Loading...
Agenda 12/08/2020 Item #16E 4 (Administrative reports by Procurement services for Change Orders to contracts)12/08/2020 EXECUTIVE SUMMARY Recommendation to approve the administrative reports prepared by the Procurement Services Division for change orders and other contractual modifications requiring Board approval. OBJECTIVE: To promote accountability and provide transpar ency to the public and gain the Board’s approval/ratification for various procurement -related transactions. CONSIDERATIONS: In accordance with the Board’s Procurement Ordinance No. 2013-69, as amended, and the Procurement Manual, the Procurement Services Division produces a regular administrative report that provides for Board approval of the following transactions: • Change Orders that do not exceed ten (10%) of the current Board approved aggregate amount, and/or require change in schedule (number of days); • Amendments to contracts; • After the fact memos from various County Divisions, as requested by the Clerk’s Finance staff for the timely process of invoices; and • Other items as determined by the County Manager or designee that require Board approval. This administrative report includes the following: • Ten (10) change orders that in aggregate modify contracts by $231,800.84 and add 465 calendar days to completion periods, see attached summary and backup for details; and • Zero (0) amendments this period with a fiscal impact of $0.00; and • Four (4) after the fact memos with a fiscal impact of $51,347.04 for additional services FISCAL IMPACT: The net total for the fourteen (14) items is $283,147.88. LEGAL CONSIDERATIONS: This item is approved for form and legality and requires a majority vote for Board action.-SRT GROWTH MANAGEMENT IMPACT: There is no Growth Management Impact associated with this action. RECOMMENDATION: To ratify/approve change orders and/or contract amendments and other items as determined by the County Manager or designee in accordance with Procurement Ordinance No. 2013 - 69, as amended. Prepared By: Sara Schneeberger, Procurement Strategist, Procurement Services ATTACHMENT(S) 1. 1208 Change Order Report Revised - FY21 (PDF) 2. [Linked]1208 Change Order Backup Revised - FY21 (PDF) 3. 1208 After the Fact Report Revised - FY21 (PDF) 4. 1208 After the Fact Backup Revised - FY21 (PDF) 16.E.4 Packet Pg. 3211 12/08/2020 COLLIER COUNTY Board of County Commissioners Item Number: 16.E.4 Doc ID: 14278 Item Summary: Recommendation to approve the administrative reports prepared by the Procurement Services Division for change orders and other contractual modifications requiring Board approval. Meeting Date: 12/08/2020 Prepared by: Title: Business Technology Analyst, Senior – Procurement Services Name: Sara Schneeberger 11/20/2020 2:23 PM Submitted by: Title: Manager - Procurement – Procurement Services Name: Sandra Herrera 11/20/2020 2:23 PM Approved By: Review: Procurement Services Catherine Bigelow Additional Reviewer Completed 11/20/2020 2:40 PM Procurement Services Sandra Herrera Additional Reviewer Completed 11/20/2020 2:41 PM Procurement Services Sandra Herrera Level 1 Purchasing Gatekeeper Completed 11/20/2020 2:43 PM Administrative Services Department Paula Brethauer Level 1 Division Reviewer Completed 11/20/2020 2:47 PM Administrative Services Department Len Price Level 2 Division Administrator Review Completed 11/20/2020 4:57 PM Office of Management and Budget Laura Wells Additional Reviewer Completed 11/20/2020 5:15 PM Office of Management and Budget Debra Windsor Level 3 OMB Gatekeeper Review Completed 11/23/2020 8:20 AM County Attorney's Office Jeffrey A. Klatzkow Level 3 County Attorney's Office Review Completed 11/23/2020 9:08 AM County Manager's Office Nick Casalanguida Level 4 County Manager Review Completed 11/30/2020 10:47 AM Board of County Commissioners MaryJo Brock Meeting Pending 12/08/2020 9:00 AM 16.E.4 Packet Pg. 3212 Item page #Contract/ Grant No.Change #DateProject Name Vendor Name Division ‐ Project ManagerOriginal Contract AmountCurrent Contract Amount Current Change Order AmountRevised Contract Amount% Over Board Approved AmountContract LengthChange in length (Days)Updated contract length    Change in length       (%)1 1 20-7696 1 10/26/2020 Jail Kitchen Replacement SDP Consultants Corp.Facilities Management - Claudia Roncoroni$1,763,302.00 $1,763,302.00 $0.00 $1,763,302.00 0.00% 210 17 227 8.10%2 19 18-7322 2 10/28/2020West Goodlette-Frank Rd Area Joint Stormwater-Sewer ProjectWPM-Southern, LLCCapital Project Planning, Impact Fee and Program Management -Robert Wiley$6,715,239.00 $6,715,239.00 $0.00 $6,715,239.00 0.00% 730 76 806 10.41%3 22 19-7590 2 10/30/2020SCRWTP Belt Filter Press ReplacementPWC, LLC PUEPMD - Alicia Abbott $602,825.00 $602,825.00 $0.00 $602,825.00 0.00% 280 60 340 21.43%4 24 16-6699 3 11/6/2020 Eleven Bridge Replacements HNTB CorporationTransportation Engineering - Marlene Messam$2,459,845.80 $2,610,638.80 $0.00 $2,610,638.80 0.00% 1182 236 1418 19.97%5 29 20-7682 2 11/10/2020Immokalee Rd at Woodcrest & Bellaire Bay Dr Intersection ImprovementsWright Construction GroupTransportation Engineering - John Conti$1,564,098.50 $1,571,625.77 ($7,527.27) $1,564,098.50 -0.48% 210 4 214 1.90%6 39 19-7611 2 11/17/2020US 41 North Water Main Replacement Phase IIPWC, LLC PUEPMD - Diana Dueri $2,488,340.00 $2,488,340.00 $0.00 $2,488,340.00 0.00% 228 12 240 5.26%7 46 20-7680 1 11/17/2020Pelican Bay Sidewalk ImprovementsAgnoli Barber & Brundage Pelican Bay Services - Darren Duprey$314,894.00 $314,894.00 $10,757.00 $325,651.00 3.42% 765 0 765 0.00%8 51 18-7288 1 11/19/2020Collier County Jail Mobile Kitchen TrailersS.R. Holding Facilities Management - Ayoub Al-Bahou$322,731.45 $322,731.45 $0.00 $322,731.45 0.00% 426 60 486 14.08%9 52 17-7198 12 11/24/2020Collier County Sports Complex Phase 1AManhattan ConstructionFacilities Management - Margaret Bishop$30,757,765.00 $28,744,304.49 $0.00 $28,744,304.49 0.00% 456 0 456 0.00%10 96 17-7198 4 11/24/2020Collier County Sports Complex Phase 1BManhattan ConstructionFacilities Management - Margaret Bishop$19,665,469.00 $20,291,877.76 $228,571.11 $20,520,448.87 1.13% 379 0 379 0.00%Meeting Date Total number of Change OrdersTotal Dollar ChangeTotal Change in Days12/8/2020 10 $231,800.84 46516.E.4.aPacket Pg. 3213Attachment: 1208 Change Order Report Revised - FY21 (14278 : Procurement Services administrative Item Page #Contract or Purchase OrderDate Description of Project Vendor Name Division ‐ DirectorFiscal Impact for Additional ServicesOutstanding InvoicesDescription1113-6164 450019671110/27/2020Design Services for Immokalee Health Bldg HVAC and Roof Replacement Victor J. Latavish Facilities Management - Damon Grant $0.00 $2,805.00Division staff did not issue a change order to extend the contract time prior to the expiration of the work order.2320-7733 450020468511/3/2020Striping on Vanderbilt Dr Finger Streets CrosswalksMcShea Contracting PTNE - Michelle Arnold $1,325.35 $6,023.65The purchase order was not properly modified prior to the additional quantities provided by the contractor. 3519-7525 450020124811/13/2020East Naples Community Park Electrical UpgradeChris-Tel Company of Southwest FloridaParks and Recreation - Barry Williams $50,021.69 $80,021.69The contractor completed the additional work prior to producing documentation to authorize the work via change order.41717-7198 450018561511/24/2020Collier County Sports Complex Phase 1AManhattan Construction Facilities Management - Damon Grant $0.00 $1,590,534.08Division staff did not issue a change order to extend the contract time and the contractor continued to work after the final completion date.Meeting DateTotal number of After the Fact MemosFiscal Impact for Additional ServicesOutstanding Invoices12/8/2020 4 $51,347.04 $1,679,384.4216.E.4.cPacket Pg. 3214Attachment: 1208 After the Fact Report Revised - FY21 (14278 : Procurement Services administrative Instructions As per section 21 of the Procurement Manual, all purchases shall be consistent and in compliance with the Procurement Ordinance (2017-08). Should work be authorized or purchases made that is inconsistent with County policy, procedure, or contract terms, an After-the-Fact Procurement Form is required. This includes purchases made in advance of a Purchase Order, when a Purchase Order is required to authorize such activity, and purchases made under an expired contract, or for goods and services not covered by the current contract or purchase order. All such “After the Fact Procurements” will be reported to the County Manager. Requester Name: Division: Division Director: Vendor Name: Amount: Contract #: Purchase Order: Why is this deemed a non-compliant purchase? Choose one. Contract Ordinance Manual P-Card Other Details of Purchase: Explain the circumstances behind this purchase. Action Required: What are you asking to be done to remedy the situation, include list of invoices if applicable? Corrective/Preventive Action: What action is being taken to prevent this violation from re-occurring? The requestor affirms that to the best of their knowledge the information provided in this document is true. Requested by: Signature: Date: Division Director: Signature: Date: Collier County After the Fact Form John McCormick Facilities Management Damon Grant Victor J. Latavish Architect, PA $2805.00 13-6164(AR)4500196711 ✔ Provide design services for the Immokalee Health Building HVAC and Roof Replacement Project # 50176.1. The overall timeline of this project (formerly project # 52162) was extended due to funding source change to Surtax funding and the subsequent approval and award process for construction. A change order extending out deadline for the completion of design work was not completed before the expiration of the continuing services agreement for design professionals time frame in March. In this case, because the services continued past the expiration date of the continuing services contract and a change order was not created before the expiration date, there is a hold on payment issuance for services beyond the expiration date listed. Please authorize payment of invoice #619-9 in the amount of $2805.00 Project Manager will take corrective action to assure NTP expiration dates are adhered to by the contractors and that notification to the contractors by Project Manager of pending expiration dates is provided. John McCormick P.E. McCormickJohn Digitally signed by McCormickJohn Date: 2020.10.27 10:07:47 -04'00' Damon Grant GrantDamon Digitally signed by GrantDamon Date: 2020.10.27 10:11:20 -04'00' 1116.E.4.d Packet Pg. 3215 Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 2 16.E.4.d Packet Pg. 3216 Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Instructions As per section 21 of the Procurement Manual, all purchases shall be consistent and in compliance with the Procurement Ordinance (2017-08). Should work be authorized or purchases made that is inconsistent with County policy, procedure, or contract terms, an After-the-Fact Procurement Form is required. This includes purchases made in advance of a Purchase Order, when a Purchase Order is required to authorize such activity, and purchases made under an expired contract, or for goods and services not covered by the current contract or purchase order. All such “After the Fact Procurements” will be reported to the County Manager. Requester Name: Division: Division Director: Vendor Name: Amount: Contract #: Purchase Order: Why is this deemed a non-compliant purchase? Choose one. Contract Ordinance Manual P-Card Other Details of Purchase: Explain the circumstances behind this purchase. Action Required: What are you asking to be done to remedy the situation, include list of invoices if applicable? Corrective/Preventive Action: What action is being taken to prevent this violation from re-occurring? The requestor affirms that to the best of their knowledge the information provided in this document is true. Requested by: Signature: Date: Division Director: Signature: Date: Collier County After the Fact Form Harry Sells PTNE Michelle Arnold McShea Contracting $6,023.65 20-7733 4500204685 ✔ Received a quote from McShea for stripping of 14 intersections in the amount of $4,698.30 and opened PO 4500204585 to perform the work. The quote noted that the quantities were estimates and the actual installed quantities will be billed at the completion of the work. The measurements at each intersection varies and since the work is completed overnight to minimize impact on the public, quantities are verified after the fact. However, the Contractor did not advise of the additional quantities prior to completing the work so that the purchase order could be properly modified. The project manager inspected the completed work and verified the quantities being billed. The Contractor completed the work to the Project Manager's satisfaction both in quality and quantity and to the contract specifications. The requested increase above the estimate is warranted (an increase of $1,325.35). Modify the PO by increasing it to a new total of $6,023.65 and pay the invoice. The vendor has been counseled and directed to determine necessary quantities prior to starting the work so that the PO can be modified accordingly. The contractor was reminded that the PO amount must never be exceeded and no work should not be completed until the PO is modified to cover all work. Harry Sells SellsHarry Digitally signed by SellsHarry Date: 2020.10.16 15:50:08 -04'00'10/16/2020 Michelle Arnold arnold_m Digitally signed by arnold_m Date: 2020.11.03 14:23:18 -05'00'11/03/2020 2316.E.4.d Packet Pg. 3217 Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 416.E.4.dPacket Pg. 3218Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Instructions As per section 21 of the Procurement Manual, all purchases shall be consistent and in compliance with the Procurement Ordinance (2017-08). Should work be authorized or purchases made that is inconsistent with County policy, procedure, or contract terms, an After-the-Fact Procurement Form is required. This includes purchases made in advance of a Purchase Order, when a Purchase Order is required to authorize such activity, and purchases made under an expired contract, or for goods and services not covered by the current contract or purchase order. All such “After the Fact Procurements” will be reported to the County Manager. Requester Name: Division: Division Director: Vendor Name: Amount: Contract #: Purchase Order: Why is this deemed a non-compliant purchase? Choose one. Contract Ordinance Manual P-Card Other Details of Purchase: Explain the circumstances behind this purchase. Action Required: What are you asking to be done to remedy the situation, include list of invoices if applicable? Corrective/Preventive Action: What action is being taken to prevent this violation from re-occurring? The requestor affirms that to the best of their knowledge the information provided in this document is true. Requested by: Signature: Date: Division Director: Signature: Date: Collier County After the Fact Form Margaret Bishop Parks & Recreation Barry Williams ChrisTel $80,021.69 19-7525 4500201248 ✔ The East Naples Community Park electrical upgrade was constructed under an expedited schedule to meet the 2020 US Open Pickleball Championship Tournament. The contractor failed to produce documentation for authorization before performing the new work. The additional work was accomplished before County authorization was received and the contract expired. The EOR reviewed the material cost and certified the cost to be reasonable. Any labor cost was removed from the invoice and only material is being included for payment. We are requesting the invoice in the amount of $80,021.69 be paid, as the materials have been delivered and installed. We informed ChrisTel that any changes to a contract must have a work directive or change order before proceeding. Division staff will reiterate to all contractors that any additional work added to a contract will need to have prior county authorization before proceeding. Margaret Bishop BishopMargaret Digitally signed by BishopMargaret Date: 2020.11.13 09:05:12 -05'00' Barry Williams WilliamsBarry Digitally signed by WilliamsBarry Date: 2020.11.13 16:56:54 -05'00' 3516.E.4.d Packet Pg. 3219 Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 616.E.4.dPacket Pg. 3220Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 716.E.4.dPacket Pg. 3221Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 816.E.4.dPacket Pg. 3222Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) JACOBS 5801 Pelican Bay Boulevard Suite 505 Naples, FL 34108 Telephone: 239-596-1715 Fax: 239-596-2579 www.jacobs.com November 10, 2020 Margaret Bishop P.E. Principle Project Manager Facilities Management Division 3335 Tamiami Trail East Naples Florida 34112 Re: East Naples Community Park Electrical Upgrades- Cost Breakdown Analysis Dear Ms. Bishop, This letter is submitted to Collier County's Facilities Management Division for the proposed change order after the fact for the East Naples Community Park Electrical Upgrades Jacobs herby certifies that in review of the work involved and materials required to complete the project, resulted in the following review of actual costs. The actual costs attached do NOT include labor and only reflect the materials required to complete the project. Per the attached cost analysis, the total cost of additional materials amounted to $80,021.69. The original Purchase Order: 45002012, allocated $30,000 for allowance, which shall be put forth to these changes, therefore the Change Order After the Fact requested funds is $50,021.69. Jacobs Engineering Group, Inc. William J. Gramer P.E., AICP Vice President Transportation 9 16.E.4.d Packet Pg. 3223 Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Bid ItemDescriptionTakeoff Quantity Material Quantity Material Price Material Amount Equip Amount Total Cost/Unit Total Amount Addon Amount Grand Total Price Grand Total Amount0001Install additional conduit for primary power from new FPL pole location. Pick up and deliver pipe, transformer pad and misc. material from FPL. Electrical, OtherPick up and deliver pipe, transformer pad and misc. material from FP1.00 ls1.00/ls0.000.00/ls0.000.00 /ls0.00Electrical, Other1.00 LS0.00 /LS0.000.00 /LS0.00Site Electrical, Buried Wire/CablePullstring110.00 LF 0.11 246.41 /M 27.11 0.00 0.25 /LF 27.11 13.90 0.37 /LF 41.01Termination Labor Only - # 16 - #142.00 E0.000.00/E0.000.00 /E0.00Wire Markers2.00 E 2.00 0.05 /E 0.10 0.00 0.05 /E 0.10 0.06 0.08 /E 0.16Site Electrical, Buried Wire/Cable110.00 LF27.210.25 /LF27.2113.960.37 /LF41.17Site Electrical, Buried ConduitPVC Sch 40 in Trench 5"100.00 LF 1.00 336.23 /C 336.23 0.00 3.36 /LF 336.23 172.47 5.09 /LF 508.70PVC Sch 80 in Trench 5"10.00 lf1.00518.45 /C518.450.0051.85 /lf518.4526.5954.50 /lf545.04PVC Sch 80 Ell 90 Deg 36" Radius 5"2.00 E2.00167.96 /E335.920.00167.96 /E335.92172.29254.11 /E508.21PVC Coupling 5"2.00 E0.201,000.62 /C200.120.00100.06 /E200.1210.27105.20 /E210.39PVC Female Adaptor 5"2.00 E0.201,159.63 /C231.930.00115.97 /E231.9311.89121.91 /E243.82PVC Base Spacers < 2"20.00 E20.001.00 /E20.000.001.00 /E20.0010.261.51 /E30.26PVC Solvent Cement - Qt1.00 E1.005.00 /E5.000.005.00 /E5.002.567.56 /E7.56Site Electrical, Buried Conduit100.00 LF998.459.99 /LF998.45406.3314.05 /LF1,404.78Site Electrical, Duct BankDuct Bank Warning Tape100.00 LF 100.00 0.25 /LF 25.00 0.00 0.25 /LF 25.00 12.82 0.38 /LF 37.82Site Electrical, Duct Bank100.00 LF25.000.25 /LF25.0012.820.38 /LF37.82Site Electrical, TrenchingElectrical Trench Excavation - Soil Type C16.67 cy0.00 70.00 4.20 /cy 70.00 10.06 4.80 /cy 80.06Electrical Trench Backfill - Reuse Excavated Soils16.67 cy0.00140.038.40 /cy140.0320.139.61 /cy160.16Site Electrical, Trenching210.03/LF210.0330.19/LF240.220001 Install additional conduit for primary power from new FPL pole location. Pick up and deliver pipe, transformer pad and misc. material from FPL. 1.00 LS2,750.52210.03 2,960.55 /LS2,960.55463.303,423.85 /LS3,423.850002Provide 2 additional pedestal locations with convenience receptacles around center court.Site Electrical, Buried Wire/CablePullstring340.00 LF 0.34 246.41 /M 83.78 0.00 0.25 /LF 83.78 42.96 0.37 /LF 126.74Termination Labor Only - # 16 - #144.00 E0.000.00/E0.000.00 /E0.00Wire Markers4.00 E 4.00 0.05 /E 0.20 0.00 0.05 /E 0.20 0.10 0.08 /E 0.30Site Electrical, Buried Wire/Cable340.00 LF83.980.25 /LF83.9843.060.37 /LF127.04Site Electrical, Buried ConduitPVC Sch 40 in Trench 3/4"300.00 LF 3.00 27.10 /C 81.31 0.00 0.27 /LF 81.31 41.72 0.41 /LF 123.03PVC Sch 40 90 deg Ell 3/4"6.00 E6.001.04 /E6.250.001.04 /E6.253.221.58 /E9.47PVC Coupling 3/4"6.00 E0.0623.59 /C1.420.000.24 /E1.420.710.36 /E2.13PVC Female Adaptor 3/4"2.00 E0.0247.93 /C0.960.000.48 /E0.960.500.73 /E1.46GRC Conduit in Trench 3/4"20.00 lf0.20135.70 /C27.140.001.36 /lf27.1413.932.05 /lf41.07PVC Base Spacers 2" & up60.00 E60.001.00 /E60.000.001.00 /E60.0030.771.51 /E90.77PVC Solvent Cement - Qt0.45 E0.455.00 /E2.250.005.00 /E2.251.147.53 /E3.39Site Electrical, Buried Conduit300.00 LF142.330.47 /LF142.3391.990.78 /LF234.32Site Electrical, Duct BankDuct Bank Warning Tape300.00 LF 300.00 0.25 /LF75.000.00 0.25 /LF 75.00 38.47 0.38 /LF 113.47Site Electrical, Duct Bank300.00 LF0.00 /LF0.0038.470.13 /LF38.47Site Electrical, TrenchingElectrical Trench Excavation - Soil Type C33.33 cy0.00 39.22 1.18 /cy 39.22 20.13 1.78 /cy 59.35Electrical Trench Backfill - Reuse Excavated Soils33.33 cy0.0078.432.35 /cy78.4340.233.56 /cy118.66Site Electrical, Trenching300.00 LF117.660.39 /LF117.6660.360.59 /LF178.02Site Electrical, GroundingCU Bare Stranded # 2320.00 LF 0.32 1,042.41 /m 333.57 0.00 1.04 /LF 333.57 171.10 1.58 /LF 504.67Site Electrical, Grounding320.00 LF333.571.04 /LF333.57171.101.58 /LF504.67Facility Electrical, Wire/CableTHHN-THWN Copper Stranded 1/C # 12680.00 LF 0.68 183.66 /M 124.89 0.00 0.18 /LF 124.89 43.13 0.25 /LF 168.02THHN-THWN Copper Stranded 1/C # 12340.00 LF0.34123.66 /M42.040.000.12 /LF42.0421.580.19 /LF63.62Stakon Lug #12 - #108.00 E8.000.25 /E2.000.000.25 /E2.001.020.38 /E3.02Stakon Lug #12 - #104.00 E4.000.25 /E1.000.000.25 /E1.000.520.38 /E1.521016.E.4.dPacket Pg. 3224Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 600V Megger Testing4.00 E 0.00 0.00 /E 0.00 0.00 /E 0.00600V Megger Testing2.00 E 0.00 0.00 /E 0.00 0.00 /E 0.00Wire Markers8.00 E 8.00 0.05 /E 0.40 0.00 0.05 /E 0.40 0.19 0.07 /E 0.59Wire Markers4.00 E4.000.05 /E0.200.000.05 /E0.200.100.08 /E0.30Facility Electrical, Wire/Cable1,020.00 LF170.530.17 /LF170.5366.540.23 /LF237.07Facility Electrical, ConduitGRC Conduit @ Level 1 3/4"20.00 LF 0.20 156.06 /C 31.21 0.00 1.56 /LF 31.21 16.01 2.36 /LF 47.22Rigid Conduit Hub 3/4"4.00 E0.041,292.68 /C51.710.0012.93 /E51.7126.5319.56 /E78.24Malleable X Condulet -3/4"2.00 E2.0020.40 /E40.800.0020.40 /E40.8020.9130.86 /E61.71Unistrut Straps 3/4"4.00 E0.04198.00 /C7.920.001.98 /E7.923.812.93 /E11.73Unistrut Conduit Hanger Allowance 3/4"4.00 E4.007.00 /E28.000.007.00 /E28.0014.3610.59 /E42.36Facility Electrical, Conduit20.00 LF159.647.98 /LF159.6481.6212.06 /LF241.26Facility Electrical, ReceptaclesRack1.00 E 1.00 75.00 /E 75.00 0.00 75.00 /E 75.00 38.48 113.48 /E 113.48GFI Receptacle Duplex Ivory 20A 125V2.00 EA2.0011.26 /EA22.520.0011.26 /EA22.5211.5317.03 /EA34.051 Gang WP Plate for Duplex Receptacle @ FS Box2.00 E2.0012.28 /E24.560.0012.28 /E24.5612.6018.58 /E37.16Pull boxes, sheet metal, type SC, raintight & weatherproof, 8" L x 6" W x 6" D, NEMA 3R1.00 ea1.0024.50 /ea24.500.0024.50 /ea24.5012.5737.07 /ea37.07Facility Electrical, Receptacles2.00 EA146.5873.29 /EA146.5875.18110.88 /EA221.760002 Provide 2 additional pedestal locations with convenience receptacles around center court.1.00 LS1,111.63117.66 1,229.29 /LS1,229.29628.321,857.61 /LS1,857.610003Provide new conduit and receptacles for drinking fountain located in court area.Site Electrical, Buried Wire/CablePullstring170.00 LF 0.17 246.41 /M 97.90 0.00 0.58 /LF 97.90 21.49 0.70 /LF 119.39Termination Labor Only - # 16 - #142.00 E0.000.00/E0.000.00 /E0.00Wire Markers2.00 E 2.00 0.05 /E 0.10 0.00 0.05 /E 0.10 0.04 0.07 /E 0.14Site Electrical, Buried Wire/Cable170.00 LF98.000.58 /LF98.0021.530.70 /LF119.53Site Electrical, Buried ConduitPVC Sch 40 in Trench 3/4"150.00 LF 1.50 27.10 /C 40.65 0.00 0.27 /LF 40.65 20.87 0.41 /LF 61.52PVC Sch 40 90 deg Ell 3/4"3.00 E3.001.04 /E3.130.001.04 /E3.131.601.58 /E4.73PVC Coupling 3/4"3.00 E0.0323.59 /C0.710.000.24 /E0.710.360.36 /E1.07PVC Female Adaptor 3/4"1.00 E0.0147.93 /C0.480.000.48 /E0.480.250.73 /E0.73GRC Conduit in Trench 3/4"10.00 lf0.10135.70 /C13.570.001.36 /lf13.576.952.05 /lf20.52PVC Base Spacers 2" & up30.00 E30.001.00 /E30.000.001.00 /E30.0015.391.51 /E45.39PVC Solvent Cement - Qt0.23 E0.235.00 /E1.130.005.02 /E1.130.587.60 /E1.71Site Electrical, Buried Conduit150.00 LF89.670.60 /LF89.6746.000.90 /LF135.67Site Electrical, Duct BankDuct Bank Warning Tape150.00 LF 150.00 0.25 /LF 37.50 0.00 0.25 /LF 37.50 19.24 0.38 /LF 56.74Site Electrical, Duct Bank150.00 LF37.500.25 /LF37.5019.240.38 /LF56.74Site Electrical, TrenchingElectrical Trench Excavation - Soil Type C16.67 cy0.00 19.61 1.18 /cy 19.61 10.07 1.78 /cy 29.68Electrical Trench Backfill - Reuse Excavated Soils16.67 cy0.0039.232.35 /cy39.2320.103.56 /cy59.33Site Electrical, Trenching150.00 LF58.840.39 /LF58.8430.170.59 /LF89.01Site Electrical, GroundingCU Bare Stranded # 2160.00 LF 0.16 1,042.41 /m 166.79 0.00 1.04 /LF 166.79 85.56 1.58 /LF 252.35Site Electrical, Grounding160.00 LF166.791.04 /LF166.7985.561.58 /LF252.35Facility Electrical, Wire/CableTHHN-THWN Copper Stranded 1/C # 12340.00 LF 0.34 123.66 /M 42.04 0.00 0.12 /LF 42.04 21.56 0.19 /LF 63.60THHN-THWN Copper Stranded 1/C # 12170.00 LF0.17123.66 /M21.020.000.12 /LF21.0210.780.19 /LF31.80Stakon Lug #12 - #104.00 E4.000.25 /E1.000.000.25 /E1.000.520.38 /E1.52Stakon Lug #12 - #102.00 E2.000.25 /E0.500.000.25 /E0.500.260.38 /E0.76600V Megger Testing2.00 E 0.00 0.00 /E 0.00 0.00 /E 0.00600V Megger Testing1.00 E 0.00 0.00 /E 0.00 0.00 /E 0.00Wire Markers4.00 E 4.00 0.05 /E 0.20 0.00 0.05 /E 0.20 0.11 0.08 /E 0.31Wire Markers2.00 E2.000.05 /E0.100.000.05 /E0.100.030.07 /E0.13Facility Electrical, Wire/Cable510.00 LF110.000.22 /LF110.0033.260.28 /LF143.26Facility Electrical, ConduitGRC Conduit @ Level 1 3/4"10.00 LF 0.10 156.06 /C 15.61 0.00 1.56 /LF 15.61 8.02 2.36 /LF 23.63Rigid Conduit Hub 3/4"2.00 E0.021,514.77 /C30.300.0015.15 /E30.3013.2521.78 /E43.55Malleable X Condulet -3/4"1.00 E1.0020.40 /E20.400.0020.40 /E20.4010.4630.86 /E30.86Unistrut Straps 3/4"2.00 E0.02184.70 /C3.690.001.85 /E3.691.892.79 /E5.58Unistrut Conduit Hanger Allowance 3/4"2.00 E2.007.00 /E14.000.007.00 /E14.007.1910.60 /E21.191116.E.4.dPacket Pg. 3225Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Facility Electrical, Conduit10.00 LF84.008.40 /LF84.0040.8112.48 /LF124.81Facility Electrical, ReceptaclesRack1.00 E 1.00 75.00 /E 97.00 0.00 97.00 /E 97.00 38.47 135.47 /E 135.47GFI Receptacle Duplex Ivory 20A 125V1.00 EA1.0091.55 /EA91.550.0091.55 /EA91.555.7897.33 /EA97.331 Gang WP Plate for Duplex Receptacle @ FS Box1.00 E1.0073.66 /E73.660.0073.66 /E73.666.3079.96 /E79.96Pull boxes, sheet metal, type SC, raintight & weatherproof, 8" L x 6" W x 6" D, NEMA 3R1.00 ea1.00111.00 /ea111.000.00111.00 /ea111.0012.57123.57 /ea123.57Facility Electrical, Receptacles1.00 EA373.21373.21 /EA373.2163.12436.33 /EA436.330003 Provide new conduit and receptacles for drinking fountain located in court area.1.00 LS1,057.0758.841,115.91 /LS1,115.91339.691,455.60 /LS1,455.600004Provide additional 50A receptacle mounted on the wall behind dumpster encloser for larger portable bathrooms. Site Electrical, Buried Wire/CablePullstring170.00 LF 0.17 246.41 /M 89.21 0.00 0.53 /LF 89.21 21.49 0.65 /LF 110.70Wire Markers2.00 E2.000.05 /E0.100.000.05 /E0.100.040.07 /E0.14Site Electrical, Buried Wire/Cable170.00 LF89.210.53 /LF89.2121.530.65 /LF110.74Site Electrical, Buried ConduitPVC Sch 40 in Trench 1"150.00 LF 1.50 91.00 /C 136.50 0.00 0.91 /LF 136.50 31.13 1.12 /LF 167.63PVC Sch 40 90 deg Ell 1"3.00 E3.000.89 /E2.660.000.89 /E2.661.371.34 /E4.03PVC Coupling 1"3.00 E0.0336.33 /C1.090.000.36 /E1.090.540.54 /E1.63PVC Female Adaptor 1"1.00 E0.0188.00 /C0.880.000.88 /E0.880.351.23 /E1.23GRC Conduit in Trench 1"10.00 lf0.10258.00 /C25.800.002.58 /lf25.8011.023.68 /lf36.82PVC Base Spacers 2" & up30.00 E30.001.00 /E30.000.001.00 /E30.0015.371.51 /E45.37PVC Solvent Cement - Qt0.30 E0.305.00 /E1.500.005.00 /E1.500.787.60 /E2.28Site Electrical, Buried Conduit150.00 LF198.431.32 /LF198.4360.561.73 /LF258.99Site Electrical, Duct BankDuct Bank Warning Tape150.00 LF 150.00 0.25 /LF 37.50 0.00 0.25 /LF 37.50 19.24 0.38 /LF 56.74Site Electrical, Duct Bank150.00 LF37.500.25 /LF37.5019.240.38 /LF56.74Site Electrical, TrenchingElectrical Trench Excavation - Soil Type C33.33 cy0.00 39.22 1.18 /cy 39.22 20.09 1.78 /cy 59.31Electrical Trench Backfill - Reuse Excavated Soils33.33 cy0.0078.432.35 /cy78.4340.263.56 /cy118.69Site Electrical, Trenching150.00 LF117.660.78 /LF117.6660.351.19 /LF178.01Site Electrical, GroundingCU Bare Stranded # 2170.00 LF 0.17 1,042.41 /m 177.21 0.00 1.04 /LF 177.21 90.88 1.58 /LF 268.09Site Electrical, Grounding170.00 LF177.211.04 /LF177.2190.881.58 /LF268.09Facility Electrical, Wire/CableTHHN-THWN Copper Stranded 1/C # 10170.00 LF 0.17 230.00 /M 39.10 0.00 0.23 /LF 39.10 16.59 0.33 /LF 55.69THHN-THWN Copper Stranded 1/C # 6340.00 LF0.34632.55 /M215.070.000.63 /LF215.0783.470.88 /LF298.54Stakon Lug #12 - #102.00 E2.000.25 /E0.500.000.25 /E0.500.250.38 /E0.75Compression Lug - # 64.00 E4.002.19 /E8.760.002.19 /E8.764.493.31 /E13.25Wire Markers2.00 E2.000.05 /E0.100.000.05 /E0.100.060.08 /E0.16Wire Markers4.00 E4.000.05 /E0.200.000.05 /E0.200.090.07 /E0.29Facility Electrical, Wire/Cable510.00 LF263.730.52 /LF263.73104.950.72 /LF368.68Facility Electrical, ConduitGRC Conduit @ Level 1 1"10.00 LF 0.10 322.00 /C 32.20 0.00 3.22 /LF 32.20 12.68 4.49 /LF 44.88Rigid Conduit Hub 1"2.00 E0.022,293.00 /C45.860.0022.93 /E45.8614.6330.25 /E60.49Malleable X Condulet -1"1.00 E1.0062.77 /E88.000.0088.00 /E88.0014.48102.48 /E102.48Unistrut Straps 1"2.00 E0.02210.30 /C44.210.0022.11 /E44.212.1623.19 /E46.37Unistrut Conduit Hanger Allowance 1"2.00 E2.008.75 /E17.500.008.75 /E17.508.9713.24 /E26.47Facility Electrical, Conduit10.00 LF227.7722.78 /LF227.7752.9228.07 /LF280.69Facility Electrical, ReceptaclesRack1.00 E 1.00 128.00 /E 128.00 0.00 128.00 /E 128.00 38.47 166.47 /E 166.47Flush Receptacle 50A 250V 3P 4W1.00 EA1.00777.00 /EA777.000.00777.00 /EA777.0015.77792.77 /EA792.77Flush Receptacle A Cap 50A 250V 3P 4W1.00 E1.0079.66 /E377.290.00377.29 /E377.2917.67394.96 /E394.96Pull boxes, sheet metal, type SC, raintight & weatherproof, 8" L x 6" W x 6" D, NEMA 3R1.00 ea1.00110.33 /ea320.000.00320.00 /ea320.0012.56332.56 /ea332.56Facility Electrical, Receptacles1.00 EA1,602.291,602.29 /EA1,602.2984.471,686.76 /EA1,686.760004 Provide additional 50A receptacle mounted on the wall behind dumpster encloser for larger portable bathrooms. 1.00 LS2,596.14117.662,713.80 /LS2,713.80494.903,208.70 /LS3,208.700005Provide additional rack location across from court 2. Rack to include 2 - 50A twist lock receptacles and 4 GFI receptacles for food trucks.Site Electrical, Buried Wire/CablePullstring1,020.00 LF 1.02 246.41 /M 251.34 0.00 0.25 /LF 251.34 128.92 0.37 /LF 380.261216.E.4.dPacket Pg. 3226Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Wire Markers12.00 E 12.00 0.05 /E 0.60 0.00 0.05 /E 0.60 0.31 0.08 /E 0.91Site Electrical, Buried Wire/Cable1,020.00 LF251.940.25 /LF251.94129.230.37 /LF381.17Site Electrical, Buried ConduitPVC Sch 40 in Trench 3/4"600.00 LF 6.00 27.10 /C 162.62 0.00 0.27 /LF 162.62 83.41 0.41 /LF 246.03PVC Sch 40 in Trench 1"300.00 LF3.0040.45 /C121.350.000.41 /LF121.3562.240.61 /LF183.59PVC Sch 40 90 deg Ell 3/4"12.00 E12.001.04 /E12.500.001.04 /E12.506.411.58 /E18.91PVC Sch 40 90 deg Ell 1"6.00 E6.000.89 /E5.320.000.89 /E5.322.731.34 /E8.05PVC Coupling 3/4"12.00 E0.1223.59 /C2.830.000.24 /E2.831.450.36 /E4.28PVC Coupling 1"6.00 E0.0636.33 /C2.180.000.36 /E2.181.110.55 /E3.29PVC Female Adaptor 3/4"4.00 E0.0447.93 /C1.920.000.48 /E1.921.000.73 /E2.92PVC Female Adaptor 1"2.00 E0.0264.81 /C1.300.000.65 /E1.300.660.98 /E1.96GRC Conduit in Trench 3/4"40.00 lf0.40135.70 /C54.280.001.36 /lf54.2827.852.05 /lf82.13GRC Conduit in Trench 1"20.00 lf0.20214.77 /C42.950.002.15 /lf42.9522.033.25 /lf64.98PVC Base Spacers 2" & up180.00 E180.001.00 /E240.000.001.33 /E240.0092.321.85 /E332.32PVC Solvent Cement - Qt1.50 E1.505.00 /E7.500.005.00 /E7.503.857.57 /E11.35Site Electrical, Buried Conduit900.00 LF654.750.73 /LF654.75305.061.07 /LF959.81Site Electrical, Duct BankDuct Bank Warning Tape150.00 LF 150.00 0.25 /LF 37.50 0.00 0.25 /LF 37.50 19.24 0.38 /LF 56.74Site Electrical, Duct Bank150.00 LF37.500.25 /LF37.5019.240.38 /LF56.74Site Electrical, TrenchingElectrical Trench Excavation - Soil Type C33.33 cy0.00 39.22 1.18 /cy 39.22 20.10 1.78 /cy 59.32Electrical Trench Backfill - Reuse Excavated Soils33.33 cy0.0078.432.35 /cy78.4340.243.56 /cy118.67Site Electrical, Trenching150.00 LF117.660.78 /LF117.6660.341.19 /LF178.00Site Electrical, GroundingCU Bare Stranded # 2170.00 LF 0.17 1,042.41 /m 177.21 0.00 1.04 /LF 177.21 90.89 1.58 /LF 268.10Site Electrical, Grounding170.00 LF177.211.04 /LF177.2190.891.58 /LF268.10Facility Electrical, Wire/CableTHHN-THWN Copper Stranded 1/C # 121,360.00 LF 1.36 123.66 /M 168.17 0.00 0.12 /LF 168.17 86.27 0.19 /LF 254.44THHN-THWN Copper Stranded 1/C # 12680.00 LF0.68123.66 /M84.090.000.12 /LF84.0943.140.19 /LF127.23THHN-THWN Copper Stranded 1/C # 10340.00 LF0.34190.17 /M64.660.000.19 /LF64.6633.160.29 /LF97.82THHN-THWN Copper Stranded 1/C # 6680.00 LF0.68478.60 /M325.450.000.48 /LF325.45166.920.72 /LF492.37Stakon Lug #12 - #1016.00 E16.000.25 /E4.000.000.25 /E4.002.060.38 /E6.06Stakon Lug #12 - #1012.00 E12.000.25 /E3.000.000.25 /E3.001.530.38 /E4.53Compression Lug - # 68.00 E8.002.19 /E17.520.002.19 /E17.529.013.32 /E26.53Wire Markers24.00 E24.000.05 /E1.200.000.05 /E1.200.610.08 /E1.81Wire Markers12.00 E12.000.05 /E0.600.000.05 /E0.600.290.07 /E0.89Facility Electrical, Wire/Cable3,060.00 LF668.690.22 /LF668.69342.990.33 /LF1,011.68Facility Electrical, ConduitGRC Conduit @ Level 1 3/4"40.00 LF 0.40 156.06 /C 62.42 0.00 1.56 /LF 62.42 32.02 2.36 /LF 94.44GRC Conduit @ Level 1 1"20.00 LF0.20246.98 /C49.400.002.47 /LF49.4025.343.74 /LF74.74Rigid Conduit Hub 3/4"8.00 E0.081,292.68 /C103.410.0012.93 /E103.4153.0519.56 /E156.46Rigid Conduit Hub 1"4.00 E0.041,426.55 /C57.060.0014.27 /E57.0629.2721.58 /E86.33Malleable X Condulet -3/4"4.00 E4.0020.40 /E81.600.0020.40 /E81.6041.8530.86 /E123.45Malleable X Condulet -1"2.00 E2.0028.21 /E56.420.0028.21 /E56.4228.9442.68 /E85.36Unistrut Straps 3/4"8.00 E0.08184.70 /C14.780.001.85 /E14.787.582.80 /E22.36Unistrut Straps 1"4.00 E0.04210.30 /C8.410.002.10 /E8.414.323.18 /E12.73Unistrut Conduit Hanger Allowance 3/4"8.00 E8.007.00 /E56.000.007.00 /E56.0028.7210.59 /E84.72Unistrut Conduit Hanger Allowance 1"4.00 E4.008.75 /E35.000.008.75 /E35.0017.9513.24 /E52.95Facility Electrical, Conduit60.00 LF524.508.74 /LF524.50269.0413.23 /LF793.54Facility Electrical, ReceptaclesRack1.00 E 1.00 75.00 /E 128.00 0.00 128.00 /E 128.00 38.47 166.47 /E 166.47GFI Receptacle Duplex Ivory 20A 125V4.00 EA4.0011.26 /EA688.000.00172.00 /EA688.0023.11177.78 /EA711.11Flush Receptacle 50A 250V 3P 4W2.00 EA2.0030.77 /EA777.000.00388.50 /EA777.0031.56404.28 /EA808.56Flush Receptacle A Cap 50A 250V 3P 4W2.00 E2.0034.40 /E377.290.00188.65 /E377.2935.29206.29 /E412.581 Gang WP Plate for Duplex Receptacle @ FS Box4.00 E4.0012.28 /E239.450.0059.86 /E239.4525.1966.16 /E264.64Pull boxes, sheet metal, type SC, raintight & weatherproof, 16" L x 16" W x 6" D, NEMA 3R1.00 ea1.0090.50 /ea320.000.00320.00 /ea320.0046.42366.42 /ea366.42Facility Electrical, Receptacles6.00 EA2,529.74421.62 /EA2,529.74200.04454.96 /EA2,729.780005 Provide additional rack location across from court 2. Rack to include 2 - 50A twist lock receptacles and 4 GFI receptacles for food trucks.1.00 LS4,844.33117.664,961.99 /LS4,961.991,416.836,378.82 /LS6,378.821316.E.4.dPacket Pg. 3227Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 0006Provide a conduit network for AV cabling. It will consist of empty 1" conduits to each of the 14 convenience pedestals located around the courts. Labor Only, Materials Furished By OthersSite Electrical, Buried Wire/CableSite Electrical, Buried Wire/Cable2,040.00 LF0.00 /LF0.000.00 /LF0.00Site Electrical, Buried ConduitSite Electrical, Buried Conduit1,700.00 LF0.00 /LF0.000.00 /LF0.00Site Electrical, Duct BankSite Electrical, Duct Bank1,700.00 LF0.00 /LF0.000.00 /LF0.00Site Electrical, TrenchingElectrical Trench Excavation - Soil Type C50.00 cy0.00 173.33 3.47 /cy 173.33 30.18 4.07 /cy 203.51Electrical Trench Excavation - Soil Type C233.33 cy0.00808.853.47 /cy808.85140.824.07 /cy949.67Electrical Trench Backfill - Reuse Excavated Soils50.00 cy0.00346.656.93 /cy346.6560.358.14 /cy407.00Electrical Trench Backfill - Reuse Excavated Soils233.33 cy0.001,617.686.93 /cy1,617.68281.658.14 /cy1,899.33Site Electrical, Trenching1,700.00 LF2,946.511.73 /LF2,946.51513.002.04 /LF3,459.51Site Electrical, Manholes/HandholesElectrcl undrgrnd ducts and manholes,hand holes,precast concrete,with concrete cover,2'x2'x3'deep,excludes excavation,backfill and cast place concrete3.00 EA 3.00 /EA0.0040.48 13.49 /EA 40.4820.7820.42 /EA61.26Site Electrical, Manholes/Handholes3.00 EA40.4813.49 /EA40.4820.7820.42 /EA61.260006 Provide a conduit network for AV cabling. It will consist of empty 1" conduits to each of the 14 convenience pedestals located around the courts. Labor Only, Materials Furished By Others1.00 LS2,986.992,986.99 /LS2,986.99533.783,520.77 /LS3,520.770007Because of pre-existing conditions, we have now been given direction to use Directional Bore to run conduits past these areas. Horizontal Directional DrillingHorizontal boring, small diameter boring, 3", includes casing only, 100' minimum, excludes jacking pits or dewatering100.00 LF 100.00 /LF 0.00 0.00 55.00 /LF 5,500.00 1,374.22 68.74 /LF 6,874.22Horizontal boring, prepare jacking pits, includes mobilization and demobilization, minimum1.00 ea0.000.004,532.00 /ea4,532.001,331.695,863.69 /ea5,863.69Horizontal Directional Drilling100.00 LF100.32 /LF10,032.002,705.91127.38 /LF12,737.910007 Because of pre-existing conditions, we have now been given direction to use Directional Bore to run conduits past these areas. 1.00 LS10,032.00 /LS10,032.002,705.9112,737.91 /LS12,737.910008RFI #1 addressed the original design for racks to be fabricated from aluminum materialMetals, Structural SteelSteel Equipment Racks A, B and C1.00 ls 1.00 /ls0.00 0.0044,314.00 /ls44,314.00 22,215.6166,529.61 /ls66,529.61Aluminium Rack Allowance(1.00)ls(1.00)/ls0.00 0.0014,344.45 /ls(14,344.45) (7,357.69)21,702.14 /ls(21,702.14)Metals, Structural Steel1.00 LS29,969.55 /LS29,969.5514,857.9244,827.47 /LS44,827.470008 RFI #1 addressed the original design for racks to be fabricated from aluminum material1.00 LS29,969.55 /LS29,969.5514,857.9244,827.47 /LS44,827.470009Change conduit and wire feeding MOP from 2 sets of 500MCM to 3 sets of 350MCM. Site Electrical, Buried Wire/CablePullstring(100.00)LF(0.10)246.41 /M(24.64)0.00 0.25 /LF(24.64) (12.64)0.37 /LF(37.28)Pullstring150.00 LF0.15246.41 /M36.960.000.25 /LF36.9618.970.37 /LF55.93Wire Markers(4.00)E(4.00)0.05 /E(0.20)0.000.05 /E(0.20)(0.11)0.08 /E(0.31)Wire Markers6.00 E6.000.05 /E0.300.000.05 /E0.300.160.08 /E0.46Site Electrical, Buried Wire/Cable50.00 LF12.420.25 /LF12.426.380.38 /LF18.80Site Electrical, Buried ConduitPVC Sch 40 in Trench 2-1/2"90.00 LF 0.90 138.79 /C 124.91 0.00 1.39 /LF 124.91 64.06 2.10 /LF 188.97PVC Sch 40 in Trench 3"(60.00)LF(0.60)164.95 /C(98.97)0.001.65 /LF(98.97)(50.77)2.50 /LF(149.74)PVC Sch 40 90 deg Ell 2-1/2"3.00 E3.007.12 /E21.350.007.12 /E21.3510.9610.77 /E32.31PVC Sch 40 90 deg Ell 3"(2.00)E(2.00)12.24 /E(24.47)0.0012.24 /E(24.47)(12.55)18.51 /E(37.02)PVC Sch 80 in Trench 2-1/2"30.00 LF0.30185.19 /C55.560.001.85 /LF55.5628.492.80 /LF84.05PVC Sch 80 in Trench 3"(20.00)LF(0.20)247.09 /C(49.42)0.002.47 /LF(49.42)(25.34)3.74 /LF(74.76)PVC Sch 80 Ell 90 Deg 36" Radius 2-1/2"6.00 E6.0063.04 /E378.220.0063.04 /E378.22193.9995.37 /E572.21PVC Sch 80 Ell 90 Deg 36" Radius 3"(4.00)E(4.00)81.55 /E(326.21)0.0081.55 /E(326.21)(167.32)123.38 /E(493.53)PVC Coupling 2-1/2"9.00 E0.09154.98 /C13.950.001.55 /E13.957.162.35 /E21.11PVC Coupling 3"(6.00)E(0.06)237.32 /C(14.24)0.002.37 /E(14.24)(7.31)3.59 /E(21.55)PVC Female Adaptor 2-1/2"6.00 E0.06224.36 /C13.460.002.24 /E13.466.913.40 /E20.37PVC Female Adaptor 3"(4.00)E(0.04)279.98 /C(11.20)0.002.80 /E(11.20)(5.74)4.24 /E(16.94)PVC Base Spacers < 2"(12.00)E(12.00)1.00 /E(12.00)0.001.00 /E(12.00)(6.17)1.51 /E(18.17)PVC Base Spacers < 2"18.00 E18.001.00 /E18.000.001.00 /E18.009.241.51 /E27.24PVC Solvent Cement - Qt(0.36)E(0.36)5.00 /E(1.80)0.005.00 /E(1.80)(0.92)7.56 /E(2.72)1416.E.4.dPacket Pg. 3228Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) PVC Solvent Cement - Qt0.45 E 0.45 5.00 /E 2.25 0.00 5.00 /E 2.25 1.16 7.58 /E 3.41Site Electrical, Buried Conduit40.00 LF89.392.24 /LF89.3945.853.38 /LF135.24Site Electrical, Duct BankDuct Bank Warning Tape(30.00)LF(30.00)0.25 /LF(7.50)0.00 0.25 /LF(7.50) (3.85)0.38 /LF(11.35)Duct Bank Warning Tape30.00 LF30.000.25 /LF7.500.000.25 /LF7.503.850.38 /LF11.35Site Electrical, Duct Bank40.00 LF0.00 /LF0.000.00 /LF0.00Site Electrical, TrenchingElectrical Trench Excavation - Soil Type C(6.67)cy0.00(7.85)1.18 /cy(7.85) (4.05)1.78 /cy(11.90)Electrical Trench Excavation - Soil Type C10.00 cy0.0011.771.18 /cy11.776.051.78 /cy17.82Electrical Trench Backfill - Reuse Excavated Soils(6.67)cy0.00(15.70)2.35 /cy(15.70)(8.06)3.56 /cy(23.76)Electrical Trench Backfill - Reuse Excavated Soils10.00 cy0.0023.532.35 /cy23.5312.073.56 /cy35.60Site Electrical, Trenching40.00 LF11.750.29 /LF11.756.010.44 /LF17.76Facility Electrical, Wire/CableTHHN-THWN Copper Stranded 1/C # 1/0(100.00)LF(0.10)1,703.63 /M(170.36)0.00 1.70 /LF(170.36) (87.38)2.58 /LF(257.74)THHN-THWN Copper Stranded 1/C # 1/0150.00 LF0.151,703.63 /M255.540.001.70 /LF255.54131.072.58 /LF386.61XHHW Copper Stranded 1/C # 350450.00 LF4.50574.52 /C2,585.330.005.75 /LF2,585.331,326.108.69 /LF3,911.43XHHW Copper Stranded 1/C # 500(300.00)LF(3.00)812.16 /C(2,436.47)0.008.12 /LF(2,436.47)(1,249.74)12.29 /LF(3,686.21)Compression Lug - 1/0(4.00)E(4.00)6.35 /E(25.40)0.006.35 /E(25.40)(13.02)9.61 /E(38.42)Compression Lug - 1/06.00 E6.006.35 /E38.100.006.35 /E38.1019.539.61 /E57.63Compression Lug - 350 MCM18.00 E18.0014.22 /E255.960.0014.22 /E255.96131.2921.51 /E387.25Compression Lug - 500 MCM(12.00)E(12.00)20.54 /E(246.48)0.0020.54 /E(246.48)(126.42)31.08 /E(372.90)Wire Markers(4.00)E(4.00)0.05 /E(0.20)0.000.05 /E(0.20)(0.10)0.08 /E(0.30)Wire Markers(12.00)E(12.00)0.05 /E(0.60)0.000.05 /E(0.60)(0.31)0.08 /E(0.91)Wire Markers18.00 E18.000.05 /E0.900.000.05 /E0.900.460.08 /E1.36Wire Markers6.00 E6.000.05 /E0.300.000.05 /E0.300.170.08 /E0.47Facility Electrical, Wire/Cable200.00 LF256.621.28 /LF256.62131.651.94 /LF388.27Facility Electrical, ConduitGRC Conduit @ Level 1 2-1/2"30.00 LF 0.30 944.56 /C 283.37 0.00 9.45 /LF 283.37 145.33 14.29 /LF 428.70GRC Conduit @ Level 1 3"(20.00)LF(0.20)1,143.96 /C(228.79)0.0011.44 /LF(228.79)(117.36)17.31 /LF(346.15)Rigid Conduit Hub 2-1/2"6.00 E0.064,534.12 /C272.050.0045.34 /E272.05139.5568.60 /E411.60Rigid Conduit Hub 3"(4.00)E(0.04)5,010.15 /C(200.41)0.0050.10 /E(200.41)(102.80)75.80 /E(303.21)Malleable LB Condulet - 2-1/2"3.00 E3.00121.56 /E364.680.00121.56 /E364.68187.06183.91 /E551.74Malleable LB Condulet - 3"(2.00)E(2.00)162.82 /E(325.64)0.00162.82 /E(325.64)(167.03)246.34 /E(492.67)Unistrut Straps 2-1/2"6.00 E0.06347.00 /C20.820.003.47 /E20.8210.685.25 /E31.50Unistrut Straps 3"(4.00)E(0.04)379.80 /C(15.19)0.003.80 /E(15.19)(7.79)5.75 /E(22.98)Unistrut Conduit Hanger Allowance 2-1/2"6.00 E6.0014.00 /E84.000.0014.00 /E84.0043.1021.18 /E127.10Unistrut Conduit Hanger Allowance 3"(4.00)E(4.00)14.00 /E(56.00)0.0014.00 /E(56.00)(28.74)21.19 /E(84.74)Facility Electrical, Conduit10.00 LF198.8919.89 /LF198.89102.0030.09 /LF300.890009 Change conduit and wire feeding MOP from 2 sets of 500MCM to 3 sets of 350MCM. 1.00 LS557.3211.75569.07 /LS569.07291.89860.96 /LS860.961,750.00$ 80,021.69$ Concrete Pad and Step:TOTAL C.O. COST:1516.E.4.dPacket Pg. 3229Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Item No. Description001Install additional conduit for primary power from new FPL pole location. Pick up and deliver pipe, transformer pad and misc. material from FPL. 3,423.85$              002Provide 2 additional pedestal locations with convenience receptacles around center court.1,857.61$              003Provide new conduit and receptacles for drinking fountain located in court area.1,455.60$              004Provide additional 50A receptacle mounted on the wall behind dumpster encloser for larger portable bathrooms. 3,208.70$              005Provide additional rack location across from court 2. Rack to include 2 ‐ 50A twist lock receptacles and 4 GFI receptacles for food trucks.6,378.82$              006Provide a conduit network for AV cabling. It will consist of empty 1" conduits to each of the 14 convenience pedestals located around the courts.  Labor Only, Materials Furished By Others3,520.77$              007Because of pre‐existing conditions, we have now been given direction to use Directional Bore to run conduits past these areas. 12,737.91$            008RFI #1 addressed the original design for racks to be fabricated from aluminum material44,827.47$            009Change conduit and wire feeding MOP from 2 sets of 500MCM to 3 sets of 350MCM. 860.96$  010Additional Concrete Pad and Steps1,750.00$              80,021.69$         TOTAL C.O. COST1616.E.4.dPacket Pg. 3230Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Instructions As per section 21 of the Procurement Manual, all purchases shall be consistent and in compliance with the Procurement Ordinance (2017-08). Should work be authorized or purchases made that is inconsistent with County policy, procedure, or contract terms, an After-the-Fact Procurement Form is required. This includes purchases made in advance of a Purchase Order, when a Purchase Order is required to authorize such activity, and purchases made under an expired contract, or for goods and services not covered by the current contract or purchase order. All such “After the Fact Procurements” will be reported to the County Manager. Requester Name: Division: Division Director: Vendor Name: Amount: Contract #: Purchase Order: Why is this deemed a non-compliant purchase? Choose one. Contract Ordinance Manual P-Card Other Details of Purchase: Explain the circumstances behind this purchase. Action Required: What are you asking to be done to remedy the situation, include list of invoices if applicable? Corrective/Preventive Action: What action is being taken to prevent this violation from re-occurring? The requestor affirms that to the best of their knowledge the information provided in this document is true. Requested by: Signature: Date: Division Director: Signature: Date: Collier County After the Fact Form Margaret Bishop Facilities Management Damon Grant Manhattan Construction $1,590,534.08 17-7198 4500185615. ✔ Phase 1A work was performed after the final completion date completion date of August 15, 2020. Requesting payment of the attached payment application 02-11- Phase 1A, in the amount of $1,590,534.08, and any future payment applications associated with Phase 1A for PO #4500185615. Any changes in work utilizing this contract will be performed in accordance with the contract, with a change order form issued and executed promptly after an agreement is reached. Margaret Bishop BishopMargaret Digitally signed by BishopMargaret Date: 2020.11.24 14:46:31 -05'00' Damon Grant GrantDamon Digitally signed by GrantDamon Date: 2020.11.24 14:57:49 -05'00' 17 416.E.4.d Packet Pg. 3231 Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) 1816.E.4.dPacket Pg. 3232Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) CONTINUATION SHEETCollier County Sports Complex AIA DOCUMENT G703APPLICATION #:02-011APPLICATION DATE:PERIOD FROM:TO:PROJECT #:Manhattan Construction Company (Florida), Inc.A A BC1 C2.1 C2.2 C3 D EFHITOTALINTERNAL PRIME COMPLETEDITEM API COUNTY DESCRIPTIONGMPBUDGET CONTRACT REVISED PREVIOUS STORED AND STORED BALANCE NO.DOT OF WORKContractADJUSTMENTS CO BUDGET APPLICATIONS WORK IN PLACE MATERIALS TO DATE % TO FINISH RETAINAGESTRUC TO DATE TO DATE (D+E+F) (G/C-2) (C2-G10%1 110 501158.3.2BP01A: GENERAL CONDITIONS 1,363,680.00 - 28,006.00 1,391,686.00 1,380,359.02 - 1,380,359.02 99.19%11,326.98 0.00 - - 2 115 50156.5.2BP01Z: GENERAL REQUIREMENTS 256,851.91 - - 256,851.91 238,700.52 - 238,700.52 92.93%18,151.39 0.00 - - COST OF WORK - - 7 200 50156.5.2BP02A: LICENSED SURVEY (JOHNSON ENG.) 228,000.00 (35,200.00) (1,528.00) 191,272.00 177,673.33 13,598.67 191,272.00 100.00% (0.00)19,127.20 8 210 50156.5.2BP26A: ELECTRICAL INFRASTRUCTURE (FORTUNE ELECTRIC) 922,300.00 - 1,485,005.06 2,407,305.06 2,246,349.10 116,705.00 2,363,054.10 98.16%44,250.96 236,305.41 9 220 50156.5.2BP26B: FIELD LIGHTING (MUSCO SPORTS LIGHTING) 840,000.00 - (235,092.90) 604,907.10 604,907.10 - 604,907.10 100.00% 0.00 60,490.71 10 230 50156.5.2BP31A: EARTHWORK (SOUTH FLORIDA EXCAVATION) 1,521,305.00 - 216.40 1,521,521.40 1,513,371.40 1,513,371.40 99.46% 8,150.00 151,337.14 11 240 50156.5.2BP32A,33A,33B,33C: UTIL. EARTHWORK, ASPHALT (COUGAR CONTRACTING) 8,528,824.00 247,699.00 1,022,804.47 9,799,327.47 9,641,210.40 156,747.00 9,797,957.40 99.99%1,370.07 489,897.87 12 240 50156.5.2BP32B: CONCRETE PAVING (SOUTH COAST CONCRETE) 1,354,475.00 - 773,964.28 2,128,439.28 1,784,950.10 284,619.90 2,069,570.00 97.23% 58,869.28 206,957.00 13 260 50156.5.2BP32C: UNIT/BRICK PAVERS (TIME BROTHERS) 82,276.00 - (47,157.14) 35,118.86 34,822.55 34,822.55 99.16% 296.31 3,482.26 14 270 50156.5.3.1BP32E: SYNTHETIC TURF PLAYING FIELDS (SCG) 4,110,343.00 - (2,382,254.70) 1,728,088.30 1,649,795.19 78,293.11 1,728,088.30 100.00% (0.00)172,808.83 15 280 50156.3BP32F:FENCING (SMITH FENCE) 217,811.00 - (8,868.36) 208,942.64 168,993.24 19,300.76 188,294.00 90.12%20,648.64 18,829.40 16 290 50156.3BP32H & 32J: LANDSCAPE, IRRIGATION AND NATIVE (O'Donnell) 2,233,807.00 - (471,447.40) 1,762,359.60 992,841.80 619,534.60 1,612,376.40 91.49%149,983.20 161,237.64 1745136.45STRUCTURAL STEEL (STEEL FAB) - - 573,312.63 573,312.63 545,706.00 27,606.63 573,312.63 100.00%0.00 57,331.26 AIA Document G702, APPLICATION AND CERTIFICATE FOR PAYMENT, containingContractor's signed Certification is attached.WORK COMPLETEDTHIS APPLICATIONG9/30/20209/1/20209/30/20207648.02PROJECT NAME:Collier County Sports Complex Page 1 of 61916.E.4.dPacket Pg. 3233Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) CONTINUATION SHEETCollier County Sports Complex AIA DOCUMENT G703APPLICATION #:02-011APPLICATION DATE:PERIOD FROM:TO:PROJECT #:Manhattan Construction Company (Florida), Inc.A A BC1 C2.1 C2.2 C3 D EFHITOTALINTERNAL PRIME COMPLETEDITEM API COUNTY DESCRIPTIONGMPBUDGET CONTRACT REVISED PREVIOUS STORED AND STORED BALANCE NO.DOT OF WORKContractADJUSTMENTS CO BUDGET APPLICATIONS WORK IN PLACE MATERIALS TO DATE % TO FINISH RETAINAGESTRUC TO DATE TO DATE (D+E+F) (G/C-2) (C2-G10%AIA Document G702, APPLICATION AND CERTIFICATE FOR PAYMENT, containingContractor's signed Certification is attached.WORK COMPLETEDTHIS APPLICATIONG9/30/20209/1/20209/30/20207648.02PROJECT NAME:Collier County Sports Complex 1837139.95ARCHITECTURAL WOODWORK - INCL GEN SPECIALTIES (ADAMS GROUP) - - 211,432.00 211,432.00 84,911.00 126,521.00 211,432.00 100.00%0.00 21,143.20 19-23167WATERPROOFING, PAINT AND COATINGS (SPECTRUM) - - 139,859.60 139,859.60 87,292.19 48,275.75 135,567.94 96.93%4,291.66 13,556.79 2013600MEMBRANE ROOFING (CROWTHER ROOFING) - - 194,683.10 194,683.10 192,500.00 2,183.10 194,683.10 100.00%0.00 19,468.31 21-22642.54INSULATION, DRYWALL & STUCCO, ACOUSTICAL CEILING (McDaniel) - - 519,977.00 519,977.00 483,874.00 36,103.00 519,977.00 100.00%0.00 51,997.70 22-14948METAL PANELS (CCS IMAGE GROUP) - - 144,643.00 144,643.00 144,643.00 144,643.00 100.00%0.00 14,464.30 23DOORS, FRAMES & HARDWARE (FIELDS DOOR & HARDWARE) - - 126,980.00 127,855.00 123,202.10 2,890.00 126,092.10 98.62% 1,762.90 12,609.21 24OVERHEAD COILING DOORS (GARAGE DOOR OF NAPLES) - - 38,934.00 38,934.00 35,040.60 35,040.60 90.00% 3,893.40 3,504.06 25GLASS AND GLAZING (SAFEZONE) - - 366,300.00 366,300.00 366,300.00 366,300.00 100.00% 0.00 36,630.00 26FLOORING (OFDC) - - 139,530.14 139,530.14 0.00 - 0.00% 139,530.14 0.00 27GENERAL SPECIALTIES (ADAMS GROUP) - - - - 0.00 - 0.00% 0.00 0.00 28PRE-ENGINEERED METAL BUILDING (TRIDENT BUILDING SYSTEMS) - - 313,531.21 313,531.21 313,439.35 313,439.35 99.97% 91.86 31,343.94 29ELEVATORS (KONE) - - 91,000.00 91,000.00 87,360.00 3,640.00 91,000.00 100.00% 0.00 9,100.00 30FIRE PROTECTION (COX FIRE PROTECTION) - - 108,459.75 108,459.75 83,965.55 83,965.55 77.42% 24,494.20 8,396.56 31PLUMBING (ACRES PLUMBING) - - 456,374.13 456,374.13 436,961.50 436,961.50 95.75% 19,412.63 43,696.15 32MECHANICAL (JND MECHANICAL) - - 496,841.41 496,841.41 493,779.24 5,180.77 498,960.01 100.43% (2,118.60)49,896.00 33MATERIALS TESTING, INSPECTIONS & GEOTECH SVCS (FORGE ENGINEERING) - - 68,000.00 68,000.00 68,000.00 68,000.00 100.00% 0.00 6,800.00 34DOORS, FRAMES & HARDWARE - INSTALL (HAMMER CONSTRUCITON) - - 16,506.00 16,506.00 15894.00 572.00 16,466.00 99.76%40.00 1,646.60 35FABRIC SHADE STRUCTURES (USA SHADE) - - 315,665.76 315,665.76 297,965.76 297,965.76 94.39% 17,700.00 29,796.58 Page 2 of 62016.E.4.dPacket Pg. 3234Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) CONTINUATION SHEETCollier County Sports Complex AIA DOCUMENT G703APPLICATION #:02-011APPLICATION DATE:PERIOD FROM:TO:PROJECT #:Manhattan Construction Company (Florida), Inc.A A BC1 C2.1 C2.2 C3 D EFHITOTALINTERNAL PRIME COMPLETEDITEM API COUNTY DESCRIPTIONGMPBUDGET CONTRACT REVISED PREVIOUS STORED AND STORED BALANCE NO.DOT OF WORKContractADJUSTMENTS CO BUDGET APPLICATIONS WORK IN PLACE MATERIALS TO DATE % TO FINISH RETAINAGESTRUC TO DATE TO DATE (D+E+F) (G/C-2) (C2-G10%AIA Document G702, APPLICATION AND CERTIFICATE FOR PAYMENT, containingContractor's signed Certification is attached.WORK COMPLETEDTHIS APPLICATIONG9/30/20209/1/20209/30/20207648.02PROJECT NAME:Collier County Sports Complex 36SOIL/TERMITE TREATMENT (APEX PEST CONTROL) - - 770.50 770.50 770.50 770.50 100.00%0.00 77.05 37FLAGPOLES (LYKINS SIGNS) - - 31,787.90 31,787.90 0.00 15,612.53 15,612.53 49.11%16,175.37 1,561.25 38BUILDING ENVELOPE CONSULTANT (UES) - - 20,515.00 20,515.00 0.00 - 0.00% 20,515.00 0.00 39CIP SITE CONCRETE (NAPLES CONCRETE) - - 79,499.70 79,499.70 79,499.70 79,499.70 100.00% 0.00 7,949.97 40SOIL TREATMENT (HULETT) - - 454.75 454.75 0.00 - 0.00%454.75 0.00 41EXTERIOR STONE - TURN KEY - 21,691.00 21,691.00 0.00 8,788.00 8,788.00 40.51%12,903.00 878.80 42FOOD SERVICE EQUIPMENT (AMUNDSEN) - 200,771.00 200,771.00 199,336.32 199,336.32 99.29% 1,434.68 19,933.63 43ORNAMENTAL FABRICATIONS (VGM) - 8,677.00 8,677.00 0.00 - 0.00% 8,677.00 0.00 44BEACH SAND - 10,430.00 10,430.00 0.00 - 0.00% 10,430.00 0.00 45FIRESTOPPING - 3,395.00 3,395.00 0.00 - 0.00% 3,395.00 0.00 - - - 0.00 - 0.00%0.00 0.00 SUBTOTAL COST OF WORK 20,039,141.00 212,499.00 4,835,663.29 25,088,178.29 22,955,355.02 1,566,171.82 - 24,521,526.84 30.18 566,651.45 1,962,254.81 ALLOWANCES - 0.00% 0.00 0.00 48 750 50156.5.2BP02B: TESTING 70,000.00 - (70,000.00) - 0.00 - 0.00%0.00 0.00 49 750 50156.5.4BP10D: FLAG POLES 7,700.00 - (7,700.00) - 0.00 - 0.00%0.00 0.00 50 750 50156.5.4BP10E: SIGNAGE 80,000.00 - (55,713.00) 24,287.00 0.00 - 0.00%24,287.00 0.00 51 750 50156.5.5BP12J: SITE FURNISHINGS (SHADE STRUCTURES) 518,400.00 - (518,400.00) - 0.00 - 0.00%0.00 0.00 52 750 50156.5.4BP13B: MONUMENT SIGNS 125,000.00 - (64,999.90) 60,000.10 0.00 - 0.00%60,000.10 0.00 53 750 50156.5.4BP26C: INTERIOR SITE LIGHTING 120,000.00 - (120,000.00) - 0.00 - 0.00%0.00 0.00 Page 3 of 62116.E.4.dPacket Pg. 3235Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) CONTINUATION SHEETCollier County Sports Complex AIA DOCUMENT G703APPLICATION #:02-011APPLICATION DATE:PERIOD FROM:TO:PROJECT #:Manhattan Construction Company (Florida), Inc.A A BC1 C2.1 C2.2 C3 D EFHITOTALINTERNAL PRIME COMPLETEDITEM API COUNTY DESCRIPTIONGMPBUDGET CONTRACT REVISED PREVIOUS STORED AND STORED BALANCE NO.DOT OF WORKContractADJUSTMENTS CO BUDGET APPLICATIONS WORK IN PLACE MATERIALS TO DATE % TO FINISH RETAINAGESTRUC TO DATE TO DATE (D+E+F) (G/C-2) (C2-G10%AIA Document G702, APPLICATION AND CERTIFICATE FOR PAYMENT, containingContractor's signed Certification is attached.WORK COMPLETEDTHIS APPLICATIONG9/30/20209/1/20209/30/20207648.02PROJECT NAME:Collier County Sports Complex 54 750 50156.5.6BLDG 1: WELCOME CENTER 2,010,970.00 - (2,010,970.00) - 0.00 - 0.00%0.00 0.00 55 750 50156.5.7BLDG 2: RESTROOM & CONCESSION 1,227,000.00 - (1,227,000.00) - 0.00 - 0.00%0.00 0.00 Page 4 of 62216.E.4.dPacket Pg. 3236Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) CONTINUATION SHEETCollier County Sports Complex AIA DOCUMENT G703APPLICATION #:02-011APPLICATION DATE:PERIOD FROM:TO:PROJECT #:Manhattan Construction Company (Florida), Inc.A A BC1 C2.1 C2.2 C3 D EFHITOTALINTERNAL PRIME COMPLETEDITEM API COUNTY DESCRIPTIONGMPBUDGET CONTRACT REVISED PREVIOUS STORED AND STORED BALANCE NO.DOT OF WORKContractADJUSTMENTS CO BUDGET APPLICATIONS WORK IN PLACE MATERIALS TO DATE % TO FINISH RETAINAGESTRUC TO DATE TO DATE (D+E+F) (G/C-2) (C2-G10%AIA Document G702, APPLICATION AND CERTIFICATE FOR PAYMENT, containingContractor's signed Certification is attached.WORK COMPLETEDTHIS APPLICATIONG9/30/20209/1/20209/30/20207648.02PROJECT NAME:Collier County Sports Complex 56 750 50156.5.8BLDG 3: MAINTENANCE BUILIDNG 737,000.00 - (737,000.00) - 0.00 - 0.00%0.00 0.00 57 750 50156.5.9BLDG 4: SATELLITE RESTROOM 586,479.00 - (586,479.00) - 0.00 - 0.00%0.00 0.00 58 750 50156.5.10BLDG 5: TICKET OFFICE 199,320.00 - (199,320.00) - 0.00 - 0.00%0.00 0.00 59 750 50156.5.11BLDG 6: SHERIFF / CARETAKER HOME 100,000.00 - (88,549.80) 11,450.20 0.00 - 0.00%11,450.20 0.00 - - 0.00% 0.00 0.00 SUBTOTAL ALLOWANCES 5,781,869.00 - (5,686,131.70) 95,737.30 - - - - 0.00% 95,737.30 - TOTAL COST OF WORK PLUS ALLOWANCES 25,821,010.00 212,499.00 25,183,915.59 22,955,355.02 1,566,171.82 - 24,521,526.84 97.37%662,388.75 1,962,254.81 INSURANCE - 3 125PERF & PAYMENT BOND 218,024.00 - 5,905.14 223,929.14 184,987.00 184,987.00 82.61% 38,942.14 0.00 4 125BUILDER'S RISK 140,011.00 - (140,011.00) - 0.00 - 0.00%0.00 0.00 5 125SUBCONTRACTOR DEFAULT INSURANCE 394,094.00 (129,699.00) 1,866.85 266,261.85 264,395.00 264,395.00 99.30% 1,866.85 0.00 6 125GENERAL LIABILITY 343,995.00 - 9,317.87 353,312.87 343,995.00 343,995.00 100.00% 9,317.87 0.00 SUBTOTAL INSURANCE 1,096,124.00 (129,699.00) (122,921.14) 843,503.86 793,377.00 - - 793,377.00 94.06%50,126.86 - CONTINGENCIES - 47PCRMT: PROCUREMENT CONTINGENCY 451,918.00 (82,800.00) (331,837.39) 37,280.61 0.00 - - 0.00%37,280.61 0.00 62 810OWNER PROJECT SAVINGS - - 71,994.08 71,994.08 0.00 - - 0.00%71,994.08 0.00 60 810OWNER CONTINGENCY 848,627.09 - (834,943.48) 13,683.61 0.00 - - 100.00%13,683.61 0.00 61 850MCF FEE 919,553.00 - 26,709.83 946,262.83 862,301.37 24,362.26 886,663.63 93.70%59,599.20 88,666.36 - - Page 5 of 62316.E.4.dPacket Pg. 3237Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) CONTINUATION SHEETCollier County Sports Complex AIA DOCUMENT G703APPLICATION #:02-011APPLICATION DATE:PERIOD FROM:TO:PROJECT #:Manhattan Construction Company (Florida), Inc.A A BC1 C2.1 C2.2 C3 D EFHITOTALINTERNAL PRIME COMPLETEDITEM API COUNTY DESCRIPTIONGMPBUDGET CONTRACT REVISED PREVIOUS STORED AND STORED BALANCE NO.DOT OF WORKContractADJUSTMENTS CO BUDGET APPLICATIONS WORK IN PLACE MATERIALS TO DATE % TO FINISH RETAINAGESTRUC TO DATE TO DATE (D+E+F) (G/C-2) (C2-G10%AIA Document G702, APPLICATION AND CERTIFICATE FOR PAYMENT, containingContractor's signed Certification is attached.WORK COMPLETEDTHIS APPLICATIONG9/30/20209/1/20209/30/20207648.02PROJECT NAME:Collier County Sports Complex SUBTOTAL CONTINGENCIES 2,220,098.09 (82,800.00) (1,068,076.96) 1,069,221.13 862,301.37 24,362.26 - 886,663.63 82.93%182,557.50 88,666.36 GRAND TOTALS30,757,764.00 0.00 (2,013,460.51) 28,745,178.49 26,230,092.93 1,590,534.08 0.00 27,820,627.01 96.78%924,551.48 2,050,921.18 AIA DOCUMENT G703 - CONTINUATION SHEET FOR G702 - 1992 ADDITION - AIA - 1G703-1992Page 6 of 62416.E.4.dPacket Pg. 3238Attachment: 1208 After the Fact Backup Revised - FY21 (14278 : Procurement Services administrative reports) Revised: 10/28/2014 PROCUREMENT USE ONLY Admin BCC Rpt BCC ES Contract Modification Work Order Modification Amendment Contract #: Change #: Purchase Order #: Project #: Contractor/Firm Name: Contract/Project: Project Manager Name: r: Division Name: Original Contract/Work Order Amount $ 1,763,302.00 3/24/20-16C.5 Original BCC Approval Date; Agenda Item # Current BCC Approved Amount $ 1,763,302.00 3/24/20-16C.5 Last BCC Approval Date; Agenda Item # Current Contract/Work Order Amount $ 1,763,302.00 SAP Contract Expiration Date (Master) Dollar Amount of this Change $ 0.00 0.00% Total Change from Original Amount Revised Contract/Work Order Total $ 1,763,302.00 0.00% Change from Current BCC Approved Amount Cumulative Changes $ 0.00 0.00% Change from Current Amount Completion Date, Description of the Task(s) Change, and Rationale for the Change Notice to Proceed Original Last Approved Revised Date Date Completion Date Date (Includes this change) # of Days Added Select Tasks Add new task(s) Delete task(s) Change task(s) Other (see below) Provide a response to the following: 1.) detailed and specific explanation/rationale of the requested change(s) to the task(s) and / or the additional days added (if requested); 2.) why this change was not included in the original contract; and, 3.) describe the impact if this change is not processed. Attach additional information from the Design Professional and/or Contractor if needed. Procurement Services Change Order Form 53007.1 SDP Consultants Corp. – SDP, Inc. 4500202743 20-7696-st 1 Jail Kitchen Replacement & upgrades Facilities Management Claudia Roncoroni 12/17/2020 11/30/2020 11/30/2020 17 05/04/2020 This Change Order in the amount of $59,109.48 will utilize funds from the current contract allowance of $125,000 leaving a remaining allowance balance of $65,890.52. Seventeen (17) days are to be added to the Contract time. 1. The proposed change includes the following: A - Revise steel Mesh Partition at Dry Storage (Room R101) and enlarge wire mesh gate width from 3’-0” to 4’-0”. Amount to be paid: $400. No change in time. B - Removal and re-installation of existing sprinkler heads. Amount to be paid $21,079.60 Time & General Conditions: 5 additional days C - Removal and re-insulation of existing duct with 2" foiled faced fiberglass. Not to exceed $7,560. No change in time. D - Revise security doors S110 and S111 to single doors and frame with laminated safety glass side lite. Revise hardware as required for remote monitoring and electrified locks. Amount to be paid: $16,096.50. Time: 12 additional days. E - Item E includes the following: 1E. Provide insulated metal clad floor panels in the 3 walk-in refrigerator portion of the walk-Ins. No change in time. 2E. Provide reinforced aluminum tread diamond plate flooring throughout all four compartments in lieu of specified welded vinyl flooring. No change in time. 3E. Provide Freezer section ramp relocation and addition of 2 ramps and appropriate thresholds and accessories at new refrigerator compartment doors. Amount to be paid for 1E,2E,and 3E: $24.345.87 No change in time. 4E. Eliminate specified welded vinyl flooring in four walk-in compartments. Credit to be received: $5,320. No change in time. F - Removal of existing hot water heater and associate piping. Credit to be received: $2,875 ($1,100 Plumbing Work + $1,775 Electrical Work). No change in time. G - Removal of the hood’s wash down filters system and associates utilities. Credit to be received: $16,317 ($15,025 Wash Down Control Panel + $895 Plumbing Work + $397 Electrical Work). No change in time. H – installation in the electrical room for an additional electrical sub panel and all related work. Installation of a new breaker necessary to feed the new sub panel, and all necessary conduits, wire and materials pertiment these modifications. Amount to be paid: $9,024.96. I – Removal of deteriorated security grill, installation of a new security grill, and removal of an old, unused and deteriorated HVAC duct.Amount to be paid: $5,114.55. No change in time. 2. Change (A) was not included in the original contract because does address an existing condition that was discovered only after the secured ceiling was demolished. Change (B) was not included in the original contract because it was discovered only after the construction started that the existing sprinkler heads installation could not be salvaged as previously anticipated. This modification was requested by AHJ. Change (C) was not included in the original contract; once the security ceiling was removed Collier County Maintenance Staff noticed a problem with the condition of the existing insulation and it was decide to replace it. this change has been requested by Collier County. Change (D) was not included in the original contract because this is a modification triggered by operational issues requested by the Owner. Change (E) was not included in the original contract because this is a modification requested by the Owner to increase the longevity of the Walk-In Compartments. Change (F) was not included in the original contract because this is a modification requested by the Owner to reduce maintenance related issues. Change (G) was not included in the original contract because this is a modification requested by the Owner to reduce maintenance related issues. Change (H) was not included in the original contract because it was triggered by existing conditions discovered only after the construction started. Change (I) was not included in the original contract; once the walk-in refrigerators were demolished it was discovered obove them an unused partially decaying HVAC duct, also, when the security ceiling was removed Collier County Staff noticed a problem with the condition of the existing security grate – which was higly corroted (pictures attached). Removing the old unused duct, and replacing the security grid are a matter of maintenance, safety and security. 3. The impact on this project if this Change Order is not processed is that the kitchen renovation will not meet some maintenance, operational, security and life safety needs that were discovered only once construction started – many triggered by existing conditions discovered once the demolition phase took place. If this Change Order is not processed, the Fire Marshall will not sign off on the Fire Sprinkler Permit ,and existing conditions would interfere with new equipment; we would not be able to complete the project. If this Change Order is not processed the construction schedule will be delayed and the project will not be able to move forward into the next phase. In addition, we will not be able to deliver a Renovation meeting the CCSO operational and security expectations. 11 Cxux^ƒ„°·™xumj·`°·Mc•yA…^ªjy^ C^m2·*$*$'$**·'/3$04*,· $-$$·    a±5     ³ B†_«kz_·N‘Žd‘”‘Žz·L”‘ndž·I_Ž_vn”·E_d}‡zž|nš·I_Ž_vnŒnŽž·    a±6 ´ D_¬zk·@_‹nšbn”vn”·?”dwzžndž·@PPT·?”dwzžnd ›· D_žn7·WWWW ZU·V· D_žn8·YWWWWW·X· ?ddn“ _Žg·‘q·¥zš·Bw_Žvn·J”kn”·šw_‡‡·iŽšžzž«žo·_·‹‘k}sd_¦‘Ž·ž‘·d’Žž–_dž"·®‘”‚·‘”kn”·{knŽžzqznk·_b‘¬n·_Žk·¯~‡‡·bn·š«b€nd ·ž‘·_‰‡·¥n·š_‹n·žn”Œš· _Žk·iŽkzžz‘Žš·_š·iŽ£zŽnk·zŽ·žwn·d‘Žž—dž"·®‘”‚·‘”kn”·zŽkzežnk·_b‘¬n·_š·q«‡†²·_š·zq·žwn·š_‹n·®n”n·š¤žnk·}Ž·¥zš·_fn“ž_Žh· Qwn·_k«š§nž ·zq· _Ž² ·¨·¥n·B‘Ž©_dž·šw_‡‡·iŽšŸ}ž«žn·_·q«Šˆ·_Žk·tŽ_‡·šnž¢†n‹nŽž·‘q·_Ž²·_Žk·_†‡·d†_z‹š·‘q·žwn·B‘Žž”_dž‘”"·SnŽk‘”"·B‘Žš«‡ž_Žž"·Dnš|vŽ·L”‘qnššz‘Ž_†· _”}š}Žv·‘«ž·‘q·‘”·”n†_Ÿnk·¡‘·¥n·dw_Žvn·šnž·r’˜·wn”nzŽ ·}Žd†«kzŽv·dˆ_}‹š·r‘”·z‹“_dž·_Žk·kn†_²·d‘šžš ·   a±9· R‘‹·T!·H—ˆ·L–nšzk¶Žž ·PKL·B‘Žš«‡ž_Žžš·    a±:·YWWWYYYYYWWZWYYYYYY[[[YYY[\YY W·X· D_‹‘Ž·G”_Žž ·Dz”nd¨” ·F_dz†}žznš·I_Ž_vn‹nŽž·    a±;µ L”‘d«”n‹nŽž·L”‘rnššz‘Ž_†· Op­}œpl>·(%#+1#+&).· D_žn<·YWWWWW·X· D_žn=·][[[[[·X·        David A Bamesberger Digitally signed by David A Bamesberger DN: C=US, E=davidb@bsswarchitects.com, O=BSSW Architects Inc., OU="BSSW Naples ", CN=David A Bamesberger Reason: I am approving this document Date: 2020.10.26 08:53:18-04'00' GrantDamon Digitally signed by GrantDamon Date: 2020.10.26 20:28:14 -04'00' SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.10.29 11:59:37 -04'00' Al- bahouAyoub Digitally signed by Al-bahouAyoub Date: 2020.10.25 07:02:02 -04'00' 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 219 SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.10.29 12:03:54 -04'00' 20 21 3DJHRI &RQWUDFW0RGLILFDWLRQ:RUN2UGHU0RGLILFDWLRQ$PHQGPHQW &RQWUDFW &KDQJH3XUFKDVH2UGHU 3URMHFW  &RQWUDFWRU)LUP1DPH &RQWUDFW3URMHFW  3URMHFW0DQDJHU1DPH U'LYLVLRQ1DPH 2ULJLQDO&RQWUDFW:RUN2UGHU$PRXQW  &2ULJLQDO%&&$SSURYDO'DWH$JHQGD,WHP &XUUHQW%&&$SSURYHG$PRXQW  &/DVW%&&$SSURYDO'DWH$JHQGD,WHP &XUUHQW&RQWUDFW:RUN2UGHU$PRXQW    6$3&RQWUDFW([SLUDWLRQ'DWH 0DVWHU 'ROODU$PRXQWRIWKLV&KDQJH    7RWDO&KDQJHIURP2ULJLQDO$PRXQW 5HYLVHG&RQWUDFW:RUN2UGHU7RWDO    &KDQJHIURP&XUUHQW%&&$SSURYHG$PRXQW &XPXODWLYH&KDQJHV    &KDQJHIURP&XUUHQW$PRXQW &RPSOHWLRQ'DWH'HVFULSWLRQRIWKH7DVN V &KDQJHDQG5DWLRQDOHIRUWKH&KDQJH 1RWLFHWR3URFHHG  2ULJLQDO  /DVW$SSURYHG  5HYLVHG'DWH 'DWH&RPSOHWLRQ'DWH'DWH ,QFOXGHVWKLVFKDQJH  RI'D\V$GGHG6HOHFW7DVNV$GGQHZWDVN V 'HOHWHWDVN V &KDQJHWDVN V 2WKHU VHH EHORZ 3URYLGHDUHVSRQVHWRWKHIROORZLQJ GHWDLOHGDQGVSHFLILFH[SODQDWLRQUDWLRQDOHRIWKHUHTXHVWHGFKDQJH V WRWKHWDVN V DQGRU WKHDGGLWLRQDOGD\VDGGHG LIUHTXHVWHG  ZK\WKLVFKDQJHZDVQRWLQFOXGHGLQWKHRULJLQDOFRQWUDFWDQG GHVFULEHWKHLPSDFW LIWKLVFKDQJHLVQRWSURFHVVHG$WWDFKDGGLWLRQDOLQIRUPDWLRQIURPWKH'HVLJQ3URIHVVLRQDODQGRU&RQWUDFWRULIQHHGHG 3UHSDUHGE\BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 'DWHBBBBBBBBBBBBBBBB $OLFLD$EERWW(,3URMHFW0DQDJHU3XEOLF8WLOLWLHV(QJLQHHULQJDQG3URMHFW0DQDJHPHQW $FFHSWDQFHRIWKLV&KDQJH2UGHUVKDOOFRQVWLWXWHDPRGLILFDWLRQWRFRQWUDFWZRUNRUGHULGHQWLILHGDERYHDQGZLOOEHVXEMHFWWRDOOWKHVDPH WHUPVDQGFRQGLWLRQVDVFRQWDLQHGLQWKHFRQWUDFWZRUNRUGHULQGLFDWHGDERYHDVIXOO\DVLIWKHVDPHZHUHVWDWHGLQWKLVDFFHSWDQFH7KH DGMXVWPHQWLIDQ\WRWKH&RQWUDFWVKDOOFRQVWLWXWHDIXOODQGILQDOVHWWOHPHQWRIDQ\DQGDOOFODLPVRIWKH&RQWUDFWRU9HQGRU&RQVXOWDQW 'HVLJQ3URIHVVLRQDODULVLQJRXWRIRUUHODWHGWRWKHFKDQJHVHWIRUWKKHUHLQLQFOXGLQJFODLPVIRULPSDFWDQGGHOD\FRVWV $FFHSWHGE\BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB 'DWHBBBBBBBBBBBBBBBB 'HDQJHOR+HQGHUVRQ6U3URMHFW0DQDJHU3:&//& $SSURYHGE\BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB'DWHBBBBBBBBBBBBBBBB 6HUJLR+R\RV063(6HQLRU:DVWHZDWHU(QJLQHHU $SSURYHGE\BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB'DWHBBBBBBBBBBBBBBBB %HQMDPLQ1%XOOHUW3(3XEOLF8WLOLWLHV(30'3ULQFLSDO3URMHFW0DQDJHU 3URFXUHPHQW6HUYLFHV &KDQJH2UGHU)RUP  3:&//&  6&5:73%HOW)LOWHU3UHVV5HSODFHPHQW (QJLQHHULQJ 3URMHFW0DQDJHPHQW$OLFLD$EERWW     7KLVFKDQJHLVWRDSSURYHDWLPHH[WHQVLRQRIGD\VWRDOORZWKHFRQWUDFWRUWRLQVWDOOWKHSHUPDQHQWSODWIRUPDWWKHEHOWILOWHU SUHVVDVZHOODVFRPSOHWHWKHPDQXIDFWXUHU¶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reserves the right to a future claim for time regarding this matter.  DQJHOR+HQGHUVRQ6U3URMHFW0DQ BBBBBBBBBBBBBBBBBBBBBBBBBBBBB HUJLR+R\RV063(6HQLRU:DV abbott_a Digitally signed by abbott_a Date: 2020.10.30 16:32:53 -04'00' BullertBenjamin Digitally signed by BullertBenjamin Date: 2020.10.30 16:36:13 -04'00' 322 6&5:73%HOW)LOWHU3UHVV 3:&//& &KDQJH2UGHU  5HYLVHG 'LYLVLRQVZKRPD\UHTXLUHDGGLWLRQDOVLJQDWXUHVPD\LQFOXGHRQVHSDUDWHVKHHW     352&85(0(1786(21/< $GPLQ%&& 5SW%&&(6      $SSURYHGE\BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB'DWHBBBBBBBBBBBBBBBB 7RP&KPHOLN3(3033XEOLF8WLOLWLHV(30''LUHFWRU   $SSURYHGE\BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB'DWHBBBBBBBBBBBBBBBB 6WHYH0HVVQHU:DWHU'LUHFWRU   $SSURYHGE\BBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBBB'DWHBBBBBBBBBBBBBBBB 6DUD6FKQHHEHUJHU3URFXUHPHQW6WUDWHJLVW3URFXUHPHQW6HUYLFHV'LYLVLRQ ChmelikTom Digitally signed by ChmelikTom Date: 2020.10.30 16:43:24 -04'00' ChmelikTom Digitally signed by ChmelikTom Date: 2020.10.30 16:43:49 -04'00' SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.10.30 16:46:52 -04'00' 23 424 SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.11.12 11:34:00 -05'00' 25 26 27 28 529 30 SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.11.13 15:15:10 -05'00' 31 32 33 34 35 36 37 38 639 Revised: 10/28/2014 (Divisions who may require additional signatures may include on separate sheet.)PROCUREMENT USE ONLY Admin BCC Rpt BCC ES Accepted by: ___________________________________________________________________________ Date: ________________ Brett Carter –Regional Manager PWC Approved by: ___________________________________________________________________________ Date: ________________ Justin Frederiksen, Director of Utilities Q. Grady Minor Approved by: ___________________________________________________________________________ Date: ________________ Benjamin Bullert, Principal Project Manager EMPD Approved by: ___________________________________________________________________________ Date: ________________ Tom Chmelik, Director EMPD Approved by: ___________________________________________________________________________ Date: ________________ Joseph Bellone, Director Operations Division Approved by: ___________________________________________________________________________ Date: ________________ Procurement Professional 11.17.2020Brett Carner Digitally signed by Brett Carner Date: 2020.11.17 10:44:40 -05'00' Justin Frederiksen, PE Digitally signed by Justin Frederiksen, PE Date: 2020.11.17 09:47:34 -05'00' BullertBenjamin Digitally signed by BullertBenjamin DN: E=Benjamin.Bullert@colliercountyfl.gov, CN=BullertBenjamin, OU=General, OU=PPM User Accounts, OU=PUD Planning and Project Management, OU=PUD, OU=Divisions, DC=bcc, DC=colliergov, DC=net Date: 2020.11.17 12:38:17-05'00' ChmelikTom Digitally signed by ChmelikTom Date: 2020.11.17 13:02:54 -05'00' Joseph Bellone Digitally signed by Joseph Bellone Date: 2020.11.17 13:33:20 -05'00' Joseph Bellone Digitally signed by Joseph Bellone Date: 2020.11.17 13:33:35 -05'00' SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.11.18 09:47:54 -05'00' 40 41 Collier County Engineering & Project Management Division WORK DIRECTIVE CHANGE CONTRACT # /PROJECT NAME: #19-7611 US 41 North Water Main Replacement Phase II PURCHASE ORDER #: 4500202742 OWNER: Collier County Board of Commissioners CONTRACTOR: PWC Joint Venture, LLC WORK DIRECTIVE # 5 DATE OF ISSUANCE: November 11, 2020 PROJECT#: 70247.1/70247.2 ENGINEER/DESIGN PROFESSIONAL: Q. Grady Minor & Associates, P.A. You are directed to proceed promptly with the following change(s): Description: To direct the Contractor to avoid an existing gas line by revising the locations of three (3) horizontal directional drill locations. Purpose of Work Directive Change: To relocate three (3) horizontal directional drill locations to ensure that the existing gas line would not be affected during horizontal directional drilling (HDD) associated with the US 41 WM project. Reason/Justification: Due to the actual location of the existing gas main, during construction it was determined that the HDD locations could be in conflict (or risk damage to) the existing gas main. The original design was unable to account for this, due to the exact location of the gas main being unknown at the locations of the HDDs. During construction, the HDD location was relocated a safe distance away from the gas main. The contractor was also required to remove previously installed section of open cut WM due to the relocation of the horizontal directional drills. Additionally, during construction, it was discovered that an additional existing conflict box would need to be abandoned. The quantity adjustments are summarized below: •Sidewalk – This will result in an increase in the removal, disposal and replacement of sidewalk and has been estimated in the amount of 650 SY, resulting in an increase of $52,000. The actual amount will be field verified at the time of installation. The contract unit price for sidewalk removal and replacement is $80/SY (650SY*$80.00/SY = 52,000) •Driveway –This will result in an increase in the removal, disposal and replacement of driveways and has been estimated in the amount of 100 SY, resulting in an increase of $17,000. The actual amount will be field verified at the time of installation. The contract unit price for driveway removal and replacement is $170/SY (100SY*$170.00/SY = 17,000) •Open Cut 10” PVC – This will result in an increase of the installation of the 10” PVC via open cut and has been estimated in the amount of 30 LF, resulting in an increase of $2,700. The actual amount will be field verified at the time of installation. The contract unit price for open cut 10” PVC is $90/LF (30LF*$90.00/LF = $2,700) •Abandon Existing Conflict box – This will result in an increase in the abandoning of one (1) existing conflict box in the amount of $1,800. The contract unit price for abandon existing conflict box is $1,800/EA (1*$1,800.00/EA = 1,800) Attachments: Plans, Quantity Adjustment and Time Extension Request from PWC If a claim is made that the above change(s) have affected Contract/Allowance Price or Contract Times any claim for a Change Order based thereon will involve one or more of the following methods of determining the effect of the changes(s). 42 Method of determining change in Method of determining change in Contract Times: Contract/Allowance Price: Unit Prices Contractor’s records Lump Sum Engineer’s record Time & Material Other Other Estimated change in Contract Time: Increase by 12 calendar days. Estimated decrease in Allowance: $ 73,500 RECOMMENDED: AUTHORIZED: By: By: Justin Frederiksen, P.E. Diana Dueri, PMP Project Engineer Owner’s Representative 43 PWC Joint Venture, LLC 5256 Summerlin Commons Way, Suite 203 Bldg. #2 Fort Myers, FL 33907 T: (239) 270-5907 F: (239) 270-5943 To avoid an existing gas line, the locations of three (3) horizontal directional drill locations were revised during construction. These changes resulted in the following estimated quantity adjustments: Section 2.1.c 10” PVC Slot Trench/Open Cut/Hand Dig – Increase of the installation of the 10” PVC via open cut has been estimated in the amount of 30 LF, resulting in an increase of $2,700. The actual amount will be field verified at the time of installation. The contract unit price for open cut 10” PVC is $90/LF (30LF*$90.00/LF = $2,700). 1. Section 3.3 Abandon Existing Conflict Box – Increase in the abandoning of one (1) existing conflict box in the amount of $1,800. The contract unit price for abandon existing conflict box is $1,800/EA. The contract unit price for abandon existing conflict box is $1,800/EA (1*$1,800.00/EA = 1,800). 2. Section 4.1.b – Increase in the removal, disposal and replacement of driveways has been estimated in the amount of 100 SY, resulting in an increase of $17,000. The actual amount will be field verified at the time of installation. The contract unit price for driveway removal and replacement is $170/SY (100SY*$170.00/SY = 17,000). 3. Section 4.2 – Remove, Dispose and Replace Sidewalk – Increase in the removal, disposal and replacement of sidewalk has been estimated in the amount of 650 SY, resulting in an increase of $52,000. The actual amount will be field verified at the time of installation. The contract unit price for sidewalk removal and replacement is $80/SY (650SY*$80.00/SY = 52,000). The updated Bid and CO#2 costs are summarized in the table below: In total, PWC estimates the increase in cost to be $73,500. Sincerely, 44 Item No.Item Description QTY Unit Unit Price Bid Total 1.1 Mobilization/Demobilization (Max 10% of Base Bid Total)1 LS $ 232,800.00 $ 232,800.00 1.2 Maintenance of Traffic 1 LS $ 45,000.00 $ 45,000.00 1.3 Survey Layout & Record Drawings 1 LS $ 20,000.00 $ 20,000.00 1.4 Erosion and Sedimentation Control 1 LS $ 50,000.00 $ 50,000.00 1.5 Pre-Construction Video & Photographs 1 LS $ 1,500.00 $ 1,500.00 1.6 Existing Utility Soft Digs 30 EA $ 850.00 $ 25,500.00 $ 374,800.00 2.1 Water Main Installation a.6" C900 PCV Open Cut 250 LF $ 50.00 $ 12,500.00 b.8" C900 PVC Open Cut 300 LF $ 58.00 $ 17,400.00 c.10" PVC Slot Trench/Open Cut/Hand Dig 720 LF $ 90.00 $ 64,800.00 d.10" HDPE Slot Trench/Open Cut/Hand Dig 2530 LF $ 113.00 $ 285,890.00 e.10" HDPE Pipe Bursting 2530 LF $ 150.00 $ 379,500.00 f.10" HDPE Directional Drill 1150 LF $ 105.00 $ 120,750.00 2.2 Gate Valves and Boxes a.6--inch Gate Valve 11 EA $ 1,200.00 $ 13,200.00 b.8-inch Gate Valve 11 EA $ 1,450.00 $ 15,950.00 c.10-inch Gate Valve 15 EA $ 2,000.00 $ 30,000.00 d.6" Insert Valve 13 EA $ 7,500.00 $ 97,500.00 e.8" Insert Valve 3 EA $ 9,000.00 $ 27,000.00 f.12" Insert Valve 2 EA $ 13,000.00 $ 26,000.00 2.3 Line Stop a.6" Line Stop 11 EA $ 4,500.00 $ 49,500.00 b.8" Line Stop 3 EA $ 4,800.00 $ 14,400.00 2.4 Air Release Valves 11 EA $ 2,350.00 $ 25,850.00 2.5 Fire Hydrant Assemblies 15 EA $ 5,200.00 $ 78,000.00 2.6 Temporary Bacteriological Sample Points 17 EA $ 1,150.00 $ 19,550.00 2.7 Connection to Existing Water Main 22 EA $ 5,500.00 $ 121,000.00 2.8 Grout/Abandon Existing Water Main 7,250 LF $ 5.00 $ 36,250.00 $ 1,435,040.00 3.1 Sewer Lateral Relocation a.Lateral Relocation 1 (Milan Center - 9465 Tamiami Trail N)1 LS $ 2,800.00 $ 2,800.00 b.Lateral Relocation 2 (North Naples Car Wash - 10101 Tamiami Trail N)1 LS $ 4,800.00 $ 4,800.00 c. Lateral Relocation 3 (7-Eleven - 10795 Tamiami Trail N)1 LS $ 2,600.00 $ 2,600.00 d.Lateral Relocation 4 (North Collier Animal Clinic - 10895 Tamiami Trail N)1 LS $ 2,800.00 $ 2,800.00 3.2 Precast Polymer Concrete Manhole 7 EA $ 9,000.00 $ 63,000.00 3.3 Abandon Existing Conflict Box 1 EA $ 1,800.00 $ 1,800.00 3.4 Abandon/Dispose Manhole 7 EA $ 3,800.00 $ 26,600.00 3.5 Abandon/Dispose Existing Gravity Main 2000 LF $ 5.00 $ 10,000.00 $ 114,400.00 4.1 Remove, Dispose, and Replace Driveway a.Asphalt Driveway (Remove, Dispose, Replace)60 SY $ 190.00 $ 11,400.00 b.Reinforced Concrete Driveway (Remove, Dispose, Replace)125 SY $ 170.00 $ 21,250.00 4.2 Remove, Dispose, and Replace Sidewalk 75 SY $ 80.00 $ 6,000.00 4.3 Remove, Dispose, and Replace Concrete Curb and Gutter 1400 LF $ 40.00 $ 56,000.00 4.4 Road Restoration - Stabilized Subgrade 1600 SY $ 7.00 $ 11,200.00 4.5 Road Restoration - Limerock Base 1200 SY $ 20.00 $ 24,000.00 4.6 Road Restoration - Flowable Fill 600 CY $ 185.00 $ 111,000.00 4.7 Road Restoration 2-1/2" Asphalt (Two Lifts)1100 SY $ 65.00 $ 71,500.00 4.8 Milling & Resurfacing 1150 SY $ 45.00 $ 51,750.00 $ 364,100.00 5.1 Owner Directed Allowance 1 TBD $ 200,000.00 $ 200,000.00 $ 2,488,340.00 SECTION 4: ROAD RESTORATION SECTION 3: WASTEWATER PWC, LLCU.S. 41 WATER MAIN REPLACEMENT 19-7611 Bid Schedule Collier County EPMD PROJECT No.: 70123.5.1 SECTION 5: ALLOWANCES SECTION 1: GENERAL SECTION 2: WATER SECTION 4 SUBTOTAL: SECTION 2 SUBTOTAL: SECTION 1 SUBTOTAL: SECTION 3 SUBTOTAL: TOTAL 45 Revised: 10/28/2014 (Divisions who may require additional signatures may include on separate sheet.) PROCUREMENT USE ONLY Admin BCC Rpt BCC ES Contract Modification Work Order Modification Amendment Contract #: Change #: Purchase Order #: Project #: Contractor/Firm Name: Contract/Project: Project Manager Name: r: Division Name: Original Contract/Work Order Amount $ 314,894.00 4/28/20;16.F.3 Original BCC Approval Date; Agenda Item # Current BCC Approved Amount $ 314,894.00 4/28/20;16.F.3 Last BCC Approval Date; Agenda Item # Current Contract/Work Order Amount $ 314,894.00 6/1/2022 SAP Contract Expiration Date (Master) Dollar Amount of this Change $ 10,757.00 3.42% Total Change from Original Amount Revised Contract/Work Order Total $ 325,651.00 3.42% Change from Current BCC Approved Amount Cumulative Changes $ 10,757.00 3.42% Change from Current Amount Completion Date, Description of the Task(s) Change, and Rationale for the Change Notice to Proceed Original Last Approved Revised Date Date Completion Date Date (Includes this change) # of Days Added Select Tasks Add new task(s) Delete task(s) Change task(s) Other (see below) Provide a response to the following: 1.) detailed and specific explanation/rationale of the requested change(s) to the task(s) and / or the additional days added (if requested); 2.) why this change was not included in the original contract; and, 3.) describe the impact if this change is not processed. Attach additional information from the Design Professional and/or Contractor if needed. Prepared by: ___________________________________________________________________________ Date: ________________ (Project Manager Name and Division) Acceptance of this Change Order shall constitute a modification to contract / work order identified above and will be subject to all the same terms and conditions as contained in the contract / work order indicated above, as fully as if the same were stated in this acceptance. The adjustment, if any, to the Contract shall constitute a full and final settlement of any and all claims of the Contractor / Vendor / Consultant / Design Professional arising out of or related to the change set forth herein, including claims for impact and delay costs. Accepted by: ___________________________________________________________________________ Date: ________________ (Contractor / Vendor / Consultant / Design Professional and Name of Firm, if project applicable) Approved by: ___________________________________________________________________________ Date: ________________ (Design Professional and Name of Firm, if project applicable) Approved by: ___________________________________________________________________________ Date: ________________ (Procurement Professional) ndProcurement Services Change Order Form 50178.1 Agnoli Barber & Bundage, Inc. 4500203324 20-7680 1 20-7680 Pelican Bay Sidewalk Improvements Pelican Bay Service Division Darren Duprey 6/17/2022 6/17/2022 6/17/2022 0 5/13/2020 1) This is a request to a) change the scope by removing Seagate Drive and Vanderbilt Beach Road from the project; b) add the services of a certified arborist increasing the contract by $10,757.00 or 3.42% for expert advice on removal, relocation, and identification of trees adjacent to the sidewalk; 2) These changes were not included in the original contract because a) the scope will be inaccurate because maintenance responsibility for these sidewalks belongs to the County’s Road Maintenance Division, not Pelican Bay Services; b) the importance of needing a certified arborist to evaluate existing trees was overlooked. The arborist requirement was identified during the landscape design phase of the project.The landscape architect requires the specialized skills of a certified arborist to evaluate the health and viability of mature trees located adjacent to the sidewalks to determine whether the tree needs to be removed or if the roots can be cut safely without compromising the integrity of the tree; 3) If these changes are not processed, a) the scope will be inaccurate; b) the existing trees would not be evaluated by an expert, which could create a public safety hazard and increase future maintenance of the sidewalks; James A. Carr, P.E.Digitally signed by James A. Carr, P.E. DN: CN="James A. Carr, P.E." + E=jim.carr@abbinc.com, OU="Agnoli, Barber & Brundage", O="Agnoli, Barber & Brundage", L=Naples, S=Florida, C=US Date: 2020.11.17 10:06:30-05'00' SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.11.18 10:54:38 -05'00' DupreyDarren Digitally signed by DupreyDarren Date: 2020.11.17 14:39:17 -05'00' 746 Page 1 of 4 K:\2020\20-0022 Pelican Bay Sidewalks Improvements Design\Correspondences\Proposal\CO #1\Request for Change Order 10.21.20.docx October 21, 2020 Via email to lisa.jacob@colliercountyfl.gov Lisa Jacob, Project Manager Collier County Pelican Bay Services Division 801 Laurel Oak Drive, Suite 302 Naples, FL 34108 Re: Pelican Bay Sidewalk Improvements Design Request for Change Order #1 to PO #4500203324 ABB PN 20-0022 Dear Ms. Jacob: At your request, Agnoli, Barber & Brundage, Inc. (hereinafter referred to as ABB) is submitting this Request for Change Order #1 to PO #4500203324 for the modification of existing professional services on the above-referenced project. ABB proposes to provide Collier County the professional services outlined in Exhibit A attached. This proposal is under the Terms and Conditions of Contract #20-7680, Pelican Bay Sidewalk Improvements Design. A copy of Schedule B – Attachment 1, Consultant’s Hourly Rate Schedule, is also attached. We hope that this proposal satisfactorily responds to your request. Sincerely, AGNOLI, BARBER & BRUNDAGE, INC. James A. Carr, P.E. Senior Vice President JAC/drr Attachments 47 Page 2 of 4 K:\2020\20-0022 Pelican Bay Sidewalks Improvements Design\Correspondences\Proposal\CO #1\Request for Change Order 10.21.20.docx EXHIBIT A Estimated Budget Pelican Bay Sidewalk Improvements Design Change Order #1 to PO #4500194071 ABB PN #20-0022 October 21, 2020 SCOPE OF SERVICES: Collier County (Client) selected ABB to design the Pelican Bay sidewalk replacement project for the following public roadways within Pelican Bay: Crayton Road, Green Tree Drive, Gulf Park Drive, Hammock Oak Drive, Laurel Oak Drive, Myra Janco Daniels Boulevard, North Pointe Drive, Oakmont Parkway, Pelican Bay Boulevard, Ridgewood Drive, Seagate Drive, Vanderbilt Beach Road. Services include the preparation of engineered construction drawings that show specific details as necessary for permitting, bidding and construction to replace existing asphalt sidewalks with concrete and widen to 6’ to current Collier County Land Development Code (LDC), Florida Department of Transportation (FDOT) and American Disabilities Act (ADA) design standards. x Collier County has requested to delete sidewalks on the following streets from the original scope of services: Seagate Drive and Vanderbilt Beach Road. These segments represent approximately 9% of the total sidewalk linear feet. The design fees for the associated services have been deducted from the original budget as shown below. x Collier County requested to add the following street to the scope: Lynnmore Lane. This segment represents less than 1% of the total sidewalk linear feet. x In addition, Collier County requested to design and permit this project into two phases. Phase 1 includes Green Tree Drive and Oakmont Parkway. Phase 2 includes the remaining streets: Crayton Road, Gulf Park Drive, Hammock Oak Drive, Laurel Oak Drive, Myra Janco Daniels Boulevard, North Pointe Drive, Pelican Bay Boulevard and Ridgewood Drive. x As a result of splitting the project into two phases, it is necessary to create a new set of Phase 2 plans and documents and to provide additional permitting. ABB will prepare a new construction plan set for Phase 2 including details, cover sheet, indices and stationing, as well as prepare a Phase 2 opinion of costs, construction documents and bidding package. x Also, it has been requested to engage the services of an arborist. Signature Tree Care will be performing those services as a subconsultant as follows: x Basic above-ground visual tree inspection and/or inventory. Provide options for proper care to preserve tree or recommend tree removal for Phases 1 and 2 as follows: x Site visits/meetings x Supervising root pruning x Recommendation as to which trees will survive and which will need to be removed x Advisement on causing least amount of damage as possible x Pre-evaluation for Phase 1 and Phase 2 x Reports as needed x Services through entire project (including construction). Time will be billed hourly, as needed. 48 Page 3 of 4 K:\2020\20-0022 Pelican Bay Sidewalks Improvements Design\Correspondences\Proposal\CO #1\Request for Change Order 10.21.20.docx Manhour Breakdown T/M = Time and Materials. Billings will be based on actual time and materials expended in accordance with our rate schedule. Budgets given are an approximate amount and will not exceed without prior authorization. Billings will be made on a percent of budget basis. Estimating Note: The hours and rates given above are provided for estimating purposes only. Actual time and materials may vary based on conditions encountered and the qualified personnel available at the time services need to be rendered. Category Hours Rate Less Design Fees for Deleted Streets from Scope: Principal 10 238$ 2,380$ T/M Senior Engineer 8 175$ 1,400$ T/M Engineer 14 136$ 1,904$ T/M Landscape Architect - 150$ -$ T/M Senior Designer 32 128$ 4,096$ T/M Designer 24 109$ 2,616$ T/M Senior Technician - 102$ -$ T/M Technician 6 83$ 498$ T/M CADD Technician 20 95$ 1,900$ T/M Clerical/Admin 5 73$ 365$ T/M Surveyor & Mapper - 142$ -$ T/M Survey Crew 2-Man - 152$ -$ T/M Senior Inspector 14 117$ 1,638$ T/M Total - Deleted Design Fees 133 16,797$ T/M Additional Design Plans, Documents & Permitting: Principal 8 238$ 1,904$ T/M Senior Engineer 6 175$ 1,050$ T/M Engineer 12 136$ 1,632$ T/M Landscape Architect - 150$ -$ T/M Senior Designer 20 128$ 2,560$ T/M Designer 8 109$ 872$ T/M Senior Technician - 102$ -$ T/M Technician 12 83$ 996$ T/M CADD Technician 14 95$ 1,330$ T/M Clerical/Admin 20 73$ 1,460$ T/M Surveyor & Mapper - 142$ -$ T/M Survey Crew 2-Man - 152$ -$ T/M Senior Inspector - 117$ -$ T/M Total - Additional Design & Permitting 100 11,804$ T/M Subtotal (33) (4,993)$ T/M 15,000$ T/M 750$ 15,750$ T/M 10,757$ T/M Subconsultant, Signature Tree Care 5% Subconsultant Markup Total Estimated Budget for CO #1 Total Subconsultant Fees Total 49 Page 4 of 4 K:\2020\20-0022 Pelican Bay Sidewalks Improvements Design\Correspondences\Proposal\CO #1\Request for Change Order 10.21.20.docx 50 GrantDamon Digitally signed by GrantDamon Date: 2020.11.19 12:00:13 -05'00' SchneebergerSara Digitally signed by SchneebergerSara Date: 2020.11.19 12:57:09 -05'00' 851 this exhibit is not applicable EXHIBIT F CHANGE ORDER Contract Modification Work Order Modification Contract #: Change #: Purchase Order #: Project #: Contractor/Firm Name: Project Name: Project Manager Name: r: Department: Original Contract/Work Order Amount $ 30,757,765.00 3-26-19/11.C Original BCC Approval Date; Agenda Item # Current BCC Approved Amount $ 30,757,765.00 3-26-19/11.C Last BCC Approval Date; Agenda Item # Current Contract/Work Order Amount $ 28,744,304.49 SAP Contract Expiration Date (Master) Dollar Amount of this Change $0.00 -6.55% Total Change from Original Amount Revised Contract/Work Order Total $ 28,744,304.49 -6.55% Change from Current BCC Approved Amount Cumulative Changes $ (2,013,460.51) 0.00% Change from Current Amount Completion Date, Description of the Task(s) Change, and Rationale for the Change Notice to Proceed Original Last Approved Revised Date Date Completion Date Date ( Includes this change) # of Days Added Select Tasks Add new task(s) Delete task(s) Change task(s) Other (see below) Provide a response to the following: 1.) detailed and specific explanation/rationale of the requested change(s) to the task(s) and / or the additional days added (if requested); 2.) why this change was not included in the original contract; and, 3.) describe the impact if this change is not processed. “The above costs are all related to the Collier County Sports Complex project. All cost break downs, fee break outs, and detailed back up are included with the AR documents within this change order package. Notwithstanding anything to the contrary above, Construction Manager does not release and expressly reserves the right to pursue claims for time extensions and additional compensation that arise out of or result from the COVID-19 outbreak and the responses to this outbreak including implementation of any instructions, restrictions, and/or requirements by any federal, state, or local governmental or public health entity resulting from this outbreak and which claims may include, but are not limited to, additional time and costs due to labor or material shortages, quarantines, and implantation of other safety and health protocols.” 1) This change order is requesting: Authorization Request: 7648.02-025 Aerator for Lake – The Vertex Air Aeration System was added to the project to mitigate the smell and improve the water quality and aesthetics of the lake using the Owner Project Savings. Authorization Request: 7648.02-131 Lenel/Mercury Access Control - Collier county changed security access vendors after the construction contract was approved. The original pricing for security was based upon the previous vendor and the new vendor Lenel, required new encrypted controllers and hardware substitutions to meet county standards Owner Project Savings zero dollar. Authorization Request: 7648.02-136 Safety Railings at Building 1 Balcony elevator shaft – necessary to inspector requirement to obtain TCO for safety precautions, elevator was life safety Owner Contingency. Authorization Request: 7648.02-138 Concrete Site Columns – Added cost to provide masonry site columns, includes all excavation, foundations, reinforcement, masonry and fill cells as required in the contract documents unallocated subcontractor CM directive funds from Procurement Savings. Authorization Request: 7648.02-141 Trench Drain – Sewer line and sewer line fix – 180 ft of trench drains and 160 ft of sewer line to service the area between buildings 2 & 5 in order to mitigate drainage issues. Funding utilized was from the Owner Contingency. 50156 17-7198 1A.12 4500185615 Manhattan Construction Florida Inc. Phase 1A Collier County Sports Complex Facilites Management Margaret Bishop 4-17-19 0 5-17-20 7-16-20 7-16-2020         52 9 Authorization Request: 7648.02-144 Audit Corrections for April Pay Application – Reconciliation Credit for Cougar that was discovered from audit comments taken from the Owner Contingency. Authorization Request: 7648.02-145 KONE overtime for state inspection – Added cost for overtime work to finish the elevator by the deadline date for State Inspections that was also part of the certificate of occupancy. Unallocated subcontract CM directive funds were used from Project Savings. Authorization Request: 7648.02-147 Elevator Ladder and Hoist Beam - Reconciliation deduct for the elevator pit ladder supplied in elevator contractor scope. Credit for the elevator pit ladder in building 1 and installation of safety beam for the elevator utilizing Owner Contingency funds. Authorization Request: 7648.03-151 Mullion Modifications – Added cost for Steel Mullions not purchased for window openings. Support material scope missed, mullions will be required for structural design and proper installation. Unallocated subcontract CM directive funds. Authorization Request: 7648.03-152 Spray Foam Insulation – Costs for spray foam insulation for Phase 1A for spray and masonry insulation utilizing the Owner Project Savings. Authorization Request: 7648.03-154 ADA Handicap tactile surface – Add for 40 ADA handicap tactile surfaces not included in the project scope but is required by code utilizing unallocated subcontractor CM directive funds. Authorization Request: 7648.03-155 Welcome Center Fiber Cost Reconciliation – Funds appropriated for pulling fiber cable from City Gate Boulevard North to Building 1 was incorrect. The County directed the installation of fiber from Owner Contingency. Authorization Request: 7648.03-156 Exotic Removal Markups – Reconciliation of costs to the Landscaper mark up on the exotics removal invoice goes back into Owner Project Savings. Authorization Request: 7648.03-157 Drywall work at Buildings 1, 3, & 4 – Reconciliation of costs from removing part of the ground rod system on the second floor of building 1, remove knee walls in building 1, reframing around rollup door at building 4 and framing rooms 116 & 117 in building 3 using procurement contingency. Authorization Request: 7648.03-159 Replacement Hardware for Doors – Replacement hardware was required to secure the area and meet design. The hardware was previously delivered and misplaced. Funds for misplaced hardware is from Procurement Contingency. Authorization Request: 7648.03-160 Condensate Drain for Mini Split – Minisplit condensation drains excluded from contract but on drawings. Funds for the missed scope is from Unallocated Subcontract CM Directive Funds. Authorization Request: 7648.03-161 Motor Switches for Building 3 Fans – Cost event created to capture the cost of adding the motor switches for fans in building 3. These switches are necessary to dick the fans on and off based on the room temperature. Fund are from Procurement Contingency. Authorization Request: 7648.03-163 Duplicate FPL Conduit Charge – Cost to fund back duplicated item to provide added FPL conduit and associated handholes for added site lighting. This is a deductive change order to reconcile the duplication to the Owner Project Savings. Authorization Request: 7648.03-165 Signage Contract Reconciliation – Reconciliation to the signage contract and the remaining balance goes to the Procurement Contingency funds for the quote difference. Authorization Request: 7648.02-166 Damaged Ceiling Tiles – Movement of money to back charge JND for the work required to remove damaged ceiling tiles and replace damaged ceiling devices. $550 to Fortune Electric from JND Mechanical.         53 Authorization Request: 7648.02-167 Various Back charges from South Florida Excavation – Movement of money to back charge Cougar, O’Donnell and South Coast Concrete for damages, rework and scope coverage with a total of $120,883.60 as a $0 add. Authorization Request: 7648.02-168 Landscaping Repairs due to Curb replacement – Movement of money to back charge Cougar for the work required to repair all the landscape and plantings that were damaged from replacing a curb. $5,950.00 to O’Donnell Landscaping from Cougar Contracting. Authorization Request: 7648.02-169 Repair Drywall at Pegboard and added pipe chase – Movement of money to back charge Adams group for refinishing drywall after poor installation of pegboards and back charge Acres plumbing for running a pipe not in the wall layout creating a need for a new pipe chase. $1,201.20 from Cougar Contracting and $514.80 from Acres Plumbing to McDaniel. The total amount requested is $0. 2) These changes were not included in the original contract because the items listed above utilize the owner allowance, project and procurement savings to add value to the project. These changes include use of the owner allowance reductions for buy savings and engineering changes to take advantage of value-added modification items not included in the original design but required by the owner. 3) If this change order is not processed, reconciliation for the Construction Manager Directive scope items listed within Subcontract Agreements will not be addressed, payment will be delayed, and value-added items will not be realized. Prepared by: ________________________________________________________________________ Date: ________________ (Margaret A. Bishop, PE, Facilities Management Division) Acceptance of this Change Order shall constitute a modification to contract / work order identified above and will be subject to all the same terms and conditions as contained in the contract / work order indicated above, as fully as if the same were stated in this acceptance. The adjustment, if any, to the Contract shall constitute a full and final settlement of any and all claims of the Contractor / Vendor / Consultant / Design Professional arising out of or related to the change set forth herein, including claims for impact and delay costs. Accepted by: ________________________________________________________________________ Date: ________________ (Manhattan Construction Florida, Inc.) Approved by: _________________________________________________________________________ Date: ________________ (Josh Fruth, Davidson Engineering) Approved by: _________________________________________________________________________ Date: ________________ (Damon Grant, Division Director) Approved by: _________________________________________________________________________ Date: ________________ (Procurement Professional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inal Completion date as of this Prime Contract Change Order is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±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         58 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV 3KDVH$6DIHW\5HTXLUHPHQWV 3ULFLQJ3HQGLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  2ZQHU&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$,QVWDOO6DIHW\5DLOVDW%OGJ%DOFRQ\ 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGIRULQVWDOOLQJVDIHW\UDLOV\VWHP1RUWKVLGHRI6HFRQG)ORRU%XLOGLQJ '5<:$// 678&&20&'$1,(/ 6DIHW\5DLOVZHUHQHFHVVDU\WRDGGUHVVLQVSHFWRUUHTXLUHPHQWVDQGREWDLQ 7&2   &0)HH  )XQGIRU6DIHW\5DLO6\VWHP 2:1(5&217,1*(1&<  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  2ZQHU&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$,QVWDOOLQJ1HWWLQJ *XDUG5DLOIRU%OGJ(OHYDWRU6KDIW 5HDSSO\LQJ:DWHUSURRILQJDW6WRUHIURQWV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGIRU6DILQJRII(OHYDWRU6KDIW '5<:$// 678&&20&'$1,(/ 7KHVHUDLOVDQGQHWWLQJZHUHQRWSXUFKDVHGLQSUHYLRXVV\VWHPDQGDUH UHTXLUHGIRU/LIH6DIHW\$GGUHVVHGLQVSHFWRUUHTXLUHPHQWV   &0)HH  )XQGIRU(OHYDWRUQHWWLQJDQGUDLOLQJ 2:1(5&217,1*(1&<  3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         59 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         60 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV &(*03&RQFUHWH6LWH&ROXPQV 3ULFLQJ3HQGLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ   2ZQHU&RQWLQJHQF\ 'HVFULSWLRQ *036LWH&ROXPQV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH &21&5(7(7851.(<>1$3/(6&21&5(7(@ $GGHGFRVWWRSURYLGHPDVRQU\VLWHFROXPQVDWWKHFRUQHUVRIIHQFHOLQHV LQFOXGHVDOOH[FDYDWLRQ QHDWGLJJLQJUHTXLUHG IRXQGDWLRQVUHLQIRUFHPHQW PDVRQU\DQGILOOFHOOVDVUHTXLUHGDQGLQDFFRUGDQFHZLWK&RQWUDFW 'RFXPHQWV 6LWH&ROXPQVZHUHPLVVHGDQGPXVWEHSLFNHGXS  )XQGWKHFRQFUHWHFROXPQVLQ3KDVH$ 81$//2&$7('68%&2175$&725&0',5(&7,9()81'6  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±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±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±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±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         66 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV &($*030XOOLRQ0RGLILFDWLRQV 3ULFLQJ3HQGLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  0&&&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$$GGLWLRQDO0XOOLRQV &(6LWHGLVFRYHU\RIDGGLWLRQDOPXOOLRQPRGLILFDWLRQV$GGLWLRQDOPDWHULDOV 3SIURP%DQG3/[[ FRUQHUV FOLSSHG VKRSODERU 6))W/DXGHUGDOH GHOLYHU\DQG7 0LQVWDOODWLRQ WLFNHWVWREH*&6LJQHGQRWLQJDUHD 3URFHHGLQJ3OHDVHVHHWKH DWWDFKHGGLUHFW7 0WLFNHW .HQUHYLHZHGDQGVLJQHG DQGYDOXHIURP%RZPDQ 5&2 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWIRU6WHHO0XOOLRQVQRWSXUFKDVHGIRU:LQGRZRSHQLQJV6XSSRUW PDWWHULDOVFRSHPLVVHGPXOOLRQVZLOOEHUHTXLUHGIRUVWUXFWXUDOGHVLJQDQG SURSHULVWDOODWLRQ 6758&785$/67((/67((/)$%  )XQGFRVWIRU6WHHO0XOOLRQVQRWSXUFKDVHGIRU:LQGRZRSHQLQJV 81$//2&$7('68%&2175$&7&0',5(&7,9()81'6  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         68 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV &($*03$'$+DQGLFDS7DFWLOH6XUIDFH 3ULFLQJ3HQGLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  0&&&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$$'$7DFWLOH6XUIDFHV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGIRU$'$+DQGLFDS7DFWLOH6XUIDFHV 7KHVHZHUHVSHFLILFDOO\H[FOXGHGE\WKHVLWHFRQWUDFWRUDQGKDGWREH ERXJKWDVDVFRSHJDS 6,7(87,/,7,(6&28*$5&2175$&7,1* 7KLVZRUNZDVQRWSUHYLRXVO\SXUFKDFHGLQWKH&RQWUDFWEXWLVUHTLXUHGE\ FRGHDQGVKRZQLQWKHSURMHFWGRFXPHQWV  )XQGIRU$'$0DWWV 81$//2&$7('68%&2175$&725&0',5(&7,9()81'6  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±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±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         72 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV *03$GGLWLRQDO'U\ZDOO:RUN 3ULFLQJ3HQGLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $ 2ZQHU&KDQJH 'HVFULSWLRQ 3KDVH$$GGLWLRQDO:RUNDW%OGJ  5HPRYHGSDUWRIJURXQGURGV\VWHPQGIORRUEOGJUHPRYHNQHHZDOOEOGJUHIUDPHDURXQGUROOXSGRRUEOGJIUDPHLQDQG PDLQWHQDQFHEOGJSOXVGRRUIUDPH 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWVIRUPUHPRYLQJSDUWRIJURXQGURGV\VWHPRQWKHVHFRQGIORRU RIEXLOGLQJUHPRYLQJNQHHZDOOVLQEXLOGLQJUHIUDPLQJDURXQGUROOXS GRRUDWEXLOGLQJDQGIUDPLQJURRPVDQGLQEXLOGLQJ '5<:$// 678&&2>0&'$1,(/@ :RUNGRQHRXWRIGHVLJQLQFRUUHFWOD\RXWVDQGPLVVHGGHWDLOVHQKDQFLQJ DURXQGWKHUROOXSGRRU&KDQJHGOD\RLXWRIURRPV    6',  *HQHUDO/LDELOLW\   3HUIRUPDQFH 3D\PHQW%RQG   &0)HH  )XQGWKHDGGLWLRQDOGU\ZDOOZRUN 352&85(0(17&217,1*(1&<>%8<6$9,1*6@  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  0&&&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$0LVFHOODQHRXV'U\ZDOO&RUUHFWLRQV &XWWLQJKHDGHUWRILWFRROHULQEOGJIL[GU\ZDOOUHWXUQIURPZLQGRZDQGIORRUJX\VIL[ZLQGRZUHWXUQVIRUQRWEHLQJFDXONHGSDWFKLQJIR UVSULQNOHUJX\EOGJ 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH  '5<:$// 678&&2>0&'$1,(/@  3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         73 $XWKRUL]DWLRQ5HTXHVW 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ  352&85(0(17&217,1*(1&<   ),5(3527(&7,21>&2;@  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  0&&&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$0LVFHOODQHRXV'U\ZDOO&RUUHFWLRQV ,QVWDOOQHZGRRUIUDPHVDQGGU\ZDOOEFRIGDPDJHIURPWUDGHVEOGJGRRUIL[GU\ZDOODQGURXJKIURPHOHFZHUHQRWILQLVKHGDQG SOXPEWRLQVWDOOIORRUSDQV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWIRUPLFHOODQHRXVGU\ZDOOZRUNLQEXLOGLQJV  5HLQVWDOODQGIUDPHDURXQGGRRUVDQGWKDWZHUHGDPDJHGKHDYLO\ E\WUDGHV'RRUVZRXOGQRWEHDEOHWRVZLQJSURSHUO\ )L[GU\ZDOOIURPWKHSOXPEHUKDYLQJWRPRYHDQDOUHDG\LQVWDOOHGIORRUSDQ )L[GUZDOOIURPHOHFWULFLDQKDYLQJWRJHWEDFNLQWRWKHZDOOIRUPLVVLQJZRUN )L[ODWKFHLOLQJRQWKHJURXQGIORRURIZHVWVLGHRIEXLOGLQJDQGIL[GU\ZDOO DWVWDLUV LQEXLOGLQJIURPH[FHVVVSULQNOHUDGMXVWPHQWV )L[LQJGDPDJHGVWXFFRDQGFRQHUEHDGVRQH[WHULRUVWDLUDQGFROXPQVRI EXLOGLQJIURPWUDGHZRUN '5<:$// 678&&2>0&'$1,(/@  'LYLGHGEDFNFKDUJHIRUSDWFKHVLQGU\ZDOOGXHWRWKHHOHFWULFDOZRUNQRW EHLQJGRQHLQWKHZDOOV 6,7((/(&75,&$/>)25781((/(&75,&@  %DFNFKDUJHIRUUHSDLULQJWKHGU\ZDOOZKHQPRYLQJWKHLQVWDOOHGIORRUSDQV 3/80%,1*>$&5(6@  'LYLGHG%DFNFKDUJHIRUGDPDJHGGRRUIUDPH DQGIL[LQJJHQHUDO GU\ZDOOLQEXLOGLQJ 0(&+$1,&$/>-1'@  %DFNFKDUJHIRUSDWFKHVLQFHLOLQJRIZHVWVLGHVWDLUDQGRI%XLOGLQJ DQGVWXFFRODWKSDWFKHVDWH[WHULRUZHVWVLGHEXLOGLQJ ),5(3527(&7,21>&2;@  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  0&&&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$0LVFHOODQHRXV'U\ZDOO&RUUHFWLRQV %&WR)L[SLSHFKDVHEOGJURRPIL[GU\ZDOOIURPHOHFWULFDOGDPDJHUHSDLUFHLOLQJVLQEOGJIURPVSULQNOHUJX\ 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWVIRUPLVFHOODQHRXVGU\ZDOOZRUN )UDPLQJSLSHFKDVHLQURRPRIEXLOGLQJ )L[LQJGU\ZDOOIURPHOHFWULFDOZRUNGDPDJHVLQURRPRIEXLOGLQJ3LSH GLGQRWILWEHWZHHQZDOOVIUDPHGFKDVHZDVQHHGHG 5HSDLUFHLOLQJLQEXLOGLQJIURPVSULQNOHUKHDGVLQURRPV0$0$0$ 0$ '5<:$// 678&&2>0&'$1,(/@  3RUWLRQRIEDFNFKDUJHIRUGU\ZDOOUHSDLULQEXLOGLQJ 6,7((/(&75,&$/>)25781((/(&75,&@  3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         74 $XWKRUL]DWLRQ5HTXHVW 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ 3RUWLRQRIEDFNFKDUJHIRUSLSHOD\RXWUHTXLULQJDQH[WUDFKDVHLQEXLOGLQJ  3/80%,1*>$&5(6@  3RUWLRQRIEDFNFKDUJHIRUWKHUHSDLUVQHHGHGLQURRPVRIEXLOGLQJ ),5(3527(&7,21>&2;@  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  0&&&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$0LVFHOODQHRXV'U\ZDOO&RUUHFWLRQV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWVWRUHSDLUFHLOLQJLQEXLOGLQJIRUVSULQNOHUFRQWUDFWRUGDPDJHV WDNHGRZQJXDUGUDLOVDQGSXWXSUDLOLQJEXLOGLQJWDSLQJDQGSXQFKDWFRROHU %OGJ '5<:$// 678&&2>0&'$1,(/@ ([FHVVKROHVFXWIRUVSULQNOHUIDOOVDIHW\UHVSRQVLELOLW\WXUQRYHUILQLVKWKH ZRUNWKDWRFFXUHGIURPWKHFRROHUQRWILWWLQJZKLFKWRRNRXWIUDPLQJ  )XQGWKHUDLOLQJZRUNDQGILQLVKHVIURPFRROHUGHOLYHU\ 352&85(0(17&217,1*(1&<  %DFNFKDUJHSURWLRQWRILUHVSULQNOHUFRQWUDFWRUIRUFHLOLQJSDWFKHV ),5(3527(&7,21>&2;@  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  0&&&RQWLQJHQF\ 'HVFULSWLRQ 3KDVH$0LVFHOODQHRXV'U\ZDOO&RUUHFWLRQV )UDPLQJDQGGU\ZDOOIRUUROOXSGRRUUHSDLUFROXPQVIURPDFWLYHWUDGHVLQ%OGJ 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWVIRUPLVFHOODQHRXVGU\ZDOOZRUN )L[LQJIUDPLQJGU\ZDOODQGILQLVKLQJIRUUROOXSGRRULQEXLOGLQJ 5HSDLUFROXPQVIRUWKHWKLUGWLPHIURPGDPDJHVE\IORRULQJFRQWUDFWRU '5<:$// 678&&2>0&'$1,(/@  %DFNFKDUJHIRUUHSDLUVWRWKHFROXPQV )/225,1*>2)'&@  %DFNFKDUJHIRUWKHGU\ZDOOFKDQJHVQHHGWRIL[DURXQGUROOXSGRRUGXHWR LQVWDOODWLRQ 29(5+($'&2,/,1*'2256>*$5$*('2252)1$3/(6@  3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         75 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±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±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±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±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±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±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±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±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±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±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±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±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´WXEHVWREHZHOGHGWRHPEHGSODWHLQVWDOOHGDWWRSRIHDVWDQGZHVWZDOO:DOOVSRXUHG´WRRORZIRUGHFN EHDULQJ6.  %OGJ([WUDDQJOHLQVWDOOHGRQZHVWVLGHRIQGIORRUDQGFXWWLQJRIIORRUGHFNDURXQGLQWHULRUZDOOVSRXUHGWRRKLJKIRU GHFNWRSDVVRYHU6.  %OGJ7RDFFRPPRGDWHVWDLU%HQWSODWHVFXWRII%%%%%PRYHGDQGQHZ FRQQHFWLRQSODWHZHOGHG6.1HZEHQWSODWHVZHOGHGRQSHU):  %OGJ±&XWRIIEDVHSODWHDQGZHOGRQQHZRQHIRU &GXHWRDQFKRUEROWLVVXHV  %OGJV VRPHHPEHGVPLVVLQJDQGDQJOHFOLSVLQVWDOOHG6.YDULRXVVKLPPLQJZKHUHHPEHGV WRRORZ+DYHQ¶WKHDUGRIDQ\WLFNHWVIRUWKLV3OHDVHVHHDOVRWKHDWWDFKHGGLUHFW%RZPDQYDOXH 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         93 $XWKRUL]DWLRQ5HTXHVW 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ 6758&785$/67((/>67((/)$%@ )RU%XLOGLQJ:DOOZDVSRXUHGWRRORZIRUGHFNEHDULQJUHTXLULQJDGGHG WXEHVWREULGJHWKHJDS&XWWLQJRIIORRUGHFNIRUZDOOVSRXUHGWRRKLJKIRU GHFNWRSDVVRYHU1HZEHPWSODWHVUHTXLUHGDWVWDLUGXHWRDQFKRUEROW LVVXH6KLPPLQJRIYDULRXVLPEHGVWKDWZHUHWRRORZ  1$3/(6&21&5(7($1'0$6215<>1&0@ )XQGFRQFUHWHGLVFUHSDQFLHVIURPGUDZLQJV  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         94 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV 3KDVH$3RVW6HW'RRU)UDPH 3HQGLQJ3HQGLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ $  'HVFULSWLRQ 3KDVH$3RVW6HW'RRU)UDPHLQ%OGJ 'RRUIUDPHZDVRUGHUHGODWHDQGFRXOGQRWEHLQVWDOOHGDWWLPHRIRWKHUSRXU 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH  &21&5(7(3$9,1*>6287+&2$67&21&5(7(@   *2$/)((  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         95 this exhibit is not applicable EXHIBIT F CHANGE ORDER Contract Modification Work Order Modification Contract #: Change #: Purchase Order #: Project #: Contractor/Firm Name: Project Name: Project Manager Name: r: Department: Original Contract/Work Order Amount $ 19,665,469.00 12/10/19, 11.D Original BCC Approval Date; Agenda Item # Current BCC Approved Amount $ 20,291,877.78 11/10/20,16.E.6 Last BCC Approval Date; Agenda Item # Current Contract/Work Order Amount $ 20,291,877.76 1/19/2021 SAP Contract Expiration Date (Master) Dollar Amount of this Change $ 228,571.11 4.35% Total Change from Original Amount Revised Contract/Work Order Total $ 20,520,448.87 1.13% Change from Current BCC Approved Amount Cumulative Changes $ 854,979.87 1.13% Change from Current Amount Completion Date, Description of the Task(s) Change, and Rationale for the Change Notice to Proceed Original Last Approved Revised Date Date Completion Date Date (Includes this change) # of Days Added Select Tasks Add new task(s) Delete task(s) Change task(s) Other (see below) Provide a response to the following: 1.) detailed and specific explanation/rationale of the requested change(s) to the task(s) and / or the additional days added (if requested); 2.) why this change was not included in the original contract; and, 3.) describe the impact if this change is not processed. Attach additional information from the Design Professional and/or Contractor if needed. “The above costs are all related to the Collier County Sports Complex project. All cost break downs, fee break outs, and detailed back up are included with the AR documents within this change order package. Notwithstanding anything to the contrary above, Construction Manager does not release and expressly reserves the right to pursue claims for time extensions and additional compensation that arise out of or result from the COVID-19 outbreak and the responses to this outbreak including implementation of any instructions, restrictions, and/or requirements by any federal, state, or local governmental or public health entity resulting from this outbreak and which claims may include, but are not limited to, additional time and costs due to labor or material shortages, quarantines, and implantation of other safety and health protocols.” 1) This change order is requesting: Authorization Request: 7648.03-063 Goal Post Foundation Revisions – Goal post revisions were requested by Sports Force that allow the posts to be removed to create a safer goal area for multi-purpose use and are added to the project in the amount of $10,744.95. Authorization Request: 7648.03-065 Added Downspout at the Food Truck Pavilion to alleviate erosion at the Cove landscape, pathway and beach area in the amount of $1,990.46. Authorization Request: 7648.03-073 Landscape Changes Addendum #9 – added cost for revised plantings per Addendum 9 to include Palms, ground cover granite rock and edging in the amount of $14,109.59. Authorization Request: 7648.03-074 Landscape Changes Addendum #10 – added cost for revised plantings per Addendum 10 to include Alexander Palms, and granite ground cover granite rock and edging in the amount of Stadium Palm are added to the project in the amount of $5,483.10. Authorization Request: 7648.03-082 Lenel/Mercury Access Control - Collier county changed security access vendors after the construction contract was approved. The original pricing for security was based upon the previous vendor and the new vendor Lenel, required new encrypted controllers and hardware substitutions to meet county standards. Access control panels, enclosures and power supplies are added to the project in the amount of $61,831.31. 50156 17-7198 1B.4 4500185615 Manhattan Construction Florida Inc. Phase 1B Collier County Sports Complex Facilites Management Margaret Bishop 1-6-2020 0 1-5-2021 1-19-2021 1-19-2021         96 10 Authorization Request: 7648.03-086 Food Truck Pavilion Pavers – are added to the project to replace the rejected 8 x 8 pavers and install 4 x 8 clay pavers and restocking fee in the amount of $6,240.00. Authorization Request: 7648.03-088 Daktronic Taxes –Originally scheduled for Direct Material Purchase, however, Daktronics purchased the scoreboards due to the expedited construction schedule and did not allow for the cost savings $45,000.41. Authorization Request: 7648.03-089 Added Stucco – Added cost to include stucco on the site column sides for a total of 112 square yards instead of precast panels in the amount of $7,545.03. Authorization Request: 7648.03-090 Install New Mound at Great Lawn for Rock Benches – The design team incorporated landscape rocks within the Great Lawn and included a raised area as a pedestal. New landscape rocks are added to the project in the amount of $6,352.89. Authorization Request: 7648.03-092 Rack and cabinet changes – Added cost to change the server cabinets to a lockable type wall mount cabinets and IT post racks in the amount of $15,301.74. Authorization Request: 7648.03-096 Lo Voltage Light Boxes in Great Lawn – Add for light boxes in the concrete curved walls located at the Fire Pit, Bocce Court and amphitheater are added to the project in the amount of $1,571.93. Authorization Request: 7648.03-098 Direct TV conduit – Added cost for time and material related to installing Direct TV’s 2” conduit through the roof of building 6 in the amount of $354.58. Authorization Request: 7648.03-099 Replace Feed and Breaker to VAV - Originally a 20A breaker kept tripping and was replaced with a 40A breaker in the amount of $934.81. Authorization Request: 7648.03-100 Grade and back fill for building 6 – Added cost to grade and back fill for building 6 and to pour the concrete ribbons with protection on the existing sidewalk for the bump outs around the lake to meet permitting requirements in the amount of $6,812.23. Authorization Request: 7648.03-108 Pay Application Credit - Subcontractor Trident – Deduct for Trident Audit goes to the Owner Contingency in the amount of ($95.08) for a zero- dollar change. Authorization Request: 7648.03-111 Berm Turf – Missing scope in the amount of ($109,432.40) is taken from the Owner Contingency for a zero-dollar change. Authorization Request: 7648.03-113 TeqBall Shade Foundations and Structures – Costs for the concrete and rebar of the two shade structure foundations missed at the TeqBall area taken from the Procurement Contingency for a zero-dollar change. Authorization Request: 7648.03-116 Site Security – Added security for after hours to prevent theft on site as experienced earlier in the project is added in the amount of $57,432.00. Authorization Request: 7648.03-117 Interior and Field Signage –Original design accounted for a signage allowance for the selection of this item. Field signage was never defined and had to be selected. Added cost for the interior code compliance signage package in the amount of $18,827.50. Authorization Request: 7648.03-125 Berm Turf Enhancement Short Run Charge – This product was discontinued, and additional material was required after the original purchase, therefore, an expedited charge for a small discontinued quantity was required in the amount of $3,159.03. Authorization Request: 7648.03-127 Teqball Fence – Additional fencing around the Teqball area will contain the playing field away from the drainage swale and landscape area for safety reasons in the amount of $4,018.57.         97 Authorization Request: 7648.03-129 Musco Vision Camera Mount Installation – Media production and televised broadcasting camera mount installed at the 50-yard line to the outside metal fascia of the Stadium overhang requested by Sports Force and the media in the amount of $5,861.39. The total amount requested is $228,571.11. 2) These changes were not included in the original contract because the items listed above utilize the owner allowance, project and procurement savings to add value to the project. These changes include use of the owner allowance reductions for buy savings and engineering changes to take advantage of value-added modification items not included in the original design but required by the owner. 3) If this change order is not processed, reconciliation for the Construction Manager Directive scope items listed within Subcontract Agreements will not be addressed, payment will be delayed, and value-added items will not be realized. Prepared by: ________________________________________________________________________ Date: ________________ (Margaret A. Bishop, PE, Facilities Management Division) Acceptance of this Change Order shall constitute a modification to contract / work order identified above and will be subject to all the same terms and conditions as contained in the contract / work order indicated above, as fully as if the same were stated in this acceptance. The adjustment, if any, to the Contract shall constitute a full and final settlement of any and all claims of the Contractor / Vendor / Consultant / Design Professional arising out of or related to the change set forth herein, including claims for impact and delay costs. Accepted by: ________________________________________________________________________ Date: ________________ (Manhattan Construction Florida, Inc.) Approved by: _________________________________________________________________________ Date: ________________ (Josh Fruth, Davidson Engineering) Approved by: _________________________________________________________________________ Date: ________________ (Damon Grant, Division Director) Approved by: _________________________________________________________________________ Date: ________________ (Procurement Professional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±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±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±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±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         109 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV &(%&OD\3DYHUV6ZLWFK 3ULFLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ   2ZQHU&RQWLQJHQF\ 'HVFULSWLRQ )RRG7UXFN3DYLOLRQ3DYHUV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWIRUQHZSDYHUVDW)RRG7UXFN3DYLOLRQ 8QLW3DYHUV7LPR &RVWWRUHSODFHWKHUHMHFWHG[SDYHUVDWWKH)RRG7UXFN3DYLOLRQDQGLQVWDOO ZLWK[FOD\SDYHUV  /HYHO &0)HH  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±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±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±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±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±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         117 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV &(%'LUHFW79&RQGXLW 3ULFLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ % 2ZQHU&KDQJH 'HVFULSWLRQ 3KDVH%'LUHFW79 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH $GGHGFRVWIRUWLPHDQGPDWHULDOUHODWHGWRLQVWDOOLQJ'LUHFW79 VFRQGXLW WKURXJKWKHURRIRIEXLOGLQJ (/(&75,&$/7851.(< ,QRUGHUWRJHW'LUHFW79XSDQGUXQQLQJLQWLPHIRUWKHRSHQLQJRIWKHSDUN ZHKDGWKHPLQVWDOOWKHLUQHFHVVDU\FRQGXLW  /HYHO 6', /HYHO 3HUIRUPDQFH 3D\PHQW%RQG  /HYHO &0)HH  /HYHO *HQHUDO/LDELOLW\  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±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±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±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±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         124 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV &(%7HT%DOO6KDGH6WUXFWXUHV 3ULFLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ % &RQWLQJHQF\ 'HVFULSWLRQ 3KDVH%7HT%DOO6KDGH)RXQGDWLRQV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH &RVWVIRUWKH&RQFUHWHDQG5HEDURIWKHWZR6KDGH67UXFWXUH)RXQGDWRQV PLVVHGDWWKH7HT%DOODUHD &21&5(7(1DSOHV&RQFUHWH 0LVVHG6FRSH  )XQGWKHPLVVHG)RXQGDWLRQV 352&85(0(17&217,1*(1&<>%8<6$9,1*6@  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ % &RQWLQJHQF\ 'HVFULSWLRQ 3KDVH%7HT%DOO6KDGH6WUXFWXUHV 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH &RVWVIRUWKHWZR6KDGH67UXFWXUHVDWWKH7HT%DOODUHD )DEULF6WUXFWXUHV86$6KDGHV 0LVVHG6FRSH  )XQGWKHPLVVHG6KDGH6WUXFWXUHV 352&85(0(17&217,1*(1&<>%8<6$9,1*6@  3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         125 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         126 'HWDLOHG)RUP*URXSHGE\1XPEHU ZLWK&(%UHDNGRZQ $XWKRUL]DWLRQ5HTXHVW &ROOLHU&RXQW\6SRUWV&RPSOH[ &LW\*DWH%OYG1 1DSOHV)/ 3URMHFW7HO )D[ $XWKRUL]DWLRQ5HTXHVW'DWH 7R0DUJDUHW%LVKRS -RVK:LOODUG)URP &ROOLHU&RXQW\0DQKDWWDQ&RQVWUXFWLRQ )/ ,QF :HVWYLHZ'5 1DSOHV)/ 7DPLDPL7UDLO(DVW 1DSOHV)/ 'HVFULSWLRQ &DWHJRU\ 6WDWXV 3KDVH%6LWH6HFXULLW\3ULFLQJ 5HIHUHQFH 5HTXLUHG%\ 'D\V5HT $PRXQW5HTXHVWHG  &(1R 'DWH 5HIHUHQFH 'D\V5HT$PRXQW3URSRVHG &DWHJRU\5HDVRQ % 2ZQHU&KDQJH 'HVFULSWLRQ 3KDVH%6LWH6HFXULW\ 1RWHV &RVW(YHQW%UHDNGRZQ ,WHP1R ,WHP'HVFULSWLRQ $PRXQW3URSRVHG 5HIHUHQFH 6,7(6(&85,7< &RVWVUHODWHGWRIXQG6LWH6HFXULW\WRNHHSWKHVLWHVDIHGXULQJDQGDIWHU KRXUV  ,QRUGHUWRPLWLJDWHSRVVLEOHGHOD\VDQGH[SHGLWHWKHDSSURYDOIRUWKHGLUHFWFRVWRIZRUNUHODWHGWRWKLVFKDQJHXQOHVVVSHFLILFDOO\QRWHGDERYHZH DUHVXEPLWWLQJWKLVFKDQJHUHTXHVWZLWKRXWVFKHGXOHWLPHFRVWLPSDFW:HUHVHUYHWKHULJKWWRVXEPLWIRUFRVWWLPHLPSDFWVUHODWHGWRWKLVFKDQJH XQGHUVHSDUDWHFRYHUZKHQWKDWLQIRUPDWLRQLVDYDLODEOH &RQWUDFWRUGRHVQRWUHOHDVHLPSDFWVWKDWDULVHRXWRI$FWVRI1DWXUH LQFOXGLQJILUHIORRGHDUWKTXDNHVWRUPKXUULFDQHRURWKHUQDWXUDOGLVDVWHU  ZDULQYDVLRQDFWRISXEOLFHQHPLHVKRVWLOLWLHV ZKHWKHUZDULVGHFODUHGRUQRW FLYLOZDUUHEHOOLRQUHYROXWLRQLQVXUUHFWLRQPLOLWDU\RUXVXUSHG SRZHURUFRQILVFDWLRQWHUURULVWDFWLYLWLHVULRWQDWLRQDOL]DWLRQJRYHUQPHQWDFWLRQVWDULIIVEORFNDJHHPEDUJRWUDQVSRUWDWLRQGHOD\VQRWUHDVRQDEO\ IRUHVHHDEOHODERUGLVSXWHVWULNHORFNRXWGLVHDVHRXWEUHDNHSLGHPLFVSDQGHPLFVTXDUDQWLQHUHVWULFWLRQVRULQWHUUXSWLRQRUIDLOXUHRISRZHU VRXUFHV7RWKHH[WHQWWKHVHFRQGLWLRQVPD\RFFXUDQGLPSDFWWKH3URMHFWWKHUHVKDOOEHDQHTXLWDEOHDGMXVWPHQWWRWKH&RQWUDFW 6,*1$785('$7(0DUJDUHW%LVKRS±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±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±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±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±3URMHFW0DQDJHU)DFLOLWLHV0DQDJHPHQ $SSURYHG%\ $XWKRUL]DWLRQ5HTXHVW 3URORJ0DQDJHU 3URMHFW&ROOLHU&RXQW\6SRUWV&RPSOH[         133