFRQVWUXFWLRQ%03V 6LWH0DS :DVWHVWRUDJHDUHDV
6LWH0DS 9HKLFOHVWRUDJHDUHDV
6LWH0DS 0DWHULDOVWRUDJHDUHDV
6LWH0DS (QWUDQFHDQG([LWV
6LWH0DS )XHOLQJ/RFDWLRQV
1RWHV
,QGLFDWHPDSVRUGUDZLQJVWKDWLQIRUPDWLRQLVLQFOXGHGRQ HJ9LFLQLW\0DS6LWH0DS'UDLQDJH3ODQV
*UDGLQJ3ODQV3URJUHVV0DSVHWF
$OODUHDVGLVWXUEHGE\FRQVWUXFWLRQZLOOEHVWDELOL]HGUHYHJHWDWHGDQGPXOFKHGLQDFFRUGDQFH ZLWKWKH753$SHUPLWLVVXHGIRUWKHSURMHFW7KHDSSURYHGFRQVWUXFWLRQVWRUDJHDQGVWDJLQJ DUHDVZLOOEHVWDELOL]HGDQGPXOFKHGZLWKQRUHYHJHWDWLRQLQDFFRUGDQFHZLWKWKH753$SHUPLW 396
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6HFWLRQ %HVW0DQDJHPHQW3UDFWLFHV
6&+('8/()25%03,03/(0(17$7,21
%03VIRUWKHVWDJLQJDUHDVZLOOEHLQVWDOOHGSULRUWRWKHXVHRIHDFKLQGLYLGXDOVWDJLQJDUHD %03VIRUWKHZRUNDUHDVZLOOEHLQVWDOOHGDVZRUNEHJLQVLQHDFKDUHDDQGZLOOEHPDLQWDLQHG XQWLOZRUNLQHDFKDUHDLVFRPSOHWHDQGWKHDUHDLVVWDELOL]HG 7DEOH %03,PSOHPHQWDWLRQ6FKHGXOH
%03 ,PSOHPHQWDWLRQ 'XUDWLRQ
(URVLRQ&RQWURO
(&6FKHGXOLQJ 3ULRUWR&RQVWUXFWLRQ (QWLUHW\RI3URMHFW (&3UHVHUYDWLRQRI([LVWLQJ
9HJHWDWLRQ 6WDUWRI&RQVWUXFWLRQ (QWLUHW\RI3URMHFW
6HGLPHQW
&RQWURO
)LEHU5ROOV 6WDUWRI&RQVWUXFWLRQLQ
:RUN$UHD
8QWLO:RUN$UHDLV
VWDELOL]HG
7UDFNLQJ
&RQWURO
6WUHHW6ZHHSLQJ 6WDUWRI([FDYDWLRQ (QWLUHW\RI3URMHFW
:LQG
(URVLRQ
:LQG(URVLRQ&RQWURO 6WDUWRI([FDYDWLRQ (QWLUHW\RI3URMHFW (526,21$1'6(',0(17&21752/
(URVLRQDQGVHGLPHQWFRQWUROVDUHUHTXLUHGE\WKH*HQHUDO3HUPLWWRSURYLGHHIIHFWLYHUHGXFWLRQ RUHOLPLQDWLRQRIVHGLPHQWUHODWHGSROOXWDQWVLQVWRUPZDWHUGLVFKDUJHVDQGDXWKRUL]HGQRQ VWRUPZDWHUGLVFKDUJHVIURPWKH6LWH$SSOLFDEOH%03VDUHLGHQWLILHGLQWKLVVHFWLRQIRUHURVLRQ FRQWUROVHGLPHQWFRQWUROWUDFNLQJFRQWURODQGZLQGHURVLRQFRQWURO (URVLRQ&RQWURO
(URVLRQFRQWURODOVRUHIHUUHGWRDVVRLOVWDELOL]DWLRQFRQVLVWVRIVRXUFHFRQWUROPHDVXUHVWKDWDUH GHVLJQHGWRSUHYHQWVRLOSDUWLFOHVIURPGHWDFKLQJDQGEHFRPLQJWUDQVSRUWHGLQVWRUPZDWHU UXQRII(URVLRQFRQWURO%03VSURWHFWWKHVRLOVXUIDFHE\FRYHULQJDQGRUELQGLQJVRLOSDUWLFOHV 7KLVFRQVWUXFWLRQSURMHFWZLOOLPSOHPHQWWKHIROORZLQJSUDFWLFHVWRSURYLGHHIIHFWLYHWHPSRUDU\ DQGILQDOHURVLRQFRQWUROGXULQJFRQVWUXFWLRQ
397
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
3UHVHUYHH[LVWLQJYHJHWDWLRQZKHUHUHTXLUHGDQGZKHQIHDVLEOH 7KHDUHDRIVRLOGLVWXUELQJRSHUDWLRQVVKDOOEHFRQWUROOHGVXFKWKDWWKH&RQWUDFWRULVDEOH WRLPSOHPHQWHURVLRQFRQWURO%03VTXLFNO\DQGHIIHFWLYHO\ 6WDELOL]HQRQDFWLYHDUHDVZLWKLQGD\VRIFHVVDWLRQRIFRQVWUXFWLRQDFWLYLWLHVRUVRRQHU LIVWLSXODWHGE\ORFDOUHTXLUHPHQWV
&RQWUROHURVLRQLQFRQFHQWUDWHGIORZSDWKVE\DSSO\LQJHURVLRQFRQWUROEODQNHWVFKHFN GDPVHURVLRQFRQWUROVHHGLQJRUDOWHUQDWHPHWKRGV
3ULRUWRWKHFRPSOHWLRQRIFRQVWUXFWLRQDSSO\SHUPDQHQWHURVLRQFRQWUROWRUHPDLQLQJ GLVWXUEHGVRLODUHDV
6XIILFLHQWHURVLRQFRQWUROPDWHULDOVVKDOOEHPDLQWDLQHGRQVLWHWRDOORZLPSOHPHQWDWLRQLQ FRQIRUPDQFHZLWKWKLV6:333
7KHIROORZLQJWHPSRUDU\HURVLRQFRQWURO%03VHOHFWLRQWDEOHLQGLFDWHVWKH%03VWKDWVKDOOEH LPSOHPHQWHGWRFRQWUROHURVLRQRQWKHFRQVWUXFWLRQVLWH)DFW6KHHWVIRUWHPSRUDU\HURVLRQ FRQWURO%03VDUHSURYLGHGLQ$SSHQGL[+
398
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH 7HPSRUDU\(URVLRQ&RQWURO%03V&$64$)DFW6KHHW %031DPH
0HHWVD
0LQLPXP
5HTXLUHPHQW
%038VHG
,IQRWXVHGVWDWHUHDVRQ
<(6 12
(& 6FKHGXOLQJ 9 ;(& 3UHVHUYDWLRQRI([LVWLQJ 9HJHWDWLRQ 9 ; (& +\GUDXOLF0XOFK 9
; 1RW$SSOLFDEOH(& +\GURVHHG 9
; 1RW$SSOLFDEOH(& 6RLO%LQGHUV 9
; 1RW$SSOLFDEOH(& 6WUDZ0XOFK 9
; 1RW$SSOLFDEOH(& *HRWH[WLOHVDQG0DWV 9
; 1RW$SSOLFDEOH(& :RRG0XOFKLQJ 9
; 1RW$SSOLFDEOH(&
(DUWK'LNHDQG'UDLQDJH6ZDOHV 9
; 1RW$SSOLFDEOH(& 9HORFLW\'LVVLSDWLRQ'HYLFHV ; 1RW$SSOLFDEOH(& 6ORSH'UDLQV ; 1RW$SSOLFDEOH(& 6WUHDP%DQN6WDELOL]DWLRQ ; 1RW$SSOLFDEOH(& &RPSRVW%ODQNHWV 9
; 1RW$SSOLFDEOH(& 6RLO3UHSDUDWLRQ5RXJKHQLQJ ; 1RW$SSOLFDEOH(& 1RQ9HJHWDWHG6WDELOL]DWLRQ 9
; 1RW$SSOLFDEOH:( :LQG(URVLRQ&RQWURO 9 ; $OWHUQDWH%03V8VHG ,IXVHGVWDWHUHDVRQ
1RQH
$SSOLFDELOLW\WRDVSHFLILFSURMHFWVKDOOEHGHWHUPLQHGE\WKH46'
7KH46'VKDOOHQVXUHLPSOHPHQWDWLRQRIRQHRIWKHPLQLPXPPHDVXUHVOLVWHGRUDFRPELQDWLRQWKHUHRIWRDFKLHYHDQGPDLQWDLQWKH5LVN/HYHO UHTXLUHPHQWV
5XQRQIURPRIIVLWHVKDOOEHGLUHFWHGDZD\IURPDOOGLVWXUEHGDUHDVGLYHUVLRQRIRIIVLWHIORZVPD\UHTXLUHGHVLJQDQDO\VLVE\DOLFHQVHGFLYLOHQJLQHHU DQGRUDGGLWLRQDOHQYLURQPHQWDOSHUPLWWLQJ
399
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7KHVHWHPSRUDU\HURVLRQFRQWURO%03VVKDOOEHLPSOHPHQWHGLQFRQIRUPDQFHZLWKWKHIROORZLQJ JXLGHOLQHVDQGDVRXWOLQHGLQWKH%03)DFWVKHHWVSURYLGHGLQ$SSHQGL[+,IWKHUHLVDFRQIOLFW EHWZHHQGRFXPHQWVWKH,PSURYHPHQW3ODQVZLOOSUHYDLORYHUQDUUDWLYHLQWKHERG\RIWKH 6:333RUJXLGDQFHLQWKH%03)DFW6KHHWV6LWHVSHFLILFGHWDLOVLQWKH,PSURYHPHQW3ODQV SUHYDLORYHUVWDQGDUGGHWDLOVLQFOXGHGLQWKH)DFW6KHHWV7KHQDUUDWLYHLQWKHERG\RIWKH 6:333SUHYDLOVRYHUJXLGDQFHLQWKH%03)DFW6KHHWV
6FKHGXOLQJ
7KHSURMHFWZLOOVHTXHQFHFRQVWUXFWLRQDFWLYLWLHVZLWKWKHLQVWDOODWLRQRIHURVLRQFRQWUROVDQG VWDELOL]DWLRQRIGLVWXUEHGDUHDVSULRUWRSUHGLFWHGVWRUPHYHQWV*UDGLQJDFWLYLWLHVZLOOEH UHVWULFWHGWRWKHSHULRGRI0D\WKURXJK2FWREHU
3UHVHUYDWLRQRI([LVWLQJ9HJHWDWLRQ
7UHHVZLOOEHSURWHFWHGE\WUHHSURWHFWLRQIHQFLQJORFDWHGDWWKHGULSOLQH2QO\DUHDVWREH GLVWXUEHGRUZKHUHZRUNLVSODQQHGVKDOOEHGLVWXUEHGGXULQJFRQVWUXFWLRQ(TXLSPHQWZLOOEH UHVWULFWHGIURPJRLQJSDVWSHULPHWHUDQGYHJHWDWLRQIHQFLQJGXULQJWKHSURMHFW1RGLVWXUEDQFH RIYHJHWDWLRQRXWVLGHWKHSODQQHGDUHDRIZRUNZLOOEHDOORZHG :LQG(URVLRQ&RQWURO
:DWHUZLOOEHDSSOLHGWRGLVWXUEHGVRLODUHDVDQGVWRFNSLOHVDVQHFHVVDU\WRFRQWUROGXVWDQGZLQG HURVLRQ
6HGLPHQW&RQWUROV
6HGLPHQWFRQWUROVDUHWHPSRUDU\RUSHUPDQHQWVWUXFWXUDOPHDVXUHVWKDWDUHLQWHQGHGWR FRPSOHPHQWWKHVHOHFWHGHURVLRQFRQWUROPHDVXUHVDQGUHGXFHVHGLPHQWGLVFKDUJHVIURPDFWLYH FRQVWUXFWLRQDUHDV6HGLPHQWFRQWUROVDUHGHVLJQHGWRLQWHUFHSWDQGVHWWOHRXWVRLOSDUWLFOHVWKDW KDYHEHHQGHWDFKHGDQGWUDQVSRUWHGE\WKHIRUFHRIZDWHU 7KHIROORZLQJVHGLPHQWFRQWURO%03VHOHFWLRQWDEOHLQGLFDWHVWKH%03VWKDWVKDOOEH LPSOHPHQWHGWRFRQWUROVHGLPHQWRQWKHFRQVWUXFWLRQVLWH)DFW6KHHWVIRUWHPSRUDU\VHGLPHQW FRQWURO%03VDUHSURYLGHGLQ$SSHQGL[+
400
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH 7HPSRUDU\6HGLPHQW&RQWURO%03V
&$64$
)DFW
6KHHW
%031DPH
0HHWVD
0LQLPXP
5HTXLUHPHQW
%03XVHG
,IQRWXVHGVWDWHUHDVRQ
<(6 12
6( 6LOW)HQFH 9
; 1RW$SSOLFDEOH6( 6HGLPHQW%DVLQ ; 1RW$SSOLFDEOH6( 6HGLPHQW7UDS ; 1RW$SSOLFDEOH6( &KHFN'DPV ; 1RW$SSOLFDEOH6( )LEHU5ROOV 9
; 6( *UDYHO%DJ%HUP 9
; 1RW$SSOLFDEOH6( 6WUHHW6ZHHSLQJ 9 ; 6( 6DQGEDJ%DUULHU ; 1RW$SSOLFDEOH6( 6WUDZ%DOH%DUULHU ; 1RW$SSOLFDEOH6( 6WRUP'UDLQ,QOHW3URWHFWLRQ 9 5/ ; 1RW$SSOLFDEOH6( $76 ; 1RW$SSOLFDEOH6( 0DQXIDFWXUHG/LQHDU6HGLPHQW&RQWUROV ; 1RW$SSOLFDEOH6( &RPSRVW6RFNDQG%HUP 9
; 1RW$SSOLFDEOH6( %LRILOWHU%DJV 9
; 1RW$SSOLFDEOH7& 6WDELOL]HG&RQVWUXFWLRQ(QWUDQFHDQG([LW 9 ; 7& 6WDELOL]HG&RQVWUXFWLRQ5RDGZD\ ; 1RW$SSOLFDEOH7& (QWUDQFH2XWOHW7LUH:DVK ; 1RW$SSOLFDEOH$OWHUQDWH%03V8VHG ,IXVHGVWDWHUHDVRQ
$SSOLFDELOLW\WRDVSHFLILFSURMHFWVKDOOEHGHWHUPLQHGE\WKH46'
7KH46'VKDOOHQVXUHLPSOHPHQWDWLRQRIRQHRIWKHPLQLPXPPHDVXUHVOLVWHGRUDFRPELQDWLRQWKHUHRIWRDFKLHYHDQGPDLQWDLQWKH5LVN/HYHO UHTXLUHPHQWV
5LVN/HYHO VKDOOSURYLGHOLQHDUVHGLPHQWFRQWURODORQJWRHRIVORSHIDFHRIVORSHDQGDWWKHJUDGHEUHDNVRIH[SRVHGVORSH 401
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7KHVHWHPSRUDU\VHGLPHQWFRQWURO%03VVKDOOEHLPSOHPHQWHGLQFRQIRUPDQFHZLWKWKH IROORZLQJJXLGHOLQHVDQGLQDFFRUGDQFHZLWKWKH%03)DFW6KHHWVSURYLGHGLQ$SSHQGL[+,I WKHUHLVDFRQIOLFWEHWZHHQGRFXPHQWVWKH6LWH0DSZLOOSUHYDLORYHUQDUUDWLYHLQWKHERG\RIWKH 6:333RUJXLGDQFHLQWKH%03)DFW6KHHWV6LWHVSHFLILFGHWDLOVLQWKH6LWH0DSSUHYDLORYHU VWDQGDUGGHWDLOVLQFOXGHGLQWKH6LWH0DS7KHQDUUDWLYHLQWKHERG\RIWKH6:333SUHYDLOVRYHU JXLGDQFHLQWKH%03)DFW6KHHWV
)LEHU5ROOV
)LEHUUROOVZLOOEHLQVWDOOHGDWWKHSHULPHWHURIWKHFRQVWUXFWLRQVLWHDQGVWDJLQJDUHDVWRWUHDW VKHHWUXQRIIOHDYLQJWKHFRQVWUXFWLRQVLWHDVZHOODVWRGHILQHWKHOLPLWVRIWKHVLWHWRSUHYHQW GLVWXUEDQFHRXWVLGHWKHZRUNOLPLWV)LEHUUROOVZLOOEHVHFXUHGXVLQJVWDNHVRUJUDYHOEDJVWR HQVXUHFRQWDFWZLWKVRLOVXUIDFH
6WUHHW6ZHHSLQJ
6WUHHWVZHHSLQJZLOOEHFRQGXFWHGRQDUHJXODUEDVLVWRSUHYHQWEXLOGXSRIVHGLPHQWRURWKHU SROOXWDQWVRQSDYHGVXUIDFHVLQWKHSURMHFWDUHD6WUHHWVZHHSLQJZLOOEHXVHGIRUWUDFNLQJDQGRQ DOOHDUWKZRUNRSHUDWLRQV
6WDELOL]HG&RQVWUXFWLRQ(QWUDQFHDQG([LW
1XPHURXVFRQVWUXFWLRQVWDJLQJDQGVWRUDJHDUHDVKDYHEHHQDSSURYHGIRUXVHIRUWKHSURMHFW 7UDFNLQJZLOOEHPDQDJHGXVLQJWHPSRUDU\FRQVWUXFWLRQHQWUDQFH%03DQGVZHHSLQJ 12167250:$7(5&21752/6$1':$67($1'0$7(5,$/6
0$1$*(0(17
1RQ6WRUPZDWHU&RQWUROV
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
402
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
7DEOH 7HPSRUDU\1RQ6WRUPZDWHU%03V&$64$)DFW6KHHW %031DPH 0HHWVD
0LQLPXP
5HTXLUHPHQW
%03XVHG
,IQRWXVHGVWDWHUHDVRQ
<(6 12
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
,IXVHGVWDWHUHDVRQ
$SSOLFDELOLW\WRDVSHFLILFSURMHFWVKDOOEHGHWHUPLQHGE\WKH46' 403
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
1RQVWRUPZDWHU%03VVKDOOEHLPSOHPHQWHGLQFRQIRUPDQFHZLWKWKHIROORZLQJJXLGHOLQHVDQG LQDFFRUGDQFHZLWKWKH%03)DFW6KHHWVSURYLGHGLQ$SSHQGL[+,IWKHUHLVDFRQIOLFWEHWZHHQ GRFXPHQWVWKH6LWH0DSZLOOSUHYDLORYHUQDUUDWLYHLQWKHERG\RIWKH6:333RUJXLGDQFHLQWKH %03)DFW6KHHWV6LWHVSHFLILFGHWDLOVLQWKH6LWH0DSSUHYDLORYHUVWDQGDUGGHWDLOVLQFOXGHGLQ WKH6LWH0DS7KHQDUUDWLYHLQWKHERG\RIWKH6:333SUHYDLOVRYHUJXLGDQFHLQWKH%03)DFW 6KHHWV
:DWHU&RQVHUYDWLRQ3UDFWLFHV
:DWHUWUXFNVDQGRWKHUZDWHUUHODWHGHTXLSPHQWUROOHUVDQGVZHHSHUVZLOOEHFKHFNHGIRUOHDNV WRPLQLPL]HZDWHUZDVWH(TXLSPHQWZLWKOHDNVZLOOEHUHSDLUHGRUUHPRYHGIURPWKHMRE 'HZDWHULQJ2SHUDWLRQ
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
7KHFRQWUDFWRUZLOOLPSOHPHQWWKLV%03WKURXJKRXWWKHGXUDWLRQRIWKHSURMHFW 3RWDEOH:DWHU,UULJDWLRQ
7KHFRQWUDFWRUZLOOLPSOHPHQWWKLV%03IRUGLVSRVDORIZDWHUXVHGIRUSUHVVXUHWHVWLQJRIWKH SURSRVHGZDWHUOLQHV&KORULQDWHGZDWHUXVHGIRUGLVLQIHFWLRQZLOOEHGLVFKDUJHGWRWKHVDQLWDU\ VHZHUV\VWHPZLWKDSSURYDOIURPWKHDSSURSULDWHDJHQFLHVRUGLVSRVHGRIDWDQDSSURYHGRIIVLWH IDFWLOLW\
9HKLFOHDQG(TXLSPHQW&OHDQLQJ
9HKLFOHVDQGHTXLSPHQWZLOOEHEURXJKWRQWKHMREFOHDQDQGZLOOEHUHPRYHGIRUVXEVHTXHQW FOHDQLQJ
9HKLFOHDQG(TXLSPHQW)XHOLQJ
404
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$OOOHYHOSDYHGVXUIDFHVORFDWHGPRUHWKDQIHHWIURPGRZQVWUHDPGUDLQDJHIDFLOLWLHVZLWKLQ WKHSURMHFWOLPLWVDUHSRWHQWLDOIXHOLQJDUHDV'ULSSDQVDQGDEVRUEHQWSDGVZLOOEHXVHGWR SUHYHQWVSLOOVDQGGULSVGXULQJPRELOHIXHOLQJ$EVRUEHQWVSLOOFOHDQXSPDWHULDOVDQGVSLOONLWV ZLOOEHDYDLODEOHRQDOOPRELOHIXHOLQJWUXFNV$OOOHDNLQJHTXLSPHQWZLOOEHUHSDLUHGRU UHPRYHGIURPWKHSURMHFW
9HKLFOHDQG(TXLSPHQW0DLQWHQDQFH
0RVWYHKLFOHDQGHTXLSPHQWPDLQWHQDQFHZLOOEHSHUIRUPHGRIIVLWHZLWKRQO\PLQRU PDLQWHQDQFHVXFKDVDGGLQJIOXLGVRLORUOXEULFDQWVRFFXUULQJDWWKHSURMHFWVLWH$OOVXFK PDLQWHQDQFHZLOOEHSHUIRUPHGRQOHYHOVXUIDFHVPRUHWKDQIHHWIURPGRZQVWUHDPGUDLQDJH V\VWHPV'ULSSDQVDQGSODVWLFVKHHWLQJZLOOEHXVHGIRURQVLWHPDLQWHQDQFHDQGDEVRUEHQWVSLOO FOHDQXSPDWHULDOVDQGVSLOONLWVZLOOEHDYDLODEOH
&RQFUHWH&XULQJ
:KHQFXULQJFRPSRXQGVDUHXVHGRYHUVSUD\ZLOOEHDYRLGHGDQGQRFRPSRXQGZLOOEHDOORZHG WRUXQRIIIURPWKHDSSOLFDWLRQDUHD
0DWHULDOV0DQDJHPHQWDQG:DVWH0DQDJHPHQW
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
0DWHULDOVDQGZDVWHPDQDJHPHQWSROOXWLRQFRQWURO%03VVKDOOEHLPSOHPHQWHGWRPLQLPL]H VWRUPZDWHUFRQWDFWZLWKFRQVWUXFWLRQPDWHULDOVZDVWHVDQGVHUYLFHDUHDV DQGWRSUHYHQW
PDWHULDOVDQGZDVWHVIURPEHLQJGLVFKDUJHGRIIVLWH7KHSULPDU\PHFKDQLVPVIRUVWRUPZDWHU FRQWDFWWKDWVKDOOEHDGGUHVVHGLQFOXGH
x 'LUHFWFRQWDFWZLWKSUHFLSLWDWLRQ
x &RQWDFWZLWKVWRUPZDWHUUXQRQDQGUXQRII
x :LQGGLVSHUVLRQRIORRVHPDWHULDOV
x 'LUHFWGLVFKDUJHWRWKHVWRUPGUDLQV\VWHPWKURXJKVSLOOVRUGXPSLQJ x ([WHQGHGFRQWDFWZLWKVRPHPDWHULDOVDQGZDVWHVVXFKDVDVSKDOWFROGPL[DQGWUHDWHG ZRRGSURGXFWVZKLFKFDQOHDFKSROOXWDQWVLQWRVWRUPZDWHU $OLVWRIFRQVWUXFWLRQDFWLYLWLHVLVSURYLGHGLQ6HFWLRQ7KHIROORZLQJ0DWHULDOVDQG:DVWH 0DQDJHPHQW%03VHOHFWLRQWDEOHLQGLFDWHVWKH%03VWKDWVKDOOEHLPSOHPHQWHGWRKDQGOH PDWHULDOVDQGFRQWUROFRQVWUXFWLRQVLWHZDVWHVDVVRFLDWHGZLWKWKHVHFRQVWUXFWLRQDFWLYLWLHV)DFW 6KHHWVIRU0DWHULDOVDQG:DVWH0DQDJHPHQW%03VDUHSURYLGHGLQ$SSHQGL[+ 405
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH 7HPSRUDU\0DWHULDOV0DQDJHPHQW%03V&$64$)DFW6KHHW %031DPH 0HHWVD
0LQLPXP
5HTXLUHPHQW
%03XVHG
,IQRWXVHGVWDWHUHDVRQ
<(6 12
:0 0DWHULDO'HOLYHU\DQG6WRUDJH 9 ; :0 0DWHULDO8VH 9 ; :0 6WRFNSLOH0DQDJHPHQW 9 ; :0 6SLOO3UHYHQWLRQDQG&RQWURO 9 ; :0 6ROLG:DVWH0DQDJHPHQW 9 ; :0 +D]DUGRXV:DVWH0DQDJHPHQW 9 ; 1RWDSSOLFDEOH:0 &RQWDPLQDWHG6RLO0DQDJHPHQW ; 1RWDSSOLFDEOH:0 &RQFUHWH:DVWH0DQDJHPHQW 9 ; :0 6DQLWDU\6HSWLF:DVWH 0DQDJHPHQW 9 ; :0 /LTXLG:DVWH0DQDJHPHQW ; 1RWDSSOLFDEOH $OWHUQDWH%03V8VHG
,IXVHGVWDWHUHDVRQ
$SSOLFDELOLW\WRDVSHFLILFSURMHFWVKDOOEHGHWHUPLQHGE\WKH46' 406
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
0DWHULDOPDQDJHPHQW%03VVKDOOEHLPSOHPHQWHGLQFRQIRUPDQFHZLWKWKHIROORZLQJJXLGHOLQHV DQGLQDFFRUGDQFHZLWKWKH%03)DFW6KHHWVSURYLGHGLQ$SSHQGL[+,IWKHUHLVDFRQIOLFW EHWZHHQGRFXPHQWVWKH6LWH0DSZLOOSUHYDLORYHUQDUUDWLYHLQWKHERG\RIWKH6:333RU JXLGDQFHLQWKH%03)DFW6KHHWV6LWHVSHFLILFGHWDLOVLQWKH6LWH0DSSUHYDLORYHUVWDQGDUG GHWDLOVLQFOXGHGLQWKH6LWH0DS7KHQDUUDWLYHLQWKHERG\RIWKH6:333SUHYDLOVRYHUJXLGDQFH LQWKH%03)DFW6KHHWV
0DWHULDO'HOLYHU\DQG6WRUDJH
6WDJLQJDUHDVDSSURYHGE\753$LQWKHSURMHFWSHUPLWDUHVKRZQRQ0DSRI$SSHQGL[%LQ WKH:DWHU3ROOXWLRQ&RQWURO3ODQVDQGLQWKHSURMHFWLPSURYHPHQWSODQV0DWHULDOVWKDW H[SHFWHGWREHVWDJHGLQFOXGH%03PDWHULDOVSLSHDQGDSSXUWHQDQFHVWUDIILFFRQWUROGHYLFHV DJJUHJDWHEDVHVRLODQGPXOFK(TXLSPHQWWKDWZLOOEHVWDJHGLQFOXGHVH[FDYDWRUVEDFNKRHV ZDWHUWUXFNVWUXFNVSDYLQJHTXLSPHQWDQGVZHHSHUV3HULPHWHUFRQWUROVZLOOEHLQVWDOOHGDURXQG VWDJLQJDUHDVDQGWKHDUHDZLOOEHGHOLQHDWHGWRSURWHFWH[LVWLQJYHJHWDWLRQ 0DWHULDO8VH
$QDPSOHVXSSO\RIFOHDQXSPDWHULDOZLOOEHNHSWQHDUXVHDUHDV6HFRQGDU\FRQWDLQPHQWZLOO EHXVHGIRUJDVFDQVRLOK\GUDXOLFIOXLGVFRQFUHWHFXULQJFRPSRXQGVEDWWHULHVHWFZKHQ PDWHULDODUHQRWEHLQJXVHG6SLOOVZLOOEHFRQWDLQHGDQGFOHDQHGLPPHGLDWHO\6DPSOLQJ PRQLWRULQJDQGUHSRUWLQJZLOOEHFRQGXFWHGZKHUHVLJQLILFDQWVSLOOVKDYHRFFXUUHG 6WRFNSLOH0DQDJHPHQW
6WRFNSLOHVZLOOEHORFDWHGDPLQLPXPRIIHHWIURPFRQFHQWUDWHGIORZVRIVWRUPZDWHU GUDLQDJHFRXUVHVDQGFXOYHUWLQOHWV6WRFNSLOHVZLOOEHFRQWDLQHGDQGFRYHUHGZKHQQRWDFWLYHO\ XVHG6WRFNSLOHVZLOOEHLQVSHFWHGGDLO\E\WKHFRQWUDFWRUZHHNO\E\WKH:3&0 DQGEHIRUH
GXULQJDQGDIWHUDQ\VWRUPHYHQWV6WRFNSLOHVZLOOEHVSUD\HGZLWKZDWHUIRUGXVWFRQWURODQG DOOVWRFNSLOHVZLOOEHUHPRYHGRUZLQWHUL]HGSULRUWR2FWREHUWK,QWKHHYHQWWKDWFROGPL[LV VWRUHGRQVLWHLWZLOOEHVWRUHGRQDQLPSHUYLRXVVXUIDFHDQGFRYHUHGZLWKSODVWLFVKHHWLQJ 6SLOO3UHYHQWLRQDQG&RQWURO
6SLOOSUHYHQWLRQDQGFRQWUROZLOOEHLPSOHPHQWHGWRFRQWDLQDQGFOHDQXSVSLOOVDQGSUHYHQW PDWHULDOGLVFKDUJHV$OOKD]DUGRXVZDVWHVSLOOVRIJDOORQVRUPRUHZLOOEHUHSRUWHGWRWKH(O 'RUDGR&RXQW\'HSDUWPHQWRI(QYLURQPHQWDO+HDOWKDW
6ROLG:DVWH0DQDJHPHQW
6ROLGZDVWHVZLOOEHORDGHGGLUHFWO\LQWRWUXFNVDQGRUZDWHUWLJKWFRQWDLQHUVWKDWDUHFRYHUHGDW WKHHQGRIWKHGD\&RQVWUXFWLRQOLWWHUDQGGHEULVIURPWKHSURMHFWZLOOEHUHPRYHGZHHNO\DQG GLVSRVHGRIDWDSURSHUO\OLFHQVHGIDFLOLW\
&RQFUHWH:DVWH0DQDJHPHQW
$OOFRQFUHWHZDVWHZLOOEHFROOHFWHGDQGSURSHUO\GLVSRVHGRI7KHZDVWHZLOOEHFROOHFWHGE\ VZHHSLQJVKRYHOLQJDQGRURWKHUPHFKDQLFDOPHDQV3RUWDEOHWHPSRUDU\FRQFUHWHZDVKRXWV ZLOOEHORFDWHGDPLQLPXPRIIHHWIURPFRQFHQWUDWHGIORZVRIVWRUPZDWHUGUDLQDJHFRXUVHV DQGGRZQVWUHDPLQOHWV:DVKRXWVZLOOEHFRYHUHGDQGSURWHFWHGIURPUDLQKRXUVSULRUWR IRUHFDVWHGUDLQHYHQWV
FKDQFHRUJUHDWHU
&RQFUHWHZDVKRXWVZLOOEHLQVSHFWHGGDLO\E\WKH
FRQWUDFWRUZHHNO\E\WKH:3&0DQGEHIRUHGXULQJDQGDIWHUDQ\UDLQHYHQWV 6DQLWDU\6HSWLF:DVWH0DQDJHPHQW
407
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$OLFHQVHGVHUYLFHZLOOGHOLYHUDQGPDLQWDLQSRUWDEOHUHVWURRPVWRWKHSURMHFWDUHD7KH UHVWURRPVZLOOEHORFDWHGDPLQLPXPRI
DZD\IURPFRQFHQWUDWHGIORZVRIVWRUPZDWHU
GUDLQDJHFRXUVHVDQGGRZQVWUHDPLQOHWV3RUWDEOHUHVWURRPVZLOOEHLQVSHFWHGGDLO\E\WKH FRQWUDFWRUZHHNO\E\WKH:3&0DQGEHIRUHGXULQJDQGDIWHUDQ\VWRUPHYHQWV 3267&216758&7,2167250:$7(50$1$*(0(170($685(6 3RVWFRQVWUXFWLRQ%03VDUHSHUPDQHQWPHDVXUHVLQVWDOOHGGXULQJFRQVWUXFWLRQGHVLJQHGWR UHGXFHRUHOLPLQDWHSROOXWDQWGLVFKDUJHVIURPWKHVLWHDIWHUFRQVWUXFWLRQLVFRPSOHWHG 7KLVVLWHLVORFDWHGLQDQDUHDVXEMHFWWRD3KDVH,RU3KDVH,,0XQLFLSDO6HSDUDWH6WRUP6HZHU 6\VWHP
06
SHUPLWDSSURYHG6WRUPZDWHU0DQDJHPHQW3ODQ <HV 1R 3HUPDQHQW%03VDGGUHVVLQJWKHFUHDWLRQRILPSHUYLRXVVXUIDFHDUHLQFRUSRUDWHGLQWRWKHSURMHFW DQGDUHVKRZQLQWKH,PSURYHPHQWSODQV0DLQWHQDQFHRIWKHH[LVWLQJDQGSURSRVHG%03VRQWKH VLWHLVFRQGXFWHGE\WKH&LW\RI6RXWK/DNH7DKRH
408
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6HFWLRQ %03,QVSHFWLRQDQG0DLQWHQDQFHDQG
5DLQ(YHQW$FWLRQ3ODQV
%03,163(&7,21$1'0$,17(1$1&(
7KH*HQHUDO3HUPLWUHTXLUHVURXWLQHGDLO\LQVSHFWLRQVRI%03VGXULQJDFWLYHFRQVWUXFWLRQDORQJ ZLWKLQVSHFWLRQVEHIRUHGXULQJDQGDIWHUTXDOLI\LQJUDLQHYHQWV$%03LQVSHFWLRQFKHFNOLVW PXVWEHILOOHGRXWIRULQVSHFWLRQVDQGPDLQWDLQHGRQVLWHZLWKWKH6:3337KHLQVSHFWLRQ FKHFNOLVWLQFOXGHVWKHQHFHVVDU\LQIRUPDWLRQFRYHUHGLQ6HFWLRQ$EODQNLQVSHFWLRQFKHFNOLVW FDQEHIRXQGLQ$SSHQGL[,&RPSOHWHGFKHFNOLVWVVKDOOEHNHSWLQ&603$WWDFKPHQW ³0RQLWRULQJ5HFRUGV
%03VVKDOOEHPDLQWDLQHGUHJXODUO\WRHQVXUHSURSHUDQGHIIHFWLYHIXQFWLRQDOLW\,IQHFHVVDU\ FRUUHFWLYHDFWLRQVVKDOOEHLPSOHPHQWHGZLWKLQKRXUVRILGHQWLILHGGHILFLHQFLHVDQGDVVRFLDWHG DPHQGPHQWVWRWKH6:333VKDOOEHSUHSDUHGE\WKH46' 6SHFLILFGHWDLOVIRUPDLQWHQDQFHLQVSHFWLRQDQGUHSDLURI&RQVWUXFWLRQ6LWH%03VFDQEHIRXQG LQWKH%03)DFWVKHHWVLQ$SSHQGL[+
5$,1(9(17$&7,213/$16
)URPWKHGDWHVRI0D\WKURXJK2FWREHURIHDFK\HDUDQGGXULQJSHULRGVLQZKLFK FRQVWUXFWLRQDFWLYLW\LVFRQGXFWHGXQGHUDYDULDQFHWRWKH%03UHTXLUHPHQWVRIWKLV*HQHUDO 3HUPLW
VHFWLRQ9,,,$
463VKDOOGHYHORSD5($3QRODWHUWKDQWKHFDOHQGDUGD\ KRXUV
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
1:6
)RUHFDVW2IILFHDQGNHHSWKHFRS\ZLWKWKH6:333PRQLWRULQJUHFRUGV 'LVFKDUJHUVPD\DFFHVVWKHGDLO\IRUHFDVWVE\HQWHULQJWKHFLW\RU]LSFRGHRIWKHSURMHFW¶V ORFDWLRQDWWKHIROORZLQJZHEVLWH
KWWS
ZZZVUKQRDDJRYIRUHFDVW7KHLQWHQVLW\RISUHGLFWHG SUHFLSLWDWLRQPD\EHIRXQGDWWKHOLQNIRUWKH³)RUHFDVW:HDWKHU7DEOH,QWHUIDFH´ 7KH5($3VKDOOEHDYDLODEOHRQVLWHDQGD463VKDOOLPSOHPHQWWKH5($3SULRUWRWKHRQVHWRI DQDFWXDOSUHFLSLWDWLRQHYHQW7KH5($3PXVWEHFKHFNHGDQGXSGDWHGGDLO\IRUVWRUPVH[SHFWHG WRODVWRYHUDSHULRGRIVHYHUDOGD\V
7KH5($3VKDOOEHGHYHORSHGIRUDOOSKDVHVRIFRQVWUXFWLRQXQWLOWKHSHUPLWFRYHUDJHLV WHUPLQDWHGE\/DKRQWDQ:DWHU%RDUGVWDII$5($3DWDPLQLPXPVKDOOLQFOXGH
463QDPHDQGFRQWDFWQXPEHU
7KHGDWH
V
UDLQLVSUHGLFWHGWRRFFXUDQGSUHGLFWHGFKDQFHRIUDLQ
$GHVFULSWLRQRIDOO'6$VPDWHULDOVWRUDJHDUHDVVWRFNSLOHVYHKLFOHDQGHTXLSPHQW VWRUDJHDQGPDLQWHQDQFHDUHDVDQGZDVWHPDQDJHPHQWDUHDVWREHSURWHFWHG )RUHDFKDUHDGHVFULEHGDERYHOLVWVSHFLILFLWHPVWRUHYLHZDQGDFWLRQVWRSHUIRUPSULRU WRWKHUDLQHYHQW
409
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$GHVFULSWLRQRIWKHODERUUHTXLUHGRUWREHSURYLGHGWRFRPSOHWHWKHSURWHFWLYHDFWLRQV UHTXLUHG
$FHUWLILFDWLRQE\WKH463WKDWWKH5($3ZLOOEHFDUULHGRXWDVUHTXLUHGE\WKLV*HQHUDO 3HUPLW
DQG
$SULQWRXWRIWKH1:6ZHDWKHUIRUHFDVW
7KH6:333LQFOXGHV5($3WHPSODWHVEXWWKH463ZLOOQHHGWRFXVWRPL]HWKHPIRUHDFKUDLQ HYHQW6LWHVSHFLILF5($3WHPSODWHVIRUHDFKDSSOLFDEOHSURMHFWSKDVHFDQEHIRXQGLQ$SSHQGL[ -7KH463VKDOOPDLQWDLQDSDSHUFRS\RIFRPSOHWHG5($3VLQFRPSOLDQFHZLWKWKHUHFRUG UHWHQWLRQUHTXLUHPHQWV6HFWLRQRIWKLV6:333&RPSOHWHG5($3VVKDOOEHPDLQWDLQHGLQ $SSHQGL[-
410
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6HFWLRQ 7UDLQLQJ
$SSHQGL[/LGHQWLILHVWKH463VIRUWKHSURMHFW7RSURPRWHVWRUPZDWHUPDQDJHPHQWDZDUHQHVV VSHFLILFIRUWKLVSURMHFWZHHNO\WUDLQLQJRIMREVLWHSHUVRQQHOVKDOOEHLQFOXGHGDVSDUWRIURXWLQH SURMHFWPHHWLQJV
HJGDLO\ZHHNO\WDLOJDWHVDIHW\PHHWLQJV
RUWDVNVSHFLILFWUDLQLQJVDVQHHGHG
7KH463VKDOOEHUHVSRQVLEOHIRUSURYLGLQJWKLVLQIRUPDWLRQDWWKHPHHWLQJVDQGVXEVHTXHQWO\ FRPSOHWLQJWKHWUDLQLQJORJVVKRZQLQ$SSHQGL[.ZKLFKLGHQWLILHVWKHVLWHVSHFLILFVWRUPZDWHU WRSLFVFRYHUHGDVZHOODVWKHQDPHVRIVLWHSHUVRQQHOZKRDWWHQGHGWKHPHHWLQJ7DVNVPD\EH GHOHJDWHGWRWUDLQHGHPSOR\HHVE\WKH463SURYLGHGDGHTXDWHVXSHUYLVLRQDQGRYHUVLJKWLV SURYLGHG7UDLQLQJVKDOOFRUUHVSRQGWRWKHVSHFLILFWDVNGHOHJDWHGLQFOXGLQJ 6:333
LPSOHPHQWDWLRQ
%03LQVSHFWLRQDQGPDLQWHQDQFH
DQGUHFRUGNHHSLQJ
'RFXPHQWDWLRQRIWUDLQLQJDFWLYLWLHV
IRUPDODQGLQIRUPDO
LVUHWDLQHGLQ6:333$SSHQGL[.
411
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6HFWLRQ 5HVSRQVLEOH3DUWLHVDQG2SHUDWRUV
5(63216,%/(3$57,(6
$SSURYHG6LJQDWRULHVZKRDUHUHVSRQVLEOHIRU6:333LPSOHPHQWDWLRQDQGKDYHDXWKRULW\WRVLJQ SHUPLWUHODWHGGRFXPHQWVDUHOLVWHGEHORZ:ULWWHQDXWKRUL]DWLRQVIURPWKH/53IRUWKHVH LQGLYLGXDOVDUHSURYLGHGLQ$SSHQGL[/7KH$SSURYHG6LJQDWRULHVDVVLJQHGWRWKLVSURMHFWDUH
1DPH 7LWOH 3KRQH1XPEHU
1RQHDWWKLVWLPH
4630$1$*(0(173/$1
463VLGHQWLILHGIRUWKHSURMHFWDUHLGHQWLILHGLQ$SSHQGL[/7KH463VKDOOKDYHSULPDU\ UHVSRQVLELOLW\DQGVLJQLILFDQWDXWKRULW\IRUWKHLPSOHPHQWDWLRQPDLQWHQDQFHDQG LQVSHFWLRQPRQLWRULQJRI6:333UHTXLUHPHQWV7KH463ZLOOEHDYDLODEOHDWDOOWLPHV WKURXJKRXWWKHGXUDWLRQRIWKHSURMHFW'XWLHVRIWKH463LQFOXGHEXWDUHQRWOLPLWHGWR
x ,PSOHPHQWLQJDOOHOHPHQWVRIWKH*HQHUDO3HUPLWDQG6:333LQFOXGLQJEXWQRWOLPLWHG WR
R (QVXULQJDOO%03VDUHLPSOHPHQWHGLQVSHFWHGDQGSURSHUO\PDLQWDLQHG
R 3HUIRUPLQJGDLO\QRQVWRUPZDWHUDQGVWRUPZDWHUYLVXDOREVHUYDWLRQVDQGLQVSHFWLRQV
R 3HUIRUPLQJQRQVWRUPZDWHUDQGVWRUPVDPSOLQJDQGDQDO\VLVDVUHTXLUHG
R 3HUIRUPLQJURXWLQHLQVSHFWLRQVDQGREVHUYDWLRQVDWPLQLPXPRQDGDLO\EDVLV
R ,PSOHPHQWLQJQRQVWRUPZDWHUPDQDJHPHQWDQGPDWHULDOVDQGZDVWHPDQDJHPHQW DFWLYLWLHVVXFKDV
PRQLWRULQJGLVFKDUJHV
JHQHUDO6LWHFOHDQXS
YHKLFOHDQG
HTXLSPHQWFOHDQLQJIXHOLQJDQGPDLQWHQDQFH
VSLOOFRQWURO
HQVXULQJWKDWQRPDWHULDOV
RWKHUWKDQVWRUPZDWHUDUHGLVFKDUJHGLQTXDQWLWLHVZKLFKZLOOKDYHDQDGYHUVHHIIHFW RQUHFHLYLQJZDWHUVRUVWRUPGUDLQV\VWHPV
HWF
R 3UHSDUHDQGLPSOHPHQW5($3V
R 3UHSDUHDQGVXEPLWZDWHUTXDOLW\H[FHHGDQFHUHSRUWV
R &RQGXFWZHHNO\ZDWHUSROOXWLRQFRQWUROWUDLQLQJDQGHQVXUHWKDWDOOHPSOR\HHVKDYH FXUUHQWWUDLQLQJ
R &RUUHFWDQ\FRQVWUXFWLRQDFWLYLWLHVGDPDJLQJZDWHUSROOXWLRQFRQWUROSUDFWLFHVRU FDXVLQJZDWHUSROOXWLRQ
x 7KH463PD\GHOHJDWHWKHVHLQVSHFWLRQVDQGDFWLYLWLHVWRDQDSSURSULDWHO\WUDLQHG HPSOR\HHEXWVKDOOHQVXUHDGHTXDF\DQGDGHTXDWHGHSOR\PHQW x (QVXULQJHOLPLQDWLRQRIXQDXWKRUL]HGGLVFKDUJHV
412
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
x 7KH463VVKDOOEHDVVLJQHGDXWKRULW\E\WKH/53WRPRELOL]HFUHZVLQRUGHUWRPDNH LPPHGLDWHUHSDLUVWRWKHFRQWUROPHDVXUHV
x &RRUGLQDWHZLWKWKH&RQWUDFWRU
V
WRDVVXUHDOORIWKHQHFHVVDU\FRUUHFWLRQVUHSDLUVDUH PDGHLPPHGLDWHO\DQGWKDWWKHSURMHFWFRPSOLHVZLWKWKH6:333WKH*HQHUDO3HUPLWDQG DSSURYHGSODQVDWDOOWLPHV
x 1RWLI\LQJWKHJHQHUDOFRQWUDFWRU¶VIRUHPDQE\LQSHUVRQRUSKRQHFRPPXQLFDWLRQ
LQFOXGLQJYRLFHPDLORUWH[W
DQG/53RU$XWKRUL]HG6LJQDWRU\YLDHPDLOLPPHGLDWHO\ RIRIIVLWHGLVFKDUJHVRURWKHUQRQFRPSOLDQFHHYHQWV &2175$&725/,67
&RQWUDFWRU
1DPH
7LWOH
&RPSDQ\
$GGUHVV
3KRQH1XPEHU
1XPEHU
&RQWUDFWRULQIRUPDWLRQLVQRWDYDLODEOHDWWKLVWLPH&RQWUDFWRULQIRUPDWLRQZLOOEHLQFOXGHGE\ DPHQGPHQWDIWHUWKHFRQWUDFWLVDZDUGHGEXWSULRUWRWKHVWDUWRIFRQVWUXFWLRQ 413
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6HFWLRQ &RQVWUXFWLRQ6LWH0RQLWRULQJ3URJUDP
3XUSRVH
7KLV&RQVWUXFWLRQ6LWH0RQLWRULQJ3URJUDPZDVGHYHORSHGWRDGGUHVVWKHIROORZLQJREMHFWLYHV
'HPRQVWUDWHWKDWWKHVLWHLVLQFRPSOLDQFHZLWKWKHGLVFKDUJHSURKLELWLRQVDQGDSSOLFDEOH HIIOXHQWOLPLWDWLRQV
'HWHUPLQHZKHWKHUQRQYLVLEOHSROOXWDQWVDUHSUHVHQWDWWKHFRQVWUXFWLRQVLWHDQGDUH FDXVLQJRUFRQWULEXWLQJWRH[FHHGDQFHVRIZDWHUTXDOLW\REMHFWLYHV 'HWHUPLQHZKHWKHULPPHGLDWHFRUUHFWLYHDFWLRQVDGGLWLRQDO%03VRU6:333UHYLVLRQV DUHQHFHVVDU\WRUHGXFHSROOXWDQWVLQVWRUPZDWHUGLVFKDUJHVDQGDXWKRUL]HGQRQVWRUP ZDWHUGLVFKDUJHV
'HWHUPLQHZKHWKHU%03VLQFOXGHGLQWKH6:3335($3DUHHIIHFWLYHLQSUHYHQWLQJRU UHGXFLQJSROOXWDQWVLQVWRUPZDWHUGLVFKDUJHVDQGDXWKRUL]HGQRQVWRUPZDWHUGLVFKDUJHV 'HPRQVWUDWHWKDWDSSURSULDWHVDPSOHFROOHFWLRQKDQGOLQJDQGDQDO\VHVSURFHGXUHVDUH LPSOHPHQWHG
$SSOLFDELOLW\RI3HUPLW5HTXLUHPHQWV
7KH*HQHUDO3HUPLWLGHQWLILHVWKHIROORZLQJW\SHVRIPRQLWRULQJLVDSSOLFDEOHWRWKLVSURMHFW
x 9LVXDOLQVSHFWLRQVRI%HVW0DQDJHPHQW3UDFWLFHV
%03V
x 9LVXDOPRQLWRULQJRIWKHVLWHUHODWHGWRTXDOLI\LQJVWRUPHYHQWV
x 9LVXDOPRQLWRULQJRIWKHVLWHIRUQRQVWRUPZDWHUGLVFKDUJHV
x 6DPSOLQJDQGDQDO\VLVRIFRQVWUXFWLRQVLWHUXQRIIIRUS+DQGWXUELGLW\
x 6DPSOLQJDQGDQDO\VLVRIFRQVWUXFWLRQVLWHUXQRIIIRURWKHUSDUDPHWHUVLIDSSOLFDEOH
x 6DPSOLQJDQGDQDO\VLVRIQRQVWRUPZDWHUGLVFKDUJHV
x 6DPSOLQJDQGDQDO\VLVRIFRQVWUXFWLRQVLWHUXQRIIIRUQRQYLVLEOHSROOXWDQWVZKHQ
DSSOLFDEOH
DQG
x 6DPSOLQJDQGDQDO\VLVRIQRQVWRUPZDWHUGLVFKDUJHVZKHQDSSOLFDEOH 414
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
:HDWKHUDQG5DLQ(YHQW7UDFNLQJ
9LVXDOPRQLWRULQJDQGLQVSHFWLRQVUHTXLUHPHQWVRIWKH*HQHUDO3HUPLWDUHWULJJHUHGE\D TXDOLI\LQJUDLQHYHQW7KH*HQHUDO3HUPLWGHILQHVDTXDOLI\LQJUDLQHYHQWDVDQ\HYHQWWKDW SURGXFHVòLQFKRISUHFLSLWDWLRQ$PLQLPXPRIKRXUVRIGU\ZHDWKHUZLOOEHXVHGWR GLVWLQJXLVKEHWZHHQVHSDUDWHTXDOLI\LQJVWRUPHYHQWV 9LVXDOPRQLWRULQJDQGLQVSHFWLRQVVKDOOEHFRQGXFWHGZKHQWKHUHLVDFKDQFHRUJUHDWHU SUREDELOLW\RILQFKRUPRUHRISUHFLSLWDWLRQLVSUHGLFWHGLQWKHSURMHFWDUHD6DPSOLQJVKDOOEH FRQGXFWHGZKHQWKHUHLVDGLVFKDUJHRIIWKHSURMHFWERXQGDULHV$PLQLPXPRIKRXUVRIGU\ ZHDWKHUZLOOEHXVHGWRGLVWLQJXLVKEHWZHHQVHSDUDWHVWRUPHYHQWV :HDWKHU7UDFNLQJ
7KH463VKRXOGGDLO\FRQVXOWWKH1DWLRQDO2FHDQRJUDSKLFDQG$WPRVSKHULF$GPLQLVWUDWLRQ
12$$
IRUWKHZHDWKHUIRUHFDVWV7KHVHIRUHFDVWVFDQEHREWDLQHGDWKWWS ZZZVUKQRDDJRY
:HDWKHUUHSRUWVVKRXOGEHSULQWHGDQGPDLQWDLQHGZLWKWKH6:333LQ&603$WWDFKPHQW ³:HDWKHU5HSRUWV´
5DLQ*DXJHV
7KH463VKDOOLQVWDOODUDLQJDXJH
V
RQWKHSURMHFWVLWH/RFDWHWKHJDXJHLQDQRSHQDUHDDZD\ IURPREVWUXFWLRQVVXFKDVWUHHVRURYHUKDQJV0RXQWWKHJDXJHRQDSRVWDWDKHLJKWRIWRIHHW ZLWKWKHJDXJHH[WHQGLQJVHYHUDOLQFKHVEH\RQGWKHSRVW0DNHVXUHWKDWWKHWRSRIWKHJDXJHLV OHYHO0DNHVXUHWKHSRVWLVQRWLQDQDUHDZKHUHUDLQZDWHUFDQLQGLUHFWO\VSODVKIURPVKHGV HTXLSPHQWWUDLOHUVHWF
7KHUDLQJDXJH
V
VKDOOEHUHDGGDLO\GXULQJQRUPDOVLWHVFKHGXOHGKRXUV7KHUDLQJDXJHVKRXOG EHUHDGDWDSSUR[LPDWHO\WKHVDPHWLPHHYHU\GD\DQGWKHGDWHDQGWLPHRIHDFKUHDGLQJ UHFRUGHG/RJUDLQJDXJHUHDGLQJVLQ&603$WWDFKPHQW³:HDWKHU5HFRUGV´)ROORZWKHUDLQ JDXJHLQVWUXFWLRQVWRREWDLQDFFXUDWHPHDVXUHPHQWV
2QFHWKHUDLQJDXJHUHDGLQJKDVEHHQUHFRUGHGDFFXPXODWHGUDLQVKDOOEHHPSWLHGDQGWKHJDXJH UHVHW
)RUFRPSDULVRQZLWKWKHVLWHUDLQJDXJHWKHQHDUHVWDSSURSULDWHJRYHUQPHQWDOUDLQJDXJH V
LV
ORFDWHGDW/DNH7DKRH$LUSRUW
0RQLWRULQJ/RFDWLRQV
0RQLWRULQJORFDWLRQVDUHVKRZQRQWKH:DWHU3ROOXWLRQ&RQWURO3ODQVLQ$SSHQGL[%0RQLWRULQJ ORFDWLRQVDUHGHVFULEHGLQWKH6HFWLRQVDQG
:KHQHYHUFKDQJHVLQWKHFRQVWUXFWLRQVLWHPLJKWDIIHFWWKHDSSURSULDWHQHVVRIVDPSOLQJ ORFDWLRQVWKHVDPSOLQJORFDWLRQVVKDOOEHUHYLVHGDFFRUGLQJO\$OOVXFKUHYLVLRQVVKDOOEH LPSOHPHQWHGDVVRRQDVIHDVLEOHDQGWKH6:333DPHQGHG7HPSRUDU\FKDQJHVWKDWUHVXOWLQD RQHWLPHDGGLWLRQDOVDPSOLQJORFDWLRQGRQRWUHTXLUHD6:333DPHQGPHQW 6DIHW\DQG0RQLWRULQJ([HPSWLRQV
6DIHW\SUDFWLFHVIRUVDPSOHFROOHFWLRQZLOOEHLQDFFRUGDQFHZLWKWKHFRQWUDFWRU¶VKHDOWKDQG VDIHW\SODQ
415
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
'LVFKDUJHUVDUHQRWUHTXLUHGWRFRQGXFWYLVXDOLQVSHFWLRQVRUSK\VLFDOO\FROOHFWVDPSOHVRXWVLGH RIGD\OLJKWKRXUVRUZKHQFRQGLWLRQVH[LVWWKDWZRXOGEHGDQJHURXVWRSHUVRQQHO'LVFKDUJHUV PXVWFRQGXFWYLVXDOPRQLWRULQJGXULQJGD\OLJKWKRXUVRIDQ\GD\RIWKHZHHN KRZHYHU
'LVFKDUJHUVDUHRQO\UHTXLUHGWRFROOHFWVDPSOHVIRUDQDO\VLVGXULQJDFWLYHEXVLQHVVZRUNLQJ GD\V
,IPRQLWRULQJ
YLVXDOPRQLWRULQJRUVDPSOHFROOHFWLRQ
RIWKHVLWHLVXQVDIHEHFDXVHRIWKH
GDQJHURXVFRQGLWLRQVQRWHGDERYHWKHQWKH463VKDOOGRFXPHQWWKHFRQGLWLRQVIRUZK\DQ H[FHSWLRQWRSHUIRUPLQJWKHPRQLWRULQJZDVQHFHVVDU\7KHH[HPSWLRQGRFXPHQWDWLRQVKDOOEH ILOHGLQ&603$WWDFKPHQW³0RQLWRULQJ5HFRUGV´
9LVXDO0RQLWRULQJ
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
5RXWLQH,QVSHFWLRQV
%03,QVSHFWLRQV 'DLO\IURP0D\WR2FWREHU0RQWKO\IURP 2FWREHUWR$SULO
1RQ6WRUPZDWHU'LVFKDUJH2EVHUYDWLRQV 'DLO\IURP0D\WR2FWREHU0RQWKO\IURP 2FWREHUWR$SULO
5DLQ(YHQW7ULJJHUHG,QVSHFWLRQV
6LWH,QVSHFWLRQV3ULRUWRD4XDOLI\LQJ(YHQW :LWKLQKRXUVRIDTXDOLI\LQJHYHQW %03,QVSHFWLRQV'XULQJDQ([WHQGHG6WRUP(YHQW (YHU\KRXUSHULRGRIDUDLQHYHQW 6LWH,QVSHFWLRQV)ROORZLQJD4XDOLI\LQJ(YHQW :LWKLQKRXUVRIDTXDOLI\LQJHYHQW 5RXWLQH2EVHUYDWLRQVDQG,QVSHFWLRQV
5RXWLQHVLWHLQVSHFWLRQVDQGYLVXDOPRQLWRULQJDUHQHFHVVDU\WRHQVXUHWKDWWKHSURMHFWLVLQ FRPSOLDQFHZLWKWKHUHTXLUHPHQWVRIWKH&RQVWUXFWLRQ*HQHUDO3HUPLW 5RXWLQH%03,QVSHFWLRQV
,QVSHFWLRQVRI%03VDUHFRQGXFWHGWRLGHQWLI\DQGUHFRUG
x %03VWKDWDUHSURSHUO\LQVWDOOHG
x %03VWKDWQHHGPDLQWHQDQFHWRRSHUDWHHIIHFWLYHO\
x %03VWKDWKDYHIDLOHG
RU
x %03VWKDWFRXOGIDLOWRRSHUDWHDVLQWHQGHG
416
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
1RQ6WRUPZDWHU'LVFKDUJH2EVHUYDWLRQV
(DFKGUDLQDJHDUHDZLOOEHLQVSHFWHGIRUWKHSUHVHQFHRIRULQGLFDWLRQVRISULRUXQDXWKRUL]HGDQG DXWKRUL]HGQRQVWRUPZDWHUGLVFKDUJHV,QVSHFWLRQVZLOOUHFRUG
x 3UHVHQFHRUHYLGHQFHRIDQ\QRQVWRUPZDWHUGLVFKDUJH DXWKRUL]HGRUXQDXWKRUL]HG
x 3ROOXWDQWFKDUDFWHULVWLFV
IORDWLQJDQGVXVSHQGHGPDWHULDOVKHHQGLVFRORUDWLRQWXUELGLW\ RGRUHWF
DQG
x 6RXUFHRIGLVFKDUJH
5DLQ(YHQW7ULJJHUHG2EVHUYDWLRQVDQG,QVSHFWLRQV 9LVXDOREVHUYDWLRQVRIWKHVLWHDQGLQVSHFWLRQVRI%03VDUHUHTXLUHGSULRUWRDTXDOLI\LQJUDLQ HYHQW
IROORZLQJDTXDOLI\LQJUDLQHYHQWDQGHYHU\KRXUSHULRGGXULQJDTXDOLI\LQJUDLQHYHQW 3UHUDLQLQVSHFWLRQVZLOOEHFRQGXFWHGDIWHUFRQVXOWLQJ12$$DQGGHWHUPLQLQJWKDWD SUHFLSLWDWLRQHYHQWZLWKDFKDQFHRUJUHDWHUSUREDELOLW\RILQFKRUPRUHRISUHFLSLWDWLRQ KDVEHHQSUHGLFWHG
9LVXDO2EVHUYDWLRQV3ULRUWRD)RUHFDVWHG4XDOLI\LQJ5DLQ(YHQW :LWKLQKRXUVSULRUWRDTXDOLI\LQJHYHQWDVWRUPZDWHUYLVXDOPRQLWRULQJVLWHLQVSHFWLRQZLOO LQFOXGHREVHUYDWLRQVRIWKHIROORZLQJORFDWLRQV
x 6WRUPZDWHUGUDLQDJHDUHDVWRLGHQWLI\DQ\VSLOOVOHDNVRUXQFRQWUROOHGSROOXWDQWVRXUFHV
x %03VWRLGHQWLI\LIWKH\KDYHEHHQSURSHUO\LPSOHPHQWHG
x $Q\VWRUPZDWHUVWRUDJHDQGFRQWDLQPHQWDUHDVWRGHWHFWOHDNVDQGHQVXUHPDLQWHQDQFHRI DGHTXDWHIUHHERDUG
3UHUDLQ%03LQVSHFWLRQVDQGYLVXDOPRQLWRULQJZLOOEHWULJJHUHGE\D12$$IRUHFDVWWKDW LQGLFDWHVDSUREDELOLW\RISUHFLSLWDWLRQRIRUPRUHLQWKHSURMHFWDUHD %03,QVSHFWLRQV'XULQJDQ([WHQGHG6WRUP(YHQW 'XULQJDQH[WHQGHGUDLQHYHQW%03LQVSHFWLRQVZLOOEHFRQGXFWHGWRLGHQWLI\DQGUHFRUG
x %03VWKDWDUHSURSHUO\LQVWDOOHG
x %03VWKDWQHHGPDLQWHQDQFHWRRSHUDWHHIIHFWLYHO\
x %03VWKDWKDYHIDLOHG
RU
x %03VWKDWFRXOGIDLOWRRSHUDWHDVLQWHQGHG
,IWKHFRQVWUXFWLRQVLWHLVQRWDFFHVVLEOHGXULQJWKHUDLQHYHQWWKHYLVXDOLQVSHFWLRQVVKDOOEH SHUIRUPHGDWDOOUHOHYDQWRXWIDOOVGLVFKDUJHSRLQWVGRZQVWUHDPORFDWLRQV7KHLQVSHFWLRQV VKRXOGUHFRUGDQ\SURMHFWHGPDLQWHQDQFHDFWLYLWLHV
9LVXDO2EVHUYDWLRQV)ROORZLQJD4XDOLI\LQJ5DLQ(YHQW :LWKLQKRXUVIROORZLQJDTXDOLI\LQJUDLQHYHQW
LQFKHVRIUDLQ
DVWRUPZDWHUYLVXDO
PRQLWRULQJVLWHLQVSHFWLRQLVUHTXLUHGWRREVHUYH
x 6WRUPZDWHUGUDLQDJHDUHDVWRLGHQWLI\DQ\VSLOOVOHDNVRUXQFRQWUROOHGSROOXWDQWVRXUFHV
x %03VWRLGHQWLI\LIWKH\KDYHEHHQSURSHUO\GHVLJQHGLPSOHPHQWHGDQGHIIHFWLYH
x 1HHGIRUDGGLWLRQDO%03V
417
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
x $Q\VWRUPZDWHUVWRUDJHDQGFRQWDLQPHQWDUHDVWRGHWHFWOHDNVDQGHQVXUHPDLQWHQDQFHRI DGHTXDWHIUHHERDUG
DQG
x 'LVFKDUJHRIVWRUHGRUFRQWDLQHGUDLQZDWHU
9LVXDO0RQLWRULQJ3URFHGXUHV
9LVXDOPRQLWRULQJVKDOOEHFRQGXFWHGE\WKH463RUVWDIIWUDLQHGE\DQGXQGHUWKHVXSHUYLVLRQRI WKH463
7KHQDPH
V
DQGFRQWDFWQXPEHU
V
RIWKHVLWHYLVXDOPRQLWRULQJSHUVRQQHODUHOLVWHGEHORZDQG WKHLUWUDLQLQJTXDOLILFDWLRQVDUHSURYLGHGLQ$SSHQGL[. $VVLJQHGLQVSHFWRU
-HQQLIHU5RPDQ46'463 &RQWDFWSKRQH
$OWHUQDWHLQVSHFWRU
7R%H'HWHUPLQHG &RQWDFWSKRQH
7R%H'HWHUPLQHG
6WRUPZDWHUREVHUYDWLRQVVKDOOEHGRFXPHQWHGRQWKH9LVXDO,QVSHFWLRQ)LHOG/RJ6KHHW VHH
&603$WWDFKPHQW³([DPSOH)RUPV´
%03LQVSHFWLRQVVKDOOEHGRFXPHQWHGRQWKHVLWH
VSHFLILF%03LQVSHFWLRQFKHFNOLVW$Q\SKRWRJUDSKVXVHGWRGRFXPHQWREVHUYDWLRQVZLOOEH UHIHUHQFHGRQVWRUPZDWHUVLWHLQVSHFWLRQUHSRUWDQGPDLQWDLQHGZLWKWKH0RQLWRULQJ5HFRUGVLQ $WWDFKPHQW
7KH463VKDOOZLWKLQWKUHHGD\VRIWKHLQVSHFWLRQVXEPLWFRSLHVRIWKHFRPSOHWHGLQVSHFWLRQ UHSRUWWRWKH/53
7KHFRPSOHWHGUHSRUWVZLOOEHNHSWLQ&603$WWDFKPHQW³0RQLWRULQJ5HFRUGV´ 418
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
9LVXDO0RQLWRULQJ)ROORZ8SDQG5HSRUWLQJ
&RUUHFWLRQRIGHILFLHQFLHVLGHQWLILHGE\WKHREVHUYDWLRQVRULQVSHFWLRQVLQFOXGLQJUHTXLUHG UHSDLUVRUPDLQWHQDQFHRI%03VVKDOOEHLQLWLDWHGDQGFRPSOHWHGDVVRRQDVSRVVLEOH ,ILGHQWLILHGGHILFLHQFLHVUHTXLUHGHVLJQFKDQJHVLQFOXGLQJDGGLWLRQDO%03VWKHLPSOHPHQWDWLRQ RIFKDQJHVZLOOEHLQLWLDWHGZLWKLQKRXUVRILGHQWLILFDWLRQDQGEHFRPSOHWHGDVVRRQDV SRVVLEOH:KHQGHVLJQFKDQJHVWR%03VDUHUHTXLUHGWKH6:333VKDOOEHDPHQGHGWRUHIOHFW WKHFKDQJHV
'HILFLHQFLHVLGHQWLILHGLQVLWHLQVSHFWLRQUHSRUWVDQGFRUUHFWLRQRIGHILFLHQFLHVZLOOEHWUDFNHGRQ WKH,QVSHFWLRQ)LHOG/RJ6KHHWRU%03,QVSHFWLRQ5HSRUWDQGVKDOOEHVXEPLWWHGWRWKH463DQG VKDOOEHNHSWLQ&603$WWDFKPHQW³0RQLWRULQJ5HFRUGV´ 7KH463VKDOOZLWKLQWKUHHGD\VRIWKHLQVSHFWLRQVXEPLWFRSLHVRIWKHFRPSOHWHG,QVSHFWLRQ )LHOG/RJ6KHHWRU%03,QVSHFWLRQ5HSRUWZLWKWKHFRUUHFWLYHDFWLRQVWRWKH/53 5HVXOWVRIYLVXDOPRQLWRULQJPXVWEHVXPPDUL]HGDQGUHSRUWHGLQWKH$QQXDO5HSRUW 9LVXDO0RQLWRULQJ/RFDWLRQV
7KHLQVSHFWLRQVDQGREVHUYDWLRQVLGHQWLILHGLQ6HFWLRQVDQGZLOOEHFRQGXFWHGDWWKH ORFDWLRQVLGHQWLILHGLQWKLVVHFWLRQ
%03ORFDWLRQVDUHVKRZQRQWKH:DWHU3ROOXWLRQ&RQWURO3ODQVLQ$SSHQGL[% 7KHUHDUHWZRGUDLQDJHDUHDVRQWKHSURMHFWVLWHDQGWKHFRQWUDFWRU¶V\DUGVWDJLQJDUHDVDQG VWRUDJHDUHDV7KHSURMHFWGUDLQDJHDUHDVDUHVKRZQRQ6LWH0DSLQ$SSHQGL[%DQG7DEOH LGHQWLILHVHDFKGUDLQDJHDUHDE\ORFDWLRQ
7DEOH 6LWH'UDLQDJH$UHDV
/RFDWLRQ
1R
/RFDWLRQ
7ULEXWDU\WR%LMRX&UHHN
7ULEXWDU\WR7URXW&UHHN
7KHUHDUHQRVWRUPZDWHUVWRUDJHRUFRQWDLQPHQWDUHDVRQWKHSURMHFWVLWH6WRUPZDWHUVWRUDJHRU FRQWDLQPHQWDUHD
V
DUHVKRZQRQWKH6LWH0DSVLQ$SSHQGL[%DQG7DEOHLGHQWLILHVHDFK VWRUPZDWHUVWRUDJHRUFRQWDLQPHQWDUHDE\ORFDWLRQ
7DEOH 6WRUPZDWHU6WRUDJHDQG&RQWDLQPHQW$UHDV
/RFDWLRQ
1R
/RFDWLRQ
1RQH
7KHUHLVRQHGLVFKDUJHORFDWLRQIURPWKHSURMHFWVLWH6LWHVWRUPZDWHUGLVFKDUJHORFDWLRQLV VKRZQLQWKH0DSLQ$SSHQGL[%DQG7DEOHLGHQWLILHVHDFKVWRUPZDWHUGLVFKDUJHORFDWLRQ 419
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH 6LWH6WRUPZDWHU'LVFKDUJH/RFDWLRQV
/RFDWLRQ
1R
/RFDWLRQ
'6 3URSRVHG&XOYHUWXQGHU7UDLO
'6 &XUEDQG*XWWHUDW$O7DKRH-RKQVRQ,QWHUVHFWLRQ
:DWHU4XDOLW\6DPSOLQJDQG$QDO\VLV
6DPSOLQJDQG$QDO\VLV3ODQIRU1RQ9LVLEOH3ROOXWDQWVLQ6WRUPZDWHU 5XQRII'LVFKDUJHV
7KLV6DPSOLQJDQG$QDO\VLV3ODQIRU1RQ9LVLEOH3ROOXWDQWVGHVFULEHVWKHVDPSOLQJDQGDQDO\VLV VWUDWHJ\DQGVFKHGXOHIRUPRQLWRULQJQRQYLVLEOHSROOXWDQWVLQVWRUPZDWHUUXQRIIGLVFKDUJHVIURP WKHSURMHFWVLWH
6DPSOLQJIRUQRQYLVLEOHSROOXWDQWVZLOOEHFRQGXFWHGZKHQ
DEUHDFKOHDNDJHPDOIXQFWLRQ
RUVSLOOLVREVHUYHG
DQG
WKHOHDNRUVSLOOKDVQRWEHHQFOHDQHGXSSULRUWRWKHUDLQHYHQW DQG
WKHUHLVWKHSRWHQWLDOIRUGLVFKDUJHRIQRQYLVLEOHSROOXWDQWVWRVXUIDFHZDWHUVRUGUDLQDJH V\VWHP
7KHIROORZLQJFRQVWUXFWLRQPDWHULDOVZDVWHVRUDFWLYLWLHVDVLGHQWLILHGLQ6HFWLRQDUH SRWHQWLDOVRXUFHVRIQRQYLVLEOHSROOXWDQWVWRVWRUPZDWHUGLVFKDUJHVIURPWKHSURMHFW6WRUDJH XVHDQGRSHUDWLRQDOORFDWLRQVDUHVKRZQRQWKH0DSDQGLQWKH:DWHU3ROOXWLRQ&RQWURO3ODQV LQ$SSHQGL[%
x 6DZFXWWLQJ
x 'HPROLWLRQ
x 9HKLFOH (TXLSPHQW)XHOLQJ 0DLQWHQDQFH
x 'LVLQIHFWLRQ
7KHIROORZLQJH[LVWLQJVLWHIHDWXUHVDVLGHQWLILHGLQ6HFWLRQDUHSRWHQWLDOVRXUFHVRIQRQ YLVLEOHSROOXWDQWVWRVWRUPZDWHUGLVFKDUJHVIURPWKHSURMHFW/RFDWLRQVRIH[LVWLQJVLWHIHDWXUHV FRQWDPLQDWHGZLWKQRQYLVLEOHSROOXWDQWVDUHVKRZQRQWKH6LWH0DSVLQ$SSHQGL[% x 1RQH
7KHIROORZLQJVRLODPHQGPHQWVKDYHWKHSRWHQWLDOWRFKDQJHWKHFKHPLFDOSURSHUWLHVHQJLQHHULQJ SURSHUWLHVRUHURVLRQUHVLVWDQFHRIWKHVRLODQGZLOOEHXVHGRQWKHSURMHFWVLWH/RFDWLRQVRIVRLO DPHQGPHQWDSSOLFDWLRQDUHVKRZQRQWKH6LWH0DSVLQ$SSHQGL[% x 1RQH
420
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7KHSURMHFWKDVWKHSRWHQWLDOWRUHFHLYHVWRUPZDWHUUXQRQIURPWKHIROORZLQJORFDWLRQVZLWKWKH SRWHQWLDOWRFRQWULEXWHQRQYLVLEOHSROOXWDQWVWRVWRUPZDWHUGLVFKDUJHVIURPWKHSURMHFW /RFDWLRQVRIVXFKUXQRQWRWKHSURMHFWVLWHDUHVKRZQRQWKH6LWH0DSVLQ$SSHQGL[% x 1RQH
6DPSOLQJ6FKHGXOH
6DPSOHVIRUWKHSRWHQWLDOQRQYLVLEOHSROOXWDQW
V
DQGDVXIILFLHQWO\ODUJHXQDIIHFWHGEDFNJURXQG
VDPSOHVKDOOEHFROOHFWHGGXULQJWKHILUVWWZRKRXUVRIGLVFKDUJHIURPUDLQHYHQWVWKDWUHVXOWLQD VXIILFLHQWGLVFKDUJHIRUVDPSOHFROOHFWLRQ6DPSOHVVKDOOEHFROOHFWHGGXULQJWKHVLWH¶VVFKHGXOHG KRXUVDQGVKDOOEHFROOHFWHGUHJDUGOHVVRIWKHWLPHRI\HDUDQGSKDVHRIWKHFRQVWUXFWLRQ &ROOHFWLRQRIGLVFKDUJHVDPSOHVIRUQRQYLVLEOHSROOXWDQWPRQLWRULQJZLOOEHWULJJHUHGZKHQDQ\ RIWKHIROORZLQJFRQGLWLRQVDUHREVHUYHGGXULQJVLWHLQVSHFWLRQVFRQGXFWHGSULRUWRRUGXULQJD UDLQHYHQW
x 0DWHULDOVRUZDVWHVFRQWDLQLQJSRWHQWLDOQRQYLVLEOHSROOXWDQWVDUHQRWVWRUHGXQGHU ZDWHUWLJKWFRQGLWLRQV:DWHUWLJKWFRQGLWLRQVDUHGHILQHGDV
VWRUDJHLQDZDWHUWLJKW
FRQWDLQHU
VWRUDJHXQGHUDZDWHUWLJKWURRIRUZLWKLQDEXLOGLQJRU
SURWHFWHGE\
WHPSRUDU\FRYHUDQGFRQWDLQPHQWWKDWSUHYHQWVVWRUPZDWHUFRQWDFWDQGUXQRIIIURPWKH VWRUDJHDUHD
x 0DWHULDOVRUZDVWHVFRQWDLQLQJSRWHQWLDOQRQYLVLEOHSROOXWDQWVDUHVWRUHGXQGHUZDWHUWLJKW FRQGLWLRQVEXW
DEUHDFKPDOIXQFWLRQOHDNDJHRUVSLOOLVREVHUYHG
WKHOHDNRU
VSLOOLVQRWFOHDQHGXSSULRUWRWKHUDLQHYHQWDQG
WKHUHLVWKHSRWHQWLDOIRUGLVFKDUJHRI
QRQYLVLEOHSROOXWDQWVWRVXUIDFHZDWHUVRUDVWRUPGUDLQV\VWHP x $FRQVWUXFWLRQDFWLYLW\LQFOXGLQJEXWQRWOLPLWHGWRWKRVHLQ6HFWLRQZLWKWKH SRWHQWLDOWRFRQWULEXWHQRQYLVLEOHSROOXWDQWV
ZDVRFFXUULQJGXULQJRUZLWKLQKRXUV
SULRUWRWKHUDLQHYHQW
%03VZHUHREVHUYHGWREHEUHDFKHGPDOIXQFWLRQLQJRU LPSURSHUO\LPSOHPHQWHGDQG
WKHUHLVWKHSRWHQWLDOIRUGLVFKDUJHRIQRQYLVLEOH
SROOXWDQWVWRVXUIDFHZDWHUVRUDVWRUPGUDLQV\VWHP
x 6RLODPHQGPHQWVWKDWKDYHWKHSRWHQWLDOWRFKDQJHWKHFKHPLFDOSURSHUWLHVHQJLQHHULQJ SURSHUWLHVRUHURVLRQUHVLVWDQFHRIWKHVRLOKDYHEHHQDSSOLHGDQGWKHUHLVWKHSRWHQWLDO IRUGLVFKDUJHRIQRQYLVLEOHSROOXWDQWVWRVXUIDFHZDWHUVRUDVWRUPGUDLQV\VWHP x 6WRUPZDWHUUXQRIIIURPDQDUHDFRQWDPLQDWHGE\KLVWRULFDOXVDJHRIWKHVLWHKDVEHHQ REVHUYHGWRFRPELQHZLWKVWRUPZDWHUUXQRIIIURPWKHVLWHDQGWKHUHLVWKHSRWHQWLDOIRU GLVFKDUJHRIQRQYLVLEOHSROOXWDQWVWRVXUIDFHZDWHUVRUDVWRUPGUDLQV\VWHP 6DPSOLQJ/RFDWLRQV
6DPSOLQJORFDWLRQVDUHEDVHGRQSUR[LPLW\WRSODQQHGQRQYLVLEOHSROOXWDQWVWRUDJHRFFXUUHQFH RUXVH
DFFHVVLELOLW\IRUVDPSOLQJDQGSHUVRQQHOVDIHW\3ODQQHGQRQYLVLEOHSROOXWDQWVDPSOLQJ ORFDWLRQVDUHVKRZQRQWKH:DWHU3ROOXWLRQ&RQWURO3ODQVLQ$SSHQGL[%DQGLQFOXGHWKH ORFDWLRQVLGHQWLILHGLQ7DEOHVWKURXJK
421
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6L[VDPSOLQJORFDWLRQ
V
RQWKHSURMHFWVLWHKDYHEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIVDPSOHVRI UXQRIIIURPSODQQHGPDWHULDODQGZDVWHVWRUDJHDUHDVDQGDUHDVZKHUHQRQYLVLEOHSROOXWDQW SURGXFLQJFRQVWUXFWLRQDFWLYLWLHVDUHSODQQHG
422
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
7DEOH 1RQ9LVLEOH3ROOXWDQW6DPSOH/RFDWLRQV±6WDJLQJ$UHDV 6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ'HVFULSWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'6<DUG 'RZQVWUHDPRI&RQWUDFWRU¶V<DUG
1
:
1RVDPSOLQJORFDWLRQVKDYHEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIVDPSOHVRIUXQRIIIURPGUDLQDJH DUHDVZKHUHVRLODPHQGPHQWVZLOOEHDSSOLHGWKDWKDYHWKHSRWHQWLDOWRDIIHFWZDWHUTXDOLW\ 7DEOH 1RQ9LVLEOH3ROOXWDQW6DPSOH/RFDWLRQV±6RLO$PHQGPHQW$UHDV 6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'HFLPDO'HJUHHV
1RQH
1RVDPSOLQJORFDWLRQVKDYHEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIVDPSOHVRIUXQRIIIURPGUDLQDJH DUHDVFRQWDPLQDWHGE\KLVWRULFDOXVDJHRIWKHVLWH
7DEOH 1RQ9LVLEOH3ROOXWDQW6DPSOH/RFDWLRQV±$UHDVRI+LVWRULFDO&RQWDPLQDWLRQ 6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'HFLPDO'HJUHHV
1RQH
6L[VDPSOLQJORFDWLRQVKDYHEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIDQXQFRQWDPLQDWHGVDPSOHRI UXQRIIDVDEDFNJURXQGVDPSOHIRUFRPSDULVRQZLWKWKHVDPSOHVEHLQJDQDO\]HGIRUQRQYLVLEOH SROOXWDQWV7KHVHORFDWLRQVZHUHVHOHFWHGVXFKWKDWWKHVDPSOHZLOOQRWKDYHFRPHLQFRQWDFW ZLWKWKHRSHUDWLRQVDFWLYLWLHVRUDUHDVLGHQWLILHGLQ6HFWLRQRUZLWKGLVWXUEHGVRLOVDUHDV 7DEOH 1RQ9LVLEOH3ROOXWDQW6DPSOH/RFDWLRQV±%DFNJURXQG 8QDIIHFWHG6DPSOH
6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'HFLPDO'HJUHHV
86<DUG 8SVWUHDPRI&RQWUDFWRU¶V<DUG
1
:
2QHVDPSOLQJORFDWLRQKDVEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIVDPSOHVRIUXQRQWRWKHSURMHFW VLWH5XQRQIURPWKLVORFDWLRQKDVWKHSRWHQWLDOWRFRPELQHZLWKGLVFKDUJHVIURPWKHVLWHEHLQJ VDPSOHGIRUQRQYLVLEOHSROOXWDQWV7KHVHVDPSOHVDUHLQWHQGHGWRLGHQWLI\SRWHQWLDOVRXUFHVRI QRQYLVLEOHSROOXWDQWVWKDWRULJLQDWHRIIWKHSURMHFWVLWH 423
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH
1RQ9LVLEOH3ROOXWDQW6DPSOH/RFDWLRQV±6LWH5XQ2Q 6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'HFLPDO'HJUHHV
86 ',RQ$O7DKRH
1
:
86 &XUE *XWWHUHDVWRIPDLQSDUN
GULYHZD\
1
:
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
0RQLWRULQJ3UHSDUDWLRQ
1RQYLVLEOHSROOXWDQWVDPSOHVZLOOEHFROOHFWHGE\
&RQWUDFWRU <HV 1R
&RQVXOWDQW <HV 1R
/DERUDWRU\ <HV 1R
6DPSOHVRQWKHSURMHFWVLWHZLOOEHFROOHFWHGE\WKH463
1DPH7HOHSKRQH1XPEHU
-HQQLIHU5RPDQ
$OWHUQDWH
V
7HOHSKRQH1XPEHU
7R%H'HWHUPLQHG
$QDGHTXDWHVWRFNRIPRQLWRULQJVXSSOLHVDQGHTXLSPHQWIRUPRQLWRULQJQRQYLVLEOHSROOXWDQWV ZLOOEHDYDLODEOHRQWKHSURMHFWVLWHSULRUWRDVDPSOLQJHYHQW0RQLWRULQJVXSSOLHVDQG HTXLSPHQWZLOOEHVWRUHGLQDFRROWHPSHUDWXUHHQYLURQPHQWWKDWZLOOQRWFRPHLQWRFRQWDFWZLWK UDLQRUGLUHFWVXQOLJKW6DPSOLQJSHUVRQQHOZLOOEHDYDLODEOHWRFROOHFWVDPSOHVLQDFFRUGDQFH ZLWKWKHVDPSOLQJVFKHGXOH6XSSOLHVPDLQWDLQHGDWWKHSURMHFWVLWHZLOOLQFOXGHEXWDUHQRW OLPLWHGWRFOHDQSRZGHUIUHHQLWULOHJORYHVVDPSOHFROOHFWLRQHTXLSPHQWFRROHUVDSSURSULDWH QXPEHUDQGYROXPHRIVDPSOHERWWOHVLGHQWLILFDWLRQODEHOVUHVHDODEOHVWRUDJHEDJVSDSHU WRZHOVSHUVRQDOUDLQJHDULFHDQG(IIOXHQW6DPSOLQJ)LHOG/RJ6KHHWVDQG&KDLQRI&XVWRG\
&R&
IRUPVZKLFKDUHSURYLGHGLQ&603$WWDFKPHQW³([DPSOH)RUPV´ $QDO\WLFDO&RQVWLWXHQWV
7DEOHOLVWVWKHVSHFLILFVRXUFHVDQGW\SHVRISRWHQWLDOQRQYLVLEOHSROOXWDQWVRQWKHSURMHFW VLWHDQGWKHZDWHUTXDOLW\LQGLFDWRUFRQVWLWXHQW
V
IRUWKDWSROOXWDQW
7DEOH 3RWHQWLDO1RQ9LVLEOH3ROOXWDQWVDQG:DWHU4XDOLW\,QGLFDWRU&RQVWLWXHQWV 424
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
3ROOXWDQW6RXUFH 3ROOXWDQW :DWHU4XDOLW\,QGLFDWRU
&RQVWLWXHQW
9HKLFOH%DWWHULHV 6XOIXULFDFLGS+OHDG S+
'LVLQIHFWLRQ &KORULQH S+
6DPSOH&ROOHFWLRQ
6DPSOHVRIGLVFKDUJHVKDOOEHFROOHFWHGDWWKHGHVLJQDWHGQRQYLVLEOHSROOXWDQWVDPSOLQJ ORFDWLRQVVKRZQRQWKH:DWHU3ROOXWLRQ&RQWUROSODQVLQ$SSHQGL[%RULQWKHORFDWLRQV GHWHUPLQHGE\REVHUYHGEUHDFKHVPDOIXQFWLRQVOHDNDJHVVSLOOVRSHUDWLRQDODUHDVVRLO DPHQGPHQWDSSOLFDWLRQDUHDVDQGKLVWRULFDOVLWHXVDJHDUHDVWKDWWULJJHUHGWKHVDPSOLQJHYHQW *UDEVDPSOHVVKDOOEHFROOHFWHGDQGSUHVHUYHGLQDFFRUGDQFHZLWKWKHPHWKRGVLGHQWLILHGLQWKH 7DEOH³6DPSOH&ROOHFWLRQ3UHVHUYDWLRQDQG$QDO\VLVIRU0RQLWRULQJ1RQ9LVLEOH3ROOXWDQWV´ SURYLGHGLQ6HFWLRQ2QO\WKH463RUSHUVRQQHOWUDLQHGLQZDWHUTXDOLW\VDPSOLQJXQGHU WKHGLUHFWLRQRIWKH463VKDOOFROOHFWVDPSOHV
6DPSOHFROOHFWLRQDQGKDQGOLQJUHTXLUHPHQWVDUHGHVFULEHGLQ6HFWLRQ 6DPSOH$QDO\VLV
6DPSOHVVKDOOEHDQDO\]HGXVLQJWKHDQDO\WLFDOPHWKRGVLGHQWLILHGLQWKH7DEOH 6DPSOHVZLOOEHDQDO\]HGE\
/DERUDWRU\1DPH
$OSKD$QDO\WLFDO,QF
6WUHHW$GGUHVV
*OHQGDOH$YHQXH6XLWH
&LW\6WDWH=LS
6SDUNV19
7HOHSKRQH1XPEHU
3RLQWRI&RQWDFW
5H\QD9DOOHMR
6DPSOHVZLOOEHGHOLYHUHGWRWKHODERUDWRU\E\
'ULYHQE\&RQWUDFWRU <HV 1R
3LFNHGXSE\/DERUDWRU\&RXULHU <HV 1R
6KLSSHG <HV 1R
425
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH 6DPSOH&ROOHFWLRQ3UHVHUYDWLRQDQG$QDO\VLVIRU0RQLWRULQJ1RQ9LVLEOH3ROOXWDQWV &RQVWLWXHQW $QDO\WLFDO0HWKRG
0LQLPXP
6DPSOH
9ROXPH
6DPSOH&RQWDLQHUV 6DPSOH3UHVHUYDWLRQ 5HSRUWLQJ /LPLW 0D[LPXP +ROGLQJ 7LPH S+ PO 3RO\SURS\OHQH 6WRUHDW&
)
KRXUV1RWHV
426
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
'DWD(YDOXDWLRQDQG5HSRUWLQJ
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
7KH*HQHUDO3HUPLWSURKLELWVWKHVWRUPZDWHUGLVFKDUJHVWKDWFRQWDLQKD]DUGRXVVXEVWDQFHVHTXDO WRRULQH[FHVVRIUHSRUWDEOHTXDQWLWLHVHVWDEOLVKHGLQ&)5DQG7KHUHVXOWV RIDQ\QRQVWRUPZDWHUGLVFKDUJHUHVXOWVWKDWLQGLFDWHWKHSUHVHQFHRIDKD]DUGRXVVXEVWDQFHLQ H[FHVVRIHVWDEOLVKHGUHSRUWDEOHTXDQWLWLHVVKDOOEHLPPHGLDWHO\UHSRUWHGWRWKH5HJLRQDO:DWHU %RDUGDQGRWKHUDJHQFLHVDVUHTXLUHGE\&)5DQG 5HVXOWVRIQRQYLVLEOHSROOXWDQWPRQLWRULQJVKDOOEHUHSRUWHGLQWKH$QQXDO5HSRUW 6DPSOLQJDQG$QDO\VLV3ODQIRUS+DQG7XUELGLW\LQ6WRUPZDWHU5XQRII 'LVFKDUJHV
6DPSOLQJDQGDQDO\VLVRIUXQRIIIRUS+DQGWXUELGLW\LVUHTXLUHGIRUWKLVSURMHFW7KLV6DPSOLQJ DQG$QDO\VLV3ODQGHVFULEHVWKHVWUDWHJ\IRUPRQLWRULQJWXUELGLW\DQGS+OHYHOVRIVWRUPZDWHU UXQRIIGLVFKDUJHVIURPWKHSURMHFWVLWHDQGUXQRQWKDWPD\FRQWULEXWHWRDQH[FHHGDQFHRID 1XPHULF$FWLRQ/HYHO
1$/
>RUWKHH[FHHGDQFHRID5HFHLYLQJ:DWHU0RQLWRULQJ7ULJJHU@ 6DPSOHVIRUWXUELGLW\ZLOOEHFROOHFWHGIURPDOOGUDLQDJHDUHDVZLWKGLVWXUEHGVRLODUHDVDQG VDPSOHVIRUS+ZLOOEHFROOHFWHGIURPDOOGUDLQDJHDUHDVZLWKDKLJKULVNRIS+DOWHULQJ GLVFKDUJH
6DPSOLQJ6FKHGXOH
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
427
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6WRUHGRUFROOHFWHGZDWHUIURPDTXDOLI\LQJVWRUPHYHQWZKHQGLVFKDUJHGVKDOOEHWHVWHGIRU WXUELGLW\DQGS+
ZKHQDSSOLFDEOH
6WRUHGRUFROOHFWHGZDWHUIURPDTXDOLI\LQJHYHQWPD\EH VDPSOHGDWWKHSRLQWLWLVUHOHDVHGIURPWKHVWRUDJHRUFRQWDLQPHQWDUHDRUDWWKHVLWHGLVFKDUJH ORFDWLRQ
5XQRQVDPSOHVVKDOOEHFROOHFWHGZKHQHYHUWKH463LGHQWLILHVWKDWUXQRQKDVWKHSRWHQWLDOWR FRQWULEXWHWRDQH[FHHGDQFHRID1$/>RUWKHH[FHHGDQFHRID5HFHLYLQJ:DWHU0RQLWRULQJ 7ULJJHU@
6DPSOLQJ/RFDWLRQV
6DPSOLQJORFDWLRQVDUHEDVHGRQWKHVLWHUXQRIIGLVFKDUJHORFDWLRQVDQGORFDWLRQVZKHUHUXQRQ HQWHUVWKHVLWH
DFFHVVLELOLW\IRUVDPSOLQJ
DQGSHUVRQQHOVDIHW\3ODQQHGS+DQGWXUELGLW\
VDPSOLQJORFDWLRQVDUHVKRZQRQWKH6LWH0DSVLQ$SSHQGL[%DQGLQFOXGHWKHORFDWLRQV LGHQWLILHGLQ7DEOHDQG7DEOH
7ZRVDPSOLQJORFDWLRQVRQWKHSURMHFWVLWHKDYHEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIUXQRII VDPSOHV7DEOHDOVRSURYLGHVDQHVWLPDWHRIWKHVLWH¶VDUHDWKDWGUDLQVWRHDFKORFDWLRQ 7DEOH 7XUELGLW\DQGS+5XQRII6DPSOH/RFDWLRQV
6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ (VWLPDWHRI6LWH
'6 3URSRVHG&XOYHUWXQGHU7UDLO
'6 &XUEDQG*XWWHUDW$O7DKRH-RKQVRQ
,QWHUVHFWLRQ
7ZRVDPSOLQJORFDWLRQVKDYHEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIUXQRQVDPSOHVZKHUHWKH UXQRQKDVWKHSRWHQWLDOWRFRQWULEXWHWRDQH[FHHGDQFHRIDQ1$/RUD5HFHLYLQJ:DWHU 0RQLWRULQJ7ULJJHU7DEOHLGHQWLILHVWKHUXQRQVDPSOHORFDWLRQV 7DEOH 7XUELGLW\DQGS+5XQ2Q6DPSOH/RFDWLRQV
6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'HFLPDO'HJUHHV
86 ',RQ$O7DKRH
1
:
86 &XUE *XWWHUHDVWRIPDLQSDUN
GULYHZD\
1
:
7KHSURMHFWGRHVQRWUHFHLYHUXQRQZLWKWKHSRWHQWLDOWRH[FHHG1$/VRU5HFHLYLQJ:DWHU 0RQLWRULQJ7ULJJHUV
0RQLWRULQJ3UHSDUDWLRQ
7XUELGLW\DQGS+VDPSOHVZLOOEHFROOHFWHGDQGDQDO\]HGE\
&RQWUDFWRU <HV 1R
&RQVXOWDQW <HV 1R
428
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
/DERUDWRU\ <HV 1R
6DPSOHVRQWKHSURMHFWVLWHZLOOEHFROOHFWHGE\WKH463
1DPH7HOHSKRQH1XPEHU
-HQQLIHU5RPDQ
$OWHUQDWH
V
7HOHSKRQH1XPEHU
7R%H'HWHUPLQHG
$QDGHTXDWHVWRFNRIPRQLWRULQJVXSSOLHVDQGHTXLSPHQWIRUPRQLWRULQJWXUELGLW\DQGZLOOEH DYDLODEOHRQWKHSURMHFWVLWHSULRUWRDVDPSOLQJHYHQW0RQLWRULQJVXSSOLHVDQGHTXLSPHQWZLOO EHVWRUHGLQDFRROWHPSHUDWXUHHQYLURQPHQWWKDWZLOOQRWFRPHLQWRFRQWDFWZLWKUDLQRUGLUHFW VXQOLJKW6DPSOLQJSHUVRQQHOZLOOEHDYDLODEOHWRFROOHFWVDPSOHVLQDFFRUGDQFHZLWKWKH VDPSOLQJVFKHGXOH6XSSOLHVPDLQWDLQHGDWWKHSURMHFWVLWHZLOOLQFOXGHEXWDUHQRWOLPLWHGWR ILHOGPHWHUVH[WUDEDWWHULHV
FOHDQSRZGHUIUHHQLWULOHJORYHVVDPSOHFROOHFWLRQHTXLSPHQW DSSURSULDWHVDPSOHFRQWDLQHUVSDSHUWRZHOVSHUVRQDOUDLQJHDUDQG(IIOXHQW6DPSOLQJ)LHOG/RJ 6KHHWVDQG&R&IRUPVSURYLGHGLQ&603$WWDFKPHQW³([DPSOH)RUPV´ 7KHFRQWUDFWRUZLOOREWDLQDQGPDLQWDLQWKHILHOGWHVWLQJLQVWUXPHQWVDVLGHQWLILHGLQ6HFWLRQ IRUDQDO\]LQJVDPSOHVLQWKHILHOGE\FRQWUDFWRUVDPSOLQJSHUVRQQHO 7KH463RUKLVKHUGHVLJQHHZLOOFRQWDFWWKHFRQWUDFWRUKRXUVSULRUWRDSUHGLFWHGUDLQHYHQW RUIRUDQXQSUHGLFWHGHYHQWDVVRRQDVDUDLQHYHQWEHJLQVWRHQVXUHWKDWDGHTXDWHVDPSOH FROOHFWLRQSHUVRQQHOVXSSOLHVIRUPRQLWRULQJS+DQGWXUELGLW\DUHDYDLODEOHDQGZLOOEH PRELOL]HGWRFROOHFWVDPSOHVRQWKHSURMHFWVLWHLQDFFRUGDQFHZLWKWKHVDPSOLQJVFKHGXOH )LHOG3DUDPHWHUV
6DPSOHVVKDOOEHDQDO\]HGIRUWKHFRQVWLWXHQWVLQGLFDWHGLQWKH7DEOH 7DEOH 6DPSOH&ROOHFWLRQDQG$QDO\VLVIRU0RQLWRULQJ7XUELGLW\DQGS+ 3DUDPHWHU 7HVW0HWKRG
0LQLPXP
6DPSOH
9ROXPH
6DPSOH&ROOHFWLRQ
&RQWDLQHU7\SH
'HWHFWLRQ
/LPLW
PLQLPXP
7XUELGLW\ )LHOGPHWHUSUREHZLWK
FDOLEUDWHGSRUWDEOHLQVWUXPHQW P/
3RO\SURS\OHQHRU*ODVV
'RQRWFROOHFWLQPHWHU
VDPSOHFHOOV
178
S+
)LHOGPHWHUSUREHZLWK
FDOLEUDWHGSRUWDEOHLQVWUXPHQW
RUFDOLEUDWHGS+WHVWNLW
P/ 3RO\SURS\OHQH S+XQLWV
1RWHV
0LQLPXPVDPSOHYROXPHUHFRPPHQGHG6SHFLILFYROXPHUHTXLUHPHQWVZLOOYDU\E\LQVWUXPHQW FKHFN
LQVWUXPHQWPDQXIDFWXUHULQVWUXFWLRQV
/±/LWHU
P/±0LOOLOLWHU
178±1HSKHORPHWULF7XUELGLW\8QLW
429
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6DPSOH&ROOHFWLRQ
6DPSOHVRIGLVFKDUJHVKDOOEHFROOHFWHGDWWKHGHVLJQDWHGUXQRIIDQGUXQRQVDPSOLQJORFDWLRQV VKRZQRQ0DSLQ$SSHQGL[%5XQRQVDPSOHVVKDOOEHFROOHFWHGZLWKLQFORVHSUR[LPLW\RI WKHSRLQWRIUXQRQWRWKHSURMHFW
2QO\SHUVRQQHOWUDLQHGLQZDWHUTXDOLW\VDPSOLQJDQGILHOGPHDVXUHPHQWVZRUNLQJXQGHUWKH GLUHFWLRQRIWKH463VKDOOFROOHFWVDPSOHV
6DPSOHFROOHFWLRQDQGKDQGOLQJUHTXLUHPHQWVDUHGHVFULEHGLQ6HFWLRQ )LHOG0HDVXUHPHQWV
6DPSOHVFROOHFWHGIRUILHOGDQDO\VLVFROOHFWLRQDQDO\VLVDQGHTXLSPHQWFDOLEUDWLRQVKDOOEHLQ DFFRUGDQFHZLWKWKHILHOGLQVWUXPHQWPDQXIDFWXUHU¶VVSHFLILFDWLRQV ,PPHGLDWHO\IROORZLQJFROOHFWLRQVDPSOHVIRUILHOGDQDO\VLVVKDOOEHWHVWHGLQDFFRUGDQFHZLWK WKHILHOGLQVWUXPHQWPDQXIDFWXUHU¶VLQVWUXFWLRQVDQGUHVXOWVUHFRUGHGRQWKH(IIOXHQW6DPSOLQJ )LHOG/RJ6KHHW
7KHILHOGLQVWUXPHQW
V
OLVWHGLQ7DEOHZLOOEHXVHGWRDQDO\]HWKHIROORZLQJFRQVWLWXHQWV
7DEOH )LHOG,QVWUXPHQWV
)LHOG,QVWUXPHQW
0DQXIDFWXUHUDQG0RGHO
&RQVWLWXHQW
([WHFKS+0HWHU S+
2DNWRQ77XUELGLW\0HWHU 7XUELGLW\
7KHPDQXIDFWXUHUV¶LQVWUXFWLRQVDUHLQFOXGHGLQ&603$WWDFKPHQW³)LHOG0HWHU,QVWUXFWLRQV´ )LHOGVDPSOLQJVWDIIVKDOOUHYLHZWKHLQVWUXFWLRQVSULRUWRHDFKVDPSOLQJHYHQWDQGIROORZWKH LQVWUXFWLRQVLQFRPSOHWLQJPHDVXUHPHQWRIWKHVDPSOHV x 7KHLQVWUXPHQW
V
VKDOOEHPDLQWDLQHGLQDFFRUGDQFHZLWKPDQXIDFWXUHU¶VLQVWUXFWLRQV x 7KHLQVWUXPHQW
V
VKDOOEHFDOLEUDWHGEHIRUHHDFKVDPSOLQJDQGDQDO\VLVHYHQW x 0DLQWHQDQFHDQGFDOLEUDWLRQUHFRUGVVKDOOEHPDLQWDLQHGZLWKWKH6:333 7KH463PD\DXWKRUL]HDOWHUQDWHHTXLSPHQWSURYLGHGWKDWWKHHTXLSPHQWPHHWVWKH&RQVWUXFWLRQ *HQHUDO3HUPLW¶VUHTXLUHPHQWVDQGWKHPDQXIDFWXUHUV¶LQVWUXFWLRQVIRUFDOLEUDWLRQDQGXVHDUH DGGHGWR&603$WWDFKPHQW³)LHOG0HWHU,QVWUXFWLRQV´
'DWD(YDOXDWLRQDQG5HSRUWLQJ
,PPHGLDWHO\XSRQFRPSOHWLQJWKHPHDVXUHPHQWVIRUWKHVDPSOLQJHYHQWSURYLGHWKH(IIOXHQW 6DPSOLQJ)LHOG/RJ6KHHWVWRWKH463IRUHYDOXDWLRQ
1XPHULF$FWLRQ/HYHOV
7KLVSURMHFWLVVXEMHFWWR1$/VIRUS+DQGWXUELGLW\
7DEOH
&RPSOLDQFHZLWKWKH1$/IRU
S+DQGWXUELGLW\LVEDVHGRQDGDLO\DYHUDJH8SRQUHFHLYLQJWKHILHOGORJVKHHWVWKH463VKDOO LPPHGLDWHO\FDOFXODWHWKHDULWKPHWLFDYHUDJHRIWKHWXUELGLW\VDPSOHVDQGWKHORJDULWKPLF 430
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
DYHUDJHRIWKHS+VDPSOHVWRGHWHUPLQHLIWKH1$/VVKRZQLQWKHWDEOHEHORZKDYHEHHQ H[FHHGHG
7DEOH 1XPHULF$FWLRQ/HYHOV
3DUDPHWHU 8QLW 'DLO\$YHUDJH
S+ S+XQLWV /RZHU1$/
8SSHU1$/
7XUELGLW\ 178 178
1(/7DKRH&*3
178
1$/6WDWH&*3
7KH463VKDOOZLWKLQWKUHHGD\VRIWKHVDPSOHFROOHFWLRQVXEPLWFRSLHVRIWKHFRPSOHWHG(IIOXHQW 6DPSOLQJ)LHOG/RJ6KHHWVWRWKH/53
,QWKHHYHQWWKDWWKHS+RUWXUELGLW\1$/LVH[FHHGHGWKH463VKDOOLPPHGLDWHO\QRWLI\WKH/53 DQGLQYHVWLJDWHWKHFDXVHRIWKHH[FHHGDQFHDQGLGHQWLI\FRUUHFWLYHDFWLRQV ([FHHGDQFHVRI1$/VVKDOOEHHOHFWURQLFDOO\UHSRUWHGWRWKH6WDWH:DWHU%RDUGE\/53WKURXJK WKH60$57VV\VWHPZLWKLQGD\VRIWKHFRQFOXVLRQRIWKHVWRUPHYHQW,IUHTXHVWHGE\WKH 5HJLRQDO%RDUGD1$/([FHHGDQFHUHSRUWZLOOEHVXEPLWWHG7KH1$/([FHHGDQFH5HSRUW PXVWFRQWDLQWKHIROORZLQJLQIRUPDWLRQ
x $QDO\WLFDOPHWKRG
V
PHWKRGUHSRUWLQJXQLW
V
DQG0'/
V
RIHDFKSDUDPHWHU
x 'DWHSODFHWLPHRIVDPSOLQJYLVXDOREVHUYDWLRQDQGRUPHDVXUHPHQWVLQFOXGLQJ
SUHFLSLWDWLRQ
DQG
x 'HVFULSWLRQRIWKHFXUUHQW%03VDVVRFLDWHGZLWKWKHVDPSOHWKDWH[FHHGHGWKH1$/DQG WKHSURSRVHGFRUUHFWLYHDFWLRQVWDNHQ
5HFHLYLQJ:DWHU0RQLWRULQJ7ULJJHUV
7KLVSURMHFWLVQRWVXEMHFWWR5HFHLYLQJ:DWHU0RQLWRULQJ7ULJJHUVEHFDXVHLWGRHVQRWKDYHD GLUHFWGLVFKDUJHWRWKHUHFHLYLQJZDWHU
6DPSOLQJDQG$QDO\VLV3ODQIRUS+7XUELGLW\DQG66&LQ5HFHLYLQJ:DWHU 7KLVSURMHFWLVQRWVXEMHFWWR5HFHLYLQJ:DWHU0RQLWRULQJ 6DPSOLQJDQG$QDO\VLV3ODQIRU1RQ6WRUPZDWHU'LVFKDUJHV 7KLVSURMHFWLVQRWVXEMHFWWRWKHQRQVWRUPZDWHUVDPSOLQJDQGDQDO\VLVUHTXLUHPHQWVRIWKH *HQHUDO3HUPLWEHFDXVHLWLVD5LVN/HYHOSURMHFW
7KLV6DPSOLQJDQG$QDO\VLV3ODQIRUQRQVWRUPZDWHUGLVFKDUJHVGHVFULEHVWKHVDPSOLQJDQG DQDO\VLVVWUDWHJ\DQGVFKHGXOHIRUPRQLWRULQJSROOXWDQWVLQDXWKRUL]HGDQGXQDXWKRUL]HG
'DLO\DYHUDJHS+YDOXHVPXVWEHFDOFXODWHGWKURXJKWKHORJDULWKPLFPHWKRG,QRUGHUWRFDOFXODWHDQDYHUDJH\RX PXVW
&RQYHUWWKHS+PHDVXUHPHQWVIURPORJDULWKPVWRUHDOQXPEHUV
7DNHWKHDYHUDJHRIWKHUHDO
QXPEHUV
DQG
&RQYHUWWKHDYHUDJHRIWKHUHDOQXPEHUVEDFNWRDORJDULWKP 431
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
QRQVWRUPZDWHUGLVFKDUJHVIURPWKHSURMHFWVLWHLQDFFRUGDQFHZLWKWKHUHTXLUHPHQWVRIWKH &RQVWUXFWLRQ*HQHUDO3HUPLW
6DPSOLQJRIQRQVWRUPZDWHUGLVFKDUJHVZLOOEHFRQGXFWHGZKHQDQDXWKRUL]HGRUXQDXWKRUL]HG QRQVWRUPZDWHUGLVFKDUJHLVREVHUYHGGLVFKDUJLQJIURPWKHSURMHFWVLWH,QWKHHYHQWWKDW QRQVWRUPZDWHUGLVFKDUJHVUXQRQWRWKHSURMHFWVLWHIURPRIIVLWHORFDWLRQVDQGWKLVUXQRQKDV WKHSRWHQWLDOWRFRQWULEXWHWRDYLRODWLRQRID1$/WKHUXQRQZLOODOVREHVDPSOHG 7KHIROORZLQJDXWKRUL]HGQRQVWRUPZDWHUGLVFKDUJHVLGHQWLILHGLQ6HFWLRQKDYHWKHSRWHQWLDO WREHGLVFKDUJHGIURPWKHSURMHFWVLWH
x 1RQH
,QDGGLWLRQWRWKHDERYHDXWKRUL]HGVWRUPZDWHUGLVFKDUJHVVRPHFRQVWUXFWLRQDFWLYLWLHVKDYHWKH SRWHQWLDOWRUHVXOWLQDQXQSODQQHG
XQDXWKRUL]HG
QRQVWRUPZDWHUGLVFKDUJHLI%03VIDLO7KHVH
DFWLYLWLHVLQFOXGH
x &RQFUHWHZDVKRXW
x 6DZFXWWLQJ
x 2LOVOXEULFDQWV
x 3UHVVXUHWHVWLQJ
x 'LVLQIHFWLRQ
6DPSOLQJ6FKHGXOH
6DPSOHVRIDXWKRUL]HGRUXQDXWKRUL]HGQRQVWRUPZDWHUGLVFKDUJHVVKDOOEHFROOHFWHGZKHQWKH\ DUHREVHUYHG
6DPSOLQJ/RFDWLRQV
6DPSOHVVKDOOEHFROOHFWHGIURPWKHGLVFKDUJHSRLQWRIWKHFRQVWUXFWLRQVLWHZKHUHWKH QRQVWRUPZDWHUGLVFKDUJHLVUXQQLQJRIIWKHSURMHFWVLWH6LWHGLVFKDUJHORFDWLRQVDUHVKRZQRQ WKH6LWH0DSVLQ6:333$SSHQGL[%DQGLQFOXGHWKHORFDWLRQVLGHQWLILHGEHORZ 7ZRVDPSOLQJORFDWLRQVRQWKHSURMHFWVLWHKDVEHHQLGHQWLILHGZKHUHQRQVWRUPZDWHUGLVFKDUJHV PD\UXQRIIIURPWKHSURMHFWVLWH
7DEOH
7DEOH 1RQVWRUPZDWHU'LVFKDUJH6DPSOH/RFDWLRQV
6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'HFLPDO'HJUHHV
'6 3URSRVHG&XOYHUWXQGHU7UDLO
1
:
'6 &XUEDQG*XWWHUDW$O7DKRH-RKQVRQ
,QWHUVHFWLRQ
1
:
432
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
7ZRVDPSOLQJORFDWLRQKDVEHHQLGHQWLILHGIRUWKHFROOHFWLRQRIQRQVWRUPZDWHUGLVFKDUJHVWKDW UXQRQWRWKHSURMHFWVLWH
7DEOH
7DEOH 1RQVWRUPZDWHU5XQRQ6DPSOH/RFDWLRQV
6DPSOH/RFDWLRQ
1XPEHU 6DPSOH/RFDWLRQ
6DPSOH/RFDWLRQ/DWLWXGHDQG
/RQJLWXGH
'HFLPDO'HJUHHV
86 ',RQ$O7DKRH
1
:
86 &XUE *XWWHUHDVWRIPDLQSDUN
GULYHZD\
1
:
0RQLWRULQJ3UHSDUDWLRQ
1RQVWRUPZDWHUGLVFKDUJHVDPSOHVZLOOEHFROOHFWHGE\
&RQWUDFWRU <HV 1R
&RQVXOWDQW <HV 1R
/DERUDWRU\ <HV 1R
6DPSOHVRQWKHSURMHFWVLWHZLOOEHFROOHFWHGE\WKH463
1DPH7HOHSKRQH1XPEHU
-HQQLIHU5RPDQ
$OWHUQDWH
V
7HOHSKRQH1XPEHU
7REHGHWHUPLQHG
$QDGHTXDWHVWRFNRIPRQLWRULQJVXSSOLHVDQGHTXLSPHQWIRUPRQLWRULQJQRQVWRUPZDWHU GLVFKDUJHVZLOOEHDYDLODEOHRQWKHSURMHFWVLWH0RQLWRULQJVXSSOLHVDQGHTXLSPHQWZLOOEH VWRUHGLQDFRROWHPSHUDWXUHHQYLURQPHQWWKDWZLOOQRWFRPHLQWRFRQWDFWZLWKUDLQRUGLUHFW VXQOLJKW3HUVRQQHOWUDLQHGLQVDPSOLQJZLOOEHDYDLODEOHWRFROOHFWVDPSOHVLQDFFRUGDQFHZLWK WKHVDPSOLQJVFKHGXOH6XSSOLHVPDLQWDLQHGDWWKHSURMHFWVLWHZLOOLQFOXGHEXWDUHQRWOLPLWHG WRFOHDQSRZGHUIUHHQLWULOHJORYHVVDPSOHFROOHFWLRQHTXLSPHQWILHOGPHWHUVFRROHUV DSSURSULDWHQXPEHUDQGYROXPHRIVDPSOHERWWOHVLGHQWLILFDWLRQODEHOVUHVHDODEOHVWRUDJHEDJV SDSHUWRZHOVSHUVRQDOUDLQJHDULFHDQG(IIOXHQW6DPSOLQJ)LHOG/RJ6KHHWVDQG&R&IRUPV SURYLGHGLQ&603$WWDFKPHQW³([DPSOH)RUPV´
7KHFRQWUDFWRUZLOOREWDLQDQGPDLQWDLQWKHILHOGWHVWLQJLQVWUXPHQWVDVLGHQWLILHGLQ6HFWLRQ IRUDQDO\]LQJVDPSOHVLQWKHILHOGE\FRQWUDFWRUVDPSOLQJSHUVRQQHO 7KH463RUKLVKHUGHVLJQHHZLOOFRQWDFWWKHFRQWUDFWRUKRXUVSULRUWRDSODQQHG QRQVWRUPZDWHUGLVFKDUJHRUDVVRRQDVDQXQSODQQHGQRQVWRUPZDWHUGLVFKDUJHLVREVHUYHGWR HQVXUHWKDWDGHTXDWHVDPSOHFROOHFWLRQSHUVRQQHOVXSSOLHVIRUQRQVWRUPZDWHUGLVFKDUJH PRQLWRULQJDUHDYDLODEOHDQGZLOOEHPRELOL]HGWRFROOHFWVDPSOHVRQWKHSURMHFWVLWHLQ DFFRUGDQFHZLWKWKHVDPSOLQJVFKHGXOH
433
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$QDO\WLFDO&RQVWLWXHQWV
$OOQRQVWRUPZDWHUGLVFKDUJHVWKDWIORZWKURXJKDGLVWXUEHGDUHDVKDOODWPLQLPXPEH PRQLWRUHGIRUWXUELGLW\
$OOQRQVWRUPZDWHUGLVFKDUJHVWKDWIORZWKURXJKDQDUHDZKHUHWKH\DUHH[SRVHGWRS+DOWHULQJ PDWHULDOVVKDOOEHPRQLWRUHGIRUS+
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
V
IRUWKDWSROOXWDQW
7DEOH 3RWHQWLDO1RQ6WRUPZDWHU'LVFKDUJH3ROOXWDQWVDQG:DWHU4XDOLW\,QGLFDWRU &RQVWLWXHQWV
3ROOXWDQW6RXUFH 3ROOXWDQW :DWHU4XDOLW\,QGLFDWRU
&RQVWLWXHQW
'LVWXUEHG$UHDV 6HGLPHQW 7XUELGLW\
&RQFUHWH:RUN S+ S+
6DPSOH&ROOHFWLRQ
6DPSOHVVKDOOEHFROOHFWHGDWWKHGLVFKDUJHORFDWLRQVZKHUHWKHQRQVWRUPZDWHUGLVFKDUJHLV OHDYLQJWKHSURMHFWVLWH3RWHQWLDOGLVFKDUJHORFDWLRQVDUHVKRZQRQWKH6LWH0DSVLQ$SSHQGL[% DQGLGHQWLILHGLQ6HFWLRQ
*UDEVDPSOHVVKDOOEHFROOHFWHGDQGSUHVHUYHGLQDFFRUGDQFHZLWKWKHPHWKRGVLGHQWLILHGLQ 7DEOH2QO\SHUVRQQHOWUDLQHGLQZDWHUTXDOLW\VDPSOLQJXQGHUWKHGLUHFWLRQRIWKH463 VKDOOFROOHFWVDPSOHV
6DPSOHFROOHFWLRQDQGKDQGOLQJUHTXLUHPHQWVDUHGHVFULEHGLQ6HFWLRQ 6DPSOH$QDO\VLV
6DPSOHVVKDOOEHDQDO\]HGXVLQJWKHDQDO\WLFDOPHWKRGVLGHQWLILHGLQ7DEOH 'DWD(YDOXDWLRQDQG5HSRUWLQJ
7KH463VKDOOFRPSOHWHDQHYDOXDWLRQRIWKHZDWHUTXDOLW\VDPSOHDQDO\WLFDOUHVXOWV 7XUELGLW\DQGS+UHVXOWVVKDOOEHHYDOXDWHGIRUFRPSOLDQFHZLWK1$/V>DQG1(/V@DVLGHQWLILHG LQ6HFWLRQ
434
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
5XQRIIUHVXOWVVKDOODOVREHHYDOXDWHGIRUWKHFRQVWLWXHQWVVXVSHFWHGLQWKHQRQVWRUPZDWHU GLVFKDUJH6KRXOGWKHUXQRIIVDPSOHLQGLFDWHWKHGLVFKDUJHRIDSROOXWDQWZKLFKFDQQRWEH H[SODLQHGE\UXQRQUHVXOWVWKH%03VVLWHFRQGLWLRQVDQGVXUURXQGLQJLQIOXHQFHVVKDOOEH DVVHVVHGWRGHWHUPLQHWKHSUREDEOHFDXVHIRUWKHLQFUHDVH $VGHWHUPLQHGE\WKHVLWHDQGGDWDHYDOXDWLRQDSSURSULDWH%03VVKDOOEHUHSDLUHGRUPRGLILHGWR PLWLJDWHGLVFKDUJHVRIQRQYLVLEOHSROOXWDQWFRQFHQWUDWLRQV$Q\UHYLVLRQVWRWKH%03VVKDOOEH UHFRUGHGDVDQDPHQGPHQWWRWKH6:333
1RQVWRUPZDWHUGLVFKDUJHUHVXOWVVKDOOEHVXEPLWWHGZLWKWKH$QQXDO5HSRUW 7KH*HQHUDO3HUPLWSURKLELWVWKHQRQVWRUPZDWHUGLVFKDUJHVWKDWFRQWDLQKD]DUGRXVVXEVWDQFHV HTXDOWRRULQH[FHVVRIUHSRUWDEOHTXDQWLWLHVHVWDEOLVKHGLQ&)5DQG7KH UHVXOWVRIDQ\QRQVWRUPZDWHUGLVFKDUJHUHVXOWVWKDWLQGLFDWHWKHSUHVHQFHRIDKD]DUGRXV VXEVWDQFHLQH[FHVVRIHVWDEOLVKHGUHSRUWDEOHTXDQWLWLHVVKDOOEHLPPHGLDWHO\UHSRUWHGWRWKH 5HJLRQDO:DWHU%RDUG
435
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH 6DPSOH&ROOHFWLRQ3UHVHUYDWLRQDQG$QDO\VLVIRU0RQLWRULQJ3ROOXWDQWVLQ1RQ6WRUPZDWHU'LVFKDUJHV &RQVWLWXHQW $QDO\WLFDO0HWKRG
0LQLPXP
6DPSOH
9ROXPH
6DPSOH%RWWOH 6DPSOH3UHVHUYDWLRQ 5HSRUWLQJ /LPLW 0D[LPXP +ROGLQJ 7LPH S+
)LHOGWHVWZLWKFDOLEUDWHGSRUWDEOHLQVWUXPHQW
P/ 3RO\SURS\OHQH 6WRUHDW&
)
KRXUV
7XUELGLW\
)LHOGWHVWZLWKFDOLEUDWHGSRUWDEOHLQVWUXPHQW
P/ 3RO\SURS\OHQHRU *ODVV 6WRUHDW&
)
178 KRXUV
1RWHV
436
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6DPSOLQJDQG$QDO\VLV3ODQIRU2WKHU3ROOXWDQWV5HTXLUHGE\WKH5HJLRQDO :DWHU%RDUG
7KH5HJLRQDO:DWHU%RDUGKDVQRWVSHFLILHGPRQLWRULQJIRUDGGLWLRQDOSROOXWDQWV 7UDLQLQJRI6DPSOLQJ3HUVRQQHO
6DPSOLQJSHUVRQQHOVKDOOEHWUDLQHGWRFROOHFWPDLQWDLQDQGVKLSVDPSOHVLQDFFRUGDQFHZLWKWKH 6XUIDFH:DWHU$PELHQW0RQLWRULQJSURJUDP
6:$03
4XDOLW\$VVXUDQFH3URJUDP3ODQ
4$3U3
7UDLQLQJUHFRUGVRIGHVLJQDWHGFRQWUDFWRUVDPSOLQJSHUVRQQHODUHSURYLGHGLQ $SSHQGL[.
7KHVWRUPZDWHUVDPSOHU
V
DQGDOWHUQDWH
V
KDYHUHFHLYHGWKHIROORZLQJVWRUPZDWHUVDPSOLQJ
WUDLQLQJ
1DPH 7UDLQLQJ
-HQQLIHU5RPDQ 46'4637UDLQLQJDQGFHUWLILFDWLRQ
7KHVWRUPZDWHUVDPSOHU
V
DQGDOWHUQDWHVKDYHWKHIROORZLQJVWRUPZDWHUVDPSOLQJH[SHULHQFH
1DPH ([SHULHQFH
-HQQLIHU5RPDQ \HDUVVDPSOLQJH[SHULHQFH
6DPSOHDQG+DQGOLQJ
6DPSOH&ROOHFWLRQ
6DPSOHVVKDOOEHFROOHFWHGDWWKHGHVLJQDWHGVDPSOLQJORFDWLRQVVKRZQRQWKH6LWH0DSVDQG OLVWHGLQWKHSUHFHGLQJVHFWLRQV6DPSOHVVKDOOEHFROOHFWHGPDLQWDLQHGDQGVKLSSHGLQ DFFRUGDQFHZLWKWKH6:$034XDOLW\$VVXUDQFH3URJUDP3ODQ 4$3U3
*UDEVDPSOHVVKDOOEHFROOHFWHGDQGSUHVHUYHGLQDFFRUGDQFHZLWKWKHPHWKRGVLGHQWLILHGLQ SUHFHGLQJVHFWLRQV
7RPDLQWDLQVDPSOHLQWHJULW\DQGSUHYHQWFURVVFRQWDPLQDWLRQVDPSOHFROOHFWLRQSHUVRQQHOVKDOO IROORZWKHSURWRFROVEHORZ
x &ROOHFWVDPSOHV
IRUODERUDWRU\DQDO\VLV
RQO\LQDQDO\WLFDOODERUDWRU\SURYLGHGVDPSOH
FRQWDLQHUV
x :HDUFOHDQSRZGHUIUHHQLWULOHJORYHVZKHQFROOHFWLQJVDPSOHV
x &KDQJHJORYHVZKHQHYHUVRPHWKLQJQRWNQRZQWREHFOHDQKDVEHHQWRXFKHG
x &KDQJHJORYHVEHWZHHQVLWHV
x 'HFRQWDPLQDWHDOOHTXLSPHQW
HJEXFNHWWXELQJ
SULRUWRVDPSOHFROOHFWLRQXVLQJD
WULVRGLXPSKRVSKDWHZDWHUZDVKGLVWLOOHGZDWHUULQVHDQGILQDOULQVHZLWKGLVWLOOHGZDWHU
'LVSRVHRIZDVKDQGULQVHZDWHUDSSURSULDWHO\LHGRQRWGLVFKDUJHWRVWRUPGUDLQRU UHFHLYLQJZDWHU
'RQRWGHFRQWDPLQDWHODERUDWRU\SURYLGHGVDPSOHFRQWDLQHUV
x 'RQRWVPRNHGXULQJVDPSOLQJHYHQWV
x 1HYHUVDPSOHQHDUDUXQQLQJYHKLFOH
437
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
x 'RQRWSDUNYHKLFOHVLQWKHLPPHGLDWHVDPSOHFROOHFWLRQDUHD HYHQQRQUXQQLQJ
YHKLFOHV
x 'RQRWHDWRUGULQNGXULQJVDPSOHFROOHFWLRQ
DQG
x 'RQRWEUHDWKHVQHH]HRUFRXJKLQWKHGLUHFWLRQRIDQRSHQVDPSOHFRQWDLQHU 7KHPRVWLPSRUWDQWDVSHFWRIJUDEVDPSOLQJLVWRFROOHFWDVDPSOHWKDWUHSUHVHQWVWKHHQWLUH UXQRIIVWUHDP7\SLFDOO\VDPSOHVDUHFROOHFWHGE\GLSSLQJWKHFROOHFWLRQFRQWDLQHULQWKHUXQRII IORZSDWKVDQGVWUHDPVDVQRWHGEHORZ
L )RUVPDOOVWUHDPVDQGIORZSDWKVVLPSO\GLSWKHERWWOHIDFLQJXSVWUHDPXQWLOIXOO LL )RUODUJHUVWUHDPWKDWFDQEHVDIHO\DFFHVVHGFROOHFWDVDPSOHLQWKHPLGGOHRIWKHIORZ VWUHDPE\GLUHFWO\GLSSLQJWKHPRXWKRIWKHERWWOH2QFHDJDLQPDNLQJVXUHWKDWWKH RSHQLQJRIWKHERWWOHLVIDFLQJXSVWUHDPDVWRDYRLGDQ\FRQWDPLQDWLRQE\WKHVDPSOHU LLL )RUODUJHUVWUHDPVWKDWFDQQRWEHVDIHO\ZDGHGSROHVDPSOHUVPD\EHQHHGHGWRVDIHO\ DFFHVVWKHUHSUHVHQWDWLYHIORZ
LY $YRLGFROOHFWLQJVDPSOHVIURPSRQGHGVOXJJLVKRUVWDJQDQWZDWHU Y $YRLGFROOHFWLQJVDPSOHVGLUHFWO\GRZQVWUHDPIURPDEULGJHDVWKHVDPSOHVFDQEH DIIHFWHGE\WKHEULGJHVWUXFWXUHRUUXQRIIIURPWKHURDGVXUIDFH 1RWHWKDWGHSHQGLQJXSRQWKHVSHFLILFDQDO\WLFDOWHVWVRPHFRQWDLQHUVPD\FRQWDLQ SUHVHUYDWLYHV7KHVHFRQWDLQHUVVKRXOGQHYHUEHGLSSHGLQWRWKHVWUHDPEXWILOOHGLQGLUHFWO\IURP WKHFROOHFWLRQFRQWDLQHU
66&VDPSOHVVKRXOGEHWDNHQDVDQRUPDOJUDEVDPSOHZKHUHWKHERWWOHLVVXEPHUJHGIDFLQJ XSVWUHDPDQGILOOHG66&VDPSOHVQHHGWREHFROOHFWHGLQDVHSDUDWHERWWOHEHFDXVHWKHDQDO\VLV UHTXLUHVWKHHQWLUHYROXPHRIWKHERWWOH'RQRWFROOHFWLQDODUJHUFRQWDLQHUDQGSDUWLWLRQLQWRWKH ODERUDWRU\VDPSOHFRQWDLQHU
6DPSOH+DQGOLQJ
7XUELGLW\DQGS+PHDVXUHPHQWVPXVWEHFRQGXFWHGLPPHGLDWHO\'RQRWVWRUHWXUELGLW\RUS+ VDPSOHVIRUODWHUPHDVXUHPHQW
6DPSOHVIRUODERUDWRU\DQDO\VLVPXVWEHKDQGOHGDVIROORZV,PPHGLDWHO\IROORZLQJVDPSOH
FROOHFWLRQ
x &DSVDPSOHFRQWDLQHUV
x &RPSOHWHVDPSOHFRQWDLQHUODEHOV
x 6HDOHGFRQWDLQHUVLQDUHVHDODEOHVWRUDJHEDJ
x 3ODFHVDPSOHFRQWDLQHUVLQWRDQLFHFKLOOHGFRROHU
x 'RFXPHQWVDPSOHLQIRUPDWLRQRQWKH(IIOXHQW6DPSOLQJ)LHOG/RJ6KHHW DQG
x &RPSOHWHWKH&R&
$OOVDPSOHVIRUODERUDWRU\DQDO\VLVPXVWEHPDLQWDLQHGEHWZHHQGHJUHHV&HOVLXVGXULQJ GHOLYHU\WRWKHODERUDWRU\6DPSOHVPXVWEHNHSWRQLFHRUUHIULJHUDWHGIURPVDPSOHFROOHFWLRQ WKURXJKGHOLYHU\WRWKHODERUDWRU\3ODFHVDPSOHVWREHVKLSSHGLQVLGHFRROHUVZLWKLFH0DNH VXUHWKHVDPSOHERWWOHVDUHZHOOSDFNDJHGWRSUHYHQWEUHDNDJHDQGVHFXUHFRROHUOLGVZLWK SDFNDJLQJWDSH
6KLSVDPSOHVWKDWZLOOEHODERUDWRU\DQDO\]HGWRWKHDQDO\WLFDOODERUDWRU\ULJKWDZD\+ROGWLPHV DUHPHDVXUHGIURPWKHWLPHWKHVDPSOHLVFROOHFWHGWRWKHWLPHWKHVDPSOHLVDQDO\]HG7KH 438
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
*HQHUDO3HUPLWUHTXLUHVWKDWVDPSOHVEHUHFHLYHGE\WKHDQDO\WLFDOODERUDWRU\ZLWKLQKRXUVRI WKHSK\VLFDOVDPSOLQJ
XQOHVVUHTXLUHGVRRQHUE\WKHDQDO\WLFDOODERUDWRU\
/DERUDWRU\1DPH
$OSKD$QDO\WLFDO,QF
6WUHHW$GGUHVV
*OHQGDOH$YHQXH6XLWH
&LW\6WDWH=LS
6SDUNV19
7HOHSKRQH1XPEHU
3RLQWRI&RQWDFW
5H\QD9DOOHMR
6DPSOH'RFXPHQWDWLRQ3URFHGXUHV
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
6DPSOHGRFXPHQWDWLRQSURFHGXUHVLQFOXGHWKHIROORZLQJ
6DPSOH%RWWOH,GHQWLILFDWLRQ/DEHOV
6DPSOLQJSHUVRQQHOVKDOODWWDFKDQLGHQWLILFDWLRQODEHOWR HDFKVDPSOHERWWOH6DPSOHLGHQWLILFDWLRQVKDOOXQLTXHO\LGHQWLI\HDFKVDPSOHORFDWLRQ )LHOG/RJ6KHHWV
6DPSOLQJSHUVRQQHOVKDOOFRPSOHWHWKH(IIOXHQW6DPSOLQJ)LHOG/RJ6KHHWDQG 5HFHLYLQJ:DWHU6DPSOLQJ)LHOG/RJ6KHHWIRUHDFKVDPSOLQJHYHQWDVDSSURSULDWH &KDLQRI&XVWRG\
6DPSOLQJSHUVRQQHOVKDOOFRPSOHWHWKH&R&IRUHDFKVDPSOLQJHYHQWIRU ZKLFKVDPSOHVDUHFROOHFWHGIRUODERUDWRU\DQDO\VLV7KHVDPSOHUZLOOVLJQWKH&R&ZKHQWKH VDPSOH
V
LVWXUQHGRYHUWRWKHWHVWLQJODERUDWRU\RUFRXULHU
$FWLYH7UHDWPHQW6\VWHP0RQLWRULQJ
$Q$FWLYH7UHDWPHQW6\VWHP
$76
ZLOOEHGHSOR\HGRQWKHVLWH"
<HV 1R
7KLVSURMHFWGRHVQRWUHTXLUHDSURMHFWVSHFLILF6DPSOLQJDQG$QDO\VLV3ODQIRUDQ$76EHFDXVH GHSOR\PHQWRIDQ$76LVQRWSODQQHG
%LRDVVHVVPHQW0RQLWRULQJ
7KLVSURMHFWLVQRWVXEMHFWWRELRDVVHVVPHQWPRQLWRULQJEHFDXVHLWGRHVQRWGLVWXUEPRUHWKDQ DFUHV
:DWHUVKHG0RQLWRULQJ2SWLRQ
7KLVSURMHFWLVQRWSDUWLFLSDWLQJLQDZDWHUVKHGPRQLWRULQJRSWLRQ 439
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
4XDOLW\$VVXUDQFHDQG4XDOLW\&RQWURO
$QHIIHFWLYH4XDOLW\$VVXUDQFHDQG4XDOLW\&RQWURO
4$4&
SODQVKDOOEHLPSOHPHQWHGDVSDUW
RIWKH&603WRHQVXUHWKDWDQDO\WLFDOGDWDFDQEHXVHGZLWKFRQILGHQFH4$4&SURFHGXUHVWR EHLQLWLDWHGLQFOXGHWKHIROORZLQJ
x )LHOGORJV
x &OHDQVDPSOLQJWHFKQLTXHV
x &R&V
x 4$4&6DPSOHV
DQG
x 'DWDYHULILFDWLRQ
(DFKRIWKHVHSURFHGXUHVLVGLVFXVVHGLQPRUHGHWDLOLQWKHIROORZLQJVHFWLRQV )LHOG/RJV
7KHSXUSRVHRIILHOGORJVLVWRUHFRUGVDPSOLQJLQIRUPDWLRQDQGILHOGREVHUYDWLRQVGXULQJ PRQLWRULQJWKDWPD\H[SODLQDQ\XQFKDUDFWHULVWLFDQDO\WLFDOUHVXOWV6DPSOLQJLQIRUPDWLRQWREH LQFOXGHGLQWKHILHOGORJLQFOXGHWKHGDWHDQGWLPHRIZDWHUTXDOLW\VDPSOHFROOHFWLRQVDPSOLQJ SHUVRQQHOVDPSOHFRQWDLQHULGHQWLILFDWLRQQXPEHUVDQGW\SHVRIVDPSOHVWKDWZHUHFROOHFWHG )LHOGREVHUYDWLRQVVKRXOGEHQRWHGLQWKHILHOGORJIRUDQ\DEQRUPDOLWLHVDWWKHVDPSOLQJORFDWLRQ
FRORURGRU%03VHWF
)LHOGPHDVXUHPHQWVIRUS+DQGWXUELGLW\VKRXOGDOVREHUHFRUGHGLQ WKHILHOGORJ$9LVXDO,QVSHFWLRQ)LHOG/RJDQ(IIOXHQW6DPSOLQJ)LHOG/RJ6KHHWDUHLQFOXGHG LQ&603$WWDFKPHQW³([DPSOH)RUPV´
&OHDQ6DPSOLQJ7HFKQLTXHV
&OHDQVDPSOLQJWHFKQLTXHVLQYROYHWKHXVHRIFHUWLILHGFOHDQFRQWDLQHUVIRUVDPSOHFROOHFWLRQDQG FOHDQSRZGHUIUHHQLWULOHJORYHVGXULQJVDPSOHFROOHFWLRQDQGKDQGOLQJ$VGLVFXVVHGLQ6HFWLRQ DGRSWLRQRIDFOHDQVDPSOLQJDSSURDFKZLOOPLQLPL]HWKHFKDQFHRIILHOGFRQWDPLQDWLRQ DQGTXHVWLRQDEOHGDWDUHVXOWV
&KDLQRI&XVWRG\
7KHVDPSOH&R&LVDQLPSRUWDQWGRFXPHQWDWLRQVWHSWKDWWUDFNVVDPSOHVIURPFROOHFWLRQWKURXJK DQDO\VLVWRHQVXUHWKHYDOLGLW\RIWKHVDPSOH6DPSOH&R&SURFHGXUHVLQFOXGHWKHIROORZLQJ
x 3URSHUODEHOLQJRIVDPSOHV
x 8VHRI&R&IRUPVIRUDOOVDPSOHV
DQG
x 3URPSWVDPSOHGHOLYHU\WRWKHDQDO\WLFDOODERUDWRU\ $QDO\WLFDOODERUDWRULHVXVXDOO\SURYLGH&R&IRUPVWREHILOOHGRXWIRUVDPSOHFRQWDLQHUV$Q H[DPSOH&R&LVLQFOXGHGLQ&603$WWDFKPHQW³([DPSOH)RUPV´ 4$4&6DPSOHV
4$4&VDPSOHVSURYLGHDQLQGLFDWLRQRIWKHDFFXUDF\DQGSUHFLVLRQRIWKHVDPSOHFROOHFWLRQ
VDPSOHKDQGOLQJ
ILHOGPHDVXUHPHQWV
DQGDQDO\WLFDOODERUDWRU\PHWKRGV7KHIROORZLQJW\SHVRI 4$4&ZLOOEHFRQGXFWHGIRUWKLVSURMHFW
)LHOG'XSOLFDWHVDWDIUHTXHQF\RIRQHGXSOLFDWHPLQLPXPSHUVDPSOLQJHYHQW
5HTXLUHGIRUDOOVDPSOLQJSODQVZLWKILHOGPHDVXUHPHQWVRUODERUDWRU\DQDO\VLV
440
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
(TXLSPHQW%ODQNV
2QO\QHHGHGLIHTXLSPHQWXVHGWRFROOHFWVDPSOHVFRXOGDGGWKH SROOXWDQWVWRVDPSOH
)LHOG%ODQNV
2QO\UHTXLUHGLIVDPSOLQJPHWKRGFDOOVIRUILHOGEODQNV
7UDYHO%ODQNV
5HTXLUHGIRUVDPSOLQJSODQVWKDWLQFOXGH92&ODERUDWRU\DQDO\VLV
)LHOG'XSOLFDWHV
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
(TXLSPHQW%ODQNV
(TXLSPHQWEODQNVSURYLGHYHULILFDWLRQWKDWHTXLSPHQWKDVQRWLQWURGXFHGDSROOXWDQWLQWRWKH VDPSOH(TXLSPHQWEODQNVDUHW\SLFDOO\FROOHFWHGZKHQ
x 1HZHTXLSPHQWLVXVHG
x (TXLSPHQWWKDWKDVEHHQFOHDQHGDIWHUXVHDWDFRQWDPLQDWHGVLWH
x (TXLSPHQWWKDWLVQRWGHGLFDWHGIRUVXUIDFHZDWHUVDPSOLQJLVXVHG RU
x :KHQHYHUDQHZORWRIILOWHUVLVXVHGZKHQVDPSOLQJPHWDOV )LHOG%ODQNV
)LHOGEODQNVDVVHVVSRWHQWLDOVDPSOHFRQWDPLQDWLRQOHYHOVWKDWRFFXUGXULQJILHOGVDPSOLQJ DFWLYLWLHV'HLRQLQ]HGZDWHUILHOGEODQNVDUHWDNHQWRWKHILHOGWUDQVIHUUHGWRWKHDSSURSULDWH FRQWDLQHUDQGWUHDWHGWKHVDPHDVWKHFRUUHVSRQGLQJVDPSOHW\SHGXULQJWKHFRXUVHRIDVDPSOLQJ HYHQW
7UDYHO%ODQNV
7UDYHOEODQNVDVVHVVWKHSRWHQWLDOIRUFURVVFRQWDPLQDWLRQRIYRODWLOHFRQVWLWXHQWVEHWZHHQ VDPSOHFRQWDLQHUVGXULQJVKLSPHQWIURPWKHILHOGWRWKHODERUDWRU\'HLRQLQ]HGZDWHUEODQNV DUHWDNHQDORQJIRUWKHWULSDQGKHOGXQRSHQHGLQWKHVDPHFRROHUZLWKWKH92&VDPSOHV 'DWD9HULILFDWLRQ
$IWHUUHVXOWVDUHUHFHLYHGIURPWKHDQDO\WLFDOODERUDWRU\WKH463VKDOOYHULI\WKHGDWDWRHQVXUH WKDWLWLVFRPSOHWHDFFXUDWHDQGWKHDSSURSULDWH4$4&UHTXLUHPHQWVZHUHPHW'DWDPXVWEH YHULILHGDVVRRQDVWKHGDWDUHSRUWVDUHUHFHLYHG'DWDYHULILFDWLRQVKDOOLQFOXGH
x &KHFNWKH&R&DQGODERUDWRU\UHSRUWV
0DNHVXUHDOOUHTXHVWHGDQDO\VHVZHUHSHUIRUPHGDQGDOOVDPSOHVDUHDFFRXQWHGIRULQ WKHUHSRUWV
x &KHFNODERUDWRU\UHSRUWVWRPDNHVXUHKROGWLPHVZHUHPHWDQGWKDWWKHUHSRUWLQJOHYHOV PHHWRUDUHORZHUWKDQWKHUHSRUWLQJOHYHOVDJUHHGWRLQWKHFRQWUDFW 441
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
x &KHFNGDWDIRURXWOLHUYDOXHVDQGIROORZXSZLWKWKHODERUDWRU\ 2FFDVLRQDOO\W\SRJUDSKLFDOHUURUVXQLWUHSRUWLQJHUURUVRULQFRPSOHWHUHVXOWVDUH UHSRUWHGDQGVKRXOGEHHDVLO\GHWHFWHG7KHVHHUURUVQHHGWREHLGHQWLILHGFODULILHGDQG FRUUHFWHGTXLFNO\E\WKHODERUDWRU\7KH463VKRXOGHVSHFLDOO\QRWHGDWDWKDWLVDQ RUGHURIPDJQLWXGHRUPRUHGLIIHUHQWWKDQVLPLODUORFDWLRQVRULVLQFRQVLVWHQWZLWK SUHYLRXVGDWDIURPWKHVDPHORFDWLRQ
x &KHFNODERUDWRU\4$4&UHVXOWV
(3$HVWDEOLVKHV4$4&FKHFNVDQGDFFHSWDEOHFULWHULDIRUODERUDWRU\DQDO\VHV7KHVH GDWDDUHW\SLFDOO\UHSRUWHGDORQJZLWKWKHVDPSOHUHVXOWV7KH463VKDOOHYDOXDWHWKH UHSRUWHG4$4&GDWDWRFKHFNIRUFRQWDPLQDWLRQ
PHWKRGILHOGDQGHTXLSPHQWEODQNV
SUHFLVLRQ
ODERUDWRU\PDWUL[VSLNHGXSOLFDWHV
DQGDFFXUDF\
PDWUL[VSLNHVDQG
ODERUDWRU\FRQWUROVDPSOHV
:KHQ4$4&FKHFNVDUHRXWVLGHDFFHSWDEOHUDQJHVWKH ODERUDWRU\PXVWIODJWKHGDWDDQGXVXDOO\SURYLGHVDQH[SODQDWLRQRIWKHSRWHQWLDO LPSDFWWRWKHVDPSOHUHVXOWV
x &KHFNWKHGDWDVHWIRURXWOLHUYDOXHVDQGDFFRUGLQJO\FRQILUPUHVXOWVDQGUHDQDO\]H VDPSOHVZKHUHDSSURSULDWH
6DPSOHUHDQDO\VLVVKRXOGRQO\EHXQGHUWDNHQZKHQLWDSSHDUVWKDWVRPHSDUWRIWKH 4$4&UHVXOWHGLQDYDOXHRXWRIWKHDFFHSWHGUDQJH6DPSOHUHVXOWVPD\QRWEH GLVFRXQWHGXQOHVVWKHDQDO\WLFDOODERUDWRU\LGHQWLILHVWKHUHTXLUHG4$4&FULWHULDZHUH QRWPHWDQGFRQILUPVWKLVLQZULWLQJ
)LHOGGDWDLQFOXGLQJLQVSHFWLRQVDQGREVHUYDWLRQVPXVWEHYHULILHGDVVRRQDVWKHILHOGORJVDUH UHFHLYHGW\SLFDOO\DWWKHHQGRIWKHVDPSOLQJHYHQW)LHOGGDWDYHULILFDWLRQVKDOOLQFOXGH
x &KHFNILHOGORJVWRPDNHVXUHDOOUHTXLUHGPHDVXUHPHQWVZHUHFRPSOHWHGDQG DSSURSULDWHO\GRFXPHQWHG
x &KHFNUHSRUWHGYDOXHVWKDWDSSHDURXWRIWKHW\SLFDOUDQJHRULQFRQVLVWHQW
)ROORZXSLPPHGLDWHO\WRLGHQWLI\SRWHQWLDOUHSRUWLQJRUHTXLSPHQWSUREOHPVLI DSSURSULDWHUHFDOLEUDWHHTXLSPHQWDIWHUVDPSOLQJ
x 9HULI\HTXLSPHQWFDOLEUDWLRQV
x 5HYLHZREVHUYDWLRQVQRWHGRQWKHILHOGORJV
DQG
x 5HYLHZQRWDWLRQVRIDQ\HUURUVDQGDFWLRQVWDNHQWRFRUUHFWWKHHTXLSPHQWRUUHFRUGLQJ HUURUV
5HFRUGV5HWHQWLRQ
$OOUHFRUGVRIVWRUPZDWHUPRQLWRULQJLQIRUPDWLRQDQGFRSLHVRIUHSRUWV LQFOXGLQJ$QQXDO
5HSRUWV
PXVWEHUHWDLQHGIRUDSHULRGRIDWOHDVWWKUHH\HDUVIURPGDWHRIVXEPLWWDORUORQJHULI UHTXLUHGE\WKH5HJLRQDO:DWHU%RDUG
5HVXOWVRIYLVXDOPRQLWRULQJILHOGPHDVXUHPHQWVDQGODERUDWRU\DQDO\VHVPXVWEHNHSWLQWKH 6:333DORQJZLWK&R&VDQGRWKHUGRFXPHQWDWLRQUHODWHGWRWKHPRQLWRULQJ 5HFRUGVDUHWREHNHSWRQVLWHZKLOHFRQVWUXFWLRQLVRQJRLQJ5HFRUGVWREHUHWDLQHGLQFOXGH
x 7KHGDWHSODFHDQGWLPHRILQVSHFWLRQVVDPSOLQJYLVXDOREVHUYDWLRQVDQGRU PHDVXUHPHQWVLQFOXGLQJSUHFLSLWDWLRQ
x 7KHLQGLYLGXDO
V
ZKRSHUIRUPHGWKHLQVSHFWLRQVVDPSOLQJYLVXDOREVHUYDWLRQDQGRU ILHOGPHDVXUHPHQWV
442
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
x 7KHGDWHDQGDSSUR[LPDWHWLPHRIILHOGPHDVXUHPHQWVDQGODERUDWRU\DQDO\VHV
x 7KHLQGLYLGXDO
V
ZKRSHUIRUPHGWKHODERUDWRU\DQDO\VHV
x $VXPPDU\RIDOODQDO\WLFDOUHVXOWVWKHPHWKRGGHWHFWLRQOLPLWVDQGUHSRUWLQJOLPLWVDQG WKHDQDO\WLFDOWHFKQLTXHVRUPHWKRGVXVHG
x 5DLQJDXJHUHDGLQJVIURPVLWHLQVSHFWLRQV
x 4$4&UHFRUGVDQGUHVXOWV
x &DOLEUDWLRQUHFRUGV
x 9LVXDOREVHUYDWLRQDQGVDPSOHFROOHFWLRQH[HPSWLRQUHFRUGV
x 7KHUHFRUGVRIDQ\FRUUHFWLYHDFWLRQVDQGIROORZXSDFWLYLWLHVWKDWUHVXOWHGIURP DQDO\WLFDOUHVXOWVYLVXDOREVHUYDWLRQVRULQVSHFWLRQV DQG
x 1$/([FHHGDQFH5HSRUWV
443
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
&603$WWDFKPHQW
:HDWKHU5HSRUWV
444
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
&603$WWDFKPHQW
0RQLWRULQJ5HFRUGV
445
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
&603$WWDFKPHQW
([DPSOH)RUPV
446
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
5DLQ*DXJH/RJ6KHHW
&RQVWUXFWLRQ6LWH1DPH
:','
'DWH
PPGG\\
7LPH
KU
,QLWLDOV 5DLQIDOO'HSWK
,QFKHV
1RWHV
447
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
9LVXDO,QVSHFWLRQ)LHOG/RJ6KHHW
'DWHDQG7LPHRI,QVSHFWLRQ
5HSRUW'DWH
,QVSHFWLRQ7\SH
Ƒ'DLO\ Ƒ%HIRUH
SUHGLFWHG
UDLQ
Ƒ'XULQJ
UDLQ
HYHQW
Ƒ
)ROORZLQJ
TXDOLI\LQJ
UDLQHYHQW
Ƒ
&RQWDLQHG
VWRUPZDWHU
UHOHDVH
Ƒ4XDUWHUO\
QRQ
VWRUPZDWHU
6LWH,QIRUPDWLRQ
&RQVWUXFWLRQ6LWH1DPH
&RQVWUXFWLRQVWDJHDQG
FRPSOHWHGDFWLYLWLHV
$SSUR[LPDWHDUHD
RIH[SRVHGVLWH
:HDWKHUDQG2EVHUYDWLRQV
'DWH5DLQ3UHGLFWHGWR2FFXU
3UHGLFWHGFKDQFHRIUDLQ
(VWLPDWHVWRUPEHJLQQLQJ
GDWHDQGWLPH
(VWLPDWHVWRUP
GXUDWLRQ
BBBBBBBBB
KRXUV
(VWLPDWHWLPH
VLQFHODVWVWRUP
BBBBBBBB
GD\VRUKRXUV
5DLQJDXJH
UHDGLQJ
BBBBBBB
LQFKHV
2EVHUYDWLRQV
,I\HVLGHQWLI\ORFDWLRQ
2GRUV <HVƑ 1RƑ
)ORDWLQJPDWHULDO <HVƑ 1RƑ
6XVSHQGHG0DWHULDO <HVƑ 1RƑ
6KHHQ <HVƑ 1RƑ
'LVFRORUDWLRQV <HVƑ 1RƑ
7XUELGLW\ <HVƑ 1RƑ
6LWH,QVSHFWLRQV
2XWIDOOVRU%03V(YDOXDWHG 'HILFLHQFLHV1RWHG
DGGDGGLWLRQDOVKHHWVRUDWWDFKHGGHWDLOHG%03,QVSHFWLRQ&KHFNOLVWV
3KRWRV7DNHQ
<HVƑ 1RƑ 3KRWR5HIHUHQFH,'V
&RUUHFWLYH$FWLRQV,GHQWLILHG
QRWHLI6:3335($3FKDQJHLVQHHGHG
,QVSHFWRU,QIRUPDWLRQ
,QVSHFWRU1DPH
,QVSHFWRU7LWOH
6LJQDWXUH
'DWH
448
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
(IIOXHQW6DPSOLQJ)LHOG/RJ6KHHWV
&RQVWUXFWLRQ6LWH1DPH
'DWH
7LPH6WDUW
6DPSOHU
6DPSOLQJ(YHQW7\SH
Ƒ6WRUPZDWHU Ƒ1RQVWRUPZDWHU Ƒ1RQYLVLEOHSROOXWDQW )LHOG0HWHU&DOLEUDWLRQ
S+0HWHU,'1R'HVF
&DOLEUDWLRQ'DWH7LPH
7XUELGLW\0HWHU,'1R'HVF
&DOLEUDWLRQ'DWH7LPH
)LHOGS+DQG7XUELGLW\0HDVXUHPHQWV
'LVFKDUJH/RFDWLRQ'HVFULSWLRQ S+ 7XUELGLW\ 7LPH
*UDE6DPSOHV&ROOHFWHG
'LVFKDUJH/RFDWLRQ'HVFULSWLRQ 2WKHU
VSHFLI\
7LPH
$GGLWLRQDO6DPSOLQJ1RWHV
7LPH(QG
449
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
5HFHLYLQJ:DWHU6DPSOLQJ)LHOG/RJ6KHHWV
&RQVWUXFWLRQ6LWH1DPH
'DWH
7LPH6WDUW
6DPSOHU
5HFHLYLQJ:DWHU'HVFULSWLRQDQG2EVHUYDWLRQV
5HFHLYLQJ:DWHU1DPH,'
2EVHUYDWLRQV
2GRUV <HVƑ 1RƑ
)ORDWLQJPDWHULDO <HVƑ 1RƑ
6XVSHQGHG0DWHULDO <HVƑ 1RƑ
6KHHQ <HVƑ 1RƑ
'LVFRORUDWLRQV <HVƑ 1RƑ
7XUELGLW\ <HVƑ 1RƑ
)LHOG0HWHU&DOLEUDWLRQ
S+0HWHU,'1R'HVF
&DOLEUDWLRQ'DWH7LPH
7XUELGLW\0HWHU,'1R'HVF
&DOLEUDWLRQ'DWH7LPH
)LHOGS+DQG7XUELGLW\0HDVXUHPHQWVDQG66&*UDE6DPSOH 8SVWUHDP/RFDWLRQ
7\SH 5HVXOW 7LPH 1RWHV
S+
7XUELGLW\
66& &ROOHFWHG
<HVƑ1RƑ
'RZQVWUHDP/RFDWLRQ
7\SH 5HVXOW 7LPH 1RWHV
S+
7XUELGLW\
66& &ROOHFWHG
<HVƑ1RƑ
$GGLWLRQDO6DPSOLQJ1RWHV
7LPH(QG
450
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
1$/([FHHGDQFH(YDOXDWLRQ6XPPDU\5HSRUW 3DJH BBRIBB 3URMHFW1DPH
3URMHFW:','
3URMHFW/RFDWLRQ
'DWHRI([FHHGDQFH
7\SHRI([FHHGDQFH
1$/'DLO\$YHUDJH S+ 7XUELGLW\
2WKHU
VSHFLI\
0HDVXUHPHQWRU
$QDO\WLFDO0HWKRG
)LHOGPHWHU
6HQVLWLYLW\
/DEPHWKRG
VSHFLI\
5HSRUWLQJ/LPLW
0'/
&DOFXODWHG'DLO\
$YHUDJH
S+ S+XQLWV
7XUELGLW\ 178
5DLQ*DXJH
0HDVXUHPHQW LQFKHV
&RPSOLDQFH6WRUP
(YHQW 1RWJUHDWHUWKDQLQFKLQRQHKRXU
\HDUKRXUHYHQW
9LVXDO2EVHUYDWLRQV
RQ'D\RI
([FHHGDQFH
451
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
1$/([FHHGDQFH(YDOXDWLRQ6XPPDU\5HSRUW 3DJH BBRIBB 'HVFULSWLRQRI%03V
LQ3ODFHDW7LPHRI
(YHQW
,QLWLDO$VVHVVPHQWRI
&DXVH
&RUUHFWLYH$FWLRQV
7DNHQ
GHSOR\HG
DIWHUH[FHHGDQFH
$GGLWLRQDO&RUUHFWLYH
$FWLRQV3URSRVHG
5HSRUW&RPSOHWHG%\
3ULQW1DPH7LWOH
6LJQDWXUH
452
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
&+$,12)&8672'< '$7(
/DE,'
'(67,1$7,21/$%
5(48(67('
$1$/<6,6 1RWHV
$771
$''5(66
2IILFH3KRQH
&HOO3KRQH
6$03/('%<
&RQWDFW
3URMHFW1DPH
&OLHQW6DPSOH,' 6DPSOH 6DPSOH 6DPSOH &RQWDLQHU 'DWH 7LPH 0DWUL[ 7\SH 3UHV 6(1'(5&200(176
5(/,148,6+('
%<
6LJQDWXUH
3ULQW
&RPSDQ\
'DWH
7,0(
/$%25$725<&200(176
5(&(,9('%<
6LJQDWXUH
3ULQW
&RPSDQ\
'DWH
7,0(
453
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
&603$WWDFKPHQW
)LHOG0HWHU,QVWUXFWLRQV
454
USER GUIDE
ExStikTM Waterproof pH Meters
Models PH100 and PH110
Patent Pending
455
2 PH100/PH110-en-GB_v3.1 3/15
Introduction
Thank you for selecting the Extech Model PH100 and/or the model PH110 (refillable) meter. This instrument is designed for high accuracy pH testing. This device is shipped fully tested and calibrated and, with proper use, will provide years of reliable service. Please visit our website (www.extech.com) to check for the latest version of this User Guide, Product Updates, Product Registration, and Customer Support.
456
3 PH100/PH110-en-GB_v3.1 3/15
ExStikTM Description
Front Panel Controls
1. Battery compartment cap
2. LCD Display
3. MODE / HOLD button
4. CAL / RECALL button
5. ON/OFF button
6. Electrode collar
7. Electrode (refillable)
(Electrode cap is not shown)
Display
1. Bargraph reading
2. Measurement reading
3. BAT (low battery) and
HOLD (data hold) indicators
4. Temperature display
5. Bargraph scale designations
6. Units of measure
7. Calibration indicators
8. RENEW and CAL indicators
CAUTIONS
x This device is not a toy and must not reach children’s hands. It contains hazardous objects as well as small parts that the children could swallow. In case a child swallows any of them, please contact a physician immediately
x Do not leave batteries and packing material lying around unattended; they can be dangerous for children if they use them as toys
x In case the device is going to be unused for an extended period of time, remove the batteries to prevent them from draining
x Expired or damaged batteries can cause cauterization on contact with the skin. Always, use suitable hand gloves in such cases
x See that the batteries are not short-circuited. Do not throw batteries into the fire. 457
4 PH100/PH110-en-GB_v3.1 3/15
Overview
pH Overview
pH is a unit of measure (ranging from 0 to 14pH) indicating the degree of acidity or alkalinity of a solution. pH tests are the most commonly performed measurements in water analysis and reports the negative log of the hydrogen ion activity of a solution which is an indicator of acidity or alkalinity.
Solutions with a pH less than 7 are considered acidic, solutions with a pH higher than 7 are known as bases, and solutions with a pH of exactly 7 are neutral.
The pH scale is logarithmic so, for example, if sample A is 1 pH less than Sample B, this means that Sample A is 10 times more acidic then Sample B. A difference of 1 pH represents a ten-fold difference in acidity.
Getting Started
x For new meters, remove the battery cap and then remove the battery insulating strip. x Remove the cap from the bottom of the ExStikTM to expose the electrode glass surface and reference junction
x Before first use or after extended storage, soak the electrode (with its cap removed) in a pH 4 solution for about 10 minutes
x White KCL crystals may be present in the cap. These crystals will dissolve in the soak or they can be simply rinsed with tap water
x Always calibrate close to the expected measurement value x A sponge is located in the electrode protective cap. Keep this sponge soaked with a pH 4 solution to preserve Electrode life during storage
Replacing Electrodes
The ExStikTM is shipped with an electrode attached. Electrode life is limited and is dependent on (among other factors) frequency of use and care. If the electrode needs to be replaced, follow these steps for removing and connecting electrodes. Note that the PH110 has a refillable electrode.
1. To remove an electrode, unscrew and completely remove the electrode retaining collar.
2. Gently rock the electrode from side to side, pulling it away from the meter, until it disconnects.
3. To attach an electrode, carefully plug the electrode into the meter socket (note that the electrode connector is keyed, ensuring proper connection).
4. Secure the electrode in place by tightly turning the collar in place. (a rubber gasket seals the electrode with the meter).
Automatic Electrode Recognition
When the ExStikTM is turned on, it recognizes the type of electrode that is connected and displays the appropriate unit of measure. Attach electrode before turning the ExStikTM on.
Powering the ExStik™
If the batteries are weak, the ‘BAT’ indicator appears on the LCD. Press the ON/OFF key to turn the ExStikTM on or off. The auto power off feature shuts the ExStikTM off automatically after 10 minutes of inactivity to preserve battery life.
458
5 PH100/PH110-en-GB_v3.1 3/15
Operation
Overview
When the electrode is placed in a solution, the main display and bargraph indicate the pH reading while the lower display reads temperature (readings flash until they have stabilized). The bargraph is ‘center zero’, i.e. at pH 7 there is no display. As the pH rises, the bar moves from the center to the right. If the pH drops, the bar moves from the center to the left. pH Calibration (1, 2, or 3 points)
A two point calibration with a buffer of 7 plus 4 or 10 (whichever is nearest to the expected sample value) is always recommended. A one point calibration (choose the value closest to the expected sample value) is also valid. For best accuracy, always calibrate at the sample temperature.
1. Place the electrode into a buffer solution (4, 7, or 10) and momentarily press the CAL key. pH 7 should be calibrated first, then 4 and/or 10 pH.
2. The ExStikTM automatically recognizes the solution and calibrates itself to that value. Note: If the solution is more than 1pH off from the 4, 7, or 10pH standard, the ExStikTM will assume an error and abort the calibration. CAL and END will be displayed.
3. During calibration, the pH reading flashes on the main display.
4. When calibration is complete, the ExStikTM automatically displays ‘END’ and returns to normal operation mode.
5. The appropriate circled indicator ᆳ ᆶ , or ᆹ will appear on the LCD when a calibration has been completed. The calibration data is stored until a new calibration is performed.
6. For a two or three point calibration, repeat steps 1-4.
Note: Always turn the meter off and then on before calibrating to allow sufficient time to complete the calibrations during one power cycle. If the meter auto powers off during calibration the calibrations remain valid, but new calibrations will turn the circled indicators off.
Note: The Automatic Temperature Compensation (ATC) circuit is not active during calibration. To ensure a more accurate calibration, make sure that the calibration buffers are at 25°C (77°F).
RESET
If the meter will not calibrate or displays a -1, reset the meter and attempt to re-calibrate.
1. Turn off the meter.
2. Remove the battery cartridge from the top of the meter.
3. Press the On/Off button for 10 seconds to bleed off all charges within the meter.
4. Re-insert the batteries and power on the meter.
5. Attempt to re-calibrate the meter.
Changing the Displayed Temperature Units
Press and hold the CAL button for approx. 3 seconds. The oC or oF icon will change first and the numerical temperature value will change after the button is released. If the Calibration mode is accidentally accessed ‘CAL’ appears on the LCD. Simply turn the ExStikTM off and start again.
Data Hold
Momentarily press the MODE button to freeze the current reading. The HOLD display icon will appear along with the held reading. The held reading will also be stored in memory. Momentarily press the MODE key to return to normal operation.
459
6 PH100/PH110-en-GB_v3.1 3/15
15-Storing Readings into Memory
1. Momentarily press the MODE button to store a reading.
The LCD will briefly display the memory location
number and then the value stored (Data Hold will
activate).
2. Momentarily press MODE again to return to normal
operation.
3. Repeat step 1 to store the next reading and so on.
4. After 15 readings are stored the ExStikTM will return to memory location 1 and start overwriting existing data with newly stored data.
Recalling Stored Readings
Note: Check that the HOLD symbol is not displayed. If it is, exit the HOLD function by momentarily pressing the MODE button.
1. Momentarily press the CAL button and then press the MODE button immediately after CAL is displayed; the storage location number (1 through 15) will flash. If the CAL mode is accidentally accessed (display flashing), press the CAL button again to exit.
2. The last reading stored will be displayed first. To advance through the stored readings, momentarily press the MODE button. The location number is displayed first, followed by the reading stored in that location.
3. To exit the recall mode, momentarily press the CAL button and the ExStikTM will return to normal operation.
CAL Reminder Display
When the ExStikTM is turned on in the pH mode for the 15th time without recalibration, the ‘CAL’ icon appears on the LCD indicating that the ExStikTM may require calibration. Some applications may require recalibration of the electrode more frequently than others. The CAL display is simply a reminder and will turn off when the pH electrode is recalibrated.
RENEW Display
A flashing ‘RENEW’ warning indicates that the probe may be nearing the end of its useful life. If cleaning or recalibration does not cause the RENEW icon to disappear, replace the electrode. The RENEW display appears when the output of the pH electrode fails a diagnostic test.
Considerations
x If the unit appears to be locked (display frozen) it is possible that the Data Hold mode has been inadvertently accessed by pressing the MODE button. Simply press the MODE button again or turn the meter off and restart if the display appears frozen. x If the meter does latch up and no button presses revive it, remove the batteries, push the ON button for 10 seconds and then reinsert the batteries.
x Note that if the batteries are removed, any stored readings will be discarded. Also, the user calibration data for pH will be cleared. New user pH calibration data is required. Factory calibration data for all models will be retained, however. 460
7 PH100/PH110-en-GB_v3.1 3/15
Battery Replacement
1. Twist off the battery compartment cap
2. Replace the four (4) 2032 batteries observing polarity.
3. Replace the battery compartment cap
Never dispose of used batteries or rechargeable batteries in household waste.
As consumers, users are legally required to take used batteries to appropriate collection sites, the retail store where the batteries were purchased, or wherever batteries are sold.
Disposal: Do not dispose of this instrument in household waste. The user is obligated to take end-oflife devices to a designated collection point for the disposal of electrical and electronic equipment.
Other Battery Safety Reminders
o Never dispose of batteries in a fire. Batteries may explode or leak. o Never mix battery types. Always install new batteries of the same type. pH Electrode Refilling (pH110/115 refillable electrode only) The refillable electrode does not need to be detached from the body of the ExStikTM in order to perform the refilling procedure. Refillable electrodes (PH115) have a removable reference junction (slotted) and the word REFILLABLE on the side of the electrode housing.
Removing the Reference Junction
The removal tool supplied with the PH113
Refill Kit is used to remove the reference
junction from the sensing surface of the
electrode. If the reference junction does not
have slots for the ‘teeth’ of the removal tool to
lock onto, the electrode is NOT refillable.
Holding the electrode upside down, unscrew
and remove the reference junction using the
removal tool.
Filling the Electrode
1. Once the reference junction is removed, fill the cavity with the refill solution supplied in the Refill Kit.
2. Replace the reference junction using the removal/installation tool. (Spare junctions are provided if needed).
Filling Solution
The supplied container includes 15ml of filling solution. There is enough solution for 4 to 5 refills.
Use only the supplied solution for refilling the electrode.
Refillable
pH Module
Reference junction
Junction removal tool
461
8 PH100/PH110-en-GB_v3.1 3/15
Specifications
Display Multifunction LCD with Bargraph
Operating conditions 32 to 122o
F (0 to 50oC) / < 80% RH
Range and Accuracy 0.00 to 14.00 / ± 0.01pH typical
Temp. Compensation Automatic from 32 to 194o
F (0 to 90oC)
Temperature Range 23 to 194o
F (-5 to 90oC)
Temperature Resolution 0.1o
up to 99.9 then 1o thereafter
Temperature Accuracy ± 1o
C/1.8oF [from -5 to 50oC (23 to 122oF)]
± 3o
C/5.4oF [from 50 to 90oC (122 to 194oF)]
Measurement storage 15 tagged (numbered) readings
Power Four (4) CR2032 button batteries
Low battery indication ‘BAT’ appears on the LCD
Auto power off After 10 minutes of inactivity
Dimensions 1.4x6.8x1.6”(35.6x172.7x40.6mm); 3.85oz (110g) Optional Accessories
x Tripak buffers with 4, 7 & 10 pH capsules (6 each) plus two rinsing solutions (Part Number:
PH103)
x pH 4.01 buffer, pint, (Part Number PH4-P)
x pH 7.00 buffer, pint, (Part Number PH7-P)
x pH 10.00 buffer, pint, (Part Number PH10-P)
x Spare pH Electrode – non-refillable (Part Number: PH105) x Spare pH Electrode - refillable (Part number PH115)
x Electrode Refill solution (Part number PH113)
x Spare ORP electrode (Part Number: RE305)
x Spare Chlorine electrode (Part Number: CL205)
x Weighted base with 5 solution cups (Part Number: EX006) Note: If the unit is to be converted for ORP or Chlorine use by attaching the proper electrode, please visit www.extech.com to download the proper User Guide Copyright © 2014Ͳ2015 FLIR Systems, Inc.
All rights reserved including the right of reproduction in whole or in part in any form ISOͲ9001 Certified
www.extech.com
462
Instruction Manual
TN-100/ T-100
Portable Turbidimeter
Technology Made Easy ...
68X357701
Rev. 0.1 05/03
463
Preface
This manual functions in two ways: first as a step by step guide to help you operate the waterproof TN-100/ T-100 turbidimeter; second, it serves as a handy reference guide.
It contains basic instructions that you must follow during the operation, care and maintenance of the instrument. The safety protection provided by this equipment may be impaired if it is used in a manner not described in this manual. It is recommended that all operators should read this manual prior to working with this instrument.
Eutech Instruments/ Oakton Instruments cannot accept any responsibility for damage or malfunction to the meter caused by improper use of the instrument.
The information presented in this manual is subject to change without notice as improvements are made, and does not represent a commitment on the part of Eutech Instruments Pte Ltd/ Oakton Instruments.
Note: Eutech Instruments Pte Ltd/ Oakton Instruments reserves the right to make improvements in design, construction, and appearance of our products without notice.
Copyright © 2003 All rights reserved.
Eutech Instruments Pte Ltd
Oakton Instruments
Rev. 0.1 05/03
464
TABLE OF CONTENTS
1 OVERVIEW........................................................................................ 1
1.1 Unpacking TN-100/ T-100 Meter and Accessories 1
1.2 Display 2
1.3 Keys and Functions 3
1.4 Battery Installation 4
2 TURBIDITY CALIBRATION .............................................................. 5
2.1 Calibration Standards 5
2.2 Indexing 5
2.3 Calibration Procedure 6
2.4 Restoring Factory Calibration 8
3 TURBIDITY MEASUREMENT......................................................... 10
3.1 General Information 10
3.2 Turbidity Measurement Procedure 10
3.2.1Preparation of Sample Vial 11
3.2.2Measurement Procedure 12
3.3 Single-Shot or Continuous Measurement 13
4 TROUBLESHOOTING GUIDE ........................................................ 15 5 ROUTINE MAINTENANCE ............................................................. 16
5.1 Vials – Handling, Cleaning and Care 16
6 ACCESSORIES ............................................................................... 17 7 SPECIFICATIONS ........................................................................... 18 8 ADDENDUM 1: TURBIDITY............................................................ 19
8.1 Definition 19
8.2 Why Is It Important? 19
8.3 Measurement Principle 19
8.4 Nephelometric Turbidity Units (NTU) 20
8.5 Indexing a Vial 20
9 ADDENDUM 2: GUIDE TO GOOD MEASUREMENT TECHNIQUE
21 9.1 Maintain sample vials in good condition 21
9.2 Match Sample Vials 21
9.3 Degassing 21
9.4 Timeliness of Sample 22
9.5 Other Important Sampling Techniques 22
9.6 Calibration 23
9.7 Dilution 23
10 WARRANTY .................................................................................... 24 11 RETURN OF ITEMS ........................................................................ 24 465
Instruction Manual TN-100/ T-100
1 1 OVERVIEW
Thank you for selecting the waterproof portable TN-100/ T-100 turbidimeter. The TN-100/ T-100 allows you to measure turbidity of an aqueous sample in the field. This instrument operates on the nephelometric principle of turbidity measurement and is designed to meet the criteria specified in ISO 7027 and DIN 27027 standards (see Measurement Principle on page 19).
1.1 Unpacking TN-100/ T-100 Meter and Accessories
The table below indicates the items that you should find in your turbidimeter shipment.
Item Quantity
1. Field Portable TN-100/ T-100 Turbidimeter with 4 “AAA” batteries
1 2. Instruction Manual 1
3. Instrument Carrying Case 1
4. Calibration Set (0.02, 20.0,100, 800 NTU Standards) 1
5. Empty Vials 3
6. Plastic bottle (empty – for collecting sample) 1
7. Silicone Oil 1
8. Lint free cloth 1
Remove TN-100/ T-100 turbidimeter from the packing carton. Carefully inspect all items to ensure that no visible damage has occurred during shipment. If the items you received do not match your order, please contact your nearest distributor immediately.
WARNING: Extra care should be taken when
unpacking, opening, and handling the calibration
standards and sample vials. Surface scratches or
finger smudges on the vial surface may cause
measurement errors. Handle these items by their
caps only.
Batteries provided with the meter package are to be installed prior to use.
See Section 1.4 - Battery Installation on page 4.
Figure 1 depicts the meter. The three main components of the instrument are the sample well, the display, and the keypad. The following sections will describe the functionality of the display and the keypad. The proper use of the instrument and the sample well will be discussed in later sections.
466
Instruction Manual TN-100/ T-100
2 Sample Vial
Sample Well
Index Mark
Liquid Crystal Display
Keypad
Figure 1: Parts of TN-100/ T-100 Turbidimeter
1.2 Display
All the LCD segments and annunciators that can appear on the display are shown in Figure 2. The display is used for reporting the turbidity reading and to provide guidance for the operation of the instrument. In addition, the display has several other annunciators that are used to communicate error messages and provide user guidance.
CAL 13 CAL 24
mg/l
NTU
ppm
%pH
TAvg
14-segment Liquid Crystal Display
Battery Indicator
Calibration
Standards
Units of
Measurement
Figure 2: Customized LCD when switched on
467
Instruction Manual TN-100/ T-100
3 1.3 Keys and Functions
The keypad has five keys: ON/OFF, CAL, Ÿ, ź, and READ/ENTER.
Keys Functions
ON/OFF - Powers on and shuts off the meter. With the auto switch-off feature the meter automatically shuts off 20 minutes after last key press.
CAL - Initiates the calibration mode of the meter. When pressed, the meter is set to accept the first calibration standard.
- It is also used to exit the calibration mode if the user does not want to follow the complete calibration procedure.
READ /
ENTER
- When in measurement mode, the READ/ENTER key is used to perform a measurement.
- Single-shot measurements: When the key is pressed and released immediately (a quick key stroke of less than 0.3 seconds), the display will blink [-Rd-] for 10 times and then display the measured value.
- Continuous measurements: If the READ/ENTER key is pressed and held, the instrument will perform a continuous measurement during which the display is updated every 2 seconds. This can be used for indexing vials. (This function is not available in calibration mode).
After the READ/ENTER key is released, the instrument will automatically perform a single-shot measurement.
- When in calibration mode, the READ/ENTER key is used to confirm the measurement for the calibration standards.
Ÿandź - Active only during calibration mode. These keys are used to select the calibration point in an incremental/ decremental manner.
NOTE: This meter is also fitted with an auto incrementing feature, i.e. after the successful calibration of one point it auto selects the next calibration point, or automatically exits the calibration mode after the fourth calibration point.
READ
ENTER
CAL
OFF
ON
WATERPROOF
468
Instruction Manual TN-100/ T-100
4 1.4 Battery Installation
Four AAA-sized batteries are included in your meter’s packaging:
1. Use a Philips screwdriver to remove the two screws holding the battery cover. See Figure 3.
2. Remove the battery cover.
3. Insert the batteries. Follow the diagram inside the cover for correct polarity.
4. Replace the battery cover onto its original position using the two screws removed earlier.
5. The meter is now ready to operate.
Philips Screws
Battery cover
Four 'AAA'-sized batteries
Figure 3: Battery Installation
NOTE:
Dispose used batteries in accordance with your local
regulations.
469
Instruction Manual TN-100/ T-100
5 2 TURBIDITY CALIBRATION
The TN-100/ T-100 turbidimeter was calibrated and tested prior to leaving the factory. Therefore, it is possible to use the instrument directly out of the box. However, re-calibration of the instrument is recommended to help you become familiar with the operation of the instrument and the calibration procedures. In addition, re-calibration is recommended at least once every month for optimum accuracy.
It is recommended that you perform a full calibration using all 4 standards provided to ensure full-range accuracy.
However, the TN-100/ T-100 turbidimeter provides flexibility for you to calibrate at selected ranges suitable for your application.
2.1 Calibration Standards
We recommend that you use the following materials during calibration to achieve the accuracy stated in this manual:
CAL 1: 800 NTU Calibration Standard
CAL 2: 100 NTU Calibration Standard
CAL 3: 20.0 NTU Calibration Standard
CAL 4: 0.02 NTU Calibration Standard
It is well known that diluted Formazin is unstable. If you choose to use Formazin to calibrate the instrument, ensure that you are using a fresh stock suspension of Formazin to achieve the accuracy quoted for the instrument. Calibration standards offered are more stable than Formazin and have a limited shelf life of 12 months. If you use the supplied calibration standards to calibrate the instrument, review the expiration date (indicated on cap label) to ensure that the standards have not expired.
2.2 Indexing
Due to the high quality of the glass vials provided, indexing is not required.
You only need to align the mark on the vial with the mark on the meter.
However, in order to achieve a better accuracy of the measurement, you can proceed with indexing of the vials. See Section 8.5 - Indexing a Vial on page 20 for more information.
470
Instruction Manual TN-100/ T-100
6 2.3 Calibration Procedure
1. Place TN-100/ T-100 turbidimeter on a flat and level surface.
2. Select the calibration function of the instrument by pressing the CAL button once. The [CAL] annunciator will blink momentarily and the meter will prompt for the first calibration standard CAL 1 standard (800 NTU).
3. Insert the CAL 1 standard (800 NTU) into the sample well, aligning the mark on the vial with the mark on the meter. See Figure 10 on page
12. 4. Press down until the vial snaps fully into the instrument.
5. Press READ/ENTER key.
6. The [CAL 1 800 NTU] annunciator will blink for about 12 seconds.
When the instrument has completed calibration for this point, it prompts you to insert the next calibration standard into the sample well [CAL 2 (100 NTU).
7. Repeat the calibration sequence for each calibration standard.
8. After you successfully calibrate the CAL 4 standard (0.02 NTU), the display will show [STbY].
9. The meter is now ready to perform next measurement.
Figure 4 shows the complete calibration sequence.
NOTES:
1. If you wish to exit the calibration mode you may
do so at the end of any step by pressing the CAL
key. The meter will accept only the values
calibrated prior to exiting.
2. You can skip a calibration point by pressing Ÿ or
ź keys and move on to the next calibration point.
3. After a successful calibration of one point, it will auto select the next calibration point. It will
automatically exit calibration mode after the fourth
calibration point.
4. If an error occurs during calibration, the display
will present an error message. The meter will
abort calibration and return to the measurement
mode without saving the last calibration value.
5. For a list of error messages, refer to Section 4:
Troubleshooting Guide on page 15.
471
Instruction Manual TN-100/ T-100
7 CAL 1
800 NTU
NTU
CAL 1
NTU
NTU
CAL 3
CAL 3
NTU
CAL 2
NTU
CAL 2
READ
ENTER
NTU
CAL 1
CAL
Place the CAL 1
standard into the
sample well
Place the next CAL
3 standard into the
sample well Flashes about
5 times
Flashes about 10
times or more
Flashes about 10
times or more
Flashes about 10
times or more
Flashes about 10
times or more
CAL 3
CAL 4
20.0 NTU
0.02 NTU
NTU
NTU
CAL 4
CAL 4
READ
ENTER
READ
ENTER
Place the next CAL
2 standard into the
sample well
Place the next CAL
4 standard into the
sample well
The TN-100/ T-100 meter is now ready
for measurement
CAL 2
100 NTU
READ
ENTER
Figure 4: Calibration Sequence
472
Instruction Manual TN-100/ T-100
8 2.4 Restoring Factory Calibration
The TN-100/ T-100 turbidimeter allows you to reset the meter back to the factory default calibration values. This feature is extremely useful when there are errors in calibration or when you have new calibration standards.
1. With the meter switched off, press Ÿ and ON/OFF keys simultaneously for about 2 seconds.
2. The display will flash [URST] (User-Reset) for 2 seconds and show [No], which is the default value.
3. Use Ÿ or ź key to select between [YES] or [No].
[YES] = To restore meter back to factory calibration values [No] = To retain last calibrated values
4. After selecting [YES] or [No], press READ/ENTER key.
5. The display will flash [--Rd--] 10 times.
6. Once it stops flashing, it will show [--Rd--]. It is now ready to take turbidity measurements.
Figure 5 shows the sequence for restoring factory calibration values. 473
Instruction Manual TN-100/ T-100
9 READ
ENTER
READ
ENTER
Press and
keys simultaneously and
hold for 2 seconds before
releasing
UP ON/OFF
[-Rd-] will flash 10 times
The meter is now ready for measurement
Press or key to
select or
UP DOWN
YES No
To restore factory
calibration
To retain last
calibration values
without retrieving
factory calibration.
METER OFF
OFF
ON
Figure 5: Restoring Factory Calibration
474
Instruction Manual TN-100/ T-100
10 3 TURBIDITY MEASUREMENT
3.1 General Information
The waterproof TN-100/ T-100 turbidimeter allows you to measure the turbidity of a grab sample. The turbidity is reported in Nephelometric Turbidity Units (NTU). Readings above 1000 NTU are outside the range of this instrument.
NOTE:
Before switching on the TN-100/ T-100 turbidimeter,
a sample vial MUST be placed in the sample well.
You can use any of the calibration standards for this
purpose.
The meter will go through a power sequence as shown in Figure 6.
CAL 13 CAL 24
mg/l
NTU
ppm
%pH
TAvg
NTU
OFF
ON
"Rd" will flash 10 times
before a reading appears
(assuming you have
placed a vial into the
sample well of the meter
A reading will only appear
if you have placed a vial
or any of the calibration
standards provided into
the sample well.
Otherwise an error
message "Err 8" will
appear.
Figure 6: Power-up sequence
3.2 Turbidity Measurement Procedure
An accurate turbidity measurement depends on good measurement techniques. Factors such as clean sample vials, positioning of vial in the sample well, meter calibration, handling of meter, and others, have to be taken into consideration. Please see Section 5.1: Vials – Handling, Cleaning and Care on page 16 and Section 9: ADDENDUM 2: Guide to Good Measurement Technique on page 21 for more information. 475
Instruction Manual TN-100/ T-100
11 3.2.1 Preparation of Sample Vial
1. Grab liquid with the plastic bottle provided.
2. Obtain a clean and dry sample vial (Figure 7).
3. Take care to handle the sample vial by the top.
4. Rinse the vial with approximately 10 ml of the sample water, capping the vial with the black screw cap and
gently inverting it several times. Discard the used sample and repeat the rinsing procedure two more times.
5. Fill the rinsed vial with the remaining portion
(approximately 10 ml) of the grab sample up to the
mark indicated in the vial. Cap the vial with the
supplied black screw cap.
6. Wipe the vial with the soft, lint-free cloth supplied. Ensure that the outside of the vial is dry, clean and free from smudges.
7. Apply a thin film of silicone oil (supplied) on the sample vial (see Figure 9). Wipe with a soft cloth to obtain an even distribution over the entire vial’s surface.
NOTES:
1. The purpose of oiling the vial is to fill small
scratches and to mask the imperfection in the
glass.
2. Do not apply large quantity of oil as this may
collect dirt and dust.
8. You are now ready to place the vial into the meter for measurement.
Figure 9: Apply a thin film of silicone oil
Figure 7:
Sample Vial
476
Instruction Manual TN-100/ T-100
12 3.2.2 Measurement Procedure
1. Place TN-100/ T-100 turbidimeter on a flat and level surface.
2. Place the sample vial inside the sample well and align the vial’s mark with the meter’s index mark. See below.
Align index mark on
the sample vial with
the index mark on
the TN-100/ T-100
turbidimeter
IMPORTANT:
Place meter on a flat
and level surface.
DO NOT hold it on
hands while operating
the meter. It may lead to
inaccurate readings
Figure 10: Align sample vial's mark with meter's index mark
3. Push the vial in until it is fully snapped
in.
4. Turn on the meter by pressing the
ON/OFF key.
5. After the power-sup sequence, the
display blinks [--Rd--] for about 12
seconds. See Figure 11.
6. A value will appear. Note the reading.
7. If necessary, please the second sample
vial into the sample well. Remember to
align the vial’s mark with the meter’s
index mark.
8. Press READ/ENTER key. The display
blinks [-- Rd --] and a value will appear.
Note the reading.
9. Repeat steps 2 through 8 for all of your
samples.
Flashes about 10
times
SAMPLE
Unknown
NTU
Place vial
into the
sample well
NTU
READ
ENTER
Measurement mode can start from
either situation:
1. [STbY] after calibration;
2. After powering up the meter
Figure 11: Reading turbidity
value
477
Instruction Manual TN-100/ T-100
13 NOTE:
1. NEVER pour liquid directly into the sample well of
the instrument. Always use a vial. The instrument
will only accurately measure the turbidity of a
sample when vials sealed with the black caps are
used. The black cap serves as both seal and a
light shield.
2. NEVER attempt to clean the sample well. The
optics may be damaged.
3. The instrument will automatically power off 20
minutes after the last key press for battery
conservation.
3.3 Single-Shot or Continuous Measurement
You can use TN-100/ T-100 turbidimeter to take a single reading or perform continuous measurement. The latter is only used for indexing the vials. See Section 8.5 - Indexing a Vial on page 20 for more information.
For single-shot measurement:
1. Make sure the meter is sitting on a flat
and level surface and is in measurement
mode. The display shows the last
measured value or [STbY] after exiting
calibration mode.
2. Place sample vial in the sample well.
3. Press READ/ENTER key and release
immediately (<0.3 seconds). See Figure
12. 4. The display will blink [--Rd--] for 10 times
or more and then display the measured
value.
Press key and release
immediately
SAMPLE
Unknown
NTU Place vial
into the
sample well
NTU
READ
ENTER
Flashes about 10
times
Figure 12: Single-shot measurement
478
Instruction Manual TN-100/ T-100
14 For continuous measurement:
1. Make sure the meter is sitting on a flat and level surface and is in measurement mode. The display shows the last measured value or [STbY].
2. Place the sample vial in the sample well.
3. Press READ/ENTER key and hold. See Figure 13.
4. Wait for the reading to stabilize before rotating the sample vial.
NOTE:
During continuous measurement, the display is
updated every 2 seconds. The displayed reading
may not be the actual turbidity value. For accurate
measurement, use single-shot measurement.
5. You can rotate the sample vial for
indexing purpose. See Section 8.5 -
Indexing a Vial on page 20 for more
information.
6. Once you release the READ/ENTER
key, the meter will automatically
perform a single-shot measurement.
NOTES:
1. After a measurement is completed and the
display is updated, a 4-second recovery time
occurs before the meter can perform another
function. If any key is pressed during the recovery
time, the meter will perform the corresponding
action at the end of the recovery period.
2. When performing a measurement, if the meter
detects stray light exceeding the amount
equivalent to 0.02 NTU in the low range, the
measurement is immediately aborted and an
error message [ERR 8] is displayed. Ensure the
vial sits properly into the sample well. Press the
ENTER/READ key to re-do the measurement.
SAMPLE
Unknown
NTU Place vial
into the
sample well
Press and hold
NTU
READ
ENTER
You can turn
the vial for
indexing
Figure 13: Continuous
measurement
479
Instruction Manual TN-100/ T-100
15 4 TROUBLESHOOTING GUIDE
The TN-100/ T-100 turbidimeter routinely performs self-diagnostics, and will automatically generate messages to provide you with specific diagnostic information. These messages are for your use and do not indicate a reduction in the performance of the instrument or a failure of any component in the instrument, unless otherwise stated in this list.
LCD
Message
Description Correction Actions
ERR 1 Calibration Error. The meter is
unable to recognize the 800 NTU
Calibration Standard.
Make sure you use the correct
800 NTU calibration standard. *
ERR 2 Calibration Error. The meter is
unable to recognize the 100 NTU
Calibration Standard.
Make sure you use the correct
100 NTU calibration standard. *
ERR 3 Calibration Error. The meter is
unable to recognize the 20.0 NTU
Calibration Standard.
Make sure you use the correct
20.0 NTU calibration standard. *
ERR 4 Calibration Error. The meter is
unable to recognize the 0.02 NTU
Calibration Standard.
Make sure you use the correct
0.02 NTU calibration standard. *
ERR 5 Calibration Error. There is not
sufficient signal to achieve the
appropriate resolution in the 0-
1000NTU range.
Re-do calibration with all 4
standards provided. *
ERR 6 General Calibration Failure. There
is not sufficient signal to achieve
the appropriate resolution in the 0-
100NTU range.
Re-do calibration with all 4
standards provided. *
ERR 7 General Calibration Failure. There
is not sufficient signal to achieve
the appropriate resolution in the 0-
20 NTU range.
Re-do calibration with all 4
standards provided. *
ERR 8 Excessive stray light detected. Make sure the vial is fully snapped in the sample well.
ERR 9 Lamp Failure. Return unit.
Or When Turbidity value is above the
measurement range(>1000NTU)
Dilute sample. See Section 9.7
on page 23.
Low battery indication. The
batteries need to be replaced.
Replace batteries.
* If an error message appears, take the
appropriate corrective action and re-do the
desired procedure. If the problem persists,
contact Eutech Instruments or your dealer.
See Sections on Warranty and Return of Items on page 24. 480
Instruction Manual TN-100/ T-100
16 5 ROUTINE MAINTENANCE
The supplied carrying case is optimal for protecting the instrument. If you do not plan on leaving the instrument in the supplied carrying case, when not in use, ensure that the instrument has been turned off and that a clean sample vial fitted with a black cap has been placed in the sample well.
This will ensure that a minimal amount of dust and/or debris will be able to settle on the optics of the instrument.
5.1 Vials – Handling, Cleaning and Care
Proper measurement of the turbidity of a sample requires the use of a vial that is free of marks, smudges, scratches and any bacterial growth.
Therefore, sample vials must be handled with absolute care to avoid contamination or damage, which might change the optical characteristics of the glass. Scratches, fingerprints, and water droplets on the sample vial or inside the sample well can cause stray light interference leading to inaccurate readings.
Cleaning the vial is accomplished by washing the interior and exterior of the vial in a detergent solution. Once cleaned, the vial should be rinsed thoroughly 8 to 10 times with clean distilled water to eliminate the possibility of detergent buildup and streaking.
Vials can also be acid washed periodically and coated with a special silicone oil to fill small scratches and mask the imperfections in the glass.
Since the silicone oil required for this application should have the same refractive characteristics as glass, it is recommended that the oil be obtained from us. Care should be taken not to apply excessive oil that could attract dirt or contaminate the sample well of the meter. Once the oil has been applied to the vial, the excess oil should be removed with a lintfree cloth. The result should be a sample vial surface with a dry appearance, but with all imperfections filled with oil.
Sample vials should always be handled from the top or by the cap to avoid fingerprints or smudges. After a vial has been filled with a sample and capped, the outside surface should be wiped with a clean, lint-free absorbent cloth until it is dry. Cleaned and dried vials should be stored with the black caps on. The vials can be stored in the carrying case.
During normal operation you may use any typical glass cleaner along with a lint free cloth or tissue (Kimwipes®), to clean the outside of the vials.
Condensation may appear on the vial when your sample is very cold and the relative air humidity is high. When this happens, the turbidity that you read may be higher than the actual turbidity due to the light scattered by the condensate on the vial. If you find yourself in this circumstance, you can alleviate the problem by either coating the vial with an anti-fogging agent, or by running warm water over the vial for a short period of time to warm the sample prior to measurement.
481
Instruction Manual TN-100/ T-100
17 6 ACCESSORIES
The items shown below are recommended accessories and replacement parts for the instrument.
Item Description Eutech
Instruments
Order Code.
Oakton
Instruments
Order Code.
Waterproof TN-100/ T-100 portable
turbidimeter with set of 4 calibration
standards (800, 100, 20.0 & 0.02 NTU),
set of 3 sample vials, lint-free cloth,
silicone oil, batteries – all in a rugged
carrying case.
EC-TN100 35635-00
Calibration Set for normal operation
(includes 800, 100, 20.0 & 0.02 NTU
Standards)
ECTN100CALKT 35635-50
Sample Vials – pack of 3 vials ECTN100CUVKT 35653-55
Silicone Oil – 10ml ECSILICONEOIL ~
To order any accessory or replacement part, please contact your nearest distributor or Eutech Instruments/ Oakton Instruments.
482
Instruction Manual TN-100/ T-100
18 7 SPECIFICATIONS
MODEL NO. TN-100/ T-100
Measurement Method ISO 7027 compliant nephelometric method (90°) Measurement Range 0 to 1000 NTU
Automatic Range Selection 0.01 – 19.99 NTU
20.0 – 99.9 NTU
100 – 1000 NTU
Resolution 0.01 NTU (0 – 19.99 NTU)
0.1 NTU (20 – 99.9 NTU)
1 NTU (100 – 1000 NU)
Accuracy ±2% of reading for 0 to 500 NTU;
±3% of reading for 501 to 1000 NTU.
Repeatability ± 0.01 NTU or ± 1% of reading, whichever is greater with gel samples
Response Time < 6 seconds for full step change
Calibration Standards 0.02 NTU; 20 NTU; 100 NTU; 800 NTU Standardization EPA-approved polymer-based primary standards Light Source Infrared-emitting diode (850 nm wavelength) Light Source Life > 1,000,000 tests
Detector Silicon photovoltaic
Stray Light < 0.02 NTU
Display 4-digit 14-segments customized liquid crystal display with annunciators
Sample Cells Borosilicate glass with screw caps, fill line and indexing mark.
51 (H) x 25 (Dia) mm ( 2 x 1 in)
Sample Volume Required 10 ml (0.33 oz)
Operating Temperature
Range
0°C to 50°C (32°F to 122°F)
Sample Temperature Range 0°C to 50°C (32°F to 122°F)
Operating Humidity Range 0-90% RH, non-condensing at 30°C (86°F) Power Supply 4 x “AAA” Alkaline Batteries (> 1200 readings) Enclosure Type & Rating: ABS Plastic / IP67 rated
Insulation Rating Pollution Degree 2
Weight: Meter: 200 g (7 oz)
Meter with case: 1.25 kg (2.75 lb)
Dimensions Meter: 6.8 (W) x 15.5 (L) x 4.6 (H) cm;
(2.7 x 6.1 x 1.8 in)
Meter with Case: 16 (W) x 35 (L) x 12 (H) cm;
(6.3 x 13.8 x 4.7 in)
483
Instruction Manual TN-100/ T-100
19 8 ADDENDUM 1: TURBIDITY
8.1 Definition
Turbidity is defined as an “expression of the optical property that causes light to be scattered and absorbed rather than transmitted in straight lines through the sample.”
1 That is, turbidity is the measure of relative sample
clarity, not colour.
Water with cloudy or opaque appearance will have high turbidity, while water that is clear or translucent will have low turbidity. High turbidity value is caused by particles such as slit, clay, microorganisms, and organic matter. By definition, turbidity is not a direct measure of these particles but rather a measure of how these particles scatter light.
8.2 Why Is It Important?
For drinking water application, a turbidity value may give an indication of presence of bacteria, pathogens, or particles that can shelter harmful organisms from disinfection process. Therefore, turbidity measurement is particularly useful for water treatment plants to ensure cleanliness.
In industrial processes, turbidity can be part of quality control measure to ensure efficiency in treatment or manufacturing process.
8.3 Measurement Principle
There are two internationally accepted standard specifications for turbidity measurement. These are the international standard ISO 7027 and the US EPA method 180.1.
Basically the ISO 7027 is a more stringent standard and requires the use of a monochromatic light source. It also governs the design of a turbidimeter in the following areas: (1) Light source’s wavelength; (2) Light sources’ spectral bandwidth; (3) Measuring angle; (4) Aperture angle in water sample; (5) Distance traversed by incident light and scattered light within the sample; (6) Calibration standard.
The TN-100/ T-100 turbidimeter follows the ISO 7027 standard whose specification allows for greater reproducibility of the measured values and greater agreement between other measuring instruments.
1 Provided by “Standard Methods for the Examination of Water and Wastewater, APHA, AWWA and WPCF, 16th Edition, 1985.
484
Instruction Manual TN-100/ T-100
20 Figure 14 shows the waterproof TN-100/ T-100 turbidimeter basic optical system. It includes a light source and a detector to monitor the light scattered at 90° with respect to the incident beam.
90°
Lens Glass Sample Vial
Transmitted
Light
Scattered Light
Lamp
Figure 14: Basic Nephelometric arrangement for turbidity measurements
8.4 Nephelometric Turbidity Units (NTU)
Nephelometric Turbidity Units (NTU): Unit of measure used when relating the light scattered by a liquid media to the light scattered by a known concentration of a standard solution. This unit of measure is recognized as a measure of the optical clarity of an aqueous sample. NTU is the accepted unit of measurement for turbidity.
Another unit commonly used to measure turbidity is Formazin Turbidity Unit (FTU). The two units of measure of turbidity are equivalent: 1 NTU = 1 FTU.
8.5 Indexing a Vial
The United States Environmental Protection Agency (US EPA) recommends that vials used for turbidimeter calibration or sample measurement be indexed.
To index a sample vial, slowly rotate the vial throughout one complete revolution (360°). While rotating the sample vial, observe the display and locate the position that the vial is in which provides the lowest turbidity reading. This position is the indexed position of the vial.
Mark this position on the vial (not on the cap) against the mark on the meter.
After indexing a vial, make sure the vial will always be placed inside the sample well in the indexed position.
485
Instruction Manual TN-100/ T-100
21 9 ADDENDUM 2: GUIDE TO GOOD MEASUREMENT
TECHNIQUE
Turbidity is a very complex analytical measurement which can be affected by many factors. Some are inherent in the instrument’s design such as angle of detection, light beam aperture, incident beam wavelength and colour sensitivity of the photocell.
However, there are other factors such as stray light, air bubbles and care of vial, which can be prevented through proper care of equipment and accessories, and in the operating procedure for measurement. Here are some points you may want to note:
9.1 Maintain sample vials in good condition
Sample vials must be meticulously clean and free from significant scratches. It should be treated on the outside with a thin coat of silicone oil. This is to mask minor imperfections and scratches that may contribute to stray light. Sample vials should be handled only by the top to avoid dirt accumulation (or deposits) and fingerprints that might interfere with the light path.
More information is found in Section 5.1 - Vials – Handling, Cleaning and Care on page 16.
9.2 Match Sample Vials
Best accuracy and repeatability of turbidity measurement are achieved using a single, indexed vial. However, for more convenience, different vials can be used for measurement provided their readings with the same solution are matched. That is, the meter gives identical readings or within the specified repeatability and accuracy of the meter.
Select a few vials. After the sample vials are cleaned, fill them with ultralow turbidity water. Allow the sample vials to stand and for air bubbles to rise. Polish sample vials with silicone oil and take turbidity measurement at several points while rotating it in the sample well. Find the position where turbidity reading is the lowest and index it for each vial. Whenever these sample vials are used, use the indexed mark to position each vial into the sample well. Choose those vials that match the readings.
NOTE:
Not all vials can be matched because of some
manufacturing variations.
9.3 Degassing
Air or other trapped gases should be removed before measurement. 486
Instruction Manual TN-100/ T-100
22 Degassing is recommended even if no bubbles are visible. There are three methods commonly used for degassing:
Addition of a surfactant: This involves adding a surfactant to the water samples to lower the surface tension of the water, thereby releasing trapped gasses.
Application of a partial vacuum: Partial vacuum can be created by using simple syringe or vacuum pump. (This is only
recommended for ultra-low turbidity measurement).
Use of an ultrasonic bath: This may be effective in severe conditions or in viscous samples, but not recommended for ultra-low measurements.
Each of the method above has its own advantages and disadvantages.
For instance, under certain sample conditions, the use of vacuum pump or ultrasonic bath may actually increase the presence of gas bubbles.
9.4 Timeliness of Sample
Samples should be measured immediately to prevent changes in particle characteristics due to temperature and settling. Temperature can affect particles by changing their behavior or creating new particles if precipitates are formed. Dilution water may dissolve particles or change their characteristics. It is recommended to take samples only when the turbidimeter is ready to be operated. Samples should not be drawn and allowed to sit while the instrument warms up or is being readied.
9.5 Other Important Sampling Techniques
1. Samples should not be violently shaken or agitated as particles can be broken apart or air may be entrapped into the fluid. Gentle agitation such as swirling the sample vial is advisable to reduce particle settling.
2. Sample vials should be used only with the instruments for which they were intended. Do not mix and match.
3. Perform a visual observation of the sample vial every time a measurement is made. Ensure that there are no visible bubbles in the sample and the vial is clean and free of scratches.
4. Samples entering the turbidimeter should be at the same temperature as the process flow samples. Changes in temperature can cause precipitation of soluble compounds and affect readings.
5. Sample vials should be evaluated with a low turbidity water (after cleaning) to determine if cells remain matched. If the evaluation determines that a cell is corrupted, discard the vial. It is recommended to conduct this evaluation weekly.
6. When in doubt or question about whether a sample vial is too scratched or stained, throw it away.
487
Instruction Manual TN-100/ T-100
23 9.6 Calibration
1. Do not open the vials with calibration standards.
2. Check that the standards have not expired.
3. Make sure the calibration vials are free of dust, smudges and scratches before use.
4. Conduct the calibration in the same manner each time. Variations in how calibration is performed could yield inaccurate measurements.
5. It is very important that the user(s) who perform calibration have been trained to do so. Creating a Standard Operating Procedure (SOP) for the user(s) to read, learn, and practice may help to ensure accuracy.
9.7 Dilution
This dilution procedure is necessary only when your turbidity measurement is above 1000 NTU.
1. To measure the turbidity above 1000 NTU, dilute the sample with turbidity-free water.
2. Turbidity-free water can be obtained by filtering deionized water through a < 0.2μm filter membrane with precision-sized pores.
3. Measure the volume of the sample before dilution and record the value in ml (Vs).
4. Take a known volume (Vd) of dilution water and add it to the sample.
5. Pour 10 ml of the diluted sample in a clean vial and measure the turbidity of the diluted sample. Record this value in NTU (Td).
6. Calculate the true turbidity (T) of the original sample - in NTU - using the following formula:
T = Td * (Vs + Vd) / Vs
Example:
Dilute 20 ml of the original sample (whose turbidity is above 1000NTU) with 50 ml of dilution water.
Measure the turbidity of the diluted sample.
If the reading is 300 NTU, the turbidity of the original sample is 1050 NTU. (In this case: Td=300NTU, Vs=20ml, Vd=50ml, so T = 300 * (20+50) / 20 = 300*70/20 = 21000/20 = 1050) 488
Instruction Manual TN-100/ T-100
24 10 WARRANTY
The TN-100/ T-100 meter is supplied with a 2-year warranty from manufacturing defects and calibration standards for 6 months.
If repair or adjustment is necessary and has not been the result of abuse or misuse within the designated period, please return – freight pre-paid – and correction will be made without charge. Eutech Instruments/ Oakton Instruments will determine if the product problem is due to deviations or customer misuse.
Out of warranty products will be repaired on a charged basis.
Exclusions
The warranty on your instrument shall not apply to defects resulting from:
x Improper or inadequate maintenance by customer
x Unauthorized modification or misuse
x Operation outside of the environment specifications of the products Waterproof Seal: Opening the instrument enclosure (excluding the battery compartment) may void the warranty.
11 RETURN OF ITEMS
Authorization must be obtained from our Customer Service Department or authorized distributor before returning items for any reason. A “Return Goods Authorization” (RGA) form is available through our Authorized Distributor. Please include data regarding the reason the items are to be returned. For your protection, items must be carefully packed to prevent damage in shipment and insured against possible damage or loss. Eutech Instruments/ Oakton Instruments will not be responsible for damage resulting from careless or insufficient packing. A restocking charge will be made on all unauthorized returns.
NOTE:
Eutech Instruments Pte Ltd/ Oakton Instruments
reserve the right to make improvements in design,
construction, and appearance of products without
notice.
489
Instruction Manual TN-100/ T-100
25 CALIBRATION CHECKLIST
Month ____________ Year ___________
Date Initials Value Standard Comments
490
For more information on Eutech Instruments/ Oakton Instruments’ products, contact your nearest distributor or visit our website listed below:
Oakton Instruments
P.O Box 5136,
Vernon Hills, IL60061, USA
Tel: (1) 888-462-5866
Fax: (1) 847-247-2984
E-mail: [email protected]
Web-site:
www.4oakton.com
Eutech Instruments Pte Ltd
Blk 55, Ayer Rajah Crescent,
#04-16/24 Singapore 139949
Tel: (65) 6778 6876
Fax: (65) 6773 0836
E-mail:
[email protected]
Web-site: www.eutechinst.com
Distributed by:
491
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
&603$WWDFKPHQW
6XSSOHPHQWDO,QIRUPDWLRQ
492
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6HFWLRQ 5HIHUHQFHV
3URMHFW3ODQVDQG6SHFLILFDWLRQV1R>,QVHUW1XPEHU@GDWHG>LQVHUWGDWH@SUHSDUHGE\>HQWLW\ SUHSDULQJSODQVDQGVSHFLILFDWLRQV@
6WDWH:DWHU5HVRXUFHV&RQWURO%RDUG
2UGHU
':413'(6*HQHUDO3HUPLW
1R&$6
1DWLRQDO3ROOXWDQW'LVFKDUJHV(OLPLQDWLRQ6\VWHP
13'(6
&DOLIRUQLD
*HQHUDO3HUPLWIRU6WRUP:DWHU'LVFKDUJH$VVRFLDWHGZLWK&RQVWUXFWLRQDQG/DQG'LVWXUELQJ $FWLYLWLHV$YDLODEOHRQOLQHDW
KWWS
ZZZZDWHUERDUGVFDJRYZDWHUBLVVXHVSURJUDPVVWRUPZDWHUFRQVWUXFWLRQVKWPO 6WDWH:DWHU5HVRXUFHV&RQWURO%RDUG
2UGHU':413'(6*HQHUDO3HUPLW
1R&$6
1DWLRQDO3ROOXWDQW'LVFKDUJHV(OLPLQDWLRQ6\VWHP
13'(6
&DOLIRUQLD
*HQHUDO3HUPLWIRU6WRUP:DWHU'LVFKDUJH$VVRFLDWHGZLWK&RQVWUXFWLRQDQG/DQG'LVWXUELQJ $FWLYLWLHV$YDLODEOHRQOLQHDW
KWWS
ZZZZDWHUERDUGVFDJRYZDWHUBLVVXHVSURJUDPVVWRUPZDWHUFRQVWUXFWLRQVKWPO 6WDWH:DWHU5HVRXUFHV&RQWURO%RDUG
2UGHU':413'(6*HQHUDO3HUPLW
1R&$6
1DWLRQDO3ROOXWDQW'LVFKDUJHV(OLPLQDWLRQ6\VWHP
13'(6
&DOLIRUQLD
*HQHUDO3HUPLWIRU6WRUP:DWHU'LVFKDUJH$VVRFLDWHGZLWK&RQVWUXFWLRQDQG/DQG'LVWXUELQJ $FWLYLWLHV$YDLODEOHRQOLQHDW
KWWS
ZZZZDWHUERDUGVFDJRYZDWHUBLVVXHVSURJUDPVVWRUPZDWHUFRQVWUXFWLRQVKWPO >,QFOXGHDGGLWLRQDOUHIHUHQFHVDVQHHGHG@
&$64$
6WRUPZDWHU%03+DQGERRN3RUWDO
&RQVWUXFWLRQ1RYHPEHU
ZZZFDVTDRUJ
493
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
$SSHQGL[$
&DOFXODWLRQV
494
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[%
6LWH0DSV
495
Z/E^dK
/:KhZ
<
ϲϮϳϱ
ϲϮϳϱ
Z/E^dK
dZKhdZ
<
KEdZdKZΖ^
^d'/E'Z
h^ϭ
h^ϭ
^zZ
h^zZ
h^Ϯ
^Ϯ
WZKWK^
dZ/>
^/d
DW
496
OWNER
CITY OF SOUTH LAKE TAHOE
1901 LISA MALOFF WAY
SOUTH LAKE TAHOE
(530) 542-6034
SUBMITTED BY:
EASTERN SIERRA ENGINEERING, P.C.
P.O. BOX 1819
ZEPHYR COVE, NV 89448
(775) 588-7178
JENNIFER G. ROMAN, P.E. DATE
EASTERN SIERRA ENGINEERING
REVIEWED BY:
ANUSH NEJAD, P.E. DATE
DIRECTOR OF PUBLIC WORKS
EL DORADO COUNTY
JUDICIAL CENTER
DISC
GOLF
COURSE
DOG
PARK
SKATE
PARK
BIKE
PARK
RESTROOMS
MAIN
PARK
ENTRANCE
VOLLEYBALL
COURTS
USFS
SUPERVISOR'S
OFFICE
BIJOU
COMMUNITY
PARK
LAKE TAHOECOMMUNITY
COLLEGE
DISC GOLF COURSE
COLLEGE DR
AL TAHOE BLVD
JOHNSON BLVD
TITLE SHEET
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
G1 29
SHEET INDEX
SHEET # DESCRIPTION
MAIN: (775) 588-7178 308 DORLA CT, SUITE 201
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
497
NOTES LEGEND AND ABBREVIATIONS
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
G2 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
498
∆
SEE SHEET C15 FOR
TRAIL RAMPS
TRAIL PLAN & PROFILE
STA 1+00-3+00
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C1 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C2
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
MATCH LINE
SEE SHEET C2
499
SEE SHEET C15 FOR
TRAIL RAMPS
TRAIL PLAN & PROFILE
STA 3+00-5+25
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C2 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C1
MATCH LINE
SEE SHEET C3
MATCH LINE
C1 SEE SHEET
MATCH LINE
C3 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
500
TRAIL PLAN & PROFILE
STA 5+25-7+50
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C3 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C2
MATCH LINE
SEE SHEET C4
MATCH LINE
C2 SEE SHEET
MATCH LINE
SEE SHEET C4
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
501
MATCH LINE
SEE SHEET C5
TRAIL PLAN & PROFILE
STA 7+50-9+50
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C4 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C3
MATCH LINE
SEE SHEET C5
MATCH LINE
SEE SHEET C3
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
502
MATCH LINE
C6 SEE SHEET
TRAIL PLAN & PROFILE
STA 9+50-11+50
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C5 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C4
MATCH LINE
SEE SHEET C6
MATCH LINE
C4 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
503
∆ L=224.70'
CH=224.58'
TRAIL PLAN & PROFILE
STA 11+50-13+75
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C6 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C5
MATCH LINE
SEE SHEET C7
MATCH LINE
C5 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
MATCH LINE
C7 SEE SHEET
504
24.70'
224.58'
SEE SHEET C15 FOR
TRAIL RAMPS
SEE SHEET C16 FOR
AL TAHOE BLVD CROSSING
MATCH LINE
C8 SEE SHEET
TRAIL PLAN & PROFILE
STA 13+75-16+00
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C7 29
PROFILE
PLAN
MATCH LINE
C6 SEE SHEET
MATCH LINE
SEE SHEET C8
MATCH LINE
C6 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
505
MATCH LINE
C7 SEE SHEET
TRAIL PLAN & PROFILE
STA 16+00-17+75
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C8 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C7
MATCH LINE
SEE SHEET C9
MATCH LINE
C9 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
506
TRAIL PLAN & PROFILE
STA 17+75-20+00
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C9 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C8
MATCH LINE
SEE SHEET C10
MATCH LINE
SEE SHEET C8
MATCH LINE
C10 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
507
SEE SHEET C16 FOR
RETURN TRAIL
CONNECTION
TRAIL PLAN & PROFILE
STA 20+00-22+25
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C10 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C9
MATCH LINE
SEE SHEET C11
MATCH LINE
C9 SEE SHEET
MATCH LINE
SEE SHEET C11
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
508
MATCH LINE
SEE SHEET C10
TRAIL PLAN & PROFILE
STA 22+25-24+25
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C11 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C10
MATCH LINE
SEE SHEET C12
MATCH LINE
C12 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
INSET
509
TRAIL PLAN & PROFILE
STA 24+25-26+58
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C12 29
PROFILE
PLAN
MATCH LINE
SEE SHEET C11
MATCH LINE
C11 SEE SHEET
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
510
TRAIL SECTIONS
TRAIL SECTIONS
STA 2+00-21+00
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C13 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
511
TRAIL SECTIONS
TRAIL SECTIONS
STA 22+00-26+58
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C14 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
512
RAMP DETAIL SHEET-1
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C15 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
BIJOU PARK EXIT DRIVEWAY RAMPS
BIJOU PARK ENTRANCE DRIVEWAY RAMPS
513
AL TAHOE B
RAMP DETAIL SHEET-2
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
C16 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
AL TAHOE BLVD CROSSING
RETURN TRAIL CONNECTION
514
18"
3"
60"
84"
1"
TYPE A
BACK OF CURB
48"
2' MIN SHARED USE PATH
1' SIDEWALK
TYPE B
BACK OF SHARED USED PATH/SIDEWALK
TOP VIEW
SEE NOTE 2
2"
4" 6" SEE NOTE 1
2'
05/01/09
STANDARD
DRAWING
ENGINEERING DEPARTMENT
City of South Lake Tahoe
APPROVED BY:
CITY ENGINEER
STREET NAME & STOP SIGN
SD21
1/2"
1/2"
3"
2'
4'
D-1
1 NOT
TO
SCALE
DETAILS
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
D1 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
515
1'-4"
SEE PLANS AND
GRADING PLANS
FOR RAMP DIMENSIONS
2'
SEE PLANS AND GRADING PLANS
FOR RAMP DIMENSIONS
3'
SEE PLANS AND
GRADING PLANS
FOR RAMP DIMENSIONS
SECTION A-A
A A
B
B
PLAN
1'-4"
10:1
3:1
12"
CONCRETE VALLEY GUTTER,
SEE PLANS AND DETAIL
3 D-2
3 D-3
1.5% MAX
SECTION B-B
TYPE 1
TYPE 2
TYPE 3
3 D2
TYPE 4
DETAILS
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
D2 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
516
9-5
8"
16" 10"
VERTICAL BATTERED CURB & GUTTER
10"
16"
6"
12"
3 8"
3"
6"
DISTANCE VARIES ROW TO CENTERLINE
FOG SEAL
2' BEYOND SAWCUT
4' MIN
TIE-IN PAVEMENT
DISTANCE VARIES - TBC TO CL
05/01/09
NOT
TO
SCALE
STANDARD
DRAWING
ENGINEERING DEPARTMENT
City of South Lake Tahoe
APPROVED BY:
CITY ENGINEER
CURB & GUTTER
VERTICAL BATTERED & ROLLED
SD04
2"
7-5/8"
TYP
6"
WEIGHTED FIBER ROLL
FIBER ROLL DI PROTECTION
STAKED FIBER ROLL
NORMAL VEGETATION PROTECTION/
CONSTRUCTION LIMIT FENCING
INLET PROTECTION PLAN VIEW
SECTION A-A
SECTION B-B
OUTLET PROTECTION
PLAN VIEW
ROLLED CURB & GUTTER
WITH TIE-IN PAVEMENT
B B
LARGE TREE PROTECTION
DETAILS
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
D3 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
517
PLAN
TYPE B1 CMP SEDIMENT TRAP
DETAILS
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
D4 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
518
∆
AL TAHOE BLVD
JOHNSON BLVD
SP
AL TAHOE BLVD
SIGNAGE & STRIPING
STA 1+00-5+25
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
S1 29
PLAN
MATCH LINE
SEE SHEET BELOW
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
MATCH LINE
SEE SHEET S2
PLAN
MATCH LINE
SEE SHEET ABOVE
519
SP
SP
SP
SIGNAGE & STRIPING
STA 5+25-9+50
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
S2 29
PLANPLAN
MATCH LINE
SEE SHEET S2
MATCH LINE
SEE SHEET BELOW
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
MATCH LINE
SEE SHEET ABOVE
MATCH LINE
SEE SHEET S3
520
SP
∆ L=224.70'
CH=224.58'
SIGNAGE & STRIPING
STA 9+50-13+50
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
S3 29
PLANPLAN
MATCH LINE
SEE SHEET S2
MATCH LINE
SEE SHEET BELOW
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
MATCH LINE
SEE SHEET ABOVE
MATCH LINE
S4 SEE SHEET
521
∆ L=224.70'
CH=224.58'
SEE SHEET S7 FOR
AL TAHOE BLVD
CROSSING
SP
SEE SHEET S7 FOR
AL TAHOE BLVD
CROSSING
SIGNAGE & STRIPING
STA 13+50-17+75
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
S4 29
PLAN
MATCH LINE
S3 SEE SHEET
MATCH LINE
SEE SHEET BELOW
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
PLAN
MATCH LINE
SEE SHEET ABOVE
MATCH LINE
SEE SHEET S5
522
SP
SP
SIGNAGE & STRIPING
STA 17+75-22+25
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
S5 29
PLAN
MATCH LINE
SEE SHEET S4
MATCH LINE
SEE SHEET BELOW
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
PLAN
MATCH LINE
SEE SHEET ABOVE
MATCH LINE
SEE SHEET S6
523
SP
SP
SP
SP
SIGNAGE & STRIPING
STA 22+25-26+46
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
S6 29
PLAN
MATCH LINE
SEE SHEET S5
MATCH LINE
SEE SHEET BELOW
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
PLAN
MATCH LINE
SEE SHEET ABOVE
524
AL TAHOE B
AL TAHOE CROSSING SIGNAGE & STRIPING
4/18/25
AS SHOWN
21240
SOUTH LAKE TAHOE CALIFORNIA
BIJOU PARK CONNECTOR TRAIL
SOUTH LAKE TAHOE
RW
JAH
JGR
S7 29
308 DORLA CT, SUITE 201 MAIN: (775) 588-7178
ZEPHYR COVE , NV 89448 FAX: (775) 588-1726
Know what's
R
AL TAHOE BLVD CONNECTION RAMP
STRIPING AND SIGNAGE
525
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
$SSHQGL[&
3HUPLW5HJLVWUDWLRQ'RFXPHQWV
526
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
3HUPLW5HJLVWUDWLRQ'RFXPHQWVLQFOXGHGLQWKLV$SSHQGL[
<1 3HUPLW5HJLVWUDWLRQ'RFXPHQW
< 1RWLFHRI,QWHQW
1 5LVN$VVHVVPHQW
1RW$SSOLFDEOH
< &HUWLILFDWLRQ
1 3RVW&RQVWUXFWLRQ:DWHU%DODQFH
1 &RS\RI$QQXDO)HH5HFHLSW
1 $76'HVLJQ'RFXPHQWV
< 6LWH0DSVHH$SSHQGL[%
527
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL['
6:333$PHQGPHQW&HUWLILFDWLRQV
528
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
6:333$PHQGPHQW1R
3URMHFW1DPH
3URMHFW1XPEHU
4XDOLILHG6:333'HYHORSHU¶V&HUWLILFDWLRQRIWKH
6WRUPZDWHU3ROOXWLRQ3UHYHQWLRQ3ODQ$PHQGPHQW
³7KLV6WRUPZDWHU3ROOXWLRQ3UHYHQWLRQ3ODQDQGDWWDFKPHQWVZHUHSUHSDUHGXQGHUP\GLUHFWLRQWRPHHWWKH UHTXLUHPHQWVRIWKH&DOLIRUQLD&RQVWUXFWLRQ*HQHUDO3HUPLW 6:5&%2UGHU1R
':4DVDPHQGHGE\
':4DQG[[':4
,FHUWLI\WKDW,DPD4XDOLILHG6:333'HYHORSHULQJRRGVWDQGLQJDVRIWKH GDWHVLJQHGEHORZ´
46'¶V6LJQDWXUH 'DWH
46'1DPH 46'&HUWLILFDWH1XPEHU
7LWOHDQG$IILOLDWLRQ 7HOHSKRQH
$GGUHVV (PDLO
529
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[(
6XEPLWWHG&KDQJHVWR35'V
530
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
/RJRI8SGDWHG35'V
7KH*HQHUDO3HUPLWDOORZVIRUWKHUHGXFWLRQRULQFUHDVHRIWKHWRWDODFUHDJHFRYHUHGXQGHUWKH*HQHUDO3HUPLW ZKHQDSRUWLRQRIWKHSURMHFWLVFRPSOHWHDQGRUFRQGLWLRQVIRUWHUPLQDWLRQRIFRYHUDJHKDYHEHHQPHW ZKHQ
RZQHUVKLSRIDSRUWLRQRIWKHSURMHFWLVSXUFKDVHGE\DGLIIHUHQWHQWLW\ RUZKHQQHZDFUHDJHLVDGGHGWRWKH
SURMHFW
0RGLILHG35'VVKDOOEHILOHGHOHFWURQLFDOO\ZLWKLQGD\VRIDUHGXFWLRQRULQFUHDVHLQWRWDOGLVWXUEHGDUHDLID FKDQJHLQSHUPLWFRYHUHGDFUHDJHLVWREHVRXJKW7KH6:333VKDOOEHPRGLILHGDSSURSULDWHO\ZLWKUHYLVLRQV DQGDPHQGPHQWVUHFRUGHGLQ$SSHQGL[&8SGDWHG35'VVXEPLWWHGHOHFWURQLFDOO\YLD60$576FDQEHIRXQG LQWKLV$SSHQGL[
7KLVDSSHQGL[LQFOXGHVDOORIWKHIROORZLQJXSGDWHG35'V FKHFNDOOWKDWDSSO\
5HYLVHG1RWLFHRI,QWHQW
12,
5HYLVHG6LWH0DS
5HYLVHG5LVN$VVHVVPHQW
1HZODQGRZQHU¶VLQIRUPDWLRQ
QDPHDGGUHVVSKRQHQXPEHUHPDLODGGUHVV
DQG
1HZVLJQHGFHUWLILFDWLRQVWDWHPHQW
/HJDOO\5HVSRQVLEOH3HUVRQ>LIRUJDQL]DWLRQ@
6LJQDWXUHRI>$XWKRUL]HG5HSUHVHQWDWLYHRI@/HJDOO\
5HVSRQVLEOH3HUVRQRU$SSURYHG6LJQDWRU\
'DWH
1DPHRI>$XWKRUL]HG5HSUHVHQWDWLYHRI@/HJDOO\
5HVSRQVLEOH3HUVRQRU$SSURYHG6LJQDWRU\
7HOHSKRQH1XPEHU
531
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[)
&RQVWUXFWLRQ6FKHGXOH
'HWDLOHGFRQVWUXFWLRQVFKHGXOHZLOOEHLQFOXGHGE\DPHQGPHQWDIWHUDZDUGRIWKHFRQWUDFWDQGSULRUWRWKHVWDUWRI FRQVWUXFWLRQ
532
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
533
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[*
&RQVWUXFWLRQ$FWLYLWLHV0DWHULDOV8VHGDQG
$VVRFLDWHG3ROOXWDQWV
534
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7DEOH* &RQVWUXFWLRQ$FWLYLWLHVDQG$VVRFLDWHG3ROOXWDQWV 3KDVH $FWLYLW\ $VVRFLDWHG0DWHULDOVRU
3ROOXWDQWV 3ROOXWDQW&DWHJRU\
*UDGLQJDQG/DQG'HYHORSPHQW
*UDGLQJ 6RLO 6HGLPHQW
(TXLSPHQW0DLQWHQDQFH )OXLGV 2LO *UHDVH
6WUHHWVDQG8WLOLWLHV3KDVH
6DZFXWWLQJ &RQFUHWH'XVW :DVWH *URVV3ROOXWDQWV
'HPROLWLRQ :DVWH *URVV3ROOXWDQWV
3LSH,QVWDOODWLRQ 6RLO 6HGLPHQW
'LVLQIHFWLRQ &KORULQDWHG:DWHU *URVV3ROOXWDQWV
9HUWLFDO&RQVWUXFWLRQ3KDVH
/DQGVFDSLQJDQG6LWH6WDELOL]DWLRQ3KDVH
&DWHJRULHVSHU&$64$%03+DQGERRN
LH6HGLPHQW1XWULHQWV%DFWHULDDQG9LUXVHV2LODQG*UHDVH0HWDOV6\QWKHWLF 2UJDQLFV3HVWLFLGHV*URVV3ROOXWDQWVDQG9HFWRU3URGXFWLRQ
535
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
$SSHQGL[+
&$64$6WRUPZDWHU%03+DQGERRN3RUWDO
&RQVWUXFWLRQ)DFW6KHHWV
536
537
538
539
540
541
542
543
544
545
546
547
548
Fiber Rolls SC-5
BMP Objectives
il Stabilization
diment Control
racking Control
ind Erosion Control
on-Storm Water Management
Caltrans Storm Water Quality Handbooks Section 4
Construction Site Best Management Practices Manual Fiber Rolls SC-5 March 1, 2003 1 of 6
Standard Symbol
So
Se
T
W
N
Ɣ
Ɣ
ż
ż
ż
ż Materials and Waste Management
Definition and
Purpose
A fiber roll consists of wood excelsior, rice or wheat straw, or coconut fibers that is rolled or bound into a tight tubular roll and placed on the toe and face of slopes to intercept runoff, reduce its flow velocity, release the runoff as sheet flow and provide removal of sediment from the runoff. Fiber rolls may also be used for inlet protection and as check dams under certain situations.
Appropriate
Applications
Ŷ This BMP may be implemented on a project-by-project basis with other BMPs when determined necessary and feasible by the RE.
Ŷ Along the toe, top, face, and at grade breaks of exposed and erodible slopes to shorten slope length and spread runoff as sheet flow.
Ŷ Below the toe of exposed and erodible slopes.
Ŷ Fiber rolls may be used as check dams in unlined ditches if approved by the Resident Engineer (RE) or the District Construction Storm Water Coordinator (refer to SC-4 “Check Dams”).
Ŷ Fiber rolls may be used for drain inlet protection if approved by the RE or the District Construction Storm Water Coordinator (refer to SC-10 “Storm Drain Inlet Protection”).
Ŷ Down-slope of exposed soil areas.
Ŷ Around temporary stockpiles.
Ŷ Along the perimeter of a project.
549
Fiber Rolls SC-5
Limitations Ŷ Runoff and erosion may occur if fiber roll is not adequately trenched in.
Ŷ Fiber rolls at the toe of slopes greater than 1:5 may require the use of 500 mm (20” diameter) or installations achieving the same protection (i.e., stacked smaller diameter fiber rolls, etc.).
Ŷ Fiber rolls may be used for drainage inlet protection if they can be properly anchored.
Ŷ Difficult to move once saturated.
Ŷ Fiber rolls could be transported by high flows if not properly staked and trenched in.
Ŷ Fiber rolls have limited sediment capture zone.
Ŷ Do not use fiber rolls on slopes subject to creep, slumping, or landslide.
Standards and
Specifications
Fiber Roll Materials
Ŷ Fiber rolls shall be either:
(1) Prefabricated rolls.
(2) Rolled tubes of erosion control blanket.
Assembly of Field Rolled Fiber Roll
Ŷ Roll length of erosion control blanket into a tube of minimum 200 mm (8 in) diameter.
Ŷ Bind roll at each end and every 1.2 m (4 ft) along length of roll with jute-type twine.
Installation
Ŷ Slope inclination of 1:4 or flatter: fiber rolls shall be placed on slopes 6.0 m apart.
Ŷ Slope inclination of 1:4 to 1:2: fiber rolls shall be placed on slopes 4.5 m apart.
Ŷ Slope inclination 1:2 or greater: fiber rolls shall be placed on slopes 3.0 m apart.
Ŷ Stake fiber rolls into a 50 to 100 mm (2 to 4 in) trench.
Caltrans Storm Water Quality Handbooks Section 4
Construction Site Best Management Practices Manual Fiber Rolls SC-5 March 1, 2003 2 of 6
550
Fiber Rolls SC-5
Ŷ Drive stakes at the end of each fiber roll and spaced 600 mm (2 ft) apart if Type 2 installation is used (refer to Page 4). Otherwise, space stakes 1.2 m (4 ft) maximum on center if installed as shown on Pages 5 and 6.
Ŷ Use wood stakes with a nominal classification of 19 by 19 mm (3/4 by 3/4 in), and minimum length of 600 mm (24 in).
Ŷ If more than one fiber roll is placed in a row, the rolls shall be overlapped; not abutted.
Removal
Ŷ Fiber rolls are typically left in place.
Ŷ If fiber rolls are removed, collect and dispose of sediment accumulation, and fill and compact holes, trenches, depressions or any other ground disturbance to blend with adjacent ground.
Maintenance and
Inspection
Ŷ Repair or replace split, torn, unraveling, or slumping fiber rolls.
Ŷ Inspect fiber rolls when rain is forecast. Perform maintenance as needed or as required by the RE.
Ŷ Inspect fiber rolls following rainfall events and a least daily during prolonged rainfall. Perform maintenance as needed or as required by the RE.
Ŷ Maintain fiber rolls to provide an adequate sediment holding capacity.
Sediment shall be removed when the sediment accumulation reaches three quarters (3/4) of the barrier height. Removed sediment shall be incorporated in the project at locations designated by the RE or disposed of outside the highway right-of-way in conformance with the Standard Specifications.
Caltrans Storm Water Quality Handbooks Section 4
Construction Site Best Management Practices Manual Fiber Rolls SC-5 March 1, 2003 3 of 6
551
Fiber Rolls SC-5
Caltrans Storm Water Quality Handbooks Section 4 Construction Site Best Management Practices Manual Fiber Rolls SC-5 March 1, 2003 4 of 6
552
Fiber Rolls SC-5
Vertical spacing
along face of the
slope varies
between 3m and 6 m
Caltrans Storm Water Quality Handbooks Section 4
Construction Site Best Management Practices Manual Fiber Rolls SC-5 March 1, 2003 5 of 6
553
Fiber Rolls SC-5
OPTIONAL ENTRENCHMENT DETAIL
N.T.S.
Caltrans Storm Water Quality Handbooks Section 4
Construction Site Best Management Practices Manual Fiber Rolls SC-5 March 1, 2003 6 of 6
554
555
556
557
558
559
560
561
562
563
564
565
566
567
568
569
570
571
572
573
574
575
576
577
578
579
580
581
582
583
584
585
586
587
588
589
590
591
592
593
594
595
596
597
598
599
600
601
602
603
604
605
606
607
608
609
610
611
612
613
614
615
616
617
618
619
620
621
622
623
624
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
$SSHQGL[,
%03,QVSHFWLRQ)RUP
625
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
%03,163(&7,215(3257
'DWHDQG7LPHRI,QVSHFWLRQ
'DWH5HSRUW:ULWWHQ
,QVSHFWLRQ7\SH
&LUFOHRQH
'DLO\
&RPSOHWH3DUWV
,,,,,,DQG9,,
3UH6WRUP
&RPSOHWH3DUWV
,,,,,,,9DQG9,,
'XULQJ5DLQ(YHQW
&RPSOHWH3DUWV,,,
,,,9DQG9,,
3RVW6WRUP
&RPSOHWH3DUWV
,,,,,,9,DQG9,,
3DUW,*HQHUDO,QIRUPDWLRQ
6LWH,QIRUPDWLRQ
&RQVWUXFWLRQ6LWH1DPH
&RQVWUXFWLRQVWDJHDQG
FRPSOHWHGDFWLYLWLHV
$SSUR[LPDWHDUHD
RIVLWHWKDWLVH[SRVHG
3KRWRV7DNHQ
&LUFOHRQH
<HV 1R
3KRWR5HIHUHQFH,'V
:HDWKHU
(VWLPDWHVWRUPEHJLQQLQJ
GDWHDQGWLPH
(VWLPDWHVWRUPGXUDWLRQ
KRXUV
(VWLPDWHWLPHVLQFHODVWVWRUP
GD\VRUKRXUV
5DLQJDXJHUHDGLQJDQGORFDWLRQ
LQ
,VD³4XDOLI\LQJ(YHQW´SUHGLFWHGRUGLGRQHRFFXU
LH´UDLQZLWKKUVRUJUHDWHUEHWZHHQHYHQWV
"
<1
,I\HVVXPPDUL]HIRUHFDVW
([HPSWLRQ'RFXPHQWDWLRQ
H[SODQDWLRQUHTXLUHGLILQVSHFWLRQFRXOGQRWEHFRQGXFWHG 9LVXDO
LQVSHFWLRQVDUHQRWUHTXLUHGRXWVLGHRIEXVLQHVVKRXUVRUGXULQJGDQJHURXVZHDWKHUFRQGLWLRQVVXFKDVIORRGLQJ RUHOHFWULFDOVWRUPV
,QVSHFWRU,QIRUPDWLRQ
,QVSHFWRU1DPH
,QVSHFWRU7LWOH
6LJQDWXUH
'DWH
3DUW,,%032EVHUYDWLRQV'HVFULEHGHILFLHQFLHVLQ3DUW,,, 626
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
0LQLPXP%03VIRU5LVN/HYHOBBBBB6LWHV
)DLOXUHVRU
RWKHUVKRUW
FRPLQJV
\HVQR1$
$FWLRQ
5HTXLUHG
\HVQR
$FWLRQ
,PSOHPHQWHG
'DWH
*RRG+RXVHNHHSLQJIRU&RQVWUXFWLRQ0DWHULDOV
,QYHQWRU\RISURGXFWV
H[FOXGLQJPDWHULDOVGHVLJQHGWREH
RXWGRRUV
6WRFNSLOHGFRQVWUXFWLRQPDWHULDOVQRWDFWLYHO\LQXVHDUH FRYHUHGDQGEHUPHG
$OOFKHPLFDOVDUHVWRUHGLQZDWHUWLJKWFRQWDLQHUVZLWK DSSURSULDWHVHFRQGDU\FRQWDLQPHQWRULQDFRPSOHWHO\
HQFORVHGVWRUDJHVKHG
&RQVWUXFWLRQPDWHULDOVDUHPLQLPDOO\H[SRVHGWRSUHFLSLWDWLRQ %03VSUHYHQWLQJWKHRIIVLWHWUDFNLQJRIPDWHULDOVDUH LPSOHPHQWHGDQGSURSHUO\HIIHFWLYH
*RRG+RXVHNHHSLQJIRU:DVWH0DQDJHPHQW
:DVKULQVHZDWHUDQGPDWHULDOVDUHSUHYHQWHGIURPEHLQJ GLVSRVHGLQWRWKHVWRUPGUDLQV\VWHP
3RUWDEOHWRLOHWVDUHFRQWDLQHGWRSUHYHQWGLVFKDUJHVRIZDVWH 6DQLWDWLRQIDFLOLWLHVDUHFOHDQDQGZLWKQRDSSDUHQWIRUOHDNV DQGVSLOOV
(TXLSPHQWLVLQSODFHWRFRYHUZDVWHGLVSRVDOFRQWDLQHUVDW WKHHQGRIEXVLQHVVGD\DQGGXULQJUDLQHYHQWV
'LVFKDUJHVIURPZDVWHGLVSRVDOFRQWDLQHUVDUHSUHYHQWHGIURP GLVFKDUJLQJWRWKHVWRUPGUDLQV\VWHPUHFHLYLQJZDWHU 6WRFNSLOHGZDVWHPDWHULDOLVVHFXUHO\SURWHFWHGIURPZLQGDQG UDLQLIQRWDFWLYHO\LQXVH
3URFHGXUHVDUHLQSODFHIRUDGGUHVVLQJKD]DUGRXVDQGQRQ KD]DUGRXVVSLOOV
$SSURSULDWHVSLOOUHVSRQVHSHUVRQQHODUHDVVLJQHGDQGWUDLQHG (TXLSPHQWDQGPDWHULDOVIRUFOHDQXSRIVSLOOVLVDYDLODEOH RQVLWH
:DVKRXWDUHDV
HJFRQFUHWH
DUHFRQWDLQHGDSSURSULDWHO\WR
SUHYHQWGLVFKDUJHRULQILOWUDWLRQLQWRWKHXQGHUO\LQJVRLO *RRG+RXVHNHHSLQJIRU9HKLFOH6WRUDJHDQG0DLQWHQDQFH
0HDVXUHVDUHLQSODFHWRSUHYHQWRLOJUHDVHRUIXHOIURP OHDNLQJLQWRWKHJURXQGVWRUPGUDLQVRUVXUIDFHZDWHUV $OOHTXLSPHQWRUYHKLFOHVDUHIXHOHGPDLQWDLQHGDQGVWRUHGLQ DGHVLJQDWHGDUHDZLWKDSSURSULDWH%03V
9HKLFOHDQGHTXLSPHQWOHDNVDUHFOHDQHGLPPHGLDWHO\DQG GLVSRVHGRISURSHUO\
627
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
3DUW,,%032EVHUYDWLRQV&RQWLQXHG'HVFULEHGHILFLHQFLHVLQ3DUW,,, 0LQLPXP%03VIRU5LVN/HYHOBBBBB6LWHV
$GHTXDWHO\
GHVLJQHG
LPSOHPHQWHGDQG
HIIHFWLYH
\HVQR1$
$FWLRQ
5HTXLUHG
\HVQR
$FWLRQ
,PSOHPHQWHG
'DWH
*RRG+RXVHNHHSLQJIRU/DQGVFDSH0DWHULDOV
6WRFNSLOHGODQGVFDSHPDWHULDOVVXFKDVPXOFKHVDQGWRSVRLO DUHFRQWDLQHGDQGFRYHUHGZKHQQRWDFWLYHO\LQXVH (URGLEOHODQGVFDSHPDWHULDOKDVQRWEHHQDSSOLHGGD\V EHIRUHDIRUHFDVWHGUDLQHYHQWRUGXULQJDQHYHQW (URGLEOHODQGVFDSHPDWHULDOVDUHDSSOLHGDWTXDQWLWLHVDQG UDWHVLQDFFRUGDQFHZLWKPDQXIDFWXUHUUHFRPPHQGDWLRQV %DJJHGHURGLEOHODQGVFDSHPDWHULDOVDUHVWRUHGRQSDOOHWVDQG FRYHUHG
*RRG+RXVHNHHSLQJIRU$LU'HSRVLWLRQRI6LWH0DWHULDOV
*RRGKRXVHNHHSLQJPHDVXUHVDUHLPSOHPHQWHGRQVLWHWR
FRQWUROWKHDLUGHSRVLWLRQRIVLWHPDWHULDOVDQGIURPVLWH RSHUDWLRQV
1RQ6WRUPZDWHU0DQDJHPHQW
1RQ6WRUPZDWHUGLVFKDUJHVDUHSURSHUO\FRQWUROOHG 9HKLFOHVDUHZDVKHGLQDPDQQHUWRSUHYHQWQRQVWRUPZDWHU GLVFKDUJHVWRVXUIDFHZDWHUVRUGUDLQDJHV\VWHPV
6WUHHWVDUHFOHDQHGLQDPDQQHUWRSUHYHQWXQDXWKRUL]HGQRQ VWRUPZDWHUGLVFKDUJHVWRVXUIDFHZDWHUVRUGUDLQDJH
V\VWHPV
(URVLRQ&RQWUROV
:LQGHURVLRQFRQWUROVDUHHIIHFWLYHO\LPSOHPHQWHG (IIHFWLYHVRLOFRYHULVSURYLGHGIRUGLVWXUEHGDUHDVLQDFWLYH
LHQRWVFKHGXOHGWREHGLVWXUEHGIRUGD\V
DVZHOODV
ILQLVKHGVORSHVRSHQVSDFHXWLOLW\EDFNILOODQGFRPSOHWHGORWV
7KHXVHRISODVWLFPDWHULDOVLVOLPLWHGLQFDVHVZKHQDPRUH VXVWDLQDEOHHQYLURQPHQWDOO\IULHQGO\DOWHUQDWLYHH[LVWV 6HGLPHQW&RQWUROV
3HULPHWHUFRQWUROVDUHHVWDEOLVKHGDQGHIIHFWLYHDWFRQWUROOLQJ HURVLRQDQGVHGLPHQWGLVFKDUJHVIURPWKHVLWH
(QWUDQFHVDQGH[LWVDUHVWDELOL]HGWRFRQWUROHURVLRQDQG VHGLPHQWGLVFKDUJHVIURPWKHVLWH
6HGLPHQWEDVLQVDUHSURSHUO\PDLQWDLQHG
/LQHDUVHGLPHQWFRQWURODORQJWRHRIVORSHIDFHRIVORSHDQDW JUDGHEUHDNV
/LPLWFRQVWUXFWLRQDFWLYLW\WRDQGIURPVLWHWRHQWUDQFHVDQG H[LWVWKDWHPSOR\HIIHFWLYHFRQWUROVWRSUHYHQWRIIVLWHWUDFNLQJ (QVXUHDOOVWRUPGUDLQLQOHWVDQGSHULPHWHUFRQWUROVUXQRII FRQWURO%03VDQGSROOXWDQWVFRQWUROVDWHQWUDQFHVDQGH[LWV DUHPDLQWDLQHGDQGSURWHFWHGIURPDFWLYLWLHVWKHUHGXFHWKHLU HIIHFWLYHQHVV
628
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
,QVSHFWDOOLPPHGLDWHDFFHVVURDGVGDLO\
5XQ2QDQG5XQ2II&RQWUROV
5XQRQWRWKHVLWHLVHIIHFWLYHO\PDQDJHGDQGGLUHFWHGDZD\ IURPDOOGLVWXUEHGDUHDV
2WKHU
$UHWKHSURMHFW6:333DQG%03SODQXSWRGDWHDYDLODEOHRQVLWH DQGEHLQJSURSHUO\LPSOHPHQWHG"
3DUW,,,'HVFULSWLRQVRI%03'HILFLHQFLHV
'HILFLHQF\
5HSDLUV,PSOHPHQWHG
1RWH5HSDLUVPXVWEHJLQZLWKLQKRXUVRILGHQWLILFDWLRQDQG FRPSOHWHUHSDLUVDVVRRQDVSRVVLEOH
6WDUW'DWH $FWLRQ
3DUW,9$GGLWLRQDO3UH6WRUP2EVHUYDWLRQV1RWHWKHSUHVHQFHRUDEVHQFHRIIORDWLQJDQG VXVSHQGHGPDWHULDOVVKHHQGLVFRORUDWLRQWXUELGLW\RGRUVDQGVRXUFH V
RISROOXWDQWV
V
<HV1R1$
'RVWRUPZDWHUVWRUDJHDQGFRQWDLQPHQWDUHDVKDYHDGHTXDWHIUHHERDUG",IQRFRPSOHWH3DUW,,, $UHGUDLQDJHDUHDVIUHHRIVSLOOVOHDNVRUXQFRQWUROOHGSROOXWDQWVRXUFHV",IQRFRPSOHWH3DUW9,, DQGGHVFULEHEHORZ
1RWHV
$UHVWRUPZDWHUVWRUDJHDQGFRQWDLQPHQWDUHDVIUHHRIOHDNV",IQRFRPSOHWH3DUWV,,,DQGRU9,, DQGGHVFULEHEHORZ
1RWHV
629
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
3DUW9$GGLWLRQDO'XULQJ6WRUP2EVHUYDWLRQV,I%03VFDQQRWEHLQVSHFWHGGXULQJ LQFOHPHQWZHDWKHUOLVWWKHUHVXOWVRIYLVXDOLQVSHFWLRQVDWDOOUHOHYDQWRXWIDOOVGLVFKDUJHSRLQWV DQGGRZQVWUHDPORFDWLRQV1RWHRGRUVRUYLVLEOHVKHHQRQWKHVXUIDFHRIGLVFKDUJHV&RPSOHWH 3DUW9,,
&RUUHFWLYH$FWLRQV
DVQHHGHG
2XWIDOO'LVFKDUJH3RLQWRU2WKHU'RZQVWUHDP/RFDWLRQ /RFDWLRQ 'HVFULSWLRQ
/RFDWLRQ 'HVFULSWLRQ
/RFDWLRQ 'HVFULSWLRQ
/RFDWLRQ 'HVFULSWLRQ
/RFDWLRQ 'HVFULSWLRQ
/RFDWLRQ 'HVFULSWLRQ
/RFDWLRQ 'HVFULSWLRQ
/RFDWLRQ 'HVFULSWLRQ
630
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
3DUW9,$GGLWLRQDO3RVW6WRUP2EVHUYDWLRQV9LVXDOO\REVHUYH
LQVSHFW
VWRUPZDWHUGLVFKDUJHVDWDOO
GLVFKDUJHORFDWLRQVZLWKLQWZREXVLQHVVGD\V
KRXUV
DIWHUHDFKTXDOLI\LQJUDLQHYHQWDQGREVHUYH
LQVSHFW
WKHGLVFKDUJHRIVWRUHGRUFRQWDLQHGVWRUPZDWHUWKDWLVGHULYHGIURPDQGGLVFKDUJHGVXEVHTXHQWWRDTXDOLI\LQJ UDLQHYHQWSURGXFLQJSUHFLSLWDWLRQRIòLQFKRUPRUHDWWKHWLPHRIGLVFKDUJH&RPSOHWH3DUW9,, &RUUHFWLYH
$FWLRQV
DVQHHGHG
'LVFKDUJH/RFDWLRQ6WRUDJHRU
&RQWDLQPHQW$UHD
9LVXDO2EVHUYDWLRQ
3DUW9,,$GGLWLRQDO&RUUHFWLYH$FWLRQV5HTXLUHG,GHQWLI\DGGLWLRQDOFRUUHFWLYHDFWLRQVQRW LQFOXGHGZLWK%03'HILFLHQFLHV
3DUW,,,
DERYH1RWHLI6:333FKDQJHLVUHTXLUHG
5HTXLUHG$FWLRQV ,PSOHPHQWDWLRQ'DWH
631
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
$SSHQGL[-
3URMHFW6SHFLILF5DLQ(YHQW$FWLRQ3ODQ
7HPSODWH
632
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
5DLQ(YHQW$FWLRQ3ODQ
5($3
'DWHRI5($3 :','1XPEHU
'DWH5DLQ3UHGLFWHGWR2FFXU
3UHGLFWHGFKDQFHRI
UDLQ
3UHGLFWHG5DLQ(YHQW7ULJJHUHG$FWLRQV
%HORZLVDOLVWRIVXJJHVWHGDFWLRQVDQGLWHPVWRUHYLHZIRUWKLVSURMHFW(DFKDFWLYH7UDGHVKRXOGFKHFNDOOPDWHULDOVWRUDJH DUHDVVWRFNSLOHVZDVWHPDQDJHPHQWDUHDVYHKLFOHDQGHTXLSPHQWVWRUDJHDQGPDLQWHQDQFHDUHDVRIDFWLYHVRLOGLVWXUEDQFH DQGDUHDVRIDFWLYHZRUNWRHQVXUHWKHSURSHULPSOHPHQWDWLRQRI%03V3URMHFWZLGH%03VVKRXOGEHFKHFNHGDQGFURVV UHIHUHQFHGWRWKH%03SURJUHVVPDS
7UDGHRU$FWLYLW\ 6XJJHVWHGDFWLRQ
V
WRSHUIRUPLWHP
V
WRUHYLHZSULRUWRUDLQHYHQW
,QIRUPDWLRQ 6FKHGXOLQJ
,QIRUPWUDGHVXSHUYLVRUVRISUHGLFWHGUDLQ
&KHFNVFKHGXOHGDFWLYLWLHVDQGUHVFKHGXOHDVQHHGHG
$OHUWHURVLRQVHGLPHQWFRQWUROSURYLGHU
$OHUWVDPSOHFROOHFWLRQFRQWUDFWRU
LIDSSOLFDEOH
6FKHGXOHVWDIIIRUH[WHQGHGUDLQLQVSHFWLRQV
&KHFN(URVLRQDQG6HGLPHQW&RQWURO
(6&
PDWHULDOVWRFN
5HYLHZ%03SURJUHVVPDS
2WKHU
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
0DWHULDOVWRUDJHDUHDV
0DWHULDOXQGHUFRYHURULQVKHGV
H[
WUHDWHGZRRGVDQGPHWDOV
3HULPHWHUFRQWURODURXQGVWRFNSLOHV
2WKHU
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
:DVWHPDQDJHPHQWDUHDV
'XPSVWHUVFORVHG
'UDLQKROHVSOXJJHG
5HF\FOLQJELQVFRYHUHG
6DQLWDU\VWDWLRQVEHUPHGDQGSURWHFWHGIURPWLSSLQJ
2WKHU
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
7UDGHRSHUDWLRQV
([WHULRURSHUDWLRQVVKXWGRZQIRUHYHQW
HJQRFRQFUHWHSRXUVRUSDYLQJ
6RLOWUHDWPHQWV
HJIHUWLOL]HU
FHDVHGZLWKLQKRXUVRIHYHQW
0DWHULDOVDQGHTXLSPHQW
HJWRROV
SURSHUO\VWRUHGDQGFRYHUHG
:DVWHDQGGHEULVGLVSRVHGLQFRYHUHGGXPSVWHUVRUUHPRYHGIURPVLWH 7UHQFKHVDQGH[FDYDWLRQVSURWHFWHG
3HULPHWHUFRQWUROVDURXQGGLVWXUEHGDUHDV
)XHOLQJDQGUHSDLUDUHDVFRYHUHGDQGEHUPHG
2WKHU
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
6LWH(6&%03V
$GHTXDWHFDSDFLW\LQVHGLPHQWEDVLQVDQGWUDSV
6LWHSHULPHWHUFRQWUROVLQSODFH
&DWFKEDVLQDQGGURSLQOHWSURWHFWLRQLQSODFHDQGFOHDQHG 7HPSRUDU\HURVLRQFRQWUROVGHSOR\HG
7HPSRUDU\SHULPHWHUFRQWUROVGHSOR\HGDURXQGGLVWXUEHGDUHDVDQGVWRFNSLOHV 5RDGVVZHSW
VLWHLQJUHVVDQGHJUHVVSRLQWVVWDELOL]HG
2WKHU
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
&RQFUHWHULQVHRXWDUHD
$GHTXDWHFDSDFLW\IRUUDLQ
:DVKRXWELQVFRYHUHG
2WKHU
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
6SLOODQGGULSV
$OOLQFLGHQWVSLOOVDQGGULSVLQFOXGLQJSDLQWVWXFFRIXHODQGRLOFOHDQHG 'ULSSDQVHPSWLHG
2WKHU
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
633
%LMRX3DUN&RQQHFWRU7UDLO
0DUFK
&RQWLQXHGRQQH[WSDJH
2WKHU'LVFXVVLRQ
'LDJUDPV
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB
$WWDFKDSULQWRXWRIWKHZHDWKHUIRUHFDVWIURPWKH12$$ZHEVLWHWRWKH5($3 ,FHUWLI\XQGHUSHQDOW\RIODZWKDWWKLV5DLQ(YHQW$FWLRQ3ODQ 5($3
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
BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB'DWH BBBBBBBBBBBBBBBBBBBBBBBBBB
4XDOLILHG6:3333UDFWLWLRQHU
8VHLQNSOHDVH
634
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[.
7UDLQLQJ5HSRUWLQJ)RUP
635
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
7UDLQHG&RQWUDFWRU3HUVRQQHO/RJ
6WRUPZDWHU0DQDJHPHQW7UDLQLQJ/RJDQG'RFXPHQWDWLRQ
3URMHFW1DPH
:','
6WRUPZDWHU0DQDJHPHQW7RSLF
FKHFNDVDSSURSULDWH
(URVLRQ&RQWURO 6HGLPHQW&RQWURO
:LQG(URVLRQ&RQWURO 7UDFNLQJ&RQWURO
1RQ6WRUPZDWHU0DQDJHPHQW :DVWH0DQDJHPHQWDQG0DWHULDOV3ROOXWLRQ&RQWURO 6WRUPZDWHU6DPSOLQJ
6SHFLILF7UDLQLQJ2EMHFWLYH
/RFDWLRQ
'DWH
B
,QVWUXFWRU
7HOHSKRQH
&RXUVH/HQJWK
KRXUV
$WWHQGHH5RVWHU
$WWDFKDGGLWLRQDOIRUPVLIQHFHVVDU\
1DPH &RPSDQ\ 3KRQH
$VQHHGHGDGGSURRIRIH[WHUQDOWUDLQLQJ
HJFRXUVHFRPSOHWLRQFHUWLILFDWHVFUHGHQWLDOVIRU
46346'
636
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[/
5HVSRQVLEOH3DUWLHV
637
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
237,21$/
$XWKRUL]DWLRQRI$SSURYHG6LJQDWRULHV
3URMHFW1DPH
:','
1DPHRI
3HUVRQQHO
3URMHFW5ROH &RPSDQ\ 6LJQDWXUH 'DWH
BBBBBBBBBBBBBBBBBBBBBBBBBBBB BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB /53¶V6LJQDWXUH 'DWH
BBBBBBBBBBBBBBBBBBBBBBBBBBBB BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB /531DPHDQG7LWOH 7HOHSKRQH1XPEHU
638
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
,GHQWLILFDWLRQRI463
3URMHFW1DPH
:','
7KHIROORZLQJDUH463VDVVRFLDWHGZLWKWKLVSURMHFW
1DPHRI3HUVRQQHO
&RPSDQ\ 'DWH
,IDGGLWLRQDO463VDUHUHTXLUHGRQWKHMREVLWHDGGDGGLWLRQDOOLQHVDQGLQFOXGHLQIRUPDWLRQKHUH
639
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$XWKRUL]DWLRQRI'DWD6XEPLWWHUV
3URMHFW1DPH
:','
1DPHRI
3HUVRQQHO
3URMHFW5ROH &RPSDQ\ 6LJQDWXUH 'DWH
BBBBBBBBBBBBBBBBBBBBBBBBBBB BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB $SSURYHG6LJQDWRU\¶V6LJQDWXUH 'DWH
BBBBBBBBBBBBBBBBBBBBBBBBBBBB BBBBBBBBBBBBBBBBBBBBBBBBBBBBBB $SSURYHG6LJQDWRU\ 7HOHSKRQH1XPEHU
1DPHDQG7LWOH
640
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[0
&RQWUDFWRUVDQG6XEFRQWUDFWRUV
/LVWRIFRQWUDFWRUVDQGVXEFRQWUDFWRUVZLOOEHLQFOXGHGE\DPHQGPHQWDIWHUDZDUGRIWKH FRQWUDFWEXWSULRUWRWKHVWDUWRIFRQVWUXFWLRQ
641
%LMRX3DUN&RQQHFWRU7UDLO 0DUFK
$SSHQGL[1
&RQVWUXFWLRQ*HQHUDO3HUPLW
642
CALIFORNIA REGIONAL WATER QUALITY CONTROL BOARD
LAHONTAN REGION
2501 Lake Tahoe Boulevard, South Lake Tahoe, CA 96150
(530) 542-5400 y Fax (530) 544-2271
http://www.waterboards.ca.gov/lahontan
ORDER NO. R6T-2016-0010
NPDES NO. CAG616002
GENERAL WASTE DISCHARGE REQUIREMENTS
AND NATIONAL POLLUTANT DISCHARGE ELIMINATION SYSTEM GENERAL PERMIT
FOR STORM WATER DISCHARGES ASSOCIATED WITH CONSTRUCTION ACTIVITY IN
THE LAKE TAHOE HYDROLOGIC UNIT,
COUNTIES OF ALPINE, EL DORADO, AND PLACER
The following Dischargers are subject to waste discharge requirements as set forth in this General Permit (as authorized by the Notice of Applicability):
Table 1. Discharger Information
Dischargers
Individuals, public agencies, private businesses, and other legal entities performing construction activities within the Lake Tahoe Hydrologic Unit that result in land disturbances of one acre or greater, or less than one acre if part of a larger common plan of development, or as otherwise defined in section II.D.1. of this General Permit.
Table 2. Administrative Information
I, Patty Z. Kouyoumdjian, Executive Officer, do hereby certify that this General Permit with all attachments is a full, true, and correct copy of an General Permit adopted by the California Regional Water Quality Control Board, Lahontan Region, on March 10, 2016. ____________________________________
PATTY Z. KOUYOUMDJIAN
EXECUTIVE OFFICER
This Order was adopted by the Regional Water Quality Control Board on: March 10, 2016 This Order shall become effective on: January 1, 2017
This NPDES Permit shall expire on: December 31, 2021
643
TABLE OF CONTENTS
I. FINDINGS 1
II. CONDITIONS FOR PERMIT COVERAGE AND NOTIFICATION REQUIREMENTS 7 III. DISCHARGE PROHIBITIONS 13
IV. EFFLUENT LIMITATIONS 14
V. RECEIVING WATER LIMITATIONS 15
VI. PROVISIONS 21
VII. TRAINING QUALIFICATIONS AND CERTIFICATION REQUIREMENTS 24 VIII. BEST MANAGEMENT PRACTICES 25
IX. STORM WATER POLLUTION PREVENTION PLAN (SWPPP) 33
X. COMPLIANCE DETERMINATION 40
LIST OF ATTACHMENTS
Attachment A - List of Acronyms
Attachment B - Glossary
Attachment C - Construction Site Monitoring and Reporting Program Attachment C-1 - Bioassessment Requirements
Attachment D - Standard Provisions
Attachment E - ATS Requirements
Attachment F – SEZ/Floodplain Waste Discharge Prohibitions and Exemptions
Attachment G - Water Quality Objectives for Certain Water Bodies Attachment H - SWPPP Checklist
Attachment I - Fact Sheet
644
NPDES General Permit for Storm Board Order No. R6T-2016-0010 Water Discharges Associated with Construction NPDES No. CAG616002 in the Lake Tahoe Hydrologic Unit