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REQUEST FOR PROPOSALS (RFP)

RFP Number: 12-31-113-00

To Design and Construct the State Route 91 Corridor Improvement Project

Through a Design-Build Contract

CONTRACT APPENDICES

Volume II

4080 Lemon Street, 3rd

Floor Riverside, CA 92501

www.rctc.org

JULY 26, 2012

Riverside County Transportation Commission Appendix 1 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 41 Design-Build Contract Appendices Issued: July 26, 2012 Defined Terms

APPENDIX 1

ABBREVIATIONS AND DEFINITIONS

Unless otherwise specified, wherever the following abbreviations or terms are used in the Contract and the Technical Provisions, they shall have the meanings set forth below. References to Sections and Appendices shall mean Sections and Appendices of the Contract unless otherwise specified.

AASHTO American Association of State Highway and Transportation Officials ADA Americans with Disabilities Act ADAS Automatic Data Acquisition System ADL Aerially Deposited Lead ADS Authentication and Directory Service ALTF Aesthetics and Landscape Task Force ANSI American National Standards Institute APE Area of Potential Effects APWA American Public Works Association AREMA American Railway Engineering and Maintenance-of-Way Association ASTM American Society of Testing and Materials AT&T American Telephone & Telegraph ATC Alternative Technical Concept ATMS Advanced Transportation Management System ATP Acceptance Test Plan AV Audio Visual AWG American Wire Gauge BICSI Building Industry Consulting Services International BMP Best Management Practice BNSF Burlington Northern and Santa Fe Railway Company BSDS Bridge Site Data Submittal CADD Computer Aided Drafting and Design Cal-NExUS California Numbered Exit Uniform System CCR California Code of Regulations CalRIM California records and Information Management CCITT International Telegraph and Telephone Consultative Committee CCTV Closed Circuit Television CD Compact Disc CDFG California Department of Fish and Game


CEQA California Environmental Quality Act CERCLA Comprehensive Environmental Response Compensation and Liability

Act CFR Code of Federal Regulations CHP California Highway Patrol CIDH Cast-In-Drilled-Hole CIFS Common Internet File System CISS Cast-In-Steel-Shell CMS Changeable Message Sign CO Change Order COZEEP Construction Zone Enhanced Enforcement Program CPL Contractor’s Pollution Liability (insurance) CPM Critical Path Method CPT Cone Penetration Test CPUC California Public Utilities Commission CQAM Construction Quality Assurance Manager CQMP Construction Quality Management Plan CSC Customer Service Center CTM California Test Method DBE Disadvantaged Business Enterprise DGS California Department of General Services DHCP Dynamic Host Configuration Protocol DIR California Department of Industrial Relations DLC Detector Lead-In Cable DNS Domain Naming Service DOSH Division of Occupational Safety and Health DQAM Design Quality Assurance Manager DQMP Design Quality Management Plan DSA Division of the State Architect DTSC Department of Toxic Substances Control DVD Digital Versatile Disc DWP City of Corona Department of Water and Power EA Expenditure Authorization ECR Environmental Commitments Record EDMS Electronic Document Management System EIR/EIS Environmental Impact Report/Environmental Impact Statement EMS Extinguishable Message Sign ENR-CCI Engineering News Record Construction Cost Index EPD Escrowed Proposal Documents


ERS Earthquake Resisting Systems ERSG Electrical Resistant Strain Gauges ESA Environmentally Sensitive Area ETC Electronic Toll Collection ETTM Electronic Toll and Traffic Management System FCP Four Corners Pipeline/Questar FEMA Federal Emergency Management Agency FHWA Federal Highway Administration F/O Fiber Optic FSP Freeway Service Patrol GAAP Generally Accepted Accounting Principles GAD Geometric Approval Drawing GB Gigabyte GP General Purpose HDM Caltrans Highway Design Manual HEC Hydraulic Engineering Circular HMA Hot Mix Asphalt HOV High Occupancy Vehicle HVAC Heating Ventilation and Air Conditioning I-15 Interstate 15 IES Illuminating Engineer Society IH Interstate Highway IISNS Internally Illuminated Street Name Signs INVEST Infrastructure Voluntary Evaluation Sustainability Tool IP Internet Protocol IT Information Technology ITP Instructions to Proposers JPCP Jointed Plain Concrete Pavement JPEG Joint Photographic Experts Group JRT Joint Resolution Team Kbps Kilobits per Second LBP Lead-Based Paint LCB Lean Concrete Base LCP Labor Compliance Program LED Light Emitting Diode LOTB Log of Test Borings METS Material Engineering and Testing Services MB Megabyte MOT Maintenance of Traffic


MPH Miles Per Hour MSE Mechanically Stabilized Earth MUTCD Manual on Uniform Traffic Control Devices MVP Maintenance Vehicle Pullout NAD North American Datum NADR Noise Abatement Decision Report NAVD North American Vertical Datum NCR/MAR New Connections Report/Modified Access Report NEC National Electrical Code NEMA National Electrical Manufacturers Association NEPA National Environmental Policy Act NESC National Electric Safety Code NOI Notice of Intent NPDES National Pollutant Discharge Elimination System nSSP Non-Standard Special Provision NTP Notice to Proceed OC Overcrossing OCTA Orange County Transportation Authority OEM Original Equipment Manufacturer OH Overhead ORT Open Road Tolling OSFP Caltrans Office of Special Funded Projects OSHA Occupational Safety and Health Administration PA/ED Project Approval/Environmental Document PALM Project Aesthetics and Landscape Master Plan PCB Polychlorinated Biphenyl PCC Portland Cement Concrete PCM Project and Construction Manager PCS Pavement Condition Survey PDA Pile Dynamic Analysis pdf portable document format PGSSP Project General Standard Special Provision PM Project Manager PMP Project Management Plan PPE Personal Protective Equipment PPM Pages Per Minute PS&E Plans, Specifications and Estimates PTZ Pan, Tilt, and Zoom PUA Project Utility Agreement


PUWO Preliminary Utility Work Order QA Quality Assurance QC Quality Control QMP Quality Management Plan RCA Regional Conservation Authority RCFC&WCD Riverside County Flood Control & Water Conservation District RCP Reinforced Concrete Pipe RCTC Riverside County Transportation Commission RFI Request For Information RFP Request for Proposals RFQ Request for Qualifications RHMA-G Rubberized Hot Mix Asphalt (Gap Graded) RMS Ramp Meter System ROD Record of Decision ROW Right of Way RWQCGB Regional Water Quality Control Board SARWQCB Santa Ana Regional Water Quality Control Board SBE Small Business Enterprise SCE Southern California Edison SCG Southern California Gas SF Square Foot SFDMS Seismic and Force Distribution Monitoring System SH State Highway SI System Integrator SPT Standard Penetration Test SR State Route SRC Caltrans District 8 Safety Review Committee SSID Service Set Identification SSP Standard Special Provisions SWDR Storm Water Data Report SWPPP Storm Water Pollution Prevention Plan TCE Temporary Construction Easement TCP Traffic Control Plan TCS Traffic Control Supervisors TEES Caltrans Transportation Electrical Equipment Specification TIFF Tagged Image File Format TMC Traffic Management Center TMP Transportation Management Plan TMS Transportation Management System


TOC Toll Backbone Communications and Operations Center TOS Traffic Operations System TP Technical Provisions TS Traffic Signal TUB Toll Utility Building TW Time Warner UC Undercrossing UPS Un-Interruptible Power Supply USACE United States Army Corps of Engineers USB Universal Serial Bus USDOT United States Department of Transportation USEPA United States Environmental Protection Agency USFWS United States Fish and Wildlife Service UTP Unshielded Twisted Pair UWO Utility Work Order VE Value Engineering VECP Value Engineering Change Proposal VGA Video Graphics Array VLAN Virtual Local Area Network VoIP Voice Over Internet Protocol VWSG Vibrating Wire Strain Gauges WAN Wide Area Network WBS Work Breakdown Structure WDR Waste Discharge Requirement WLAN Wireless Local Area Network

Acceleration Costs shall mean those fully documented increased costs reasonably incurred by Design-Builder (that is, costs over and above what Design-Builder would otherwise have incurred) which are directly and solely attributable to increasing the performance and production levels of the Work to complete necessary elements or segments of the Work earlier than otherwise anticipated, such as for additional equipment, additional crews, lost productivity, overtime and shift premiums, increased supervision and any unexpected material, equipment or crew movement necessary for resequencing in connection with accelerated efforts. Profit, overhead and indirect costs in connection with acceleration efforts shall not exceed the amount allowed under Section 9 of Appendix 2.

Additional Properties shall have the meaning set forth in Section 6.1.3.

Aesthetics and Landscaping Allowance shall have the meaning set forth in Section 12.1.6.

Affidavit of Final Acceptance shall mean the affidavit described in Section 20.4.1.1.


Affiliate shall mean (a) any Person which directly or indirectly through one or more intermediaries controls, or is controlled by, or is under common control with, Design-Builder or any of its members, partners or shareholders holding a 10% or greater interest in Design-Builder; and (b) any Person for which 10% or more of the equity interest in such Person is held directly or indirectly, beneficially or of record by (i) Design-Builder, (ii) any of Design-Builder’s members, partners or 10% or greater shareholders or (iii) any Affiliate of Design-Builder under clause (a) of this definition. For purposes of this definition the term "control" means the possession, directly or indirectly, of the power to cause the direction of the management of a Person, whether through voting securities, by contract, family relationship or otherwise. Work performed by Affiliates shall be deemed performed by Design-Builder’s own organization.

Alternative Technical Concept shall have the meaning set forth in Section 3 of the ITP.

Anticipated Duration shall mean the durations specified by a Utility Owner in a PUWO for design, construction, and materials procurement for a Relocation.

Appendix 3 Approvals shall mean the Governmental Approvals identified in Appendix 3. Refer also to Section 6.11.3.

Application for Final Payment shall mean Design-Builder's written request for Final Payment of the Contract Price including reconciliation of all partial payments, claims, changes or other proper adjustments to the Contract Documents, as described in Section 12.4.1.

Area of Potential Effects shall mean that area set forth in the NEPA/CEQA Approval.

As-Built Documents shall mean (a) construction drawings and related documentation revised to show changes made during the construction process; based on marked-up Final Design Documents furnished by Design-Builder; and (b) the As-Built Schedule described in TP Section 4.3.7.

As-Built Schedule shall have the meaning set forth in TP Section 4.3.7.

Authorized Representative shall have the meaning set forth in Section 24.5.1.

Baseline Schedule shall mean the approved initial Project Schedule provided in accordance with TP Section 4.3.2 following issuance of NTP1.

Basic Configuration shall mean the following elements defining the Project as set forth in the Project Schematics:

(a) the Planned ROW Limits and control of access;

(b) the number of lanes;

(c) the approximate location of the Tolling Zones;


(d) the approximate location of ramps;

(e) the approximate location of interchanges and the type of interchanges; and

(f) the approximate location and heights of the soundwalls.

Betterment shall have, with respect to a given Utility facility, the meaning (if any) set forth in the applicable Original PUA, except that for SCE, Betterment shall have the meaning assigned to that term in the SCE Freeway Master Contract.

In all other cases, the term “Betterment” shall mean any upgrading of the Relocated Utility that is not attributable to the construction of the Project and is made solely for the benefit of and at the election of the Utility Owner, including an increase in the capacity, capability, level of service, efficiency, duration or function of the Relocated Utility facility over that which was provided by the existing Utility facility; provided, however, that the following are not considered Betterments in such cases:

(i) any upgrading necessary for safe and effective construction of the Project;

(ii) replacement devices or materials that meet equivalent standards although they are not identical;

(iii) replacement of devices or materials no longer regularly manufactured with the next highest grade or size;

(iv) any upgrading required by applicable Governmental Rules (excluding any Governmental Rules that fall within the definition of Utility Standards for such Utility Owner); or

(v) replacement devices or materials which are used for reasons of economy (e.g. non-stocked items may be uneconomical to purchase); or

(vi) any upgrading required by the Utility Owner's Utility Standards in effect as of the date of execution of the applicable Project Utility Agreement (including any discretionary decision by a Utility Owner contemplated within such Utility Standards).

BNSF shall mean the BNSF Railway (formerly known as the Burlington Northern and Santa Fe Railway), an American freight railroad company headquartered in Fort Worth, Texas.

BNSF Guidelines shall mean, collectively, (i) the BNSF Railway – Union Pacific Guidelines for Railroad Grade Separation Projects, revised April 5, 2010 and (ii) all AREMA requirements.

BNSF Construction & Maintenance Agreements shall have the meaning set forth in TP Section 8.

Business Day shall mean Monday through Friday, excluding weekends and the holidays set forth in Appendix 2.


Cal-OSHA shall mean the California Department of Industrial Relations, Division of Occupational Safety and Health.

Caltrans shall mean the State of California Department of Transportation.

Caltrans-Caused Delays shall mean unavoidable delays, to the extent that they directly affect both a Critical Path and a Completion Deadline, arising from failure or inability of Caltrans to, within the time periods indicated in the Contract Documents,: (a) provide responses to proposed schedules, plans, Design Documents, Construction Documents and other submittals and matters for which an affirmative response by Caltrans is required; (b) provide design and construction oversight, materials inspection and material and engineering testing services; (c) furnish Department-Furnished Materials; and (d) conduct investigation and perform Hazardous Materials Management of HM-1 discovered within the Existing Caltrans ROW or delegate such responsibility to RCTC within the time period specified in Section 5.3.4.2. Caltrans-Caused delays exclude any events that are due to an act, omission, negligence, fraud, recklessness, intentional misconduct, or breach of contract, Governmental Rules or Governmental Approvals by any of the DB-Related Entities, and further provided that such events (or the effects of such events) could not have been avoided by the exercise of caution, due diligence, or reasonable efforts by any DB-Related Entity.

Caltrans Cooperative Agreement shall mean the agreement between Caltrans and RCTC identified in Recital A to the Contract.

Caltrans Documents shall mean the Caltrans Standard Plans, Caltrans Revised Standard Plans, the Caltrans Standard Specifications and all other provisions of publications, manuals, handbooks, rules and regulations of Caltrans that are applicable to the type of Work required hereunder.

Caltrans Standard Plans shall mean the Standard Plans, 2010 edition and Caltrans Revised Standard Plans dated 2010, published by Caltrans.

Caltrans Standard Specifications or Standard Specifications shall have the meaning set forth in Section 1.4.1.

Caltrans Standard Special Provisions shall have the meaning set forth in TP Section 1.5, provided, however that all references in the Caltrans Standard Special Provisions to Sections 1 through 9 of the Caltrans Standard Specifications are, for purposes of the Contract Documents, deemed to be revised as set forth in the Modified Standard Specifications (Appendix 2 hereto) and as a result, the Caltrans Standard Special Provisions do not require editing to conform to Sections 1 through 9 of the Modified Standard Specifications.

Certificate of ETTM Infrastructure Turnover shall mean the formal written acknowledgment issued by RCTC to Design-Builder that Design-Builder has achieved Tolling Infrastructure Turnover.

Certificate of Final Acceptance shall mean the formal written acknowledgment issued by RCTC to Design-Builder that, except for Plant Establishment, Design-Builder has


achieved Final Acceptance and all Work has been fully completed in accordance with the Contract Documents.

Certificate of Project Completion shall mean the formal written acknowledgment issued by RCTC to Design-Builder that Design-Builder has achieved Project Completion.

Certificate of Substantial Completion shall mean the formal written acknowledgment issued by RCTC to Design-Builder that Design-Builder has achieved Substantial Completion.

Certification of As-Built Documents shall have the meaning set forth in TP Section 5.2.4.

Certification of Environmental Compliance shall have the meaning set forth in TP Section 6.3.1.1.

Certification of Final Design Documents shall have the meaning set forth in TP Section 5.2.4.

Certify, when used in the Technical Provisions, shall have the meaning set forth in TP Section 5.2.4.

Change Notice shall mean a notice delivered by RCTC to Design-Builder pursuant to Section 13.2.1.1.

Change Order shall have the meaning set forth in Section 13.1.1.1.

Change in Law shall mean the enactment, adoption, modification, repeal or other change in any Governmental Rule that occurs after the Proposal Date (including any change in the judicial or administrative interpretation of any Governmental Rule, or adoption of any new Governmental Rule) which is materially inconsistent with Governmental Rules in effect on the Proposal Date, but excluding any such change in or new Governmental Rule which was passed or adopted but not yet effective as of the Proposal Date. The term “Change in Law” specifically excludes changes in Project Standards and Utility Standards.

Change of Control shall mean any assignment, sale, financing, grant of security interest, transfer of interest or other transaction of any type or description, including by or through voting securities, asset transfer, contract, merger, acquisition, succession, dissolution, liquidation or otherwise, that results, directly or indirectly, in a change in possession of the power to direct or control or cause the direction or control of the management of Design-Builder or a material aspect of its business. A Change of Control of a shareholder, member, partner or joint venture member of Design-Builder may constitute a Change of Control of Design-Builder if such shareholder, member, partner or joint venture member possesses the power to direct or control or cause the direction or control of the management of Design-Builder. Notwithstanding the foregoing, the following shall not constitute a Change of Control:


(a) A change in possession of the power to direct or control the management of Design-Builder or a material aspect of its business due solely to a bona fide transaction involving beneficial interests in the ultimate parent organization of a shareholder, member, partner or joint venture member of Design-Builder, (but not if the shareholder, member, partner or joint venture member is the ultimate parent organization), unless the transferee in such transaction is at the time of the transaction suspended or debarred or subject to a proceeding to suspend or debar from bidding, proposing or contracting with any federal or State department or agency;

(b) An upstream reorganization or transfer of direct or indirect interests in Design-Builder so long as no change occurs in the entity with ultimate power to direct or control or cause the direction or control of the management of Design-Builder;

(c) A transfer of interests between managed funds that are under common ownership or control other than a change in the management or control of a fund that manages or controls Design-Builder; or

(d) The exercise of minority veto or voting rights (whether provided by applicable Governmental Rules, by Design-Builder’s organizational documents or by related member or shareholder agreements or similar agreements) over major business decisions of Design-Builder, provided that if such minority veto or voting rights are provided by shareholder or similar agreements, RCTC has previously received copies of such agreements.

City or Cities shall mean the cities that have roads, streets and other facilities that lie adjacent to, cross, or otherwise have interfaces with, the Project.

City of Corona Annual Deposit shall have the meaning set forth in Section 6.12.4.

City of Corona Cooperative Agreement shall mean the agreement between RCTC and the City of Corona identified in Recital C to the Contract.

Claim shall mean a separate demand by Design-Builder for (a) a time extension which is disputed by RCTC, or (b) payment of money, reimbursement, compensation or damages arising from work done by or on behalf of Design-Builder in connection with the Contract Documents which is disputed by RCTC.

Commission shall mean the governing body of the Riverside County Transportation Commission.

Completion Deadline shall mean the Substantial Completion Deadline, Project Completion Deadline, and/or Final Acceptance Deadline, as the case may be.

Complex Bridge shall mean any bridge structure that crosses railroad right of way, is within 300 feet of seismic faults, or has two or more frames.


Conduit shall mean any conduit, casing, sleeve, hanger, attachment, or blockout for installation or protection of Utilities attached to or installed through structures, or installed under rail or roadway crossings, and any associated pull-ropes for Utility cables.

Construction Activities Notices shall have the meaning set forth in TP Section 2.4.1.1.

Construction Documents shall mean all shop drawings, working drawings and samples necessary for construction of the Project in accordance with the Contract Documents.

Construction Manager shall have the meaning set forth in TP Section 2.6.2.3.

Construction Quality Assurance Manager shall have the meaning set forth in TP Section 2.6.2.6.

Construction Quality Management Plan shall mean the plan described in TP Section 5.4.1.

Contaminated Groundwater shall mean any extracted, pumped and/or ponded groundwater that contains Hazardous Materials.

Contract shall mean, depending on the context (as determined by RCTC), (a) that certain design-build contract to which this Appendix 1 is attached, executed by RCTC and Design-Builder, including any and all amendments thereto, or (b) collectively, the Contract Documents which establish the respective rights and obligations of RCTC and Design-Builder.

Contract Date shall mean the date of the Contract.

Contract Documents shall have the meaning set forth in Section 1.2.

Contract Price shall have the meaning set forth in Section 12.1.1.

Cost and Schedule Proposal shall mean each submittal serving to identify price and schedule modifications associated with Change Orders issued pursuant to Section 13, meeting all applicable requirements set forth in Section 13.

Cost Liability shall mean the obligation to bear the cost of a Relocation (as between RCTC and the Utility Owner), whether arising out of common or statutory law or contract (including Project Utility Agreements), as determined by RCTC, in its sole discretion.

County of Riverside Cooperative Agreement shall mean the Cooperative Agreement between RCTC and County of Riverside dated as of June 5, 2012, as amended.

Critical Activity Point shall have the meaning set forth in TP Section 5.4.4.

Critical Path shall mean each critical path on the Project Schedule which ends on the Substantial Completion Deadline, the Project Completion Deadline or the Final


Acceptance Deadline, as applicable (i.e. the term shall apply only following consumption of all available Float in the schedule for Substantial Completion, Project Completion or Final Acceptance, as applicable). The lower case term "critical path" shall mean the sequence of activities on the Project Schedule that shows the shortest time path for completion of the Project.

DBE Performance Plan shall have the meaning set forth in Section D of Appendix 4.

DBE Program Administrator shall have the meaning set forth in TP Section 2.6.2.8.

DBE Regulations shall have the meaning set forth in Section 7.1.

DB-Related Entities shall mean Design-Builder, Subcontractors, their employees, agents, representatives, shareholders, directors and officers and all other Persons for whom Design-Builder may be legally or contractually responsible.

DB Utility Work shall mean the Work associated with Relocation of Utilities, including (a) the Work described in Sections 6.2 through 6.9 and TP Section 7, (b) any Betterments added to the scope of the DB Utility Work pursuant to Section 6.5.1, and (c) any Work to be performed by Design-Builder pursuant to Section 6.1 with regard to acquisition of Utility Easements.

Deputy Project Manager shall have the meaning set forth in TP Section 2.6.2.2.

Design-Build Contract Specific DBE Requirements shall mean the program set forth in Appendix 4.

Design-Builder shall mean the Person identified as Design-Builder on Page 1 of the Contract.

Design-Builder Default shall have the meaning set forth in Section 16.1.1.

Design-Builder’s Utility Conflict Matrix shall mean an update to the Utility Conflict Matrix to be provided by Design-Builder as described in TP Section 7.3.5.

Design Documents shall mean all drawings (including plans, elevations, sections, details and diagrams), specifications, reports, calculations, records and submittals necessary for design of the Project in accordance with the Contract Documents, following approval thereof by RCTC and others as required by the Contract Documents.

Design Manager shall have the meaning set forth in TP Section 2.6.2.10.

Design Quality Assurance Manager shall have the meaning set forth in TP Section 2.6.2.5.

Design Quality Management Plan shall mean the plan described in TP Section 5.3.1.

Design Review shall mean the formal review of an existing or proposed design for the purpose of detection and remedy of design deficiencies that would affect fitness-for-use


and environmental aspects of the product, process or service, and/or identification of potential improvements of performance, safety and economic aspects.

Deviation shall mean any change, deviation, modification or alteration from the requirements of the Contract Documents (including deviations from standards referenced in the Contract Documents).

Differing Site Condition shall mean (a) subsurface or latent physical conditions that differ from those reasonably assumed by Design-Builder based on incorrect boring data provided by RCTC, to the extent that correct boring data would have resulted in accurate assumptions, or (b) physical conditions of an unusual nature, differing materially from those ordinarily encountered in the area and generally recognized as inherent in the type of work provided for in the Contract, provided, however, in all cases, that Design-Builder had no actual or constructive knowledge of such conditions as of the Proposal Date and such conditions would not have become known to Design-Builder by undertaking reasonable investigation prior to the Proposal Date. The term “Differing Site Condition” specifically excludes Utilities, Hazardous Materials and any differences in groundwater depth from the depths noted in the Reference Materials or otherwise. The term “Differing Site Condition” specifically includes:

(i) the discovery at, near or on the Site of any archaeological, paleontological, biological or cultural resource; provided that the existence of such resource was not disclosed in the RFP Documents, was not otherwise known to Design-Builder prior to the Proposal Date and would not have become known to Design-Builder by undertaking reasonable investigation prior to the Proposal Date; and

(ii) the discovery at, near or on the Site of any species listed as threatened or endangered under the federal or State Endangered Species Act, except to the extent that the Appendix 3 Approvals provide for mitigation measures to be undertaken with respect thereto (regardless of whether the species is listed as threatened or endangered as of the Proposal Date), and also subject to the risk allocation provisions contained in Section 6.11 (relating to Design-Builder’s obligation to obtain environmental approvals under certain circumstances).

Directive Letter shall mean a letter issued by RCTC pursuant to Section 13.1.1.2.

Disadvantaged Business Enterprise shall have the meaning set forth in Appendix 4.

Dispute shall mean a disagreement between the parties as to the merits, amounts, or remedy arising out of an issue in controversy, including a disagreement regarding a Claim.

Disputes Board shall have the meaning set forth in Section 19.3.1.

District 8 shall mean Caltrans District 8.

Draft PUA shall mean each unexecuted Project Utility Agreement included in TP Attachment 7-1 (SR-91 Project Utility Agreements), without consideration of any modifications or amendments made after the Proposal Date.


Effective Date shall mean the Contract Date or such other date as shall be mutually agreed upon in writing by RCTC and Design-Builder.

Electronic Toll and Traffic Management System shall mean (a) the ETTM Infrastructure and (b) Systems Integrator Work, which together provide a fully functional toll revenue and management system for the Toll Facilities.

ENR Los Angeles Construction Cost Index shall mean the Los Angeles Construction Cost Index published by Engineering News Record.

Environmental Approvals means all Governmental Approvals arising from or required by any Environmental Law in connection with construction, use or operation of the Project, including approvals and permits required under the National Environmental Policy Act (42 U.S.C. §§ 4321 et seq.), as amended, or the California Environmental Quality Act (§§ 21000 et seq. of the California Public Resources Code). Environmental Approvals include the NEPA/CEQA Approval.

Environmental Commitments Record shall mean the document entitled “Environmental Commitments Record” included in the NEPA/CEQA Approval set forth in TP Attachment 2-5.

Environmental Compliance Manager shall have the meaning set forth in TP Section 2.6.2.18.

Environmental Laws shall mean (a) all Governmental Rules applicable to the Project or the Work now or hereafter in effect regulating, relating to, or imposing liability or standards of conduct concerning the environment or to emissions, discharges, releases or threatened releases of Hazardous Materials into the environment including into the air, surface water or ground water or onto land, and (b) any requirements and standards that pertain to the protection of the environment, or to the management of Hazardous Materials or emissions, discharges, releases or threatened releases of Hazardous Materials into the environment, contamination of any type whatsoever, or health and safety matters with respect to Hazardous Materials, set forth in any Governmental Approval, or other criteria and guidelines promulgated, pursuant to Governmental Rules applicable to the Project or the Work, as each of the foregoing have been or are amended, modified, or supplemented from time to time (including any present and future amendments thereto and reauthorizations thereof), including those relating to:

a. The manufacture, processing, distribution, use, re-use, treatment, storage, disposal, transport or handling of Hazardous Materials;

b. The protection of public health, public welfare or the environment (including protection of nonhuman forms of life, land, surface water, groundwater and air);

c. Air, soil, surface and subsurface strata, stream sediments, surface water, and groundwater;

d. Release of Hazardous Materials;


e. Protection of wildlife, endangered, threatened, and sensitive species, wetlands, water courses and water bodies, parks and recreation lands, cultural, historical, archeological, and paleontological resources and natural resources;

f. The operation and closure of underground or aboveground storage tanks;

g. Health and safety of employees and other persons with respect to Hazardous Materials; and

h. Notification, documentation and record keeping requirements relating to the foregoing.

Without limiting the above, the term “Environmental Laws” shall also include the following (all as amended):

i. The Comprehensive Environmental Response, Compensation and Liability Act, 42 U.S.C. §§ 9601 et seq. ("CERCLA");

ii. The Resource Conservation and Recovery Act, 42 U.S.C. §§ 6901 et seq. ("RCRA");

iii. The Emergency Planning and Community Right to Know Act of 1986, 42 U.S.C. §§ 11001 et seq.;

iv. The Toxic Substances Control Act, 15 U.S.C. §§ 2601 et seq.;

v. The National Environmental Policy Act, 42 U.S.C. §§ 4321 et seq.;

vi. The Occupational Safety and Health Act, 29 U.S.C. §§ 651 et seq.;

vii. The California Occupational Safety and Health Act of 1973, Lab. Code §§63000 et seq.;

viii. The Hazardous Materials Transportation Act, 49 U.S.C. §§ 1801 et seq.;

ix. The Endangered Species Act, 16 U.S.C. §§ 1531 et seq.;

x. The Clean Water Act, 33 U.S.C. §§ 1251 et seq.;

xi. The Clean Air Act, 42 U.S.C. §§ 7401 et seq.;

xii. The Federal Water Pollution Control Act, as amended by the Clean Water Act, 33 U.S.C. §§ 1251 et seq.;

xiii. The Oil Pollution Act, 33 U.S.C. §§ 2701, et seq.;

xiv. The Federal Insecticide, Fungicide and Rodenticide Act, 7 U.S.C. §§ 136 et seq.;

xv. The Federal Safe Drinking Water Act, 42 U.S.C. §§ 300 et seq.;


xvi. The Federal Radon and Indoor Air Quality Research Act, 42 U.S.C. §§ 7401 et seq.;

xvii. The Fish and Wildlife Coordination Act, 16 U.S.C. §§ 661 et seq.;

xviii. The Coastal Zone Management Act, 33 U.S.C. §§ 1451 et seq.;

xix. The Rivers and Harbors Act of 1899, 33 U.S.C. §§ 401 et seq.;

xx. The Migratory Bird Treaty Act, 16 U.S.C. §§ 703 et seq.;

xxi. The Marine Mammal Protection Act, 16 U.S.C. §§ 1361 et seq.;

xxii. Section 4f of the Department of Transportation Act, 49 U.S.C. § 303;

xxiii. The National Historic Preservation Act, 16 U.S.C. § 470;

xxiv. 33 C.F.R. §§ 114 and 125;

xxv. The California Environmental Quality Act, §§ 21000 et seq. of the California Public Resources Code;

xxvi. The California Clean Air Act of 1988, §§ 39000 et seq. of the California Health and Safety Code;

xxvii. The California Porter-Cologne Water Quality Act, §§ 13000 et seq. of the California Water Code;

xxviii. The California Coastal Act, §§ 30000 et seq. of the California Public Resource Code;

xxix. The Integrated Waste Management Act, §§ 40000 et seq. of the California Public Resources Code;

xxx. The California Safe Drinking Water and Toxic Enforcement Act, §§ 25249.5 et seq. of the California Health and Safety Code;

xxxi. The California Hazardous Waste Control Act, Chapter 6.5 of Division 20 of the California Health and Safety Code, §§ 25100 et seq.;

xxxii. The California Hazardous Substance Account Act, the California Health and Safety Code, §§ 25330 et seq.;

xxxiii. Health and Safety Code §§ 25280 et. seq. (Underground Storage of Hazardous Substances);

xxxiv. The California Hazardous Waste Management Act, the California Health and Safety Code §§ 25170.1 et seq.;


xxxv. Health and Safety Code §§ 25501 et. seq. (Hazardous Materials Response Plans and Inventory);

xxxvi. Fish and Game Code §§ 1600 et seq., §§ 1360 et seq., §§ 2050 et. seq., and §§ 2080 et seq., and

xxxvii. California Energy Conservation Plan issued in compliance with the Energy Policy and Conservation Act, all as amended.

Environmental Management Plan shall have the meaning set forth in TP Section 6.3.1.

Environmental Management Program shall have the meaning set forth in TP Section 6 and shall include all plans required thereunder.

Environmental Mitigation and Monitoring Plan shall have the meaning set forth in TP Section 6.3.1.1.

Environmental Monitoring Reports shall have the meaning set forth in TP Section 6.3.1.1.

Environmental Notification Checklist shall have the meaning set forth in TP 6.3.1.4.

Environmentally Sensitive Area shall mean an area within or near the Site where access is prohibited or limited to protect environmental resources and as set forth in TP Section 6.4.1.

Error shall mean an error, omission, inconsistency, inaccuracy, deficiency or other defect.

Escrow Agent shall mean the individual or entity designated in the RFP Documents who is authorized to act as the escrow holder with respect to the Escrowed Proposal Documents.

Escrowed Proposal Documents shall have the meaning set forth in Section 21.1.

ETTM Infrastructure shall have the meaning set forth in TP Section 19.3.

ETTM Infrastructure Turnover shall mean the occurrence of all of the events and satisfaction of all of the conditions for ETTM Infrastructure Turnover as set forth in Section 20.1.1, as and when confirmed by RCTC’s issuance of a Certificate of ETTM Infrastructure Turnover.

ETTM System shall mean the (a) ETTM Infrastructure and (b) Systems Integrator Work, which together provides a fully functional toll revenue and management system for the Toll Facilities.

Event of Default shall have the meaning set forth in Section 16.2.1.


Existing Caltrans ROW shall mean the boundaries of the real property currently owned by Caltrans, as identified in the Project Schematics.

Express Lane Closures shall mean those instances during which (1) any of the OCTA 91 Express Lanes are closed by Design-Builder to facilitate construction of the Project or (2) ingress to or egress from the OCTA 91 Express Lanes is completely blocked by Design-Builder to facilitate construction of the Project.

Extra Maintenance Work shall mean the work that is described in TP Section 21.4.

Federal OJT Participation Goal shall have the meaning set forth in Section 7.8.

Federal Requirements shall mean the provisions required to be part of federal-aid construction contracts, including the provisions set forth in Appendix 14.

Final Acceptance shall mean acceptance of the Project by RCTC as evidenced by issuance of a Certificate of Final Acceptance in accordance with Section 20.4.

Final Acceptance Date shall mean the date on which Final Acceptance occurs.

Final Acceptance Deadline shall have the meaning set forth in Section 4.2.3.

Final Decision shall have the meaning set forth in Section 19.6.

Final Design Documents shall mean the complete final construction plans (including drawings, elevations, sections, details and diagrams) and specifications needed by Design-Builder to build the Project.

Final Design Submittal shall have the meaning set forth in TP Section 3.3.1.4.

Final Payment shall mean payment by RCTC of the final installment of the Contract Price.

Financing Documents shall mean all loan agreements, reimbursement agreements, letters of credit, notes, indentures, security agreements, standby purchase agreements, interest rate swap or cap agreements and other documents and instruments and all amendments, supplements and modifications thereto relating to the interim or long-term construction and/or term financing or refinancing of the Project or any activity related thereto, including those issued by a Financing Entity or entered into by RCTC or its trustee with or in favor of any Financing Entity.

Financing Entities shall mean shall the financial institution(s) and federal agencies (including their respective agents and participants) providing RCTC with construction, term and/or equity financing or refinancing with respect to the Project or any activity related thereto, including any financial institution(s) (including their agents or participants) providing any credit enhancement and/or liquidity with respect to or financing (including interest rate swap or cap agreements) to pay interest on or to repay bonds, notes or other obligations issued to finance design and construction of the Project. In the event that financing is provided through means other than a credit-


enhanced or equity facility, the term "Financing Entities" shall include the bond trustee (including successors thereto and co-bond trustees), paying agent or other designated representative of the bondholders. Design-Builder is specifically excluded from the term.

Float shall generally mean the difference between early completion times and late completion times for activities as shown on the Project Schedule, and shall include any float contained within an activity as well as any period containing an artificial activity (that is, one which is not encompassed within the meaning of the word "Work").

F/O Communications Network shall mean a network of fiber optic communication links providing real time reporting of traffic elements such as closed circuit television (CCTV), video image vehicle detection (VIVD), ramp meters, loop detection, traffic monitoring stations, traffic signals, and changeable message signs (CMS) to support the Traffic Management Center (TMC) and California Highway Patrol (CHP).

Force Majeure Event shall mean any of the events listed in clauses (a) through (j) below, subject to the exclusions listed in clauses (i) through (viii) below, which materially and adversely directly affects Design-Builder’s obligations, provided such events are beyond the control of the DB-Related Entities and are not due to an act, omission, negligence, fraud, recklessness, intentional misconduct, or breach of contract, Governmental Rules or Governmental Approvals by any of the DB-Related Entities, and further provided that such events (or the effects of such events) could not have been avoided by the exercise of caution, due diligence, or reasonable efforts by any DB-Related Entity:

(a) Any earthquake, tornado, hurricane or other natural disaster that causes direct physical damage to the Project;

(b) Any epidemic in the Riverside County, California area;

(c) Any blockade, rebellion, war, riot, act of sabotage or civil commotion that causes direct physical damage to the Project;

(d) Any major new State or federal environmental approval necessitated by the discovery at, near or on the Planned ROW Limits of any archaeological, paleontological or cultural resources provided that the existence of such resources or substances was not disclosed in, or ascertainable from, the RFP Documents, was not otherwise known to Design-Builder prior to the Effective Date and would not have become known to Design-Builder by undertaking reasonable investigation prior to the Proposal Date;

(e) Any major new State or federal environmental approval necessitated by the discovery at, near or on the Planned ROW Limits of any species listed as a threatened or endangered species (regardless of whether the species is listed as threatened or endangered as of the Proposal Date), provided that the presence of such species was not disclosed in, or ascertainable from, the RFP Documents, was not otherwise known to Design-Builder prior to the Proposal Date and would


not have become known to Design-Builder by undertaking reasonable investigation prior to the Proposal Date;

(f) Issuance of a temporary restraining order or other form of injunction by a court that prohibits prosecution of a material portion of the Work;

(g) The suspension, termination, interruption, denial or failure to obtain or non-renewal of any Appendix 3 Approval, except to the extent that such suspension, termination, interruption, denial or failure to obtain or non-renewal arises from failure by any DB-Related Entity to locate or design the Project or carry out the Work in accordance with the Appendix 3 Approvals or other Governmental Approval;

(h) The addition of any new condition or requirement in the NEPA/CEQA Approval, subject to the limitations and conditions described in Section 6.11;

(i) The failure or inability of RCTC to obtain a final BNSF Construction & Maintenance Agreement prior to the later of (i) 365 days after RCTC’s receipt from Design-Builder of a complete Railroad Submittal Package needed for that agreement in accordance with TP Section 8 and (ii) the late date for start of Work requiring such final agreement set forth on the approved Project Schedule, subject to the limitations and conditions appearing in Section 13.9.3; and

(j) Delays in obtaining Major Environmental Approvals by the applicable Major Environmental Deadline, subject to the limitations and conditions appearing in Section 6.11.6.

The term “Force Majeure Event” shall be limited to the matters listed above and specifically excludes from its definition the following matters which might otherwise be considered a force majeure event:

(i) any fire or other physical destruction or damage, or delays to the Project which occur by action of the elements, including lightning, explosion, drought, rain, flood, snow, or storm, except as specified in clause (a) above;

(ii) except as provided in clause (c) above, malicious or other acts intended to cause loss or damage or other similar occurrence, including vandalism or theft;

(iii) any strike, labor dispute, work slowdown, work stoppage, secondary boycott, walkout or other similar occurrence;

(iv) the suspension, termination, interruption, denial, failure to obtain, non-renewal or change in any requirements of any Governmental Approval, except for any such matter falling within the scope of clause (e), (g), (h), or (i) above;

(v) any increased costs or delays related to Relocations or failure to obtain any approval, work or other action from a Utility Owner, except to the extent directly due to any of the matters listed in clauses (a) through (j) above;


(vi) the presence at, near or on the Site, of any Hazardous Material, including substances disclosed in the Reference Materials as well as any substances contained in any structure required to be demolished in whole or in part or relocated as part of the Work;

(vii) any Change in Law which has the effect of modifying a Utility Owner’s Utility Standards; and

(viii) any matters not caused by RCTC or beyond the control of RCTC or any other matter not listed in clauses (a) through (j) above.

Freeway Master Contract shall mean an agreement between Caltrans and a Utility Owner concerning the Relocation of such Utility Owner’s facilities to accommodate freeway construction by Caltrans.

Geometric Approval Drawings shall have the meaning set forth in TP Section 3.3.1.1.

Good Industry Practice shall mean the exercise of the degree of skill, diligence, prudence, and foresight which would reasonably and ordinarily be expected from time to time from a skilled and experienced designer, engineer, or contractor seeking in good faith to comply with its contractual obligations, complying with all applicable Governmental Rules and Governmental Approvals and engaged in the same type of undertaking under circumstances and conditions similar to those within the same geographic area as the Project.

Governmental Approval shall mean any permit, license, consent, concession, grant, franchise, authorization, waiver, certification, exemption, filing, lease, registration or ruling, variance or other approval, guidance, protocol, mitigation agreement, agreement or memoranda of agreement/understanding, and any revision, modification, amendment, supplement, renewal or extension of any of the foregoing, required by or with any Governmental Entity in order to perform the Work or any Relocation work being performed by a Utility Owner, but excluding (a) any such approvals relating to the work to be performed by other contractors as specifically described in the Contract Documents and (b) any such approvals required by or with a Governmental Entity in its capacity as a Utility Owner. Governmental Approvals include Environmental Approvals.

Governmental Entity shall mean any federal, state, local or foreign government and any political subdivision or any governmental, quasi-governmental, judicial, public or statutory instrumentality, administrative agency, authority, body or entity other than RCTC.

Governmental Rule shall mean any statute, law, regulation, ordinance, rule, judgment, order, decree, permit, concession, grant, franchise, license, agreement, directive, guideline, policy requirement or other governmental restriction or any similar form of decision of or determination by, or any interpretation or administration of any of the foregoing by, any Governmental Entity, which is applicable to the Work, the Project, the Site or any Relocation work being performed by a Utility Owner, whether now or hereafter in effect.


Guaranteed Obligations shall have the meaning set forth in the Guaranty.

Guarantor shall mean the [to be filled in prior to the contract execution].

Guaranty shall mean each guaranty executed by a Guarantor guaranteeing some or all of the obligations of Design-Builder under the Contract Documents.

Hazardous Materials shall mean any element, chemical, compound, mixture, substance, product, waste or other material, whether solid, liquid or gaseous, which is or becomes defined, listed, classified, regulated, or addressed in any way under any Environmental Laws, or any other substances or conditions (including mold and other mycotoxins, fungi or fecal matter) which may create any unsafe or hazardous condition or pose any threat or harm to the environment or human health and safety. “Hazardous Materials” includes the following:

a. Any substance, product, waste or other material of any nature whatsoever which may give rise to liability under any Environmental Law or common law theory based on negligence, trespass, intentional tort, nuisance or strict liability or under any reported decisions of a state or federal court;

b. Hazardous Waste, hazardous materials, hazardous substances, hazardous constituents, and toxic substances, ignitable, corrosive and reactive substances or related materials, whether solid, liquid or gas, including substances defined as or included in the definition of “hazardous substance,” “hazardous waste,” “hazardous material,” “extremely hazardous waste,” “acutely hazardous waste,” “radioactive waste,” “radioactive materials,” “bio-hazardous waste,” “pollutant,” “toxic pollutant,” “contaminant,” “restricted hazardous waste,” “infectious waste,” “toxic substance,” “toxic waste,” “toxic material,” or any other term or expression intended to define, list or classify substances by reason of properties harmful to health, safety or the indoor or outdoor environment (including harmful properties such as ignitability, corrosivity, reactivity, carcinogenicity, toxicity, reproductive toxicity, “TCLP toxicity” or “EP toxicity” or words of similar import under any applicable Environmental Law);

c. Any petroleum or crude oil and any fraction thereof, including any refined petroleum product or any additive thereto or fraction thereof, and any waste oil or waste petroleum byproduct or fraction thereof or additive thereto, but excluding petroleum and petroleum products contained within regularly operated motor vehicles;

d. Any solvent, solvent waste, including any refined solvent product, and any waste solvent or waste solvent byproduct, including any additive, byproduct or fraction of any of the foregoing;

e. Any drilling fluids, produced waters and other wastes associated with the exploration, development or production of crude oil, natural gas or geothermal resources;


f. Any flammable substances or explosives, including unexploded ordnance;

g. Any radioactive materials;

h. Any asbestos or asbestos-containing materials in structures and or other improvements on or in the Site (other than mineral asbestos naturally occurring in the ground);

i. Silica;

j. Any lead, cadmium, or lead-based paint or any other heavy metal-based paint or material, or any metal listed in or regulated by the Resource Conservation and Recovery Act (42 U.S.C. §§ 6901 et seq.);

k. Any radon or radon gas;

l. Any methane gas or similar or regulated gaseous materials;

m. Any urea formaldehyde foam insulation;

n. Electrical equipment and components which contain any oil or dielectric fluid containing polychlorinated biphenyls;

o. Pesticides, herbicides or fungicides;

p. Any other chemical, material or substance, exposure to which is prohibited, limited or regulated by any Governmental Entity or which may or could pose a hazard to the health and safety of any Persons in the vicinity of the Project or to the environment; and

q. Soil, surface water or groundwater containing any of the Hazardous Materials as defined above.

Hazardous Materials Management shall mean sampling, characterization, stock-piling, storage, backfilling in place, asphalt batching, recycling, treatment, clean-up, remediation, transportation and/or off-Site disposal of Hazardous Materials, whichever is the most cost-effective approach authorized under applicable Governmental Rules.

Hazardous Substance Removal Certification shall have the meaning set forth in Section 2.3.15.

Hazardous Waste shall mean material that is hazardous waste as defined in Section 25117 of the California Health and Safety Code pursuant to Section 25141 of the California Health and Safety Code.

Health and Safety Plan shall have the meaning set forth in TP Section 22.2.3.

HM-1 shall mean Hazardous Material that may require removal and disposal in accordance with Governmental Rules, whether disturbed by the Project or not.


HM-2 shall mean Hazardous Material that may require removal and disposal in accordance with Governmental Rules only if disturbed by the Project.

Incident Management shall have the meaning set forth in TP Section 18.4.1.1.

Incidental Utility Work shall mean all of the following work necessary for construction of the Project, including any necessary coordination with Utility Owners and property owners, furnishing design, performing construction, and obtaining and complying with all required Governmental Approvals:

(a) Service Line Relocations;

(b) The adjustment of Utility appurtenances (e.g., manholes, valve boxes, and vaults) for line and grade upon completion of roadway work;

(c) Protection in Place of Utilities;

(d) All work necessary to remove and dispose of any Utilities (whether or not in use as of the Proposal Date) in situations for which leaving the Utilities in place is not feasible or not permitted, or is required in order to accommodate or permit construction of the Project, regardless of whether replacements for such Utilities are being or have been installed in other locations;

(e) All work necessary to abandon in place any Utility in accordance with applicable Governmental Rules and proper Utility Owner and/or industry procedures (e.g., flushing, capping, slurry backfill, etc.) regardless of whether replacements for such Utilities are being or have been installed in other locations;

(f) Traffic control for Relocation work, to the extent such responsibility is assigned to Design-Builder pursuant to TP Section 7;

(g) Resurfacing and re-striping of streets; reconstruction of curbs, gutters and sidewalks; reinstallation of signage; and reinstallation or replacement of traffic signals; to the extent such responsibility is assigned to Design-Builder pursuant to TP Section 7;

(h) Potholing, electronic detection, surveying and any other methods used to determine Utility locations and other material information concerning Utilities.

(i) Temporary Relocations;

(j) Purchases and installations of Conduits for Relocations; and

(k) Earthwork trenching requested by a Utility Owner.

Indemnified Claim shall have the meaning set forth in Section 18.1.1.

Indemnified Parties shall have the meaning set forth in Section 18.1.1.


Instructions to Proposers shall mean the RFP Document entitled “Instructions to Proposers” issued by RCTC on July 26, 2012, as amended.

Instrumentation and Monitoring Plan shall have the meaning set forth in TP Section 13.4.4.

Intellectual Property shall mean all current and future legal and/or equitable rights and interests in know-how, patents (including applications), copyrights (including moral rights), trade marks (registered and unregistered), service marks, trade secrets, designs (registered and unregistered), utility models, circuit layouts, plant varieties, business and domain names, inventions, solutions embodied in technology, and other intellectual activity, and applications of or for any of the foregoing, subsisting in or relating to the Project, Project design data or Project traffic data. Intellectual Property includes toll-setting and traffic management algorithms, and software used in connection with the Project (including software used for management of traffic on the Project), and Source Code. Intellectual Property is distinguished from physical construction and equipment itself and from drawings, plans, specifications, layouts, depictions, manuals and other documentation that disclose Intellectual Property.

Intermediate Design Submittal shall have the meaning set forth in TP Section 3.3.1.3.

Invoice Certificate shall mean the certificate to be provided with each invoice in the form included in Appendix 9.

Joint Resolution Team shall have the meaning set forth in TP Section 3.2.2.5.

Key Person or Key Personnel shall mean positions identified in TP Section 2.6.1.

Labor Compliance Program shall mean a Third Party Labor Compliance Program adopted by RCTC and approved by DIR.

Lane Closure shall mean full or partial closure of any traffic lane in any portion of the Project (other than Express Lane Closures) and for any duration, including main lanes, ramps, direct connectors, frontage roads and cross roads.

Lane Rental Charges shall mean the liquidated damages described in Section 17.3.

Lien shall mean any pledge, lien, security interest, mortgage, deed of trust or other charge or encumbrance of any kind, or any other type of preferential arrangement (including any agreement to give any of the foregoing, any conditional sale or other title retention agreement, any lease in the nature of a security instrument and the filing of or agreement to file any financing statement under the Uniform Commercial Code of any jurisdiction).

Life Cycle Cost Analysis shall have the meaning set forth in TP Section 11.3.

Liquidated Damages shall have the meaning set forth in Section 17.1.

Listed Subcontractors shall have the meaning set forth in Section 7.2.1.


Local Agencies shall mean the County of Riverside, the Cities, and any other state or local agency owning property within the Planned ROW Limits or with jurisdiction over any such property, or that otherwise has interfaces with the Project, other than RCTC and Caltrans. For purposes of this definition, the State Water Resources Control Board shall be considered to be a Local Agency.

Losses shall mean shall mean any loss, damage, injury, liability, obligation, cost, response cost, expense (including attorneys’, accountants’ and expert witnesses’ fees and expenses (including those incurred in connection with the enforcement of any indemnity or other provision of the Contract Documents)), fee, charge, judgment, penalty, fine or Third Party Claims. Losses include injury to or death of persons, damage or loss of property, harm or damage to natural resources, and loss of or damage to valuable papers and records.

Main or Trunkline Utility shall mean an underground Utility, which is not a Service Line, and which relative to the particular system of which it is a part, (a) is a larger line serving as a main line to connecting tributary lines and (b) serves a larger area, all as determined by RCTC. In determining whether a facility should be considered a Main or Trunkline Utility, RCTC may refer to definitions in the relevant manual or code, if any, of the Utility Owner.

Maintenance Work Plan shall mean the plan to be provided by Design-Builder and approved by RCTC and Caltrans as described in TP Section 21.4.2.

Major Environmental Approval shall mean those Environmental Approvals identified in TP Section 6.3.2.1 that are not Appendix 3 Approvals.

Major Environmental Approval Deadline shall mean the end of the expected time necessary to secure each of the Major Environmental Approvals as set forth in TP Section 6.3.2.1.

Major Subcontractor shall mean any Subcontractor that is a party to a Major Subcontract.

Major Subcontract shall mean any Subcontract or combination of Subcontracts with a single Subcontractor for construction of the Project or for special fabrication and installation of a portion of the Work with a price in excess of $10 million.

Maximum Payment Schedule shall mean the schedule described in Section 4.3.3 which constitutes a cap on the aggregate amount of payments which may be made to Design-Builder hereunder at any specified time.

Modified Standard Specifications shall mean Appendix 2.

Monthly Progress Schedule shall have the meaning set forth in TP Section 4.3.3.

Necessary Basic Configuration Change shall mean a change in the Basic Configuration which is necessary to meet the requirements of the Contract Documents as the result of an Error in the Project Schematics (with the understanding that a


change shall be deemed "necessary" only if the Error creates a problem in which Design-Builder is unable to meet the requirements of the Contract Documents without a material change in the Basic Configuration).

NEPA/CEQA Approval shall mean the project report dated _____, __, 20__ and the Final Environmental Impact Statement/Report and Final Section 4(f) Evaluation and Record of Decision dated ______, 20__ and _____, 20__, respectively, for the Project, and all approved supplements and reevaluations thereof pertaining to the Project as of the Proposal Date.

New Approval shall mean any of the following: (a) a new Governmental Approval of the same type as the Appendix 3 Approvals; and (b) a revision, modification, or amendment to one or more of the Appendix 3 Approvals.

New Utility shall mean any Utility constructed or installed as a result of the Project for the purpose of providing service to the Project, either directly or indirectly.

Nonconforming Work shall mean Work that does not conform to the requirements of the Contract Documents, the Governmental Approvals, applicable Governmental Rules or the Design Documents.

Nonstandard Special Provision shall have the meaning set forth in TP Section 1.5.

Notice of Partial Termination for Convenience shall mean written notice issued by RCTC to Design-Builder terminating part of the Work of Design-Builder for convenience.

Notice of Termination for Convenience shall mean written notice issued by RCTC to Design-Builder terminating the Work of Design-Builder for convenience.

Notice to Owner shall have the meaning assigned to such term in the applicable Project Utility Agreement.

Notice to Proceed shall mean the written authorization issued by RCTC that permits Design-Builder to proceed with the Work.

NTP1 shall mean a written notice issued by RCTC to Design-Builder authorizing Design-Builder to proceed with the portion of the Work described in Section 4.1.2.

NTP1 Mobilization shall have the meaning set forth in TP Section 1.2.3.

NTP2 shall mean a written notice issued by RCTC to Design-Builder pursuant to Section 4.1.3 authorizing Design-Builder to proceed with the remaining Work and other activities pertaining to the Project.

NTP 1 Payment Bond shall have the meaning set forth in Section 8.1.2.

NTP1 Payment Bond Amount shall have the meaning set forth in Section 8.1.2.

NTP1 Performance Bond shall have the meaning set forth in Section 8.1.1.


NTP1 Performance Bond Amount shall have the meaning set forth in Section 8.1.1.

NTP2 Payment Bond shall have the meaning set forth in Section 8.1.4.

NTP2 Payment Bond Amount shall have the meaning set forth in Section 8.1.4.

NTP2 Performance Bond shall have the meaning set forth in Section 8.1.3.

NTP2 Performance Bond Amount shall have the meaning set forth in Section 8.1.3.

OCTA 91 Express Lanes shall mean an approximately ten-mile high occupancy toll road (express lanes) entirely within the median of the Riverside Freeway State Route 91 in Orange County, California. The express lanes run from the Costa Mesa Freeway State Route 55 interchange in the vicinity of Anaheim to the Riverside/Orange County line. The OCTA 91 Express Lanes are owned and operated by OCTA.

OCTA Cooperative Agreement shall mean the agreement between OCTA and RCTC identified in Recital B to the Contract.

Open Book Basis shall mean providing RCTC all underlying assumptions, price quotes and data associated with pricing or compensation (whether of Design-Builder or RCTC) or adjustments thereto, including assumptions as to costs of the Work, schedule, composition of equipment spreads, equipment rates, labor rates, productivity, estimating factors, design and productivity allowance, contingency and indirect costs, risk pricing, discount rates, interest rates, and other items reasonably required by RCTC to satisfy itself as to the reasonableness of the amount.

Original PUA shall mean (a) any executed Project Utility Agreement included in TP Attachment 7-1, together with any amendments thereto (either executed or unexecuted) included in TP Attachment 7-1, (b) the City of Corona Cooperative Agreement, to the extent that it references the Relocation of Utilities to accommodate or permit construction of the Project, and (c) any Draft PUA, without consideration of any modifications or amendments to any of the foregoing made after the Proposal Date. Any Freeway Master Contract between Caltrans and a Utility Owner included in TP Attachment 7-1 is part of the PUA with that Utility Owner, to the extent incorporated by reference therein.

Party shall mean Design-Builder or RCTC, as the context may require, and “Parties” shall mean Design-Builder and RCTC, collectively.

Pavement Rehabilitation Work shall have the meaning set forth in TP Section 11.3.3.

Payment Bond shall mean the NTP1 Payment Bond described in Section 8.1.2 and/or NTP2 Payment Bond described in Section 8.1.4, as applicable.

Peak Times shall mean 5:01 a.m. to 9:59 p.m.

Performance Bond shall mean the NTP1 Performance Bond described in Section 8.1.1 and/or NTP2 Performance Bond described in Section 8.1.3, as applicable.


Permitted Express Lane Closures shall mean those instances during which (1) any of the OCTA 91 Express Lanes are closed by Design-Builder to facilitate construction of the Project or (2) ingress to or egress from the OCTA 91 Express Lanes is completely blocked by Design-Builder to facilitate construction of the Project, and which closures are approved in advance by OCTA pursuant to the OCTA Cooperative Agreement.

Person shall mean any individual, corporation, company, voluntary association, partnership, trust, unincorporated organization or Governmental Entity.

Planned ROW Limits shall mean the boundaries of the real property that RCTC intends to make available for permanent improvements included in the Project (excluding Utility Easements), as shown on the ROW Acquisition Maps.

Plant Establishment shall have the meaning set forth in Section 10.2.1.2.

Plant Establishment Period shall mean the period commencing with Project Completion and ending three years thereafter in accordance with TP Section 20.4.4.2.

Preliminary Baseline Schedule shall have the meaning set forth in TP Section 4.3.1.

Preliminary Utility Work Order shall mean any draft Utility Work Order included in the Reference Documents, which provides the results of preliminary planning of a Relocation by the Utility Owner in accordance with TP Section 7.2.2.

Professional Services shall mean all Work performed under the Contract other than construction work, including the following services and Work: (a) design and engineering; (b) right of way acquisition services; (c) surveying; (d) Utility relocation design; and (e) environmental permitting and compliance services.

Progress Meeting shall have the meaning set forth in TP Section 4.3.3.

Progress Report shall have the meaning set forth in TP Section 2.5.3.

Project shall mean approximately eight miles of tolled express lanes and related improvements within State Route 91 (SR 91) between the Riverside/Orange County line and the Interstate 15 interchange, including transition areas (including such transition areas on Interstate 15), and Relocations, to the extent included in the DB Utility Work.

Project Aesthetics Concept shall have the meaning set forth in TP Section 20.3.1.4.

Project Aesthetics and Landscape Master Plan shall have the meaning set forth in TP Section 20.3.1.5.

Project and Construction Manager shall mean Parsons Transportation Group or such other Person as may be designated by RCTC at any time as its Project and Construction Manager.

Project Completion shall mean the occurrence of all of the events and satisfaction of all of the conditions for Project Completion set forth in Section 20.3 as the case may be.


Project Completion Date shall mean the date on which Project Completion occurs.

Project Completion Deadline shall have the meaning set forth in Section 4.2.2.

Project Design Documents shall mean the final Design Documents for the Project following approval thereof by RCTC, Caltrans and all appropriate Local Agencies.

Project Environmental Commitment Requirements shall have the meaning set forth in TP Section 6.3.1.2 and TP Attachment 6-1.

Project Management Plan shall mean the document approved by RCTC, describing Quality Assurance and Quality Control activities necessary to manage the development, design, construction, operation and maintenance of the Project, containing the RCTC-approved component parts, plans and documentation described in TP Section 2.1 and TP Attachment 2-1.

Project Manager shall mean the individual designated as such by Design-Builder pursuant to the Proposal or such other individual as is designated by Design-Builder to undertake such role, following approval of the change by RCTC.

Project ROW shall mean the property within the Planned ROW Limits and the Additional Properties, but excluding therefrom (a) any Utility Easements and (b) any portion of the Planned ROW Limits eliminated from the Project by a Change Order.

Project Schematics shall mean the documents entitled “Project Schematics” included in the Reference Materials.

Project Schedule shall mean the most current project schedule approved by RCTC as described in TP Section 4.

Project Scheduler shall have the meaning set forth in TP Section 2.6.2.21.

Project Standards shall mean those standards discussed in TP Section 1.4 and listed in TP Attachment 1-2, together with any additional standards and specifications applicable to the Work and established by express reference contained in one of the documents listed in TP Attachment 1-2, the Technical Provisions, or other Contract Documents.

Project Utility Agreement shall mean any of the following documents (including unless otherwise specified, any modifications and amendments thereto executed after the Proposal Date):

(a) the Original PUAs,

(b) the City of Corona Cooperative Agreement, to the extent that it references the Relocation of Utilities to accommodate or permit construction of the Project, and

(c) any other agreement between RCTC and a Utility Owner that addresses Relocations for the Project in a general manner.


A document is a “Project Utility Agreement” if it meets the definition set forth herein, without regard to the name by which the document designates itself.

Proposal shall mean the written offer of Design-Builder submitted in response to the Request for Proposals, as it may have been supplemented in accordance with Section 5.8 of the ITP.

Proposal Commitments shall have the meaning set forth in Appendix 13.

Proposal Date shall mean _________ [to be filled in with the date the Proposal was submitted].

Proposal Price shall mean the total price for performance of the Work set forth in the Proposal documents.

Proposal Project Aesthetics Concepts shall have the meaning set forth in TP Section 20.3.1.3.

Proposed Disposition shall mean, for each Utility, the determination (which may be preliminary or final, as the context may require) as to whether such facility will require any of the following: (a) removal, (b) abandonment, (c) Protection in Place, (d) Relocation, (e) is a proposed new Utility, or (f) will not be impacted by the Project in any significant way (i.e., “no impact”).

Proprietary Intellectual Property shall mean Intellectual Property created, used, applied or reduced to practice in connection with the Project or the Work that derives commercial value from its protection as a trade secret under applicable Governmental Rules or from its protection under patent law.

Protection in Place or Protect in Place shall mean any activity undertaken to avoid damaging a Utility which does not involve removing or relocating that Utility, including staking the location of a Utility, avoidance of a Utility’s location by construction equipment, installing steel plating or concrete slabs, encasement in concrete, temporarily de-energizing power lines, and installing physical barriers. For example, temporarily lifting power lines without cutting them would be considered Protection in Place; whereas temporarily moving power lines to another location after cutting them would be considered a Temporary Relocation. The term Protection in Place includes both temporary measures and permanent installations meeting the foregoing definition.

Public Records Act shall have the meaning set forth in Section 21.6.1.

Public Relations Coordinator shall have the meaning set forth in TP Section 2.6.2.15.

Punch List shall mean the list of Work that remains to be completed (a) as a condition to achieving completion of ETTM Infrastructure Work, or (b), after achievement of Substantial Completion or as a condition of Project Completion or Final Acceptance, as applicable, and shall be limited to minor incidental items of Work necessary to correct imperfections which have no adverse effect on the safety, use or operability of the Project.


Quality Assurance shall mean all those planned and systematic actions necessary to provide adequate confidence that an item is in conformance with established requirements and will satisfy given needs. The activity of providing the evidence needed to establish confidence that quality functions are being performed adequately. Quality Assurance is a management tool.

Quality Control shall mean those functions that provide a means to control and measure characteristics, as related to established system design requirements. It shall also mean the techniques and activities that sustain the quality of an item to satisfy given needs; also the use of such techniques and activities. Quality Control is a production tool.

Quality Management Plan shall mean, collectively, the Design Quality Management Plan and the Construction Quality Management Plan included in the Project Management Plan and more fully described in TP Section 5.

Quality Manager shall mean the individual named as such in the Proposal or such other individual as is designated in writing by Design-Builder to undertake the duties of the Quality Manager, following approval of the change by RCTC.

Quality Program shall have the meaning set forth in TP Section 5.

Railroad Coordinator shall have the meaning set forth in TP Section 2.6.2.17.

Railroad Submittal Package shall have the meaning set forth in TP Section 8.3.1.

RCTC shall mean the Riverside County Transportation Commission.

RCTC-Caused Delays shall mean unavoidable delays, to the extent that they directly affect both a Critical Path and a Completion Deadline, arising from the following matters and no others: (a) RCTC-Directed Changes; (b) failure or inability of RCTC to make RCTC-Provided Property available as provided in Section 6.1.2; (c) failure by RCTC to obtain an Appendix 3 Approval prior to the later of (i) the date set forth in TP Section 2.5.2; and (ii) the late date for start of Work requiring such approval set forth on the approved Project Schedule, provided, however, that any delays in RCTC obtaining final BNSF Construction & Maintenance Agreements and California Utility Commission approvals for a railroad crossing shall not be RCTC-Caused Delays but shall instead be treated as Force Majeure events; (d) failure or inability of RCTC to provide responses to proposed schedules, plans, Design Documents, Construction Documents and other submittals and matters for which affirmative response by RCTC is required, within the time periods indicated in the Contract Documents; (e) uncovering, removing and restoring Work, to the extent provided in Section 5.5.3; (f) Necessary Basic Configuration Changes; and (g) Changes in Law to the extent provided in Section 13.9.6. RCTC-Caused delays exclude (x) Caltrans-Caused Delays and (y) any events that are due to an act, omission, negligence, fraud, recklessness, intentional misconduct, or breach of contract, Governmental Rules or Governmental Approvals by any of the DB-Related Entities, and further provided that such events (or the effects of such events) could not have been avoided by the exercise of caution, due diligence, or reasonable efforts by any DB-Related Entity.


RCTC Decision shall mean the written decision issued by RCTC pursuant to Section 19.2.2.

RCTC-Directed Changes shall mean any changes in the Work (including changes in the Project Standards or other standards applicable to the Work) which RCTC has directed Design-Builder to perform as described in Section 13.1, and any order to suspend for convenience exceeding 48 hours per order or more than a total of 96 hours for all such orders to suspend for convenience pursuant to Section 14.1.

RCTC-Initiated VECP shall have the meaning set forth in Section 22.1.

RCTC-Provided Property shall mean (a) the property within the Planned ROW Limits, and (b) all easements identified on the ROW Acquisition Maps as property that will be acquired by RCTC (including Utility Easements identified thereon (if any) which RCTC is required to acquire pursuant to the applicable Utility Agreement(s)).

RCTC’s Project Manager shall mean the individual designated by RCTC to manage the Project and to receive delivery of notices to RCTC under Section 24.11.

Recommendation shall have the meaning set forth in Section 19.3.2.

Recovery Schedule shall mean the schedule Design-Builder is required to provide under Section 4.5.

Reference Materials shall mean the documents and information contained in Volume III of the RFP.

Registered Professional Engineer shall mean a person who is duly licensed and registered by the California Board of Professional Engineers to engage in the practice of engineering in the State.

Regulations shall have the meaning set forth in Section 19.6, except when used in Section 7.1 and Appendix 4 it shall mean the DBE Regulations.

Release of Hazardous Materials shall mean any spill, leak, emission, release, discharge, injection, escape, leaching, dumping or disposal of Hazardous Materials into the soil, air, water, groundwater or environment, including any exacerbation of an existing release or condition of Hazardous Materials contamination.

Release for Construction shall have the meaning set forth in TP Section 3.2.2.5.

Release for Construction Package shall have the meaning set forth in TP Section 3.3.1.5.

Relocate shall mean action to undertake a Relocation.

Relocation shall mean each removal, relocation, adjustment, reconstruction, abandonment, Temporary Relocation, provision of temporary services, and/or Protection in Place (whether permanent or temporary) of any existing Utility facility that


is necessary in order to accommodate or permit construction of the Project, including backfilling, pavement restoration and any other work described in TP Section 7.

Request for Change Order shall mean a document submitted by Design-Builder in accordance with Section 13.3.2 requesting that a Change Order be issued.

Request for Information shall mean a written request initiated by the Design-Builder, RCTC, or Caltrans detailing any need for clarification or information on a portion of the Work or the Contract.

Request for Proposals shall mean the Request for Proposals regarding the Project issued by RCTC on July 26, 2012, including all addenda thereto, and all attachments thereto.

Responsible Proposer Questionnaire shall mean the RFP Document entitled “Responsible Bidder Questionnaire.”

Retainage shall have the meaning set forth in Section 12.3.1.1.

RFC Notice shall have the meaning set forth in Section 13.3.2.1.

RFP Documents shall mean the documents issued as part of the RFP, including all addenda.

ROW Acquisition Maps shall mean the right of way maps included in the Project Schematics.

ROW Commitment Dates shall have the meaning set forth in TP Attachment 9-1.

Safety Manager shall have the meaning set forth in TP Section 2.6.2.9.

SCE Freeway Master Contract shall mean the Freeway Master Contract between SCE and Caltrans dated November 1, 2004.

Section 6800 shall mean Public Contract Code section 6800 et. seq.

Segment shall have the meaning set forth in TP Section 3.2.2.6.

Segment Limits Map shall have the meaning set forth in TP Section 3.2.2.6.

Seismic Instrumentation Report shall have the meaning set forth in TP Section 14.4.2.1.

Senior Project Engineer shall have the meaning set forth in TP Section 2.6.2.23.

Service Line (also referred to as a service lateral or lateral) shall mean (a) any Utility line, the function of which is to directly connect the improvements on an individual property (e.g., a single family residence or an industrial warehouse) to another Utility line located off such property, which other Utility line connects more than one such individual line to a larger system, and (b) any cable or Conduit that supplies an active


feed from a Utility Owner’s facilities to activate or energize a Local Agency’s lighting and electrical systems, traffic control systems, communication systems or irrigation systems. The term also includes any Utility on public or private property that services structures located on such property.

Site shall mean those areas designated in writing by RCTC for performance of the Work and such additional areas as may, from time to time, be designated in writing by RCTC for Design-Builder’s use in performance of the Work. For purposes of insurance (subject to any notification and other requirements imposed by the insurer(s) for approval), indemnification, safety and security requirements, the prevailing wage requirements, and payment for use of equipment, the term “Site” shall also include (a) the field office sites, (b) any property used for bonded storage of material for the Project approved by RCTC under Section 12.3.3.1, (c) staging areas dedicated to the Project, and (d) areas where activities incidental to the Project are being performed by Design-Builder or Subcontractors covered by the worker’s compensation policy included in the insurance described in Section 9, but excluding any permanent locations of Design-Builder or such covered Subcontractors.

Source Code and Source Code Documentation shall mean software written in programming languages, such as C and Fortran, including all comments and procedural code, such as job control language statements, in a form intelligible to trained programmers and capable of being translated into object or machine readable code for operation on computer equipment through assembly or compiling, and accompanied by documentation, including flow charts, schematics, statements of principles of operations, architectural standards, and commentary, explanations and instructions for compiling, describing the data flows, data structures, and control logic of the software in sufficient detail to enable a trained programmer through study of such documentation to maintain and/or modify the software without undue experimentation. Source Code and Source Code Documentation also include all modifications, additions, substitutions, updates, upgrades and corrections made to the foregoing items.

Special Design shall have the meaning set forth in TP Section 1.5.1.

State shall mean the State of California.

State Arbitration Act shall have the meaning set forth in Section 19.6.

Statement of Qualifications shall mean the Statement of Qualifications submitted by Proposer in response to RCTC’s Request for Qualifications 11-31-031-00.

Subcontract shall mean an agreement between Design-Builder and one or more third parties providing for such third party to perform any part of the Work or provide any materials, equipment., labor or supplies for any part of the Work, or any such agreement between a Subcontractor and its lower tier Subcontractor or a Supplier and its lower tier Supplier, at any tier.

Subcontractor shall mean any Person with whom Design-Builder has entered into any Subcontract and any other Person with whom any Subcontractor has further subcontracted any part of the Work, at any tier.


Submittal shall mean any package, document, work product or other written or electronic end product or item required under the Contract Documents to be delivered or submitted to RCTC.

Submittal Schedule shall have the meaning set forth in TP Section 3.2.2.6.

Substantial Completion shall mean the occurrence of all of the events and satisfaction of all of the conditions for Substantial Completion set forth in Section 20.1.1, as and when confirmed by RCTC’s issuance of a Certificate of Substantial Completion.

Substantial Completion Deadline shall have the meaning set forth in Section 4.2.1.

Supplier shall mean any Subcontractor that supplies machinery, equipment, materials or systems to Design-Builder or any Subcontractor in connection with the performance of the Work and that does not perform Work at the Site. Persons who merely transport, pick up, deliver or carry materials, personnel, parts or equipment or any other items or persons to or from the Site shall not be deemed to be performing Work at the Site. The term “Supplier” includes fabricators and material dealers.

Surety shall mean each properly licensed surety company, insurance company or other Person approved by the California State Insurance Commissioner to do business in the State and approved by RCTC, which has issued the Payment Bond or the Performance Bond.

Sustainability Management Plan shall have the meaning set forth in TP Section 21.2.2.

Systems Integrator shall mean the contractor that is under separate contract with RCTC to (a) design, furnish, and install the ETTM System (excluding the ETTM Infrastructure), (b), test the ETTM System, and (c) support RCTC with the review of the design and inspection of the ETTM Infrastructure.

Systems Integrator Work shall have the meaning set forth in TP Section 19.2.2.

Technical Provisions shall mean the Contract Documents identified as Technical Provisions.

Temporary Relocation shall mean (a) any interim relocation of a Utility (i.e. the installation, removal and disposal of the interim facility) pending installation of the permanent facility in the same or a new location, and (b) any removal and reinstallation of a Utility in the same location with or without an interim relocation.

Termination for Convenience shall mean a termination of the Contract pursuant to Section 15.

Third Party Claims shall mean any and all claims, disputes, disagreements, causes of action, demands, suits, actions, judgments, investigations or proceedings brought by a Person that is not a Party with respect to damages, injuries, liabilities, obligations,


losses, costs, penalties, fines or expenses (including attorneys’, accountants’ and expert witnesses’ fees and expenses) sustained or incurred by such Person.

Time and Materials Change Order shall have the meaning set forth in Section 13.7.

Time and Materials Work shall mean Work performed pursuant to a Time and Materials Change Order.

TMS Inventory shall have the meaning set forth in TP Section 16.2.2.

Toll Facilities shall mean the tolled express lane facilities located on the existing State highway system and identified in the Project Schematics.

Toll Systems Coordinator shall have the meaning set forth in TP Section 2.6.2.20.

Toll Utility Building shall have the meaning set forth in TP Section 19.3.6.

Tolling Zone shall mean the zone within which a toll transaction takes place, as shown on the Project Schematics.

TP Appendices shall mean (a) those documents annexed to a TP Attachment and identified as an “Appendix,” and (b) the documents annexed to TP Attachment 8-1 (Railroad Agreement Term Sheet) notwithstanding the reference to “exhibit” appearing on the documents.

TP Attachments shall mean those documents annexed to the Technical Provisions and identified as “Attachments.”

TP Exhibits shall mean those documents annexed to a TP Attachment and labeled as an “Exhibit” provided, however, that the documents annexed to TP Attachment 8-1 (Term Sheet) shall be considered TP Appendices notwithstanding the reference to “exhibit” appearing on the documents.

Traffic Management Center shall have the meaning set forth in TP Section 16 and shall, as the context requires, refer to the Caltrans Traffic Management Center, City of Corona Traffic Management Center and/or County of Riverside Traffic Management Center.

Traffic Manager shall have the meaning set forth in TP Section 2.6.2.11.

Transportation Corridor Agencies shall mean the San Joaquin Hills Transportation Corridor Agency and the Foothill Eastern Transportation Corridor Agency.

Transportation Management Plan shall mean the plan developed by Design-Builder for maintenance of traffic during construction in accordance with TP Section 18.3.1.

Transportation Management System shall have the meaning set forth in TP Section 16.


215/91 Corridor Master Plan shall mean the document entitled 215/91 Corridor Master Plan (September 5, 2006) appearing in the Reference Materials.

Uniform Act shall mean the Federal Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. Chapter 61, as amended, and all associated regulations and policies.

Unpermitted Express Lane Closures shall have the meaning set forth in Section 17.2.3.

Utilities Coordinator shall have the meaning set forth in TP Section 2.6.2.16.

Utility or utility shall mean a privately, publicly, or cooperatively owned line, facility or system (including municipal and/or government lines, facilities and systems) for transmitting or distributing communications, cable television, power, electricity, gas, oil, crude products, water, steam, waste, or any other similar commodity, including any irrigation system and any fire or police signal system as well as streetlights. However, when used in the context of the Relocation of facilities to accommodate the Project, the term “Utility” or “utility” excludes (a) storm water facilities that provide drainage solely for the Project ROW, and (b) traffic signals, ramp metering systems, flashing beacon systems, and lighting systems for the SR-91 portion of the Project. The necessary appurtenances to each Utility facility (including fire hydrants as appurtenances to water lines) shall be considered part of such Utility. Without limitation, any Service Line connecting directly to a Utility shall be considered an appurtenance to that Utility, regardless of the ownership of such Service Line.

Utility Agreement shall mean a Project Utility Agreement and/or a Utility Work Order, as the context may require, as the same may be modified or amended from time to time. A document is a “Utility Agreement” if it meets the definition set forth herein, without regard to the title of the document. Preliminary Utility Work Orders are not Utility Agreements.

Utility Conflict Matrix shall mean the lists of Utilities likely to be impacted by the Project that are included in the Reference Materials (one for City of Corona Utilities and one for all other Utilities), which lists will be maintained and updated by Design-Builder in Design-Builder’s Utility Conflict Matrix pursuant to TP Section 7.

Utility Crossing Number or No. shall mean the identifying number that is assigned to each Utility on the Utility Conflict Matrix.

Utility Delay shall have the meaning set forth in Section 6.6.1.

Utility Easement shall mean a permanent replacement easement and/or other interest in real property (excluding a franchise) located outside of the Project ROW that is necessary for a Relocation.

Utility Information shall mean TP Attachment 7-2, the Utility Conflict Matrix, the Utility Maps, and the Utility Potholing Data, collectively.


Utility Maps shall mean the set of plans included in the Reference Materials that shows the existing locations of Utilities listed in the Utility Conflict Matrix, as well as Proposed Dispositions for the Utilities listed in the Utility Conflict Matrix as requiring Relocation. The Utility Maps do not include the plans included in the PUWOs. The Utility Maps are located in the Utilities Folder of the Reference Materials and consist of the SR-91 CIP Utility Conflict and Relocation Concept Plan Sheets 1 through 8.

Utility Owner shall mean any private entity or public body (including city, county, state, public corporation or public district) that owns and/or operates a Utility, including cooperative utilities.

Utility Owner Project shall mean the design and construction by or at the direction of a Utility Owner of a new Utility other than as part of a Relocation. Utility Owner Projects shall be entirely the financial obligation of the Utility Owner.

Utility Plans shall mean the final installation details and construction documents that are prepared by the Design-Builder or Utility Owner(s) for Utilities being Relocated to accommodate the Project. The plans included in the PUWOs are not part of the Utility Plans.

Utility Potholing Data shall mean the data included in the Reference Materials that provides the information obtained from potholing for Utility facilities that was performed by RCTC or its consultants prior to issuance of the RFP.

Utility Standards shall mean, for a Relocation covered by an Original PUA, the standard specifications, standards of practice, and construction methods which are treated as "Owner Standards" pursuant to that Project Utility Agreement; except that for the City of Corona, “Utility Standards” shall mean the “City Standards,” as defined in the city of Corona Cooperative Agreement.

For any Relocations not covered by an Original PUA, the term "Utility Standards" shall mean the standard specifications, standards of practice, and construction methods that a Utility Owner customarily applies to facilities constructed by the Utility Owner (or for the Utility Owner by its contractors) at its own expense and that are comparable to the Utilities being Relocated for the Project. Such Utility Standards may or may not all be incorporated into documents issued by the Utility Owner, and shall include those processes, procedures, policies and practices that are industry-standard in Southern California for each particular type of Utility and those (if any) that are specified for the particular Utility Owner in accordance with TP Section 7.2.1. For any Utility Owner that is also a Governmental Entity, its Utility Standards shall include all such requirements that are imposed by Governmental Rules issued by such Utility Owner.

Utility Strip Map shall have the meaning set forth in TP Section 7.3.2.

Utility Work Order shall mean an agreement, as the same may be amended from time to time, among RCTC, the Design-Builder and a Utility Owner, executed pursuant to a Project Utility Agreement and providing specific details for the Relocation of one or more particular Utilities. A document is a Utility Work Order if it meets the foregoing definition, without regard to the title or form of the document.


Value Engineering shall have the meaning set forth in Section 22.

Value Engineering Change Proposal shall have the meaning set forth in Section 22.

Warranty or Warranties shall mean the express warranties of Design-Builder set forth in Section 11.1.

Warranty Bond shall have the meaning set forth in Section 8.1.6.

Work shall mean all of the administrative, design, engineering, real property acquisition support services, Utility relocation and support services, procurement, legal, professional, manufacturing, supply, installation, construction, environmental mitigation and management, supervision, management, testing, verification, labor, materials, equipment, maintenance, documentation and other duties, services and cost reimbursements to be furnished and provided by Design-Builder as required by the Contract Documents, including all efforts necessary or appropriate to achieve Final Acceptance of the Project and to fulfill the Warranties and Plant Establishment, except for those efforts which the Contract Documents expressly specify will be performed by RCTC or other Persons. In certain cases, as determined by RCTC, the term is also used to mean the products of the Work.

Riverside County Transportation Commission Appendix 3 RFP Number: 12-31-113-00 Final Request for Proposals Page i Design-Build Contract Appendices Issued: July 26, 2012 RCTC-Provided Approvals

APPENDIX 2

MODIFIED STANDARD SPECIFICATIONS (Replacement Sections 1 through 9)

This Appendix 2 sets forth the Modified Standard Specifications for the SR-91 Corridor Improvement Design-Build Project. The provisions contained in this Appendix 2 shall replace Sections 1 through 9 of the 2010 Standard Specifications issued by the State of California Department of Transportation (Caltrans), in their entirety and differ materially from the volume issued by Caltrans.

The Caltrans Standard Specifications may include cross-references to provisions of the Standard Specifications which are not applicable to this Contract because they have been superseded by other provisions of the Contract Documents. Any such cross-references are deemed references to the Contract Document provisions which have superseded the referenced provisions of the Standard Specifications.

Refer to the Caltrans 2010 Standard Specifications for Sections 10 through 95 of the Standard Specifications.

General Exceptions:

1. When these Specifications refer to “Measurement for Payment,” “Method of Measurement,” or “Payment Quantities,” except as otherwise provided in the Contract Documents, such language is disregarded. Terms and conditions of Final payment are set forth in the Contract.

2. When these Specifications refer to “basis of payment,” “unit prices,” or “adjustments of unit prices,” such references and language is disregarded, except as otherwise provided in the Technical Provisions or Contract.

3. When these Specifications refer to “extra work,” “compensation for,” “at the Department’s expense,” “quantity adjustments,” “equivalent quantities,” or similar phrases, such references shall be disregarded. It is intended that the payment of the Contract Price will be full compensation for all Work performed pursuant to the Design-Build Contract unless specific provisions for additional payments are contained in the Technical Provisions or Contract.

4. When these specifications refer to the term “incidental” such term will mean that the costs is included in the Design Builder’s Proposal Price.

5. When these Specifications refer to “Change Orders,” “change order work,” or “extra work,” except as otherwise provided in the Contract Documents, such language shall be disregarded. Terms and conditions of changes, entitlement to additional compensation, and Change Orders are set forth in the Contract.

TABLE OF CONTENTS

Riverside County Transportation Commission Appendix 3 RFP Number: 12-31-113-00 Final Request for Proposals Page ii Design-Build Contract Appendices Issued: July 26, 2012 RCTC-Provided Approvals

1 GENERAL ................................................................................................................... 1

1-1.01 GENERAL........................................................................................... 1 1-1.02 STYLE VARIATIONS.......................................................................... 2 1-1.03–1-1.04 RESERVED ............................................................................ 3 1-1.05 REFERENCES ................................................................................... 3 1-1.06 ABBREVIATIONS ............................................................................... 3 1-1.07 DEFINITIONS ..................................................................................... 5 1-1.08 DISTRICTS ....................................................................................... 11 1-1.09 FREEZE-THAW AREAS................................................................... 11 1-1.10 RESERVED ...................................................................................... 11 1-1.11 WEB SITES, ADDRESSES, AND TELEPHONE NUMBERS ........... 12 1-1.12 MISCELLANY ................................................................................... 13 1-1.13–1-1.15 RESERVED .......................................................................... 13

2 BIDDING ................................................................................................................... 14

3 CONTRACT AWARD AND EXECUTION.................................................................. 15

4 SCOPE OF WORK..................................................................................................... 16

4-1.01 GENERAL.......................................................................................... 16 4-1.02 INTENT .............................................................................................. 16 4-1.03–4-1.12................................................................................................ 16 4-1.13 CLEANUP.......................................................................................... 16

5 WORK CONTROL...................................................................................................... 17

5-1.01 GENERAL.......................................................................................... 17 5-1.02 CONTRACT COMPONENTS ............................................................ 17 5-1.03 ENGINEER’S AUTHORITY ............................................................... 17 5-1.04–5-1.05 RESERVED .......................................................................... 17 5-1.06 PROTESTS....................................................................................... 17 5-1.07–5-1.08 RESERVED .......................................................................... 17 5-1.09 PARTNERING ................................................................................... 17 5-1.10–5-1.11 RESERVED .......................................................................... 17 5-1.12 ASSIGNMENT .................................................................................. 17 5-1.13 SUBCONTRACTING ......................................................................... 17 5-1.14–5-1.15 RESERVED .......................................................................... 18 5-1.16 REPRESENTATIVE........................................................................... 18 5-1.17 CHARACTER OF WORKERS ........................................................... 18 5-1.18–5.19 RESERVED ............................................................................. 18

Riverside County Transportation Commission Appendix 3 RFP Number: 12-31-113-00 Final Request for Proposals Page iii Design-Build Contract Appendices Issued: July 26, 2012 RCTC-Provided Approvals

5-1.20 COORDINATION WITH OTHER ENTITIES ...................................... 18 5-1.21–5-1.22 RESERVED .......................................................................... 18 5-1.23 SUBMITTALS ................................................................................... 18 5-1.24–5-1.25 RESERVED .......................................................................... 18 5-1.26 CONSTRUCTION SURVEYS ........................................................... 18 5-1.27 RECORDS ......................................................................................... 18 5-1.27C Record Inspection, Copying, and Auditing...................................... 19 5-1.28–5-1.29 RESERVED .......................................................................... 19 5-1.30 NONCOMPLIANT AND UNAUTHORIZED WORK ........................... 19 5-1.31 JOB SITE APPEARANCE.................................................................. 19 5-1.32 AREAS FOR USE.............................................................................. 20 5-1.33 EQUIPMENT...................................................................................... 20 5-1.34–5-1.35 RESERVED .......................................................................... 20 5-1.36 PROPERTY AND FACILITY PRESERVATION ................................. 20 5-1.37 MAINTENANCE AND PROTECTION................................................ 22 5-1.37B Load Limits ..................................................................................... 22 5-1.38 MAINTENANCE AND PROTECTION RELIEF .................................. 24 5-1.39 DAMAGE REPAIR AND RESTORATION.......................................... 24 5-1.39B DAMAGE CAUSED BY ACTS OF GOD.......................................... 24 5-1.40–5-1.41 RESERVED .......................................................................... 25 5-1.42 REQUESTS FOR INFORMATION.................................................... 25 5-1.43 POTENTIAL CLAIMS AND DISPUTE RESOLUTION....................... 25 5-1.44–5-1.45 RESERVED .......................................................................... 25 5-1.46 FINAL INSPECTION AND CONTRACT ACCEPTANCE .................. 25 5-1.47–5-1.50 RESERVED .......................................................................... 25

6 QUALITY CONTROL AND ASSURANCE................................................................. 26

6-1 GENERAL.......................................................................................................... 26 6-1.01 GENERAL.......................................................................................... 26

6-2 MATERIAL SOURCE ........................................................................................ 26 6-2.01 GENERAL.......................................................................................... 26 6-2.02 MATERIAL SOURCE......................................................................... 26 6-2.03 DEPARTMENT-FURNISHED MATERIALS ....................................... 26 6-2.04 LOCAL MATERIALS.......................................................................... 26 6-2.05 BUY AMERICA .................................................................................. 27 6-2.05A General........................................................................................... 27

6-3 QUALITY .......................................................................................................... 27 6-3.01 GENERAL......................................................................................... 27 6-3.02 SPECIFIC BRAND OR TRADE NAME AND SUBSTITUTION .......... 28

Riverside County Transportation Commission Appendix 3 RFP Number: 12-31-113-00 Final Request for Proposals Page iv Design-Build Contract Appendices Issued: July 26, 2012 RCTC-Provided Approvals

6-3.03 AUTHORIZED LABORATORY LISTS ............................................... 28 6-3.04 QUALITY CONTROL ......................................................................... 28 6-3.05 QUALITY ASSURANCE PROGRAM................................................. 28 6-3.05F Test Data, Test Reports, and Evaluation Reports........................... 31 6-3.05H Reserved ........................................................................................ 31 6-3.05I Authorized Facility Audit Lists .......................................................... 31 6-3.05J Quality Control Plans....................................................................... 32 6-3.05 GUARANTEE..................................................................................... 32

7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC .............................. 33

7-1.01 GENERAL.......................................................................................... 33 7-1.02 LAWS................................................................................................. 33 7-1.03 PUBLIC CONVENIENCE................................................................... 44 7-1.04 PUBLIC SAFETY ............................................................................... 45 7-1.05 INDEMNIFICATION ........................................................................... 48 7-1.06 INSURANCE...................................................................................... 48 7-1.07 LEGAL ACTIONS AGAINST THE DEPARTMENT ............................ 48 7-1.08 PERSONAL LIABILITY ...................................................................... 49 7-1.09–7-1.10 RESERVED .......................................................................... 49 7-1.11 FEDERAL LAWS FOR FEDERAL-AID CONTRACTS...................... 49

8 PROSECUTION AND PROGRESS .......................................................................... 50

8-1.01 GENERAL.......................................................................................... 50 8-1.02 SCHEDULE ....................................................................................... 50 8-1.03 PRECONSTRUCTION CONFERENCE............................................. 50 8-1.04 START OF JOB SITE ACTIVITIES.................................................... 50 8-1.05 TIME .................................................................................................. 51 8-1.06 SUSPENSIONS ................................................................................. 51 8-1.07 DELAYS............................................................................................. 51 8-1.08–8-1.09 RESERVED .......................................................................... 51 8-1.10 LIQUIDATED DAMAGES.................................................................. 51 8-1.11–8-1.12 RESERVED .......................................................................... 51 8-1.13 CONTRACTOR'S CONTROL TERMINATION.................................. 51 8-1.14 CONTRACT TERMINATION ............................................................ 51 8-1.15–8-1.16 RESERVED .......................................................................... 51

9 PAYMENT................................................................................................................. 52

9-1.01 GENERAL......................................................................................... 52 9-1.02 MEASUREMENT .............................................................................. 52

Riverside County Transportation Commission Appendix 3 RFP Number: 12-31-113-00 Final Request for Proposals Page v Design-Build Contract Appendices Issued: July 26, 2012 RCTC-Provided Approvals

9-1.03 PAYMENT SCOPE ........................................................................... 54 9-1.04 FORCE ACCOUNT........................................................................... 54 9-1.05 EXTRA WORK PERFORMED BY SPECIALISTS ............................ 60 9-1.06 CHANGED QUANTITY PAYMENT ADJUSTMENTS ....................... 60 9-1.07 PAYMENT ADJUSTMENTS FOR PRICE INDEX FLUCTUATIONS. 60 9-1.08–9-1.10 RESERVED .......................................................................... 60 9-1.11 TIME-RELATED OVERHEAD........................................................... 60 9-1.12–9-1.14 RESERVED .......................................................................... 61 9-1.15 WORK-CHARACTER CHANGES..................................................... 61 9-1.16 PROGRESS PAYMENTS ................................................................. 62 9-1.17 PAYMENT AFTER CONTRACT ACCEPTANCE.............................. 62 9-1.18–9-1.20 RESERVED .......................................................................... 62 9-1.21 CLERICAL ERRORS ........................................................................ 62 9-1.22 ARBITRATION.................................................................................. 62

A. POLICY STATEMENT ................................................................................................ 3

SECTION 1.0 B. CONTRACT ASSURANCE.................................................................. 3

C. DBE GOAL ................................................................................................................. 3

D. DBE PERFORMANCE PLAN .................................................................................... 4

E. DBE CERTIFICATION ............................................................................................... 7

F. COUNTING DBE PARTICIPATION / COMMERCIALLY USEFUL FUNCTION ......... 7

G. GOOD FAITH EFFORTS DETERMINATION............................................................ 8

H. TERMINATION OF DBE CONTRACTS .................................................................. 10

I. EFFECT OF CONTRACT MODIFICATIONS ........................................................... 11

J. PROMPT PAYMENT PROVISIONS........................................................................ 11

1. Prompt Progress Payments to Subcontractors ........................................ 11 2. Payment of Retention Withheld from Subcontractor ................................ 11

K. COMPLIANCE MONITORING AND ENFORCEMENT............................................ 12

L. CONSEQUENCES OF NON-COMPLIANCE ........................................................... 12

M. MONTHLY SUBCONTRACTORS PAID REPORT.................................................. 13

APPENDIX 8 ................................................................................................................... 1

Riverside County Transportation Commission Appendix 3 RFP Number: 12-31-113-00 Final Request for Proposals Page vi Design-Build Contract Appendices Issued: July 26, 2012 RCTC-Provided Approvals

BONDS ........................................................................................................................... 1

APPENDIX 8-A ............................................................................................................... 1

FORM OF PERFORMANCE BOND................................................................................ 1

APPENDIX 8-B ............................................................................................................... 1

FORM OF PAYMENT BOND .......................................................................................... 1

ATTACHMENT 6 TO APPENDIX 14 [RESERVED] ....................................................... 1

BY SIGNING AND SUBMITTING ITS PROPOSAL OR BID, AND BY EXECUTING THE CONTRACT OR SUBCONTRACT, EACH PROSPECTIVE DESIGN-BUILDER AND SUBCONTRACTOR (AT ALL TIERS) SHALL BE DEEMED TO HAVE SIGNED AND DELIVERED THE FOLLOWING: .................................................................................... 1

1. THE PROSPECTIVE DESIGN-BUILDER/SUBCONTRACTOR CERTIFIES, TO THE BEST OF ITS KNOWLEDGE AND BELIEF, THAT:.......................................... 1

R E C I T A L S ............................................................................................................... 1

SECTION VI: Reviewed by _______________ ....................................................... 6

Riverside County Transportation Commission Appendix 2 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 62 Design-Build Contract Appendices Issued: July 26, 2012 Modified Standard Specifications

1 GENERAL

1-1.01 GENERAL

Section 1 includes general rules of interpretation.

The specifications are divided into 11 divisions.

Division I includes general specifications applicable to every contract unless specified as applicable under certain conditions.

Division II includes specifications for general construction applicable to every contract unless specified as applicable under certain conditions.

Divisions III through IX include construction specifications for specific bid items.

Division X includes specifications for common materials. For a material specified in this division, that material specified in any section must comply with the specifications in division X.

Division XI includes construction specifications for buildings.

The specifications are written to the Proposer before award and the Contractor after. Before award, interpret sentences written in the imperative mood as starting with "The Proposer must" and interpret "you" as "the Proposer" and "your" as "the Proposer's." After award, interpret sentences written in the imperative mood as starting with "The Contractor must" and interpret "you" as "the Contractor” and "your" as "the Contractor's."

After Contract award, submit documents and direct questions to the Engineer. Orders, authorizations, and requests to the Contractor are by the Engineer, except as otherwise provided in the Contract Documents.

Except as otherwise provided in the Contract Documents, the Riverside County Transportation Commission ("RCTC") partnering with Caltrans furnishes the following in writing:

1. Approvals 2. Authorizations 3. Certifications 4. Decisions 5. Notifications 6. Orders 7. Responses

Except as otherwise provided in the Contract Documents, the Contractor must submit the following in writing:

1. Assignments


2. Notifications 3. Proposals 4. Reports 5. Requests, including RFIs, sequentially numbered 6. Subcontracts 7. Test results

Where a location is not specified with the words "shown," "specified," or "described," interpret:

1. "Shown" as "shown on the plans." 2. "Specified" as "specified in the specifications." 3. "Described" as "described in the Contract." "Described" means "shown, specified, or

both."

Headings are included for the purposes of organization and referencing. Inclusion of a heading with no related content, "Not Used," or "Reserved" does not indicate that no specification exists for that subject; applicable specifications may be covered in a general or referenced specification.

The specifications are expressed in U.S. customary units except where a referenced document uses the International System of Units as the standard.

Unless an object or activity is specified to be less than the total, the quantity or amount is all of the object or activity.

All items in a list apply unless the items are specified as choices.

1-1.02 STYLE VARIATIONS

The Department is gradually standardizing the style of the specifications. The use of the new style does not change the meaning of a Contract part not using this style. The new style includes:

1. Use of:

1.1. Imperative mood 1.2. Introductory modifiers 1.3. Conditional clauses 1.4. Industry-standard terms

2. Elimination of:

2.1. Language variations 2.2. Definitions for industry-standard terms 2.3. Redundant specifications 2.4. Needless cross-references


1-1.03–1-1.04 RESERVED

1-1.05 REFERENCES

A reference within parentheses to a law or regulation is included in the Contract Documents for convenience only and is not a comprehensive listing of related laws and regulations. Lack of a reference does not indicate no related laws or regulations exist.

Where the version of a referenced document is not expressly specified in the Contract Documents, use the current version in effect on the date of Request for Proposals.

A reference to a section includes the general specifications for the section.

Where a section number is referenced without a reference to a document, the reference is to a section of the Standard Specifications as revised by any revised standard specification, special provision, or both.

A code not specified as a federal code is a California code.

A department not specified as a federal or local department is a California department.

1-1.06 ABBREVIATIONS

Unless the context otherwise requires, wherever in the specifications and other Contract Documents the following abbreviations and terms, or pronouns in place of them, are used, the intent and meaning shall be interpreted as provided in this Section 1. Refer to Contract Appendix 1 for additional defined terms. Interpret the meaning of an abbreviation used in the Standard Specifications as shown in the following table:

Abbreviations Abbreviation Meaning AASHTO American Association of State Highway and Transportation Officials AB aggregate base AISC American Institute of Steel Construction AISI American Iron and Steel Institute AMA archaeological monitoring area ANSI American National Standards Institute API American Petroleum Institute AREMA American Railway Engineering and Maintenance-of-Way Association AS aggregate subbase ASME American Society of Mechanical Engineers ASQ American Society for Quality AWG American Wire Gauge AWPA American Wood-Preservers' Association AWS American Welding Societya AWWA American Water Works Association BNSF Burlington Northern Santa Fe Cal/OSHA California Division of Occupational Safety and Health Administration CIDH cast-in-drilled-hole CIH Certified Industrial Hygienist CIP cast in place CMU concrete masonry unit


Abbreviations Abbreviation Meaning CPM critical path method CPL composite plastic lumber CRCP continuously reinforced concrete pavement CTB cement treated base CVN Charpy V-notch CWI AWS Certified Welding Inspector DBE Disadvantaged Business Enterprise DTI direct tension indicator DVBE Disabled Veteran Business Enterprise EEI Edison Electrical Institute EIA Electronic Industries Alliance ESA environmentally sensitive area ETL Electrical Testing Laboratories fc extreme fiber compressive stress in concrete at service loads f'c compressive strength of concrete FHWA Federal Highway Administration GAAP Generally Accepted Accounting Principles GGBFS ground granulated blast furnish slag HS high strength ITE Institute of Transportation Engineers IEEE Institute of Electrical and Electronics Engineers JPCP jointed plain concrete pavement ksf kips per square foot ksi kips per square inch LCB lean concrete base METS Department's Materials Engineering and Testing Services MPI Master Painters Institute MR movement rating MSDS material safety data sheet MUTCD Manual on Uniform Traffic Control Devices NDT nondestructive testing NETA International Electrical Testing Association NEC National Electrical Code NEMA National Electrical Manufacturers Association NPDES National Pollutant Discharge Elimination System OSD Offices of Structure Design PLAC permit, license, agreement, certification, or any combination of these PC precast PCC portland cement concrete pcf pounds per cubic foot PS prestressed RAP reclaimed asphalt pavement RCSC Research Council on Structural Connections RFI request for information ROCAP rotational capacity RPL recycled plastic lumber RSC rapid strength concrete RT radiographic testing SMSA Standard Metropolitan Statistical Area SCC self-consolidating concrete SCM supplementary cementitious material SSPC The Society for Protective Coatings


Abbreviations Abbreviation Meaning SWPPP storm water pollution prevention plan TIA time impact analysis UFFA ultra fine fly ash UL Underwriters Laboratories, Inc USC United States Code USM unidentified stock material UT ultrasonic testing VECP value engineering change proposal WPS welding procedure specification aInterpret a reference to AWS as a reference to AWS, ANSI/AWS, or AASHTO/AWS

1-1.07 DEFINITIONS

1-1.07A General

Definition of terms listed in 1-1.07B only apply to terms included in this Appendix 2 and the Caltrans Standard Specifications. Contract Appendix 1 definitions apply to all terms included in the remainder of the Contract Documents.

1-1.07B Glossary

activity: Task, event, or other project element on a schedule that contributes to completing the project. An activity has a description, start date, finish date, duration, and one or more logic ties.

aerially deposited lead: Lead primarily from vehicle emissions deposited within unpaved areas or formerly unpaved areas.

archaeological monitoring area: Area within or near construction limits where access is allowed, but work is subject to archaeological monitoring.

archaeological resources: Remains of past human activity, including historic and prehistoric material (e.g., tools and tool fragments, hearth and food remains, structural remains, and human remains).

authorized laboratory: Independent testing laboratory (1) not employed or compensated by any Subcontractor or Subcontractor's affiliate providing other services for the Contract and (2) authorized by the Department.

base: Layer of specified material of planned thickness placed immediately below the pavement or surfacing.

basement material: Material in excavation or embankment under the lowest layer to be placed.


bridge: Structure that:

1. Has a bridge number 2. Carries a utility or railroad or vehicle, pedestrian, or other traffic over, under, or

around obstructions or waterways

California Test: Department-developed test for determining work quality. For California Tests, go to the METS Web site.

certificate of compliance: Certificate stating the material complies with the Contract Documents.

Certified Industrial Hygienist: Industrial hygienist certified in comprehensive practice by the American Board of Industrial Hygiene.

commercial quality: Quality meeting the best general practices.

commercial source: Established business operating as a material source to the general public.

concrete pavement: For existing concrete pavement, concrete that contains hydraulic cement. For new concrete pavement, concrete specified in section 40.

contractor: shall mean the entity identified as Design-Builder on Page 1 of the Design-Build Contract.

controlling activity: Construction activity that will extend the scheduled completion date if delayed.

critical delay: Delay that extends the scheduled completion date.

critical path: Longest continuous chain of activities for the project that has the least amount of total float of all chains. In general, a delay on the critical path extends the scheduled completion date.

critical path method: Network based planning technique using activity durations and relationships between activities to calculate a schedule for the entire project.

culvert: Structure other than a bridge that provides an opening under a roadway.

data date: Day after the date through which a schedule is current. Everything occurring earlier than the data date is as-built and everything on or after the data date is planned.

Department: Department of Transportation as defined in St & Hwy Code § 20 and authorized in St & Hwy Code § 90; its authorized representatives.

detour: Temporary route for traffic around a closed road part. A passageway through a job site is not a detour.


dispose of: Remove from the job site.

divided highway: Highway with separated traveled ways for traffic, generally in opposite directions.

Engineer: The Project and Construction Manager responsible for the Contract's administration; the Project and Construction Manager’s authorized representatives.

early completion time: Difference in time between an early scheduled completion date and the Contract completion date.

environmentally sensitive area: Area within or near construction limits where access is prohibited or limited to protect environmental resources.

federal-aid contract: A contract that is financed in part with federal funds.

fixed cost: Labor, material, or equipment cost directly incurred by the Contractor as a result of performing or supplying a particular bid item that remains constant regardless of the item's quantity.

float: Difference between the earliest and latest allowable start or finish times for an activity.

force account work: Work ordered on a construction project without an existing agreement on its cost, and performed with the understanding that the Contractor will bill the owner according to the cost of labor, materials, and equipment in accordance with the Contract.

grading plane: Basement material surface on which the lowest layer of subbase, base, pavement, surfacing, or other specified layer is placed.

highway: Whole right-of-way or area reserved for use in constructing the roadway and its appurtenances.

holiday: Holidays shown in the following table:


Holidays Holiday Date observed

Every Sunday Every Sunday New Year's Day January 1st Birthday of Martin Luther King, Jr. 3rd Monday in January Washington's Birthday 3rd Monday in February Cesar Chavez Day March 31st Memorial Day Last Monday in May Independence Day July 4th Labor Day 1st Monday in September Veterans Day November 11th Thanksgiving Day 4th Thursday in November Day after Thanksgiving Day Day after Thanksgiving Day Christmas Day December 25th

If January 1st, February 12th, March 31st, July 4th, November 11th, or December 25th falls on a Sunday, the Monday following is a holiday. If November 11th falls on a Saturday, the preceding Friday is a holiday.

idle equipment: Equipment:

1. On the job site at the start of a delay 2. Idled because of the delay 3. Not operated during the delay

landscaping: Practice of a landscaping contractor under 16 CA Code of Regs § 832.27.

listed species: Any species listed as threatened or endangered under (1) federal Endangered Species Act of 1973, 16 USC § 1531 et seq., (2) California Endangered Species Act, Fish & Game Code §§ 2050–2115.5, or (3) both.

material: Any product or substance specified for use in the construction of a project.

material source facility audit: Self-audit and a Department audit evaluating a facility's capability to consistently produce materials that comply with Department standards.

median: Portion of a divided highway separating the traveled ways including inside shoulders.

milestone: Event activity that has zero duration and is typically used to represent the start or end of a certain stage of the project.

mobilization: Preparatory work that must be performed or costs incurred before starting work on the various items on the job site.

narrative report: Document submitted with each schedule that discusses topics related to project progress and scheduling.

near critical path: Chain of activities with total float exceeding that of the critical path but having no more than 10 working days of total float.


paleontological resources: Fossils and the deposits they are found in. Fossils are evidence of ancient life preserved in sediments and rock. Examples of paleontological resources are remains of (1) animals, (2) animal tracks, (3) plants, and (4) other organisms. Archaeological resources are not paleontological and fossils found within an archaeological resource are generally considered archaeological resources, not paleontological resources.

pavement: Uppermost layer of material placed on the traveled way or shoulder.

permitted biological activities: Monitoring, surveying, or other practices that require a take permit and project-specific permission from the U.S. Fish and Wildlife Service or NOAA Fisheries or a take permit or memorandum of understanding with the Department of Fish and Game.

plans: Standard plans, revised standard plans, Design Documents, and other plans developed for the Project.

1. standard plans: Drawings standard to Department construction projects. 2. revised standard plans: New or revised standard plans. 3. project plans: Project Design and Construction Documents.

plant establishment period: Number of days specified in the Contract Documents for plant establishment.

protective radius: Minimum distance between construction activities and a regulated species.

quality control plan: Contractor's Quality Management Plan

regulated species: Any species protected by one or any combination of the following:

1. Federal Endangered Species Act of 1973, 16 USC § 1531 et seq. 2. California Endangered Species Act, Fish & Game Code §§ 2050–2115.5 3. Fish & Game Code §§ 1600–1616 4. National Environmental Policy Act, 42 USC § 4321 et seq. 5. California Environmental Quality Act, Pub Res Code § 21000 et seq. 6. Other law or regulation that governs activities that affect species or their habitats

roadbed: Roadway portion extending from curb line to curb line or shoulder line to shoulder line. A divided highway has 2 roadbeds.

roadside: Area between the outside shoulder edge and the right-of-way limits.

roadway: That portion of the highway within the outside lines of curbs, sidewalks, slopes, ditches, channels, or waterways. Roadway includes structures and features necessary for safety, protection of facilities, and drainage.

routine biological activities: Biological monitoring, surveying, or other activity that does not require a take permit from the U.S. Fish and Wildlife Service or NOAA


Fisheries or a take permit or memo of understanding with the Department of Fish and Game.

scheduled completion date: Planned project completion date shown on the current schedule.

service-approved biologist: Biologist whose activities must be approved by a state or federal agency as provided in PLACs.

shoulder: Roadway portion contiguous with the traveled way for stopped vehicle accommodation, emergency use, and lateral support of base and surface courses.

small tool: Tool or piece of equipment not listed in Labor Surcharge and Equipment Rental Rates that has a replacement value of $500 or less.

State: The State of California, including its agencies, departments or divisions whose conduct or action is related to the work.

state contractor: Design-Builder

Structure Design: Office of Special Funded Projects.

subbase: Layer of material between a base and the basement material.

subgrade: Roadbed portion on which pavement, surfacing, base, subbase, or a layer of any other material is placed.

substantial defects: Defects plainly seen as damaged, displaced, or missing parts or improper functioning of materials, parts, equipment, or systems.

substructure: Bridge parts below the bridge seats, pier tops, and haunches for rigid-framed bridges or spring lines for arched bridges; includes abutment backwalls, abutment parapets, and wingwalls.

superstructure: Bridge parts except the substructure.

surfacing: Uppermost layer of material placed on a traveled way or shoulders; pavement.

take: Legal definition regarding harm to listed species as defined in 16 USC § 1532 and Fish & Game Code § 86.

take permit: Permit granted by the U.S. Fish and Wildlife Service or by the NOAA Fisheries that allows take of federal-listed species under 16 USC § 1539 or by the Department of Fish and Game that allows take of state-listed species under Fish & Game Code § 2081.

time impact analysis: Analysis using a CPM schedule developed specifically to demonstrate the effect a proposed or past change or delay has on the current scheduled completion date.


time-scaled network diagram: Graphic depiction of a CPM schedule comprised of activity bars with relationships for each activity represented by arrows. The tail of each arrow connects to the activity bar for the predecessor and points to the successor.

total float: Amount of time that an activity or chain of activities can be delayed before extending the scheduled completion date.

traffic: Pedestrians, bicyclists, ridden or herded animals, vehicles, streetcars, and other conveyances either singularly or together while using any highway for purposes of travel.

traffic lane: Portion of traveled way used for the movement of a single line of vehicles.

traveled way: Roadway portion for the movement of vehicles except shoulders.

tunnel: Tunnel as defined in 8 CA Code of Regs § 8403 et seq.

unauthorized work: Work performed beyond the lines and grades described in the Contract or established by the Engineer or extra work performed without authority.

work plan: Detailed formulation of a program of action.

work zone: Area of a highway with construction, maintenance, or utility work activities.

1-1.08 DISTRICTS

Intentionally left blank.

1-1.09 FREEZE-THAW AREAS

Freeze-thaw areas are areas of the State where freeze-thaw cycles and heavy salting frequently occur. A project is in a freeze-thaw area if the project is specified in the special provisions to be in a freeze-thaw area.

1-1.10 RESERVED


1-1.11 WEB SITES, ADDRESSES, AND TELEPHONE NUMBERS Web Sites, Addresses, and Telephone Numbers

Reference or agency or

department unit

Web site Address Telephone no.

Authorized Laboratory Lists Authorized Material Lists Authorized Material Source Lists

http://www.dot.ca.gov/hq/esc/approved_products_list

-- --

Bidders' Exchange http://www.dot.ca.gov/hq/esc/oe/bidex

MSC 26 BIDDERS' EXCHANGE DEPARTMENT OF TRANSPORTATION 1727 30TH ST SACRAMENTO CA 95816-7005

(916) 227-6259

CA Unified Certification Program's list of certified DBEs

http://www.dot.ca.gov/hq/bep/find_certified.htm

-- --

Department http://www.dot.ca.gov

-- --

Department of Conservation, Office of Mine Reclamation

http://www.conservation.ca.gov/omr/

-- --

Department of General Services, Office of Small Business and DVBE Services

http://www.pd.dgs.ca.gov/smbus/default.htm

OFFICE OF SMALL BUSINESS AND DVBE SERVICES DEPARTMENT OF GENERAL SERVICES 707 3RD ST WEST SACRAMENTO CA 95605-2811

(800) 559-5529 (916) 375-4940

Department of Industrial Relations

http://www.dir.ca.gov

455 GOLDEN GATE AVENUE SAN FRANCISCO CA 94102

--

Division of Accounting, Office of External Accounts Payable

http://www.dot.ca.gov/hq/asc/oap/payments/contact.htm#conpets1

MAJOR CONSTRUCTION PAYMENT AND INFORMATION UNIT OFFICE OF EXTERNAL ACCOUNTS PAYABLE DIVISION OF ACCOUNTING DEPARTMENT OF TRANSPORTATION P.O. BOX 168043 SACRAMENTO CA 95816-8043

(916) 227-9013

Division of Construction

http://www.dot.ca.gov/hq/construc/

-- --

Geotechnical Services

http://www.dot.ca.gov/hq/esc/geotech

GEOTECHNICAL SERVICES DEPARTMENT OF TRANSPORTATION 5900 FOLSOM BLVD SACRAMENTO CA 95819-4612

(916) 227-7000

METS http://www.dot.ca.gov/hq/esc/Translab/

MATERIALS ENGINEERING AND TESTING SERVICES DEPARTMENT OF TRANSPORTATION 5900 FOLSOM BLVD SACRAMENTO CA 95819-4612

(916) 227-7000


Office Engineer -- MSC 43 OFFICE ENGINEER DEPARTMENT OF TRANSPORTATION 1727 30TH ST SACRAMENTO CA 95816-7005

--

Publication Distribution Unit

-- PUBLICATION UNIT DEPARTMENT OF TRANSPORTATION 1900 ROYAL OAKS DRIVE SACRAMENTO CA 95815-3800

--

1-1.12 MISCELLANY Intentionally left blank.

1-1.13–1-1.15 RESERVED


2 BIDDING



3 CONTRACT AWARD AND EXECUTION

Intentionally left blank


4 SCOPE OF WORK

4-1.01 GENERAL

Section 4 includes specifications related to the scope of work.

4-1.02 INTENT

The Contract intent is to provide for work completion using the best general practices.

Nothing in the specifications voids the Contractor's public safety responsibilities.

4-1.03–4-1.12


4-1.13 CLEANUP

Before final inspection, Contractor shall clean the highway, material sites and all ground occupied by Contractor in connection with the Work and leave the job site neat and presentable and dispose of:

1. Rubbish 2. Excess materials 3. Falsework 4. Temporary structures 5. Equipment

Do not remove warning, regulatory, or guide signs until Final Acceptance.


5 WORK CONTROL

5-1.01 GENERAL

Section 5 includes specifications regarding the Contractor’s parties' relations and Final Acceptance.

5-1.02 CONTRACT COMPONENTS


5-1.03 ENGINEER’S AUTHORITY


5-1.04–5-1.05 RESERVED

5-1.06 PROTESTS


5-1.07–5-1.08 RESERVED

5-1.09 PARTNERING


5-1.10–5-1.11 RESERVED

5-1.12 ASSIGNMENT


5-1.13 SUBCONTRACTING

5-1.13A General

No Subcontract releases you from the Contract or relieves you of your responsibility for a Subcontractor's work.

Do not use a debarred contractor. For a list of debarred contractors, go to the Department of Industrial Relations' Web site.

If you violate Pub Cont Code § 4100 et seq., RCTC may exercise the remedies provided under Pub Cont Code § 4110. RCTC may refer the violation to the Contractors State License Board as provided under Pub Cont Code § 4111.

Each Subcontract must comply with the Contract Documents.


Each Subcontractor must have an active and valid State contractor's license with a classification appropriate for the work to be performed (Bus & Prof Code § 7000 et seq.).

Submit copies of Subcontracts upon request, in accordance with the requirements of the Contract Documents.

5-1.13B Disadvantaged Business Enterprises

5-1.13B(1) General

Section 5-1.0613B applies to a federal-aid contract.

5-1.14–5-1.15 RESERVED

5-1.16 REPRESENTATIVE


5-1.17 CHARACTER OF WORKERS

If a worker appears to the Engineer to be incompetent or acts disorderly or improperly, discharge the worker immediately upon request. Do not employ that worker again on the work.

5-1.18–5.19 RESERVED

5-1.20 COORDINATION WITH OTHER ENTITIES


5-1.21–5-1.22 RESERVED

5-1.23 SUBMITTALS


5-1.24–5-1.25 RESERVED

5-1.26 CONSTRUCTION SURVEYS


5-1.27 RECORDS

5-1.27A General



5-1.27B Record Retention

Retain project records from proposal preparation through:

1. Final payment 2. Resolution of claims, if any

For at least 5 years after the later of these, retain cost records, including records of:

1. Bid preparation 2. Overhead 3. Payrolls 4. Payments to Subcontractors and Suppliers 5. Cost accounting

Maintain the records in an organized way in the original format, electronic and hard copy, conducive to professional review and audit.

5-1.27C Record Inspection, Copying, and Auditing

Make your records available for inspection, copying, and auditing by RCTC and State representatives for the same time frame specified under section 5-1.27B. The records of Subcontractors and suppliers must be made available for inspection, copying, and auditing by RCTC and State representatives for the same period. Before Contract acceptance, the State representative notifies the Contractor, Subcontractor, or supplier 5 business days before inspection, copying, or auditing.

If an audit is to start more than 30 days after Contract acceptance, RCTC and State representatives notifies the Contractor, Subcontractor, or supplier when the audit is to start.

5-1.28–5-1.29 RESERVED

5-1.30 NONCOMPLIANT AND UNAUTHORIZED WORK

Correct or remove and replace work that does not comply with the Contract, is unauthorized, or both. RCTC does not pay for any of the following:

1. Corrective, removal, or replacement work 2. Unauthorized work

If ordered, submit a work plan for the corrective, removal, or replacement work.

5-1.31 JOB SITE APPEARANCE

Keep the job site neat. In areas visible to the public:

1. If practicable, dispose of debris removed during clearing and grubbing concurrently with its removal. If stockpiling is necessary, dispose of weekly. 2. Furnish trash bins for debris from construction. Place debris in trash bins daily.


3. Stack forms for falsework to be reused neatly and concurrently with their removal.

5-1.32 AREAS FOR USE


5-1.33 EQUIPMENT

Clearly stencil or stamp at a clearly visible location on each piece of equipment except hand tools an identifying number and:

1. On compacting equipment, its make, model number, and empty gross weight that is either the producer's rated weight or the scale weight

2. On meters and on the load-receiving element and indicators of each scale, the make, model, serial number, and fabricator's rated capacity

Submit a list:

1. Describing each piece of equipment 2. Showing its identifying number

Upon request, submit producer's information that designates portable vehicle scale capacities.

For proportioning materials, use measuring devices, material plant controllers, and undersupports complying with section 9-1.02B <Weighing Equipment and Procedures>.

Measuring devices must be tested and approved under California Test 109 in the Department's presence by any of the following:

1. County Sealer of Weights and Measures 2. Scale Service Agency 3. Division of Measurement Standards Official

The indicator over-travel must be at least 1/3 of the loading travel. The indicators must be enclosed against moisture and dust.

Group measuring system dials so that the smallest increment for each indicator can be read from the location at which proportioning is controlled.

Only equipment and plants suitable to produce the quality of work and materials required will be permitted to operate on the project.

5-1.34–5-1.35 RESERVED

5-1.36 PROPERTY AND FACILITY PRESERVATION

5-1.36A General

Preserve property and facilities, including:


1. Adjacent property 2. Department’s instrumentation 3. ESAs 4. Lands administered by RCTC or other agencies 5. Railroads and railroad equipment 6. Roadside vegetation not to be removed 7. Temporary work 8. Utilities 9. Waterways

Immediately report damage to Engineer

If you cause damage, you are responsible.

The Department may make a temporary repair to restore service to a damaged facility.

Install sheet piling, cribbing, bulkheads, shores, or other supports necessary to support existing facilities or support material carrying the facilities.

Dispose of temporary facilities when they are no longer needed.

Excavate and backfill as necessary to remove temporary facilities. Backfill with materials of equal or better quality and to a comparable density of surrounding materials and grade surface to match the existing grade and cross slope.

5-1.36B Landscape

If you damage plants not to be removed:

1. Dispose of them unless the Engineer allows you to reduce them to chips and spread the chips within the highway at locations designated by the Engineer

2. Replace them

Replace plants with plants of the same species.

Replace trees with 24-inch-box trees.

Replace shrubs with No. 15-container shrubs.

Replace ground cover plants with plants from flats. Replace Carpobrutus ground cover plants with plants from cuttings. Plant ground cover plants 1 foot on center.

If a plant establishment period is specified, replace plants before the start of the plant establishment period; otherwise, replace plants at least 30 days before Final Acceptance.

Water each plant immediately after planting and saturate the backfill soil around and below the roots or ball of earth around the roots of each plant. Water as necessary to maintain plants in a healthy condition until Final Acceptance.


5-1.36C Railroad Property


5-1.36D Nonhighway Facilities

RCTC may rearrange a nonhighway facility during the Contract. Rearrangement of a nonhighway facility includes installation, relocation, alteration, or removal of the facility.

RCTC may authorize facility owners and their agents to enter the highway to perform rearrangement work for their facilities or to make connections or repairs to their property. Coordinate activities to avoid delays.

5-1.37 MAINTENANCE AND PROTECTION

5-1.37A General

Maintain and protect work until the Department has granted relief from maintenance or as provided in the Contract. Prevent construction equipment that exceeds the maximum weight limits in Veh Code Div 15 from operating on completed or existing treated base, pavement, or structures.

5-1.37B Load Limits

5-1.37B(1) General

For areas within the project limits and subject to the Contractor providing protective measures and repairing related damage, construction equipment exceeding the size or weight limits in Veh Code Div 15 may move over:

1. Public roads within the highway 2. Treated base or pavement under construction or completed 3. Culverts and pipes 4. Structures not open to traffic that are designed for AASHTO HS20-44 live loading,

except culverts and pipes. Before crossing one of these structures, submit the dimensions and maximum axle loadings of the equipment; and unless a material hauling equipment lane on a bridge is shown on the drawings, comply with the following specifications: 4.1. The maximum loading on a bridge due to pneumatic-tired truck and trailer

combinations must not exceed: 4.1.1. 28,000 lb for single axles 4.1.2. 48,000 lb for tandem axles 4.1.3. 60,000 lb total gross load for single vehicles 4.1.4. 110,000 lb total gross load for truck and trailer or semi-trailer

combinations

4.2. The loading on a bridge due to 2- and 3-axle pneumatic tired earthmovers must not exceed that shown in the following table:


Allowable Construction Loading on Bridges for 2- and 3-Axle Earthmovers Bridge girder center-to-center spacing

(feet) Maximum axle loading

(pounds) 4 28,000 5 29,000 6 30.000 7 32,000 8 34,000 9 37,000

10 and over 40,000 NOTE: Minimum axle spacing: For 2-axle earthmovers:

Axles 1 to 2 = 20 feet�For 3-axle earthmovers:

Axles 1 to 2 = 8 feet Axles 2 to 3 = 20 feet

5. Completed or existing base, pavement, and structures under the Department's Transportation Permits Manual, whether open to the public or not

Loads imposed on existing, new, or partially completed structures must not exceed the load carrying capacity of the structure or any portion of the structure as determined by AASHTO LRFD with interims and California Amendments, Design Strength Limit State II. The f'c to be used in computing the load carrying capacity must be the smaller of the following:

1. Actual compressive strength at the time of loading 2. Value of f'c shown on the plans for that portion of the structure or 2.5 times the value of fc shown on the plans for portions of the structure where no f'c is shown

5-1.37B(2) Increased Load Carrying Capacity


5-1.37B(3) Material Hauling Equipment Lane on Bridges

Section 5-1.37B(3) applies to a bridge constructed with a material hauling equipment lane.

You may cross the bridge with pneumatic-tired material hauling equipment that exceeds the size and weight limits specified but that does not exceed the load limits shown on the material hauling equipment loading diagram on the plans.

For each bridge with a material hauling equipment lane:

1. Construct a minimum 150-foot approach at each bridge end to a grade that provides a smooth transition to the bridge roadway grade. Maintain these approaches in a smooth and uniform condition during the operation of the equipment.

2. Operate equipment in a way that prevents jolting and bouncing of the equipment while crossing the bridge.


3. Confine equipment to the material hauling lane using temporary barriers unless the plans show that the entire bridge may be used for hauling equipment and the permanent barriers are completed.

4. At most 1 piece of equipment may be on the bridge at one time.

If ordered, verify the weight of loaded material hauling equipment by weighing. The Department furnishes individual wheel or axle type scales. The Department weighs the equipment within the project limits and within the highway at a location accessible to the equipment. You determine the exact weighing location. Install and maintain the scales.

5-1.38 MAINTENANCE AND PROTECTION RELIEF

You may request relief from maintenance and protection responsibilities on a completed work portion. The work portion must have been completed under the Contract and to the Engineer and Department’s satisfaction. Work parts eligible for relief include:

1. Completed 4 mi of roadway, divided highway or frontage road including: 1.1. Planned roadway protection work 1.2. Lighting 1.3. Required traffic control 1.4. Access facilities 1.5. All ramps within that segment

Relief of maintenance for the Toll Facilities will only be granted at Final Acceptance.

If relieved by RCTC and the Department, you are not required to perform further work on that portion of work, except in accordance with the Warranties or as otherwise agreed by Contractor. In addition, acceptance of maintenance responsibility by RCTC and Department will relieve Contractor of responsibility for injury or damage to the accepted portions of the Work resulting from use by public traffic or from the action of the elements or from any other cause but not from injury or damage resulting from Contractor's own operations or from Contractor’s negligence.

5-1.39 DAMAGE REPAIR AND RESTORATION

5-1.39A General

Before Final Acceptance, restore damaged work to the same state of completion as before the damage. Restoration of damaged work includes restoration of erected falsework and formwork.

5-1.39B DAMAGE CAUSED BY ACTS OF GOD



5-1.39C Landscape Damage

5-1.39C(1) General

Repair slopes or other existing facilities that were damaged after starting job site activities and before starting plant establishment.

As ordered, replace plants that have been damaged from either or both of the following conditions:

1. Ambient temperature falling below 32 degrees F during the plant establishment period

2. Contractor or its supplier restricts or stops water delivery during the plant establishment period

All plant replacement work is included in the Contract Price.

5-1.39C(2) Plant Establishment Period of 3 Years or More


5-1.40–5-1.41 RESERVED

5-1.42 REQUESTS FOR INFORMATION


5-1.43 POTENTIAL CLAIMS AND DISPUTE RESOLUTION


5-1.44–5-1.45 RESERVED

5-1.46 FINAL INSPECTION AND CONTRACT ACCEPTANCE


5-1.47–5-1.50 RESERVED


6 QUALITY CONTROL AND ASSURANCE

6-1 GENERAL

6-1.01 GENERAL

Section 6 includes specifications related to quality control and assurance.

6-2 MATERIAL SOURCE

6-2.01 GENERAL

Material incorporated into the work must be new, except as provided elsewhere in the Contract Documents.

6-2.02 MATERIAL SOURCE

Before the preconstruction conference, submit material source information on a Notice of Materials to Be Used form.

6-2.03 DEPARTMENT-FURNISHED MATERIALS

Submit a request to RCTC for Department-furnished material (TP Attachment 1-3, Department-Furnished Materials) at least 180 days before their scheduled installation. RCTC will notify you when Department-furnished material is available.

If Department-furnished the material:

1. At the job site, inspect the material, unload and store 2. At a location other than the job site, inspect the material, deliver the material to the

job site and store it

Department-furnished material will be available for pick-up at:

Caltrans District 8 SHOP 8 175 W. Cluster Street San Bernardino, CA 92408

You are responsible for the cost of replacing Department-furnished material. RCTC deducts replacement costs. Department-furnished material not used in the work remains the property of RCTC.

6-2.04 LOCAL MATERIALS

Local material must be:

1. Mineral material, including rock, sand, or gravel, or earth 2. Selected material or material procured from an established commercial source and

not local borrow


3. Procured or produced from a source in the work vicinity specifically for project use

Upon your request, the Department tests material from an untested local source. If satisfactory material from that source is used in the work, RCTC does not charge you for the tests; otherwise, RCTC deducts test costs.

6-2.05 BUY AMERICA

6-2.05A General

Reserved

6-2.05B Crumb Rubber (Pub Res Code § 42703(D))

Furnish crumb rubber with a certificate of compliance. Crumb rubber must be:

1. Produced in the U.S. 2. Derived from waste tires taken from vehicles owned and operated in the U.S.

6-2.05C Steel and Iron Materials (23 CFR 635.410)

Section 6-2.05C applies to a federal-aid contract.

Furnish steel and iron materials to be incorporated into the work with certificates of compliance. Steel and iron materials must be produced in the U.S. except:

1. Foreign pig iron and processed, pelletized, and reduced iron ore may be used in the domestic production of the steel and iron materials [60 Fed Reg 15478 (03/24/1995)]

2. If the total combined cost of the materials does not exceed the greater of 0.1 percent of the Contract Price or $2,500, materials produced outside the U.S. may be used

Production includes:

1. Processing steel and iron materials, including smelting or other processes that alter the physical form or shape (such as rolling, extruding, machining, bending, grinding, and drilling) or chemical composition

2. Coating application, including epoxy coating, galvanizing, and painting, that protects or enhances the value of steel and iron materials

6-3 QUALITY

6-3.01 GENERAL

Store materials and samples in a way that preserves the quality and facilitates prompt inspection.


6-3.02 SPECIFIC BRAND OR TRADE NAME AND SUBSTITUTION

A reference to a specific brand or trade name establishes a quality standard and is not intended to limit competition. You may use a product that is equal to or better than the specified brand or trade name if authorized by RCTC.

Include substantiating data with the substitution request that proves that substitution:

1. Causes no delay 2. Is of equal or better quality and suitability

6-3.03 AUTHORIZED LABORATORY LISTS

Section 6-3.03 applies where an authorized laboratory is specified to be on an Authorized Laboratory List.

For procedures to be included on an Authorized Laboratory List, go to the METS Web site.

6-3.04 QUALITY CONTROL

Material production and testing equipment must measure accurately and precisely.

Prepare and maintain QC records including:

1. Inspection types, results, and dates 2. Testing types, results, and dates 3. Inspector names and certificates 4. Acceptance criteria 5. Corrective actions

6-3.05 QUALITY ASSURANCE PROGRAM

6-3.05A General

Work is subject to the Project's QA program in accordance with the Contract Documents. The Quality Program does not relieve you of your responsibility to provide QC.

RCTC and/or the Department may use multiple QA methods for a material.

Allow RCTC and the Department to record, including photograph and video record, to ensure a material is produced to comply with the Contract Documents.

You may examine the records and reports of tests RCTC and/or Caltrans performs if they are available at the job site.

Schedule work to allow time for QA.


RCTC and/or Caltrans may retest material previously tested and authorized for use. If the Department notifies you of a retest, furnish resources for retesting.

For a material specified to comply with a State Specification number, the material may comply with a latest version of the specification. Obtain State Specifications from METS.

For a material specified to comply with a property shown in the following table, the Department tests under the corresponding California Test shown:

California Tests Property California Test

Relative compaction 216 or 231 Sand equivalent 217 Resistance (R-value) 301 Grading (sieve analysis) 202 Durability index 229

6-3.05B Source Inspection Expense Deductions

For each item shown in the following table, RCTC deducts the amount shown.


Source Inspection Expense Deductions Item Distancea Deduction

> 300 $5,000 Steel pipe piling Prestressing system Precast concrete members specified section 11-2 Epoxy-coated reinforcement Structural steel for sign structures Miscellaneous metal

> 3,000 $8,000

Extinguishable message signs Variable message signs Changeable message signs Service equipment enclosures Telephone demarcation cabinets Closed circuit television cabinets Weigh-in-motion cabinets Highway advisory radio cabinets

> 300 $2,000

Poles for electrical systems > 300 $1,000 for �10 poles and $1,000 for every multiple of 10 poles thereafter

> 300 The greater of: 1. $5,000 2. $0.02/lb

Structural steel

> 3,000 The greater of: 1. $8,000 2. $0.036/lb

> 300 The greater of: 1. $2,000 2. $0.01/sq ft

Structural steel paint

> 3,000 The greater of: 1. $5,000 2. $0.015/sq ft

Check samples > 300 $2,000 > 300 $2,500 High mast poles > 3,000 $5,000 > 300 $5,000 PTFE bearings, � 2 lots > 3,000 $15,000 > 300 $10,000 PTFE bearings, > 2 lots > 3,000 $20,000

aDistance is air-line miles from both Sacramento and Los Angeles to the inspection source.

6-3.05C Material Source Inspection and Testing

Section 6-3.05C applies to a material to be inspected or tested at the source. Request inspection:

1. At least 3 business days before the planned inspection date for a material source within California

2. At least 5 business days before the planned inspection date for a material source outside California but within the U.S.

3. 50 days before the planned production start for a material source outside the U.S. Notify RCTC and Department at least 20 days before the actual start.


For the inspection request form and the procedure for its submittal, go to the METS Web site. Notify the Engineer of each submittal.

6-3.05D Job Site Inspection and Testing

Section 6-3.05D applies if a material is to be inspected or tested at the job site.

The material must be authorized for use before it is incorporated into the work.

6-3.05E Certificates of Compliance

Section 6-3.05E applies (1) where a certificate of compliance is specified and (2) if any material is produced outside the U.S.

Submit a certificate:

1. Before the material is incorporated into the work. 2. For each lot of the material. Identify the lot on the certificate. 3. Signed by the producer of the material and stating that the material complies with

the Contract.

6-3.05F Test Data, Test Reports, and Evaluation Reports

Reserved

6-3.05G Test Samples

Section 6-3.05G applies where a test sample is specified in the Contract Documents or if a test sample is requested.

Notify RCTC 10 days before taking a sample.

Submit material to be tested with a Sample Identification Card. For the card, go to the METS Web site.

Restore work immediately after sampling.

6-3.05H Reserved

6-3.05I Authorized Facility Audit Lists

Section 6-3.05I applies where a facility is specified to be on an Authorized Facility Audit List.

An audit authorized by the Department not more than 3 years before completion of the fabrication process is acceptable if the Department determines the audit was for the same type of work to be performed. For procedures to be included on an Authorized Facility Audit List, go to the METS Web site.


6-3.05J Quality Control Plans


6-3.05K Authorized Material Lists

Section 6-3.05K applies to a material specified to be on an Authorized Material List.

The material must be on an Authorized Material List before it is incorporated into the work.

For procedures to be included on an Authorized Material List, go to the METS Web site.

6-3.05L Authorized Material Source List

Section 6-3.05L applies where a material is specified to be on an Authorized Material Source List.

The material source must be on the Authorized Material Source List before the item from the source is incorporated into the work.

For procedures to be included on an Authorized Material Source List, go to the METS Web site.

6-3.05 GUARANTEE



7 LEGAL RELATIONS AND RESPONSIBILITY TO THE PUBLIC

7-1.01 GENERAL

Section 7 includes specifications regarding your:

1. Compliance with laws 2. Responsibilities for public safety and convenience

7-1.02 LAWS

7-1.02A General

Comply with all Governmental Rules applicable to the Project and Work. Immediately report to RCTC any discrepancy or inconsistency between the Contract Documents and a Governmental Rule.

Immediately notify Engineer if a Governmental Entity requests job site or records access. Submit a list of documents provided to the Governmental Entity and issued enforcement actions.

7-1.02B U.S. Fair Labor Standards Act

Comply with 29 USC § 201 et seq.

7-1.02C Emissions Reduction

Submit to the Department the following certification before performing the work:

I am aware of the emissions reduction regulations being mandated by the California Air Resources Board. I will comply with such regulations before commencing the performance of the work and maintain compliance throughout the duration of this Contract.

Contract signing constitutes submittal of this certification.

7-1.02D–7-1.02H Reserved

7-1.02I Government Code

7-1.02I(1) General

Reserved

7-1.02I(2) Nondiscrimination

Under 2 CA Code Regs §§ 8107 and 8203:

1. During the performance of this contract, Contractor and its Subcontractors shall not unlawfully discriminate against any employee or applicant for employment because of race, religion, color, national origin, ancestry, physical handicap, medical


condition, marital status, age (over 40) or sex. Contractor and its Subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free of such discrimination. Contractor and its Subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code, Section 12900 et seq.) and the applicable regulations promulgated thereunder (Cal. Admin. Code, Tit. 2, Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code, Section 12990, set forth in Chapter 5 of Division 4 of Title 2 of the California Administrative Code are incorporated into this contract by reference and made a part hereof as if set forth in full. Contractor and its Subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement.

2. This Contractor shall include the nondiscrimination and compliance provisions of this clause in all Subcontracts to perform work under the contract.

STANDARD CALIFORNIA NONDISCRIMINATION CONSTRUCTION CONTRACT SPECIFICATIONS (GOV. CODE, SECTION 12990)

These specifications are applicable to all state contractors and Subcontractors having a construction contract or Subcontract of $5,000, or more.

1. As used in the specifications: a. "Administrator" means Administrator, Office of Compliance Programs,

California Department of Fair Employment and Housing, or any person to whom the Administrator delegates authority;

b. "Minority" includes: (i) Black (all persons having primary origins in any of the black racial

groups of Africa, but not of Hispanic origin); (ii) Hispanic (all persons of primary culture or origin in Mexico, Puerto

Rico, Cuba, Central or South America or other Spanish derived culture or origin regardless of race);

(iii) Asian / Pacific Islander (all persons having primary origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent or the Pacific Islands); and

(iv) American Indian / Alaskan Native (all persons having primary origins in any of the original peoples of North America and who maintain culture identification through tribal affiliation or community recognition).

2. Whenever the contractor or any Subcontractor Subcontracts a portion of the work, it shall physically include in each Subcontract of $5,000 or more the nondiscrimination clause in this contract directly or through incorporation by reference. Any Subcontract for work involving a construction trade shall also include the Standard California Construction Contract Specifications, either directly or through incorporation by reference.

3. The contractor shall implement the specific nondiscrimination standards provided in paragraph 6(a) through (e) of these specifications.

4. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the contractor has a collective bargaining agreement, to refer


either minorities or women shall excuse the contractor's obligations under these specifications, Government Code, Section 12990, or the regulations promulgated pursuant thereto.

5. In order for the nonworking training hours of apprentices and trainees to be counted, such apprentices and trainees must be employed by the contractor during the training period, and the contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U.S. Department of Labor or the California Department of Industrial Relations.

6. The contractor shall take specific actions to implement its nondiscrimination program. The evaluation of the contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The contractor must be able to demonstrate fully its efforts under Steps a. through e. below: a. Ensure and maintain a working environment free of harassment,

intimidation, and coercion at all sites, and at all facilities at which the contractor's employees are assigned to work. The contractor, where possible, will assign two or more women to each construction project. The contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the contractor's obligations to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.

b. Provide written notification within seven days to the director of DFEH when the union or unions with which the Contractor has a collective bargaining agreement has not referred to the Contractor a minority person or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations.

c. Disseminate the Contractor's equal employment opportunity policy by providing notice of the policy to unions and training, recruitment and outreach programs and requesting their cooperation in assisting the Contractor to meet its obligations; and by posting the company policy on bulletin boards accessible to all employees at each location where construction work is performed.

d. Ensure all personnel making management and employment decisions regarding hiring, assignment, layoff, termination, conditions of work, training, rates of pay or other employment decisions, including all supervisory personnel, superintendents, general foremen, on-site foremen, etc., are aware of the Contractor's equal employment opportunity policy and obligations, and discharge their responsibilities accordingly.

e. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the equal employment opportunity policy and the Contractor's obligations under these specifications are being carried out.


7. Contractors are encouraged to participate in voluntary associations which assist in fulfilling their equal employment opportunity obligations. The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under these specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the Contractor's minority and female workforce participation, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the Contractor. The obligation to comply, however, is the Contractor's.

8. The Contractor is required to provide equal employment opportunity for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the Contractor may be in violation of the Fair Employment and Housing Act (Gov. Code, Section 12990 et seq.) if a particular group is employed in a substantially disparate manner.

9. Establishment and implementation of a bona fide affirmative action plan pursuant to Section 8104 (b) of this Chapter shall create a rebuttal presumption that a contractor is in compliance with the requirements of Section 12990 of the Government Code and its implementing regulations.

10. The Contractor shall not use the nondiscrimination standards to discriminate against any person because of race, color, religion, sex, national origin, ancestry, physical handicap, medical condition, marital status or age over 40.

11. The Contractor shall not enter into any Subcontract with any person or firm decertified from state contracts pursuant to Government Code Section 12990.

12. The Contractor shall carry out such sanctions and penalties for violation of these specifications and the nondiscrimination clause, including suspension, termination and cancellation of existing Subcontracts as may be imposed or ordered pursuant to Government Code Section 12990 and its implementing regulations by the awarding agency. Any Contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Government Code Section 12990.

13. The Contractor shall designate a responsible official to monitor all employment related activity to ensure that the company equal employment opportunity policy is being carried out, to submit reports relating to the provisions hereof as may be required by OCP and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status, (e.g., mechanic, apprentice trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in any easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records.


7-1.02J Reserved

7-1.02K Labor Code

7-1.02K(1) General

Work on the job site must comply with Labor Code §§ 1727 and 1770–1815 and 8 CA Code of Regs § 16000 et seq. Work includes roadside production and processing of materials.

Payroll records include time cards, cancelled checks, cash receipts, trust fund forms, books, documents, schedules, forms, reports, receipts or other information which reflect job assignments, work schedules by days and hours, and the disbursement of payment to workers (8 CA Code of Regs § 16000).

Contractor shall strictly adhere to Contract Section 7.4 and Contract Appendix 16.

7-1.02K(2) Wages

RCTC obtains the general prevailing rate of wages applicable to the work to be done. The rate includes:

1. Basic hourly rate 2. Employer payments for health and welfare, pension, vacation, apprenticeship

training fees, travel time, and subsistence pay as provided for in Labor Code § 1773.1

3. Similar purposes

The general prevailing wage rates and any applicable changes to these wage rates are available:

1. At the RCTC's Labor Compliance Office 2. From the Department of Industrial Relations' Web site

Post the general prevailing wage rates at a prominent place at the job site (Labor Code § 1773.2).

The wage determinations refer to expiration dates. The determinations with a single asterisk after the expiration date, and in effect on the date of advertisement for bids, are good for the life of the Contract. The determinations with double asterisks after the expiration date indicate the wage rate to be paid for work performed after this date has been determined. If work is to extend past this date, pay the new rate and incorporate it into the Contract. Changes in general prevailing wage determinations apply to the Contract when the Director of Industrial Relations has issued them at least 10 days before advertisement. (Labor Code § 1773.6 and 8 CA Code of Regs 16204)

RCTC does not recognize any claim for additional payment because of a payment by the Contractor of any wage rate in excess of the prevailing wage rate specified in the Contract.


The Contractor and any Subcontractor must forfeit to RCTC not more than $200 per day or part of a day for each worker paid less than the prevailing wage rate and pay the worker the difference between the prevailing wage rate and the rate paid (Labor Code § 1775). The Labor Commissioner determines the amount of this penalty and bases the amount on:

1. Whether the failure to pay the correct prevailing wage rate was a good-faith mistake that the Contractor or Subcontractor promptly and voluntarily corrected upon notice

2. The prior record of the Contractor or Subcontractor in meeting its prevailing wage obligations

3. The Contractor or Subcontractor's willful failure to pay the correct rate of prevailing wages

If a worker employed by a Subcontractor on a public works project is not paid the general prevailing per diem wages by the Subcontractor, the Contractor is not liable for the penalties described in section 7-1.02K(2) unless the Contractor had knowledge of the failure to pay the correct general prevailing per diem wages or unless the Contractor fails to comply with the following requirements (Labor Code § 1775):

1. The contract executed between the Contractor and the Subcontractor for the performance of work on the public works project must include a copy of the requirements in Labor Code §§ 1771, 1775, 1776, 1777.5, 1813 and 1815.

2. The Contractor must monitor the payment of the specified general prevailing rate of per diem wages by periodic review of the certified payroll records of the Subcontractor.

3. Upon becoming aware of the Subcontractor's failure to pay the specified prevailing rate of wages to the Subcontractor's workers, the Contractor must diligently take corrective action to stop or rectify the failure, including withholding sufficient funds due the Subcontractor for work performed on the public works project.

4. Before making final payment to the Subcontractor for work performed on the public works project, the Contractor must obtain an affidavit signed under penalty of perjury from the Subcontractor that the Subcontractor has paid the specified general prevailing rate of per diem wages to its employees on the public works project and any amounts due under Labor Code § 1813.

Under Labor Code § 1775, RCTC must notify the contractor on a public works project within 15 days of receipt by RCTC of a complaint of the failure of a Subcontractor on that public works project to pay workers the general prevailing rate of per diem wages.

7-1.02K(3) Certified Payroll Records (Labor Code § 1776)

Keep accurate payroll records.

Submit a copy of payrolls, weekly, including those of Subcontractors. Include:

1. Each employee's: 1.1. Full name 1.2. Address 1.3. Social security number


1.4. Work classification 1.5. Straight time and overtime hours worked each day and week 1.6. Actual wages paid for each day to each:

1.6.1. Journeyman 1.6.2. Apprentice 1.6.3. Worker 1.6.4. Other employee you employ for the work

1.7. Pay rate 1.8. Itemized deductions made 1.9. Check number issued

2. Apprentices and the apprentice-to-journeyman ratio

The employee's address and social security number are only required on the 1st record on which that name appears.

Each certified payroll record must include a Statement of Compliance signed under penalty of perjury that declares:

1. The information contained in the payroll record is true, correct, and complete 2. The employer has complied with the requirements of sections 1771, 1811, and 1815

for any work performed by his or her employees on the public works project 3. The wage rates paid are at least those required by the Contract

RCTC allows the use of a form with identical wording as the Statement of Compliance form provided by the Department.

Make certified payroll records available for inspection at all reasonable hours at your main office on the following basis:

1. Upon the employee's request or upon request of the employee's authorized representative, make available for inspection a certified copy of the employee's payroll record.

2. Refer the public's requests for certified payroll records to the Department. Upon the public's request, the Department makes available for inspection or furnishes copies of your certified payroll records. Do not give the public access to the records at your main office.

Make all payroll records available for inspection and copying or furnish a copy upon request of a representative of the:

1. RCTC 2. Division of Labor Standards Enforcement of the Department of Industrial Relations 3. Division of Apprenticeship Standards of the Department of Industrial Relations

Furnish RCTC the location of the records. Include the street address, city, and county. Furnish RCTC a notification of a location and address change within 5 business days of the change.


Comply with a request for the records within 10 days after you receive a written request. If you do not comply within this period, RCTC withholds from progress payments a $100 penalty for each day or part of a day for each worker until you comply. You are not assessed this penalty for a Subcontractor's failure to comply with Labor Code § 1776.

RCTC withholds from progress payments for delinquent or inadequate payroll records (Labor Code § 1771.5). If you have not submitted an adequate payroll record by the month's 15th day for the period ending on or before the 1st of that month, RCTC withholds 10 percent of the monthly progress estimate, exclusive of mobilization. RCTC does not withhold more than $10,000 or less than $1,000.

7-1.02K(4) Apprentices

Comply with the apprentice to journeyman ratio requirements (Labor Code § 1777.5(g)).

Comply with the training contribution requirements (Labor Code § 1777.5(m)(1)).

For answers to questions, contact the Division of Apprenticeship Standards before starting Contract work.

RCTC deducts from progress payments civil penalties assessed by the Chief of the Division of Apprenticeship Standards for violating Labor Code § 1777.5 (Labor Code § 1777.7).

7-1.02K(5) Working Hours

Eight hours is a legal day's work (Labor Code § 1810).

The time of service of any worker employed on public work is limited and restricted to 8 hours in 1 day and 40 hours in 1 calendar week, except as provided by Labor Code § 1815 (Labor Code § 1811).

A contractor's employee may work more than 8 hours per day and 40 hours per week if the Contractor pays the employee 1-1/2 times the basic pay rate for the hours worked in excess of 8 hours per day (Labor Code § 1815).

For each worker employed in the work for each day the worker works more than 8 hours in 1 day and 40 hours in 1 calendar week, RCTC deducts $25 as a penalty for violating Labor Code §§ 1810– 1815 (Labor Code § 1813).

7-1.02K(6) Occupational Safety and Health Standards

7-1.02K(6)(a) General

Comply with applicable occupational safety and health standards, rules, regulations, and orders. The Occupational Safety and Health Standards Board is the only agency authorized in the State to adopt and enforce occupational safety and health standards (Labor Code § 142 et seq.).


You are the controlling employer and must ensure hazardous conditions are corrected (Labor Code § 6400).

The Engineer may notify Cal/OSHA if you fail to establish or maintain a safe and healthful workplace.

Submit copies of your Injury and Illness Prevention Program and permits required by Cal/OSHA. The program must address the use of personal and company-issued electronic devices during work. Do not allow the use of entertainment and personal communication devices in the work zone. Workers may use a communication device for business purposes in the work area, at a location where their safety and the safety of other workers and the traveling public is not compromised.

7-1.02K(6)(b) Excavation Safety

Comply with Labor Code § 6705 while excavating. For an excavation 5 feet or more in depth, submit shop drawings for a protective system.

The drawings must show the design and details for providing worker protection from caving ground during excavation.

Drawing Review Time and Contents Plan not requiring a signature Plan requiring a

signature Review time

5 business days before excavating

10 days before excavating

Contents Drawings Calculations Material information Proprietary system information

Drawings Calculations Material information Proprietary system information Soil classification Soil properties Soil design calculations

7-1.02K(6)(c) Tunnel Safety

Cal/OSHA classifies tunnels into one of the following classifications:

1. Nongassy 2. Potentially gassy 3. Gassy 4. Extrahazardous

If a tunnel location is described in the Contract Documents, the classification is included in the Information Handout and you must:

1. Designate an on-site Safety Representative under 8 CA Code of Regs § 8406


2. Submit the name of your on-site Safety Representative at least 7 days before starting work at each tunnel

3. Prominently post a notice at the job site of: 3.1. Tunnel classifications 3.2. Any special orders, rules, special conditions, or regulations related to tunnel

work 4. Ensure your workers are informed of these classifications

Notify the Engineer at least 20 days before a worker enters a tunnel not described in the Contract Documents. RCTC obtains the classification of the tunnel. RCTC may suspend the work because of a change directly resulting from the Contractor's planned activities that causes activities to fall under the Tunnel Safety Orders of 8 CA Code of Regs § 8422.

7-1.02K(6)(d) Confined Space Safety

Comply with 8 CA Code of Regs § 5158 while working in a confined space

7-1.02K(6)(e)–7-1.02K(6)(i) Reserved

7-1.02K(6)(j) Lead Safety

7-1.02K(6)(j)(i) General

Reserved

7-1.02K(6)(j)(ii) Lead Compliance Plan

Section 7-1.02K(6)(j) applies for the lead compliance plan.

Regulations containing specific Cal/OSHA requirements when working with lead include 8 CA Code of Regs § 1532.1.

Submit a plan:

1. That documents your compliance program to prevent or minimize worker exposure to lead

2. Including the items listed in 8 CA Code of Regs § 1532.1(e)(2)(B) 3. Signed and sealed by a CIH

Allow 7 days for the Engineer's review. Obtain authorization for the plan before starting any activity that presents the potential for lead exposure.

Before starting any activity that presents the potential for lead exposure to employees who have no prior training, including State employees, provide a safety training program to these employees that complies with 8 CA Code of Regs § 1532.1 and your lead compliance plan.


Submit copies of air monitoring or job site inspection reports made by or under the direction of the CIH under 8 CA Code of Regs § 1532.1 within 10 days after the date of monitoring or inspection.

Supply personal protective equipment, training, and washing facilities required by your lead compliance plan for 5 State employees.

7-1.02K(6)(j)(iii–viii) Reserved

7-1.02K(6)(k)–7-1.02K(6)(t) Reserved

7-1.02L Public Contract Code

7-1.02L(1) General

Reserved

7-1.02L(2) Antitrust Claims

In entering into a public works contract or a Subcontract to supply goods, services, or materials pursuant to a public works contract, the Contractor or Subcontractor offers and agrees to assign to the awarding body all rights, title, and interest in and to all causes of action it may have under section 4 of the Clayton Act (15 U.S.C. Sec. 15) or under the Cartwright Act (Chapter 2 (commencing with § 16700) of Part 2 of Division 7 of the Business and Professions Code), arising from purchases of goods, services, or materials pursuant to the public works contract or the Subcontract. This assignment shall be made and become effective at the time the awarding body tenders final payment to the Contractor, without further acknowledgment by the parties. [Pub Cont Code § 7103.5 (b)]

7-1.02M Public Resources Code

7-1.02M(1) General

Reserved

7-1.02M(2) Reserved

7-1.02M(3) Surface Mining and Reclamation Act

Imported borrow or aggregate material must come from a surface mine permitted under the Surface Mining and Reclamation Act of 1975, Pub Res Code § 2710 et seq., or from a source not subject to this act.

For the list of permitted sites, go to the Department of Conservation, Office of Mine Reclamation Web site.

If you import borrow or aggregate material from a surface mine not on this list, submit proof that the source is not subject to this act.


7-1.02M(2)–7-1.02M(7) Reserved

7-1.02N Reserved

7-1.02O Vehicle Code

Under Veh Code § 591, RCTC and Department determines areas within the project limits are open to public traffic. For those areas, comply with the requirements set forth in Divisions 11, 12, 13, 14 and 15 of the Veh Code.

Veh Code § 591 does not relieve you or any other person from the duty of exercising due care.

7-1.02P–7-1.02Q Reserved

7-1.02R Environmental Stewardship

Comply with section 14.

7-1.02S–7-1.02Z Reserved

7-1.03 PUBLIC CONVENIENCE

Compliance with Section 7-1.03 does not relieve you of your responsibility for public safety.

Construction activities must not inconvenience the public or abutting property owners. Coordinate construction activities affecting property owners with 14 days prior to any impact to the property owners, and provide property owner the time and duration of impact, potential alternative access routes, and other information appropriate for the impact. Schedule and conduct work to avoid unnecessary inconvenience to the public and abutting property owners. Avoid undue delay in construction activities to reduce the public's exposure to construction.

Where possible, route traffic on new or existing paved surfaces.

Maintain convenient access to driveways, houses, and buildings. When the abutting property owner's access across the right of way line is to be eliminated or replaced for the Project, the existing access must not be closed until the replacement access facility is usable. Construct temporary approaches to crossings and an intersecting highway.

Cover signs that regulate or direct traffic to areas not open to the public.

Provide a reasonably smooth and even surface for use by pedestrian, bicycle and motor vehicle traffic at all time during the Project. Before grading activities, place fill at culverts and bridges to allow traffic to cross. If ordered by RCTC, excavate a roadway cut in layers and construct an embankment in partial widths at a time alternating construction from one side to the other and routing traffic over the side opposite the one under construction. Install or construct culverts on only 1/2 the width of the traveled way at a


time; keep the traveled way portion being used by traffic open and unobstructed until the opposite side of the traveled way is ready for use by traffic.

Upon completion of rough grading or placing any subsequent layer, bring the surface of the roadbed to a smooth and even condition, free of humps and depressions, and satisfactory for the use of the public.

After subgrade preparation for a specified layer of material has been completed, repair any damage to the roadbed or completed subgrade, including damage caused by public use.

While subgrade and paving activities are underway, allow the public to use the shoulders. If half-width paving methods are used, allow the public to use the side of the roadbed opposite the one under construction. If enough width is available, keep open a passageway wide enough to accommodate at least 2 lanes of traffic at locations where subgrade and paving activities are underway. Shape shoulders or reshape subgrade as necessary to accommodate traffic during subgrade preparation and paving activities.

Apply water or dust palliative for the prevention or alleviation of dust nuisance.

Install signs, lights, flares, Type K temporary railing, barricades and other facilities to direct traffic. Provide flaggers whenever necessary to direct the movement of the public through or around the work.

7-1.04 PUBLIC SAFETY

You are responsible to provide for public safety.

Do not construct a temporary facility that interferes with the safe passage of traffic.

Control dust resulting from the work, inside and outside the right-of-way.

Move workers, equipment, and materials without endangering traffic.

Whenever your operations create a condition hazardous to the public, furnish, erect and maintain those fences, temporary railing, barricades, lights, signs, and other devices and take any other necessary protective measures to prevent damage or injury to the public.

Any fences, temporary railing, barricades, lights, signs, or other devices furnished, erected and maintained by you are in addition to those for which payment is provided elsewhere in the specifications.

Provide flaggers whenever necessary to ensure that the public is given safe guidance through the work zone. At locations where traffic is being routed through construction under one-way controls, move your equipment in compliance with the one-way controls unless otherwise ordered.

Use of signs, lights, flags, or other protective devices must comply with the California MUTCD and any directions of the Engineer. Signs, lights, flags or other protective


devices must not obscure the visibility of, nor conflict in intent, meaning, and function of either existing signs, lights and traffic control devices, or any construction area signs.

Keep existing traffic signals and highway lighting in operation. Other forces within the Department will perform routine maintenance of these facilities during the work.

Cover signs that direct traffic to a closed area. Except for work specified in section 12, maintaining, and removing the covers on construction area signs is change order work.

Install temporary illumination in a manner such that the illumination and the illumination equipment does not interfere with public safety. The installation of general roadway illumination does not relieve you from furnishing and maintaining any protective devices.

Equipment must enter and leave the highway via existing ramps and crossovers and must move in the direction of traffic. All movements of workmen and construction equipment on or across lanes open to traffic must be performed in a manner that do not endanger the public. Your vehicles or other mobile equipment leaving an open traffic lane to enter the construction area must slow down gradually in advance of the location of the turnoff to give the traffic following an opportunity to slow down. When leaving a work area and entering a roadway carrying traffic, your vehicles and equipment must yield to traffic.

Immediately remove hauling spillage from a roadway lane or shoulder open to traffic. When hauling on roadways, trim loads and remove material from shelf areas to minimize spillage.

Notify the Engineer not less than 20 days and not more than 90 days before the anticipated start of an activity that will change the vertical or horizontal clearance available to traffic, including shoulders.

If vertical clearance is temporarily reduced to 15.5 feet or less, place low clearance warning signs in compliance with the California MUTCD and any directions of the Engineer. Signs must comply with the dimensions, color, and legend requirements of the California MUTCD and section 12-3.06 except that the signs must have black letters and numbers on an orange retroreflective background. W12-2P signs must be illuminated so that the signs are clearly visible.

Pave or provide full width continuous and cleared wood walks for pedestrian openings through falsework. Protect pedestrians from falling objects and concrete-curing water. Extend overhead protection for pedestrians at least 4 feet beyond the edge of the bridge deck. Illuminate all pedestrian openings through falsework. Temporary pedestrian facilities must comply with the California MUTCD, Part 6, Chapter 6D, "Pedestrian and Worker Safety."

Do not store vehicles, material, or equipment in a way that:

1. Creates a hazard to the public 2. Obstructs traffic control devices


Do not install or place temporary facilities used to perform the work which interfere with the free and safe passage of traffic.

If you appear to be neglectful or negligent in furnishing warning devices and taking protective measures, the Engineer may direct your attention to the existence of a hazard. You must furnish and install the necessary warning devices. If the Engineer points out the inadequacy of warning devices and protective measures, that action on the part of the Engineer does not relieve you from your responsibility for public safety or abrogate your obligation to furnish and pay for these devices and measures.

Install Type K temporary railing or other authorized protective systems under any of the following conditions:

1. Excavations: Where the near edge of the excavation is within 15 feet from the edge of an open traffic lane

2. Temporarily unprotected permanent obstacles: When the work includes the installation of a fixed obstacle together with a protective system, such as a sign structure together with protective railing, and you elect to install the obstacle before installing the protective system; or you, for your convenience and as authorized, remove a portion of an existing protective railing at an obstacle and do not replace such railing completely the same day

3. Storage areas: When material or equipment is stored within 15 feet of the edge of an open traffic lane and the storage is not otherwise prohibited by the Contract

4. Height differentials: When construction operations create a height differential greater than 0.15 feet within 15 feet of the edge of traffic lane

Installation of Type K temporary railing is not required if an excavation within 15 feet from the edge of an open traffic lane is protected by any of the following:

1. Steel plate or concrete covers of adequate thickness to prevent accidental entry by traffic or the public

2. Side slope where the downhill slope is 4:1 (horizontal:vertical) or less unless a naturally occurring condition

3. Barrier or railing

Offset the approach end of Type K temporary railing a minimum of 15 feet from the edge of an open traffic lane. Install the temporary railing on a skew toward the edge of the traffic lane of not more than 1 foot transversely to 10 feet longitudinally with respect to the edge of the traffic lane. If the 15-foot minimum offset cannot be achieved, the temporary railing must be installed on the 10 to 1 skew to obtain the maximum available offset between the approach end of the railing and the edge of the traffic lane, and an array of temporary crash cushion modules must be installed at the approach end of the temporary railing.

Secure Type K temporary railing in place with pins before starting work for which the temporary railing is required.


Where 2 or more lanes in the same direction are adjacent to the area where the work is being performed, including shoulders, the adjacent lane must be closed under any of the following conditions:

1. Work is off the traveled way but within 6 feet of the edge of the traveled way, and the approach speed is greater than 45 miles per hour

2. Work is off the traveled way but within 3 feet of the edge of the traveled way, and the approach speed is less than 45 miles per hour

Closure of the adjacent traffic lane is not required when performing any of the following:

1. Working behind a barrier 2. Paving, grinding, or grooving 3. Installing, maintaining, or removing traffic control devices except Type K temporary

railing

Do not reduce an open traffic lane width to less than 10 feet. When traffic cones or delineators are used for temporary edge delineation, the side of the base of the cones or delineators nearest to traffic is considered the edge of the traveled way.

If a traffic lane is closed with channelizers for excavation work, move the devices to the adjacent edge of the traveled way when not excavating. Space the devices as specified for the lane closure.

Do not move or temporarily suspend anything over a traffic lane open to the public unless the public is protected.

7-1.05 INDEMNIFICATION


7-1.06 INSURANCE


7-1.07 LEGAL ACTIONS AGAINST THE DEPARTMENT

7-1.07A General


7-1.07B Seal Coat Claims

Pay for claims for personal property damage caused by screening and bituminous binder. Seal coat claims are limited to:

1. 0.1 percent of the Contract Price 2. Damage occurring between the 1st day of screening spreading and 4 days after the

last day of screening spreading for each seal coat location

Within 30 days of the last screening spreading, do the following:


1. Process and resolve all claims reported or submitted to you by the public as follows: 1.1. Within 3 business days of receipt of a claim, submit to RCTC a copy of the

claim, a written analysis of the claim, and a statement indicating whether or not you will pay the claim. If you reject a claim, provide the reasons for rejection in writing.

1.2. If the claimant becomes dissatisfied with your handling of the claim, immediately refer the claimant to the local district claims office for assistance in resolving the claim.

2. Submit to RCTC evidence of your paid claims.

All claims presented to RCTC, any district claims office, or the State Board of Control (Govt Code § 900 et seq.) are processed and resolved by RCTC as follows:

1. The claims are processed as formal government claims subject to all laws and policies and are resolved as RCTC determines including referring the claim to you for handling.

2. If RCTC or the State Board of Control approves settlement of a claim or is ordered to pay pursuant to a court order, the claim is paid from funds withheld from you.

3. Within 3 business days of RCTC’s determination that you are responsible for resolving the claim, RCTC sends a copy of the claim to you for resolution or notifies you of RCTC’s decision to resolve the claim.

RCTC withholds an amount not to exceed 0.1 percent of the Contract Price to resolve all claims. The amount is held no longer than 60 days following the last spreading of screenings so that RCTC has ample time to resolve any pending claims. After 60 days, any remaining amount withheld is returned to you.

If no withheld funds remain or have been returned, RCTC may pay any claims and seek reimbursement from you through an offset or any other legal means. Any reimbursement or offset to be recovered from you, including all other paid claims, is limited to 0.1 percent of the Contract Price.

Section 7-1.07B does not limit your obligation to defend and indemnify the Department.

7-1.08 PERSONAL LIABILITY


7-1.09–7-1.10 RESERVED

7-1.11 FEDERAL LAWS FOR FEDERAL-AID CONTRACTS



8 PROSECUTION AND PROGRESS

8-1.01 GENERAL

Section 8 includes specifications related to prosecuting the Contract and Contract progress.

8-1.02 SCHEDULE


8-1.03 PRECONSTRUCTION CONFERENCE

Attend a preconstruction conference with key personnel, including your assigned representative, at a time and location determined by RCTC. Submit documents as required before the preconstruction conference. You may begin work before the preconstruction conference. Be prepared to discuss the following topics and documents:

Topics Document Claim resolution [Guidance from Construction

required.] Contractor's representation

Assignment of Contractor's representative

DBE Final utilization reports Equipment Equipment list Labor compliance and equal employment opportunity

Job site posters and benefit and payroll reports

Material inspection Notice of Materials to be Used Materials on hand Request for Payment for

Materials on Hand Measurements -- Partnering -- Quality control QC plans Safety Injury and Illness Prevention

Program and job site posters Schedule Baseline schedule and Weekly

Statement of Working Days Subcontracting Subcontracting Request Surveying Survey Request Traffic control Traffic contingency plan and

traffic control plans Utility work -- Weight limitations -- Water Pollution Control SWPPP or WPCP Work restrictions PLACs Action submittals --

8-1.04 START OF JOB SITE ACTIVITIES



8-1.05 TIME


8-1.06 SUSPENSIONS


8-1.07 DELAYS


8-1.08–8-1.09 RESERVED

8-1.10 LIQUIDATED DAMAGES


8-1.11–8-1.12 RESERVED

8-1.13 CONTRACTOR'S CONTROL TERMINATION


8-1.14 CONTRACT TERMINATION


8-1.15–8-1.16 RESERVED


9 PAYMENT

9-1.01 GENERAL

Section 9 includes specifications related to work payment.

9-1.02 MEASUREMENT

9-1.02A General

RCTC determines unit-priced quantities under U.S. customary units.

9-1.02B Weighing Equipment and Procedures

9-1.02B(1) General

Measure material quantities for payment with devices that comply with:

1. 4 CA Code of Regs § 4000 et seq. 2. Bus & Prof Code § 12001 et seq.

To determine the material payment quantities, use measuring devices that have been sealed by the Department of Food and Agriculture's Division of Measurement Standards or its designated representative.

If a device is not type approved by the Division of Measurement Standards, type approve it under California Test 109.

Notify the Engineer at least 1 business day in advance of equipment testing.

Use material plant controllers having elements affecting the data accuracy and delivery that have been sealed by the Engineer. Make these elements available to the Engineer for inspection. If the elements are adequate for use, the Engineer seals them. If security seal manipulation occurs, stop material production. Do not resume production until the Engineer reinspects and reseals the device.

Measure material paid for by weight onsealed scales regularly inspected by the Department of Food and Agriculture's Division of Measurement Standards or its designated representative.

Obtain authorization of portable vehicle scale installations before sealing.

9-1.02B(2) Equipment

Each scale must be long enough to fit an entire vehicle or a combination vehicle on the scale deck. RCTC allows you to weigh a combination vehicle separately if you disconnect the vehicles.

Construct scale undersupports:


1. Using portland cement concrete containing at least 470 pounds of cement per cubic yard produced from commercial quality materials

2. Such that footing heights are at least 20 inches thick 3. With a bearing surface at least 30 inches wide and bearing pressure on the footing

not over 4000 lb/sq ft

In constructing a scale: 1. Furnish drainage to prevent water from saturating the ground under the scale 2. Use bulkheads that prevent displacement 3. If shimming is necessary:

3.1. Use securely attached metal shims or grout 3.2 Do not use wedges to shim the supports 3.3. Do not use shim material in excess of 3 inches

4. Install mechanical indicating elements level, plumb, and rigidly mounted on the concrete undersupports

5. For a hopper scale, rigidly attach hopper scale lever systems and mechanical indicating elements so no weight is lost from bending or support distortion

Each scale used to determine material payment quantities must be operated by a licensed weighmaster (Bus & Prof Code § 12700 et seq.).

Submit a public weighmaster's certificate or certified daily summary weigh sheets for each weighed material quantity. The Department may witness material weighing and check and compile the daily scale weight record.

Each vehicle operator must obtain weight or load slips from the weighmaster. Submit these records at the delivery point.

9-1.02B(3) Procedures

Weigh empty vehicles used to haul material paid for by weight daily. Each vehicle must have a legible identification mark. RCTC may verify material weight by having an empty and loaded vehicle weighed on any scale the Engineer designates.

If imported topsoil, soil amendment, or mulch is measured by volume:

1. Each vehicle must allow for an accurate contents determination 2. Unless vehicles are of uniform capacity, each vehicle must have a legible

identification mark showing its volume capacity 3. Load vehicles to at least the volume capacity 4. Level vehicle loads on arrival at the delivery point

If determining a quantity paid on a volume basis is impractical or if you request and the request is authorized, weigh the material and the Engineer converts the result to a volume measurement. The Engineer determines the conversion factors and, if you agree, adopts this method of measurement.


9-1.02C Final Pay Item Quantities


9-1.02D Quantities of Aggregate and Other Roadway Materials

The Engineer determines the weight of aggregate and other roadway material that are being paid for by weight as shown in the following table and does not include the deducted weight of water in their payment quantities:

Determination of Quantities of Aggregate and Other Roadway Materials Material Quantity determination

Aggregate or other roadway material except as otherwise shown in this table

By deducting the weight of water in the materiala in excess of 3 percent of the dry weight of the material from the weight of the material

Imported borrow, imported topsoil, aggregate subbase

By deducting the weight of water in the materiala in excess of 6 percent of the dry weight of the material from the weight of the material

Straw By deducting the weight of water in the materiala in excess of 15 percent of the dry weight of the material from the weight of the material

Fiberb Engineer does not deduct the weight of water Aggregate base and aggregate for cement treated bases

As specified in section 26 and section 27

NOTE: Percentage of water is determined by California Test 226. aAt the time of weighing bWeight of water in the fibera must not exceed 15 percent of the dry weight of the fiber.

9-1.03 PAYMENT SCOPE


9-1.04 FORCE ACCOUNT

9-1.04A General

For work paid by force account, the Engineer compares RCTC's records to your daily force account work report. When you and the Engineer agree on the contents of the daily force account work reports, the Engineer accepts the report and RCTC pays for the work. If the records differ, RCTC pays for the work based only on the information shown on RCTC's records.

If a subcontractor performs work at force account, accept an additional five (5) percent markup to the total cost of the work paid at force account, including markups specified in section 9-1.04, as reimbursement for additional administrative costs.

The markups specified in labor, materials, and equipment include compensation for any delay costs, overhead costs, and profit which are compensable under the Contract.

If an item's unit price is adjusted for work-character changes, RCTC excludes your cost of determining the adjustment.


Payment for owner-operated labor and equipment is made at the market-priced invoice submitted.

For design work, the cost of labor for non-construction-related work (including design, surveying, utility coordination, permits, professional environmental services and similar aspects of the Work), whether provided by Contractor or a Subcontractor, will equal the sum of (1) actual wages (i.e. the base wage paid to the employee exclusive of fringe benefits), plus (2) a labor surcharge of 150% on such amount, which shall constitute full compensation for all state and federal payroll, unemployment and other taxes, workers’ compensation, fringe benefits (including health insurance, retirement plans, vacation, sick leave and bonuses) and all other payments made to, or on behalf of, the workers, in excess of actual wages, as well as for overhead.

For construction work, the markups set forth below, together with any additional field office and jobsite overhead costs allowable under Contract Section 13.5.2 constitutes full compensation for all overhead costs for Work performed on a force account basis as well as for profit thereon. These overhead costs are deemed to include all items of expense not specifically designated herein. The total payment made as provided herein is deemed to be the actual cost of the Work performed on a force account basis, and constitutes full compensation therefor.

9-1.04B Labor (Construction Work)

Labor payment is full compensation for the cost of labor used in the direct performance of the work plus a 35 percent markup. Force account labor payment consists of:

1. Employer payment to the worker for: 1.1. Basic hourly wage 1.2. Health and welfare 1.3. Pension 1.4. Vacation 1.5. Training 1.6. Other State and federal recognized fringe benefit payments

2. Labor surcharge percentage in Labor Surcharge and Equipment Rental Rates current during the work paid at force account for: 2.1. Workers' compensation insurance 2.2. Social security 2.3. Medicare 2.4. Federal unemployment insurance 2.5. State unemployment insurance 2.6. State training taxes

3. Subsistence and travel allowances paid to craft personnel 4. Employer payment to supervisors, if authorized

The 35 percent markup consists of payment for all overhead costs related to labor but not designated as costs of labor used in the direct performance of the work including:

1. Home office overhead 2. Field office overhead (including superintendent/general foreman)


3. Bond and insurance costs 4. Profit 5. Labor liability insurance 6. Other fixed or administrative costs that are not costs of labor used in the direct

performance of the work

9-1.04C Materials

Material payment is full compensation for materials you furnish and use in the work. The Engineer determines the cost based on the material purchase price, including delivery charges, except:

1. A 15 percent markup is added 2. Supplier discounts are subtracted whether you took them or not 3. If the Engineer believes the material purchase prices are excessive, the Department

pays the lowest current wholesale price for a similar material quantity 4. If you procured the materials from a source you wholly or partially own, the

determined cost is based on the lower of the: 4.1. Price paid by the purchaser for similar materials from that source on Contract

items 4.2. Current wholesale price for those materials

5. If you do not submit a material cost record within 30 days of billing, the determined cost is based on the lowest wholesale price: 5.1. During that period 5.2. In the quantities used

9-1.04D Equipment Rental

9-1.04D(1) General

Equipment rental payment is full compensation for:

1. Rental equipment costs, including moving rental equipment to and from the change order work site using its own power.

2. Transport equipment costs for rental equipment that cannot be transported economically using its own power. No payment is made during transport for the transported equipment.

3. 15 percent markup.

If you want to return the equipment to a location other than its original location, the payment to move the equipment must not exceed the cost of returning the equipment to its original location. If you use the equipment for work other than work paid by force account, the transportation cost is included in the other work.

Before moving or loading the equipment, obtain authorization for the equipment rental's original location.

The Engineer determines rental costs: 1. Using rates in Labor Surcharge and Equipment Rental Rates:


1.1. By classifying equipment using manufacturer's ratings and manufacturer-approved changes.

1.2. Current during the work paid by force account. 1.3. Regardless of equipment ownership; but the Department uses the rental

document rates or minimum rental cost terms if: 1.3.1. Rented from equipment business you do not own. 1.3.2. The Labor Surcharge and Equipment Rental Rates hourly rate is $10.00

per hour or less. 2. Using rates established by the Engineer for equipment not listed in Labor Surcharge

and Equipment Rental Rates. You may submit cost information that helps the Engineer establish the rental rate; but the Department uses the rental document rates or minimum rental cost terms if: 2.1. Rented from equipment business you do not own. 2.2. The Engineer establishes a rate of $10.00 per hour or less.

3. Using rates for transport equipment not exceeding the hourly rates charged by established haulers.

Equipment rental rates include the cost of:

1. Fuel 7. Repairs and maintenance 2. Oil 8. Depreciation 3. Lubrication 9. Storage 4. Supplies 10. Insurance 5. Small tools that are not consumed

by use 11. Incidentals

6. Necessary attachments

The Engineer may authorize rates in excess of those in the Labor Surcharge and Equipment Rental Rates if:

1. You submit a request to use rented equipment 2 Equipment is not available from your normal sources or from one of your

Subcontractors 3. Rented equipment is from an independent rental company 4. Proposed equipment rental rate is reasonable 5. The Engineer authorizes the equipment source and the rental rate before you use

the equipment

RCTC pays for fuel consumed during the operation of rented equipment not included in the invoiced rental rates.

9-1.04D(2) Equipment On the Job Site

For equipment on the job site at the time required to perform work paid by force account, the time paid is the time:

1. To move the equipment to the location of work paid by force account plus an equal amount of time to move the equipment to another location on the job site when the work paid by force account is completed


2. To load and unload equipment 3. Equipment is operated to perform work paid by force account and:

3.1. Hourly rates are paid in 1/2-hour increments 3.2 Daily rates are paid in 1/2-day increments

9-1.04D(3) Equipment Not On the Job Site Required for Original-Contract Work

For equipment not on the job site at the time required to perform work paid by force account and required for original Contract work, the time paid is the time the equipment is operated to perform work paid by force account and the time to move the equipment to a location on the job site when the work paid by force account is completed.

The minimum total time paid is:

1. 1 day if daily rates are paid 2. 8 hours if hourly rates are paid

If daily rates are recorded, equipment:

1. Idled is paid as 1/2 day 2. Operated 4 hours or less is paid as 1/2 day 3. Operated 4 hours or more is paid as 1 day

If the minimum total time exceeds 8 hours and if hourly rates are listed, the Department rounds up hours operated to the nearest 1/2-hour increment and pays based on the hours shown the following table. The table does not apply when equipment is not operated due to breakdowns, in which case rental hours are the hours the equipment was operated.

Equipment Rental Hours Hours operated Hours paid

0.0 4.00 0.5 4.25 1.0 4.50 1.5 4.75 2.0 5.00 2.5 5.25 3.0 5.50 3.5 5.75 4.0 6.00 4.5 6.25 5.0 6.50 5.5 6.75 6.0 7.00 6.5 7.25 7.0 7.5 7.5 7.75 �8.0 hours used


9-1.04D(4) Equipment Not On the Job Site Not Required for Original-Contract Work

For equipment not on the job site at the time required to perform work paid by force account and not required for original-Contract work, the time paid is the time:

1. To move the equipment to the location of work paid by force account plus an equal amount of time to return the equipment to its source when the work paid by force account is completed

2. To load and unload equipment 3. Equipment is operated to perform work paid by force account

9-1.04D(5) Non-Owner-Operated Dump Truck Rental

Submit the rental rate for non-owner-operated dump truck rental. The Engineer determines the payment rate. Payment for non-owner-operated dump truck rental is for the cost of renting a dump truck, including its driver. For the purpose of markup payment only, the non-owner-operated dump truck is rental equipment and the owner is a Subcontractor.

9-1.04D(6) Records

Maintain records in such a manner as to provide a clear distinction between the direct costs of extra Work paid for on a force account basis and the costs of other operations. Records must provide all other information required under the Contract Documents.

From the above records, furnish RCTC completed daily extra work reports, either on forms furnished by RCTC or on computerized facsimiles of the RCTC's forms acceptable to the RCTC, for each day's extra Work to be paid for on a force account basis. Itemize the materials used on the daily extra work reports, and covering the direct cost of labor and the charges for equipment rental, whether furnished by Contractor, Subcontractor or other forces, except for charges described in Section 9-1.05, "Extra Work Performed by Specialists." Provide names or identifications and classifications of workers, the hourly rate of pay and hours worked, and also the size, type and identification number of equipment, and hours operated in the daily extra work reports.

Substantiate material charges by valid copies of vendor's invoices. Submit the invoices with the daily extra work reports, or if not available, submit the invoices with subsequent daily extra work reports. Should the vendor's invoices not be submitted within 60 days after the date of delivery of the material or within 15 days after the acceptance of the contract, whichever occurs first, RCTC reserves the right to establish the cost of the materials at the lowest current wholesale prices at which those materials were available in the quantities concerned delivered to the location of Work less any discounts as provided in Section 9-1.04C.

Daily extra work reports must be signed by Contractor or the Contractor's authorized representative.


RCTC will compare the RCTC's records with the completed daily extra work reports furnished by the Contractor and make any necessary adjustments. When these daily extra work reports are agreed upon and signed by both parties, the reports will become the basis of payment for the Work performed, but do not preclude subsequent adjustment based on a later audit by the RCTC or Caltrans.

The Contractor's cost records pertaining to Work paid for on a force account basis is open to inspection or audit by representatives of the RCTC or Caltrans, during the life of the contract and for a period of not less than 5 years after the date of acceptance thereof, and the Contractor must retain those records for that period. Where payment for materials or labor is based on the cost thereof to forces other than the Contractor, the Contractor must make every reasonable effort to ensure that the cost records of those other forces are open to inspection and audit by representatives of the RCTC or Caltrans on the same terms and conditions as the cost records of the Contractor. If an audit is to be commenced more than 60 days after the final acceptance date of the contract, the Contractor will be given a reasonable notice of the time when the audit is to begin.

9-1.05 EXTRA WORK PERFORMED BY SPECIALISTS

If the Engineer determines that you or your Subcontractors are not capable of performing specialty extra work, a specialist may be used. Itemize the labor, material, and equipment rental costs unless it is not the special service industry's established practice to provide itemization, in which case, the Engineer accepts current market-priced invoices for the work.

The Engineer may accept an invoice as a specialist billing for work performed at an off–job site manufacturing plant or machine shop.

The Engineer determines the cost based on the specialist invoice price minus any available or offered discounts plus a 10 percent markup.

9-1.06 CHANGED QUANTITY PAYMENT ADJUSTMENTS


9-1.07 PAYMENT ADJUSTMENTS FOR PRICE INDEX FLUCTUATIONS


9-1.08–9-1.10 RESERVED

9-1.11 TIME-RELATED OVERHEAD

9-1.11A General

Section 9-1.11 applies only to those occurrences and events for which Contractor would be entitled to delay and disruption damages in accordance with Contract Section 13.5.2.


Time-related overhead includes costs for field-office overhead for the time required to complete the work. It does not include non-time-related costs such as mobilization, licenses, permits, and other charges incurred once during the Contract. Costs for home-office overhead are not allowed as part of time-related overhead.

Time-related overhead does not apply to Subcontractors of any tier, suppliers, fabricators, manufacturers, or other parties associated with you.

Costs for field office overhead are time-related costs associated with the normal and recurring construction activities not directly attributed to the Contract work such as:

1. Salaries, benefits, and equipment costs of: 1.1. Project managers 1.2. General superintendents 1.3. Field office managers 1.4. Field office staff assigned to the project

2. Rent 3. Utilities 4. Maintenance 5. Security 6. Supplies 7. Office equipment costs for the project's field office

Non-allowed costs for home-office overhead are fixed general, administrative costs, and expenses for operating your business such as:

1. General administration 2. Insurance 3. Personnel and Subcontract administration 4. Purchasing 5. Accounting 6. Project engineering and estimating 7. Your other contracts or other businesses 8. Equipment coordination 9. Material deliveries 10. Consultant and legal fees

9-1.11B Audit Examinations and Reports


9-1.11C Payment


9-1.12–9-1.14 RESERVED

9-1.15 WORK-CHARACTER CHANGES



9-1.16 PROGRESS PAYMENTS


9-1.17 PAYMENT AFTER CONTRACT ACCEPTANCE


9-1.18–9-1.20 RESERVED

9-1.21 CLERICAL ERRORS


9-1.22 ARBITRATION


Riverside County Transportation Commission Appendix 3 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 RCTC-Provided Approvals

APPENDIX 3

RCTC-PROVIDED APPROVALS

1. State Route 91 Corridor Improvement Project Final Environmental Impact Report/Environmental Impact Statement, and Record of Decision (ROD);

2. Federal Highway Administration High Profile Project Oversight Agreement for State Route 91 Corridor Improvement Project, Fed. Project No. _____/ EA 08-0F540, 09/01/11;

3. Cooperative Agreement For Design-Build Of The State Route 91 Toll Facility And Corridor Improvement Project, dated as of _________, by and between Caltrans and RCTC;

4. Cooperative Agreement For State Route 91 Express Lanes And Corridor Improvements Between Riverside County Transportation Commission and Orange County Transportation Authority, dated as of December 16, 2011;

5. Cooperative Agreement For State Route 91 Express Lanes and Corridor Improvements Between Riverside County Transportation Commission and The City of Corona, dated as of November 9, 2011;

6. Cooperative Agreement For State Route 91 Express Lanes And Corridor Improvements Between Riverside County Transportation Commission and The County of Riverside, dated as of June 5, 2012;

7. Caltrans/RCTC Toll Facility Agreement (Including Real Property Lease) State Route 91 Express Lanes in Riverside County, Agreement No. 08-1518;

8. BNSF Construction & Maintenance Agreements referenced in Contract Section 6.1.7.1;

9. Public Utilities Commission of the State of California approval to [___________], as more fully described in the application, all in Riverside County;

10. Biological Opinion (Federal Endangered Species Act, Section 7) from United States Department of the Interior Fish and Wildlife Service dated November 30, 2011;

11. Multiple Species Habitat Conservation Plan Consistency Determination (Federal Endangered Species Act, Section 10) from Western Riverside County Regional Conservation Authority dated April 4, 2011; and

12. Any other approvals required from the Public Utilities Commission in order to construct the Project in accordance with the terms and conditions of the Contract Documents.

DESIGN-BUILD CONTRACT SPECIFIC DBE REQUIREMENTS

Riverside County Transportation Commission Appendix 4 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 13 Design-Build Contract Appendices Issued: July 26, 2012 Design-Build Contract Specific DBE Requirements

APPENDIX 4

RIVERSIDE COUNTY TRANSPORTATION COMMISSION


SR-91 CORRIDOR IMPROVEMENT PROJECT



Table of Contents

A. POLICY STATEMENT ................................................................................................ 3

B. CONTRACT ASSURANCE......................................................................................... 3

C. DBE GOAL ................................................................................................................. 3

D. DBE PERFORMANCE PLAN .................................................................................... 4

E. DBE CERTIFICATION ............................................................................................... 7

F. COUNTING DBE PARTICIPATION / COMMERCIALLY USEFUL FUNCTION ......... 7

G. GOOD FAITH EFFORTS DETERMINATION............................................................ 8

H. TERMINATION OF DBE CONTRACTS .................................................................. 10

I. EFFECT OF CONTRACT MODIFICATIONS ........................................................... 11

J. PROMPT PAYMENT PROVISIONS........................................................................ 11

K. COMPLIANCE MONITORING AND ENFORCEMENT............................................ 12

L. CONSEQUENCES OF NON-COMPLIANCE ........................................................... 12

M. MONTHLY SUBCONTRACTORS PAID REPORT.................................................. 13



A. POLICY STATEMENT

The Riverside County Transportation Commission (RCTC) has adopted Caltrans’ Disadvantaged Business Enterprise (DBE) policy for the SR-91 Corridor Improvement Project (Project) and intends to encourage the participation of DBE businesses on the Project in accordance with this policy and regulations of the U.S. Department of Transportation (DOT), Title 49, Code of Federal Regulations (CFR), Part 26 “Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs” (DBE Regulations). The DBE Regulations are incorporated into the Design-Build Contract Specific DBE Requirements by reference.

Design-Builder and its Subcontractors and Suppliers will take all necessary and reasonable steps to ensure that DBEs as defined in 49 CFR Part 26, have an equal opportunity to participate in the Project.

In the event of any conflicts or inconsistencies between the DBE Regulations and the Design-Build Contract Specific DBE requirements for the Project, the DBE Regulations shall prevail.

SECTION 1.0B. CONTRACT ASSURANCE

The Design-Builder, and its Subcontractors and Suppliers, shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. Design-Builder shall carry out applicable requirements of Title 49, CFR, Part 26 in the award and administration of U.S. DOT-assisted contracts. Failure by the Design-Builder to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as RCTC deems appropriate.

The Design-Builder shall insert in each Subcontract all of the stipulations contained in these Design-Build Contract Specific DBE Requirements, and further require their inclusion in any lower tier Subcontract or purchase order that may in turn be made. These requirements shall not be incorporated by reference in any case. The Design-Builder shall be responsible for compliance by any Subcontractor or lower tier Subcontractor with these requirements.

C. DBE GOAL

The DBE goal established for this Contract is 9.4% as defined in Section 7.1.2 of the Contract documents.



D. DBE PERFORMANCE PLAN

Design-Builder shall prepare a detailed DBE Performance Plan that is based on the Draft DBE Performance Plan submitted by the Design-Builder with its Proposal. The DBE Performance Plan shall provide a description of the Design-Builder’s plan and approach to meet the DBE requirements of the Contract, including the DBE goal, and shall address all elements specified below. The Plan shall provide for a DBE Program Administrator, who will be responsible for implementing the DBE Performance Plan for the Design-Builder.

This plan will be subject to RCTC review/approval and the Design-Builder shall be required to revise the submitted DBE Performance Plan to incorporate/address RCTC’s comments prior to RCTC awarding the Contract. The DBE Performance Plan should be updated on a quarterly basis to reflect current circumstances.

DBE PERFORMANCE PLAN ELEMENTS

1. Introduction

• Description of Design-Builder’s understanding of the Design-Build Contract Specific DBE Requirements, including the DBE goal for the Contract, and statement that Design-Builder will commit to achieve the DBE goal and gain meaningful DBE participation in all aspects of the Contract work.

• Identification of Design-Builder’s DBE Program Administrator and statement that the Design-Builder’s DBE Program Administrator has reviewed, fully understands, and is responsible for implementing Design-Builder’s DBE Performance Plan.

• Statement that Design-Builder has identified elements of Project work of a size and scope that DBEs can reasonably perform and that Design-Builder is committed to implementing this DBE Performance Plan in good faith to meet the DBE Contract goal.

2. DBE Commitments

• Design-Builder shall list the names and addresses of DBE firms that have already been identified and will participate in the Contract along with a description of the work that each DBE will perform, the dollar amount of the participation of each DBE firm participating, written documentation of the Design-Builder’s commitment to use each listed DBE, and a current DBE certification for each listed DBE firm.

3. DBE Participation

• Design-Builder shall provide a complete description of Project work that it will self perform or will be performed by its listed Subcontractors, including DBEs. Design-Builder shall also list all remaining Subcontract scopes and related costs, and define those scopes to be committed to DBEs. These elements should be segregated into professional service and construction related categories. This listing should clearly show how the Design-Builder plans to meet the DBE goal for the Project.

• This above Subcontract listing should also provide a general timeline of anticipated bid/award times for the remaining Subcontract scopes.

• Design-Builder should describe the extent to which Major Subcontractors will assist in providing subcontract opportunities to DBEs.



• Due the significant size of the Project, the Design-Builder should make every effort to break down the work scopes into economically feasible units to facilitate DBE participation on the Project.

4. DBE Supportive Services

• Design-Builder shall identify potential barriers to DBE participation and describe plans to mitigate these barriers, including, but not limited to, bonding and insurance requirements, subcontract scope, bidding process, communications, financing, prompt payment and payment of retainage. As part of the Design-Builder’s efforts to overcome these barriers, it shall provide on-going supportive services to DBEs.

• Design-Builder shall cooperate with RCTC to actively promote Small Business conferences, programs and supportive services currently offered by peer agencies which have mature DBE and Small Business Programs and are seeking increased DBE and Small Business participation in their programs.

• Design-Builder shall describe efforts to make Project plans, specifications and requirements available to DBEs.

5. DBE Communications

• The Design-Builder shall carry out a communications effort to inform DBEs of opportunities that may be available with the Design-Builder on the Project. The communications activities should be described here and should minimally include the following elements:

a. Efforts to Advertise Opportunities in Various Media (list such media outlets)

b. Plans to Utilize Small, Minority and Women business organizations (list such organizations)

c. Plans for DBE outreach events facilitated by the Design-Builder, to highlight current and upcoming subcontracting opportunities.

d. Other vehicles that will be used to notify DBEs of opportunities.

6. DBE & SBE Directory

• The Design-Builder shall provide statement describing its commitment to utilize the online directory of certified DBEs, found at the California Unified Certification Program (CUCP) website: www.CaliforniaUCP.org, in its efforts to identify DBEs.

7. DBE Quarterly Strategy Meetings

• Quarterly meetings shall be held between the Design-Builder DBE Program Administrator and RCTC to discuss the DBE Performance Plan and DBE commitments/attainments. Updates shall be made to the DBE Performance Plan, as needed but at least quarterly, to reflect changed circumstances. The meetings will be held at the Design-Builder project office.



8. DBE Program Reporting

• The Design-Builder shall develop a reporting format, to be included in the final DBE Performance Plan, which addresses the below reporting elements. This report is due to RCTC by the 10th day of the month following the reporting month, as specified in Section 7.1.3 of the Contract documents.

a. Written narrative of progress in meeting the DBE requirements: Design-Builder shall provide a summary of the activities undertaken during the reporting month. Key accomplishments, DBE Program challenges, and activities for the next reporting month are to be provided.

b. Report of commitments and payments to DBEs and other Subcontractors. This report shall provide information on initial and any subsequent changes to Subcontractor commitments (all Subcontractors at all tiers), along with any payments made to each Subcontractor. The Design-Builder may develop a report format of its choosing, or adopt the Monthly Subcontractors Paid Report attached to this document. Any report format developed by the Design-Builder must minimally include all information requested in the Monthly Subcontractors Paid Report and be approved by RCTC prior to use.

c. Compliance with prompt payment and payment of retainage requirements: This element provides information on Design-Builder’s compliance with prompt payment and retainage payment requirements. Design-Builder is to pay each Subcontractor participating on the Project for satisfactory performance of its contract no later than 7 days from the receipt of each payment the Design-Builder receives from RCTC. Additionally, Design-Builder to make prompt and full payment of any retainage owed to Subcontractors for satisfactory completion of the Subcontractor’s work within 30 days after Subcontractor’s work has been satisfactorily completed. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of RCTC. Report format is to be developed by the Design-Builder and should minimally include enough information for RCTC staff to identify dates of payments made to all Subcontractors relative to prompt payment and payment of retainage requirements.

d. Information on new Subcontractors added to Design-Builder’s team, at all tiers, and Information on contract changes for all Subcontractors on Design-Builder’s team, at all tiers, including the name of the Subcontractor or Supplier, the total dollar amount of the Subcontract, the specific work items covered by the Subcontract, estimated quantities of each work item. A copy of all executed Subcontracts and/or purchase orders, at all tiers, shall be submitted to RCTC within 14 days after request is made by RCTC.

e. Schedule of upcoming Subcontract procurements, including specification of procurements targeted towards DBEs and Small Businesses.

f. Bidders List

Design-Builder submitted a Bidders List at time of Proposal. The intent of the Bidders List, as specified by the DBE Regulations, is to identify all firms seeking (through bid or proposal) to participate on the Project. For this reason, the Design-Builder shall continue to update the Bidders List with information on all firms bidding on Project contract elements subsequent to Project award for the duration of the Project. The following information shall be included in the Bidders List. Design-Builder has the option of using the Bidders List forms provided in the ITP document, or to develop a similar form that minimally captures the above stated information:



1. Firm Name; 2. Address; 3. Years in Business; 4. Status as a DBE or non-DBE; 5. Type of Work; and 6. Annual Range of Gross Receipts.

E. DBE CERTIFICATION

RCTC will accept DBE certifications from certifying member agencies of the CUCP. For more information about the certification process or to apply for certification, firms should visit the CUCP website at www.californiaucp.org.

If a DBE firm is decertified during the life of the Project, the decertified firm shall notify Design-Builder in writing with the date of decertification. If a Subcontractor or Supplier becomes a certified DBE during the life of the Project, the Subcontractor or Supplier shall notify Design-Builder in writing with the date of certification. Design-Builder shall furnish the written documentation to RCTC.

F. COUNTING DBE PARTICIPATION / COMMERCIALLY USEFUL FUNCTION

RCTC will count DBE participation toward the DBE goal for the Contract as provided in 49 CFR §26.55. RCTC will utilize the following guidelines in determining the percentage of DBE participation that will be counted toward the contract DBE goal:

1. If a firm is not currently certified as a DBE, in accordance with the standards of Subpart D of the regulations (49 C.F.R. §26.55(f)), at the time of the due date for the Proposals, the firm’s participation toward any DBE goals will not be counted, except as provided for in 49 C.F.R. §26.87(i);

2. The dollar value of the work performed under a contract with a firm after it has ceased to be certified will not be counted toward the overall goal;

3. The participation of a DBE Subcontractor or Supplier toward Design-Builder’s DBE achievements or the overall goal will not be counted until the amount being counted toward the goal has been paid to the DBE;

4. When a DBE participates in the Contract, the value of the work actually performed will be counted as follows:

(a) The entire amount of the portion of a construction contract (or other contract not covered by paragraph 49 C.F.R. §26.55 that is performed by the DBE’s own forces). Include the cost of supplies and materials obtained by the DBE for the work, including supplies purchased or equipment leased by the DBE (except that supplies and equipment the DBE Subcontractor purchases or leases from Design-Builder or its Affiliate(s) will not be counted);

(b) The entire amount of fees or commissions charged by a DBE firm for providing a



bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a USDOT-assisted contract, count toward DBE goals, provided that RCTC determines the fee to be reasonable and not excessive as compared with fees customarily allowed for similar services;

(c) When a DBE subcontracts part of the work of its Subcontract to another firm, the value of the subcontracted work may be counted toward DBE goals only if the DBE’s Subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm will not count toward the DBE goal;

(d) When a DBE performs as a participant in an approved joint venture, RCTC will count a portion of the total dollar value of the Subcontract equal to the distinct, clearly defined portion of the work of the Subcontract that the DBE performs with its own forces toward DBE goals; and

(e) RCTC will count expenditures of a DBE Subcontractor of Supplier toward DBE goals only if the DBE is performing a commercially useful function on that Subcontract in accordance with 49 C.F.R. §26.55.

G. GOOD FAITH EFFORTS DETERMINATION

1. Time of Proposal

RCTC will determine whether Design-Builder made sufficient good faith efforts to meet the goal, in accordance with 49 C.F.R. §26.53 and Appendix A thereto. Design-Builder must show that it took all necessary and reasonable steps to achieve the DBE goal or other requirement of 49 C.F.R. Part 26, which, by its scope, intensity, and appropriateness to the objective, could reasonably be expected to obtain sufficient DBE participation, even if it were not fully successful. Mere pro forma efforts are not good faith efforts to meet the DBE contract requirements. Compliance will be determined on a case-by-case, based on a review of documentation of the following types of activities:

(a) Soliciting, through all reasonable and available means (e.g., attendance at pre-proposal/pre- letting meetings, advertising and/or written notices), the interest of all certified DBEs who have the capability to perform the Work. Design-Builder must solicit this interest within sufficient time to allow the DBEs to respond to the solicitation. Design-Builder must determine with certainty if the DBEs are interested by taking appropriate steps to follow up on the initial solicitations;

(b) Selecting portions of the Work to be performed by DBEs in order to increase the likelihood that the DBE goal will be achieved. This includes, where appropriate, breaking out the Work into economically feasible units to facilitate DBE participation even when Design-Builder might otherwise prefer to perform those portions of the Work with its own forces;



(c) Providing interested DBEs with adequate information about the plans, specifications, and requirements of the contract in a timely manner to assist them in responding to a solicitation;

(d) Negotiating in good faith with interested DBEs. Design-Builder has the responsibility to make a portion of the Work available to DBE Subcontractors and Suppliers, to select those portions of the Work or material needs consistent with the available DBE Subcontractors and Suppliers so as to facilitate DBE participation. Evidence of such negotiation includes the names, addresses, and telephone numbers of the DBEs that were considered; a description of information provided regarding the plans and specifications for the work selected for contracting; and evidence as to why additional agreements could not be reached for DBEs to perform the work;

(e) Design-Builder using good business judgment would consider a number of factors in negotiating with Subcontractors and Suppliers, including those who are DBEs, and would take a firm’s price and capabilities as well as contract goals into consideration. However, the fact that there may be some additional costs involved in finding and using DBEs is not in itself sufficient reason for Design-Builder’s failure to meet the DBE Contract goal, as long as such costs are reasonable. Also, the ability or desire of Design-Builder to perform the Work with its own organizations does not relieve the Design-Builder of the responsibility to make good faith efforts. Design-Builder is not, however, required to accept higher quotes from DBEs if the price difference is excessive or unreasonable.

(f) Not rejecting DBEs as being unqualified without sound reasons based on a thorough investigation of their capabilities. Design-Builder’s standing within its industry, membership in specific groups, organizations, or associations and political or social affiliations (for example union vs. non-union employee status) are not legitimate causes for rejection or non-solicitation of proposals/bids in Design-Builder’s efforts to meet the DBE Project goal;�

(g) Making efforts to assist interested DBEs in obtaining bonding, lines of credit, or insurance as required by RCTC or Design-Builder,

(h) Making efforts to assist interested DBEs in obtaining necessary equipment, supplies, materials or related assistance or services; and

(i) Effectively using the services of available minority/women community organizations; minority/women contractors’ groups; local, state and federal offices of minority/women business assistance; and other organizations, as allowed on a case-by-case basis, to provide assistance in the recruitment and placement of DBEs.

2. Continuing Good Faith Efforts

During the term of the Contract, Design-Builder will make good faith efforts to ensure that DBEs have maximum opportunity to successfully perform on the Contract, and



that Design-Builder meets its DBE goal. These efforts shall include but not be limited to the following:

(a) Negotiating in good faith to attempt to finalize a Subcontract with DBEs committed to prior to Contract award;

(b) Continuing to provide assistance to DBE Subcontractors and Suppliers in obtaining bonding, lines of credit, etc., if required by the Subcontract;

(c) Notifying a DBE in writing of any potential problem and attempting to resolve the problem prior to formally requesting RCTC’s statement of no objection to substitute the DBE;

(d) As with all Subcontractors and Suppliers, timely payment of all monies due and owing to DBE Subcontractors and Suppliers;

(e) Timely submittal of "Good Faith Efforts" information and documentation to RCTC throughout the Contract, as Subcontracts are let and new Subcontractors and Suppliers are selected;

(f) Informing RCTC in a timely manner of any problems anticipated in attaining the DBE participation goal committed to in the Proposal; and

(g) If Design-Builder or any of its Subcontractors or Suppliers requests a substitution of a DBE firm, Design-Builder or its Subcontractors or Suppliers must exert good faith efforts to replace the DBE firm with another DBE firm, subject to RCTC’s statement of no objection.

H. TERMINATION OF DBE CONTRACTS

RCTC requires that Design-Builder, and its Subcontractors and Suppliers, not terminate for convenience a listed DBE Subcontractor or Supplier and then perform the Work of the terminated Subcontract with its own forces or those of an affiliate, without prior written consent of RCTC. The request for removal must be made in writing to RCTC. RCTC may provide such written consent only if the Design-Builder has good cause (as defined in 49 C.F.R. §26.53 f(3)) to terminate the DBE firm. If a DBE Subcontractor or Supplier is terminated or fails to complete its work on a Subcontract for any reason, Design-Builder must make good faith efforts to find another DBE Subcontractor or Supplier to substitute for the original DBE. These good faith efforts must be directed at finding another DBE to perform at least the same amount of work under the Subcontract as the DBE that was terminated, to the extent needed to meet the Contract DBE goal.



I. EFFECT OF CONTRACT MODIFICATIONS

Change Orders an/or contract modifications may have the effect of increasing the total Contract price. The DBE Contract goal shall be based on the final total Contract price. These revised dollar values shall be reflected in the monthly report submitted to RCTC.

J. PROMPT PAYMENT PROVISIONS

The DBE Program, 49 C.F.R. Part 26, requires that any delay or postponement of payment over 30 days may take place only for good cause and with RCTC’s prior written approval. Any violation of this provision shall subject the violating Design-Builder or Subcontractor to the penalties, sanctions and other remedies specified in Section 7108.5 of the Business and Professions Code. These requirements shall not be construed to limit or impair any contractual, administrative, or judicial remedies otherwise available to the Design-Builder or Subcontractor in the event of a dispute involving late payment or nonpayment by the Design-Builder, deficient subcontract performance, or noncompliance by a Subcontractor.

Any delay or postponement of payment from the above-referenced timeframes may occur only for good cause following written approval from RCTC. Failure to comply with this provision without prior approval from RCTC will constitute noncompliance, which may result in the application of appropriate administrative sanctions, including, but not limited to, withholding of payment to the Design-Builder of two percent (2%) of the invoice amount due per month, for every month that full payment is not made in accordance with these prompt payment requirements.

1. Prompt Progress Payments to Subcontractors

RCTC will include a contract clause that will require the Design-Builder to pay each Subcontractor participating on the Project for satisfactory performance of its contract no later than 7 days from the receipt of each payment the Design-Builder receives from RCTC. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval of RCTC. This clause applies to both DBE and non-DBE Subcontractors.

2. Payment of Retention Withheld from Subcontractor

RCTC elects to hold retainage from the Project Design-Builder. RCTC will provide prompt and regular incremental acceptances of portions of the work on the Project and pay retainage to the Design-Builder based on these acceptances. RCTC will include a contract clause that will require the PROJECT Design-Builder to make prompt and full payment of any retainage owed to Subcontractors for satisfactory completion of the Subcontractor’s work within 30 days after Subcontractor’s work has been satisfactorily completed.



K. COMPLIANCE MONITORING AND ENFORCEMENT

a. Design-Builder shall maintain records and shall require its Subcontractors and Suppliers that are utilizing DBE firms in their Subcontracts to maintain records to verify DBE participation as set forth in the Proposal and as modified during the course of the Contract. Such records shall show the name and business address of each DBE participating in the Contract, including DBE firms participating through Subcontracts, and the total dollar amount actually paid to each DBE and the date of payment.

b. RCTC will monitor the Design-Builder’s compliance with the DBE Program requirements through monthly reports submitted by the Design-Builder. This report is due no later the 10th of each month until Project completion. These reports will be in a format to be developed by the Design-Builder and approved by RCTC (see DBE Performance Plan requirements), which will address all the reporting requirements of the DBE Program. RCTC will review the monthly report to monitor and determine whether the utilization of DBE firms is consistent with the commitment of the Design-Builder, as stated in its Proposal (DBE Performance Plan).

c. RCTC may perform interim audits of contract payments to DBEs. The audit will review payments to DBE Subcontractors to ensure that the actual amount paid to DBE Subcontractors equals or exceeds the dollar amounts committed.

d. A final monthly report shall be submitted with the Request for Final Payment.

e. RCTC will bring to the attention of the DOT any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take the steps provided in 26.107 (e.g., referral to the Department of Justice for criminal prosecution, referral to the DOT Inspector General, action under suspension and debarment or Program Fraud and Civil Penalties rules). Additionally, RCTC will consider similar action under its own legal authorities, including responsibility determinations in future contracts.

L. CONSEQUENCES OF NON-COMPLIANCE

a. BREACH OF CONTRACT - Failure to carry out the DBE requirements specified in the Contract documents constitutes a breach of contract. RCTC will notify Design-Builder and the USDOT of such breach, including notification that the breach may result in termination of the Contract by RCTC or imposition of other appropriate remedy and/or sanctions. This notice is given pursuant to 49 C.F.R. Part 26.

b. NOTICE - If Design-Builder or any Subcontractor or Supplier is deemed to be in non-compliance with DBE requirements, Design-Builder will be given notice by



RCTC in writing, delivered by certified mail, of the non-compliance finding. The notice will specify the non-compliance circumstances identified by RCTC and define a corrective action(s) with dates to be implemented by the Design-Builder. Design-Builder will have 5 working days to respond to the notice of non-compliance with information that demonstrates Design-Builder compliance with DBE requirements at question. If no such response is provided by the Design-Builder, then Design-Builder will be required to implement the corrective action(s) identified in the notice. Failure to properly and timely implement a corrective action(s) will subject the Design-Builder to sanctions up to and including contract termination.

c. SANCTIONS – If it is determined that the Design-Builder fails to properly implement a corrective action, Design-Builder may be subject to withholding of progress payments for all or part of the payment until satisfactory action has been taken. In severe cases of non-compliance, remedies may include assessment of liquidated damages and consideration of contract termination.

d. DBE LIQUIDATED DAMAGES – As defined in 49 C.F.R. Part 26, if it is determined that Design-Builder is not implementing its DBE Performance Plan in good faith, the Design-Builder may be required to pay DBE liquidated damages for an amount to be determined by RCTC.

M. MONTHLY SUBCONTRACTORS PAID REPORT

See attached report in Exhibit A.


Riverside County Transportation Commission Exhibit A RFP Number: 12-31-113-00 Final Request for Proposals to Appendix 4 Design-Build Contract Appendices Issued: July 26, 2012 Design-Build Contract Specific DBE Requirements

Exhibit A

Monthly Subcontractors Paid Report

Riverside County Transportation Commission Exhibit A to Appendix 4 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 4 Design-Build Contract Appendices Issued: July 26, 2012 Design-Build Contract Specific DBE Requirements

Reporting Period (Month/Year) Report Number

Date Prepared

1) Project Name 2) Project Location

3) Contract Number 4) Original Contract Award Amount

5) Contract Award Date

6) Current Contract Value 7) RCTC Payment to Prime This Month

8) Total Amount Paid to Prime to Date

9) Date of Last Progress Payment Received from RCTC

10) Percent of Project Complete

11) DBE Goal Percentage (committed)

12) Prime Contractor 13) Contact Person

14) Street Address 15) City/State/Zip

16) Area Code/Phone No. 17) Email Address

18) SUBCONTRACTOR/SUPPLIER Dollars

Paid This Month

Dollar Amount Paid to Date

Schedule Activity ID (Construction only)

Type of Work Performed

Original Dollar

Amount Committed

Dollar +/- resulting from Change Order

Activity

Subcontractor/Supplier #1 � � � � � � Name Address Area Code/Phone Contact Person

Subcontractor/Supplier #2 � � � � � � Name

Address Area Code/Phone Contact Person

Subcontractor/Supplier #3 � � � � � � Name



Reporting Period (Month/Year)

Report Number

Date Prepared

Subcontractor/Supplier #___ � � � � � � Name


Subcontractor/Supplier #___ � � � � � � Name Address Area Code/Phone Contact Person

Subcontractor/Supplier #___ � � � � � � Name Address Area Code/Phone Contact Person

Subcontractor/Supplier #___ � � � � � � INSTRUCTIONS The Design-Builder shall make prompt payment of all monies due and owed to DBE and non-DBE firms within 10 business days upon receipt of payment from Riverside County Transportation Commission (RCTC) as per Contract Agreement. Payment of retention shall be made to all DBE and non-DBE subcontractors within 30 days after satisfactory completion of the subcontracted work.

This form is due to RCTC by the 10th of each month and should reflect all payments made to subs through the last day of the previous month. The Design-Builder must report monthly, even if the sub(s) did not perform any work for the previous month. Please forward signed original documents by email and/or fax.

Please duplicate this sheet if additional space to report subcontractor information is needed.

Completed By:

Name Signature Date

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Instructions – Summary of Monthly DBE Payments Information

Design-Builder:

This form requires specific information regarding the disadvantaged business enterprise and other subcontractors paid on this construction contract.

The form must be completed for all subcontractors performing on the contract. The form requires that the Reporting Period (month/year) be included. A Report Number should also be completed. This field should include a sequential number with the first form having number “1”. The date prepared should also be included.

IMPORTANT: Identify all firms that were paid during the reporting period for the project, regardless of tier. Names of the First Tier Subcontractors and their respective item(s) of work listed should be consistent, where applicable, with the names and items of work in the "List of Subcontractors" submitted with your bid.

There is a column for the “Dollars Paid This Month”. Enter the Total amount paid for each firm for the reporting period. Also include the total amount paid to date, which shall include the amount paid for the current reporting period.

Include the Schedule Activity ID for construction contracts. Include a brief description for the type of work performed. The original dollar amount committed to the firm should be included in the appropriate Column and any increase or decrease in the subcontract amount resulting from a change order shall be included in the “Dollar +/- resulting from Change Order Activity” column.

This form must be signed and dated by the prime contractor’s representative that is responsible for reporting DBE compliance matters. The form (or an equivalent form) must be submitted along with the Design-Builder’s monthly report.

Riverside County Transportation Commission Appendix 5 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Listed Subcontractors

APPENDIX 5

LISTED SUBCONTRACTORS

[from Proposal]

Riverside County Transportation Commission Appendix 6 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Subcontractor Identification Form

APPENDIX 6

SR-91 CORRIDOR IMPROVEMENT PROJECT

SUBCONTRACTOR IDENTIFICATION FORM

Subcontractor Name, Address, Telephone No., License Number

Description of Subcontract Work

Dollar Amount of Subcontract

Est. Time of Performance

Design-Builder: DATE:

Riverside County Transportation Commission Appendix 7 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Key Personnel

APPENDIX 7

KEY PERSONNEL

Category A

Project Manager Deputy Project Manager(s) Construction Manager Quality Manager Safety Manager Design Manager

Category B DBE Program Administrator Traffic Manager Public Relations Coordinator Utilities Coordinator Railroad Coordinator Design Quality Assurance Manager Construction Quality Assurance Manager

Category C Environmental Compliance Manager Toll Systems Coordinator Project Scheduler

Riverside County Transportation Commission Appendix 8 RFP Number: 12-31-113-00 Final Request for Proposals Design-Build Contract Appendices Issued: July 26, 2012 Payment and Performance Bonds

APPENDIX 8

BONDS

8-A PERFORMANCE BOND 8-B PAYMENT BOND

Riverside County Transportation Commission Appendix 8-A RFP Number: 12-31-113-00 Final Request for Proposals Page 1 Design-Build Contract Appendices Issued: July 26, 2012 Performance Bond

APPENDIX 8-A

FORM OF PERFORMANCE BOND

[EXECUTED COPY OF PERFORMANCE BOND TO BE ATTACHED TO EXECUTED CONTRACT AS APPENDIX 8-A]

Contract No. _______________________ Bond No. _______________________

KNOW ALL MEN BY THESE PRESENTS,

THAT WHEREAS, the Riverside County Transportation Commission, a public entity of the State of California (the “Obligee”) has awarded to ______________, a ______________ (the “Principal”), a Design-Build Contract (as amended from time to time, the “Contract”), which Contract is specifically incorporated by reference herein, for the design and construction of the State Route 91 Improvement Project (the “Project”) through a design-build method of procurement, as authorized under Section 6800 et. seq. of the Public Contract Code;

AND WHEREAS, it is one of the conditions of the Contract that these presents shall be executed;

AND WHEREAS, initially capitalized terms not otherwise defined herein shall have the meanings set forth in the Contract;

NOW THEREFORE, We the undersigned Principal and __________________________ (the Surety” or “Co-Sureties”), an admitted surety insurer in the State of California, are held and firmly bound unto the Obligee, in the sum of Fifty Million United States Dollars ($US 50,000,000 ), subject to increase in accordance with the NTP2 Rider attached hereto (the “Bonded Sum”), to be paid to the Obligee for which payment, well and truly to be made, we bind ourselves, our heirs, executors and administrators, successors and assigns, jointly and severally firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH THAT:

1. The Contract Documents are incorporated by reference herein.

2. If the above bound Principal, or its heirs, executors, administrators, successors or assigns, shall in all things stand to and abide by and well and truly keep and perform the covenants, conditions, obligations and agreements in the Contract Documents, including any and all amendments, supplements, and alterations made to the Contract Documents as therein provided, on the Principal’s part to be kept and performed at the time and in the manner therein specified, and shall indemnify, defend and save harmless the Obligee and all other Indemnified Parties, as therein stipulated, then this obligation shall become and be null and void; otherwise, it shall be and remain in full force and virtue.


3. This Bond shall cover the cost to perform all the obligations of the Principal pursuant to the Contract Documents.

4. The obligations covered by this Bond specifically include all payment obligations, liability for liquidated and stipulated damages and warranties as specified in the Contract Documents, but not to exceed the Bonded Sum. Such obligations include, without limitation, liability for Liquidated Damages, payments for Express Lane Closures, liquidated damages associated with Unpermitted Express Lane Closures and liquidated damages associated with Lane Closures.

5. The Surety (or Co-Sureties) agree(s) that no change, extension of time, alterations, additions, omissions or other modifications of the terms of any of the Contract Documents, or in the work to be performed with respect to the Project, or in the specifications or plans, or any change or modification of any terms of payment or extension of time for any payment pertaining or relating to any of the Contract Documents, or any rescission or attempted rescission of the Contract, or this Bond, or any conditions precedent or subsequent in this Bond attempting to limit the right of recovery of an Obligee entitled to recover under this Bond, or any fraud practiced by any other person other than an Obligee seeking to recover from this Bond, shall in any way affect the obligations of the Surety (or Co-Sureties) on this Bond, and it does hereby waive notice of such changes, extension of time, alterations, additions, omissions or other modifications. The Surety (or Co-Sureties) agree(s) that payments made to contractors and suppliers to satisfy claims on the payment bond do not reduce the Surety’s legal obligations under this Bond. Payments made to contractors or suppliers under any agreement where the Surety has arranged for completion of the work to satisfy this Bond will not be considered payment bond claims.

6. Whenever the Principal shall be, and is declared by the Obligee to be, in default under the Contract Documents, the Surety (or Co-Sureties) shall promptly:

(a) remedy such default, or

(b) complete the work and perform the obligations covered by this Bond in accordance with the terms and conditions of the Contract Documents then in effect, or

(c) select a contractor or contractors to complete all work and perform all obligations covered by this Bond for which a notice to proceed has been issued in accordance with the terms and conditions of the Contract Documents then in effect, using a contractor or contractors approved by the Obligee (provided, however, that the Surety may not select the Principal or any affiliate of the Principal to complete the work and perform the obligations for and on behalf of the Surety without the Obligee’s express written consent, in its sole discretion), arrange for a contract that contains substantially the same terms and conditions of the Contract Documents between such contractor or contractors and the Obligee, and make available as work progresses (even though there should be a default or a succession of defaults under such contract or contracts of completion arranged under this paragraph) sufficient funds to pay the cost of completion less


the unpaid balance of the Contract Price; but not exceeding, including other costs and damages for which the Surety (or Co-Sureties) is (are) liable hereunder, the Bonded Sum.

7. If Surety does not proceed as provided in Paragraph 6 of this Bond with reasonable promptness, Surety shall be deemed to be in default on this Bond fifteen days after receipt of an additional written notice from the Obligee to Surety demanding that Surety perform its obligations under this Bond, and the Obligee shall be entitled to enforce any remedy available to the Obligee.

8. The guarantees contained herein shall survive Final Acceptance of the Work called for in the Contract Documents with respect to those obligations of Principal which survive such Final Acceptance.

9. [Use in case of multiple or co-sureties] The Co-Sureties agree to empower a single representative with authority to act on behalf of all of the Co-Sureties with respect to this Bond, so that the Obligee will have no obligation to deal with multiple sureties hereunder. All correspondence from the Obligee to the Co-Sureties and all claims under this Bond shall be sent to such designated representative. The designated representative may be changed only by delivery of written notice (by personal delivery or by certified mail, return receipt requested) to the Obligee designating a single new representative, signed by all of the Co-Sureties. The initial representative shall be ___________________.

IN WITNESS WHEREOF, We have hereunto set our hands and seals on this _____ day of ______________ 20____.

[Note: If more than one surety, then add Appropriate number of lines to signature block.]

NOTE: Signatures of those executing for the Surety (or Co-Sureties) must be properly acknowledged, and a Power of Attorney attached.

Correspondence or claims relating to this Bond should be sent to the Surety (or Sureties) at the following address: ____________________________________________________________________________________________________________

__________________________________________________________________________________ _________________________________________

(Principal’s name, title, and signature) __________________________________________________________________________________ _________________________________________

Surety

By: _____________________________________

Attorney-in-Fact


CALIFORNIA ALL PURPOSE ACKNOWLEDGEMENT

STATE OF CALIFORNIA ) ) ss. COUNTY OF __________________)

On _________________________ before me, ______________________________, a notary public, personally appeared __________________________________________, who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/are subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s), or the entity upon behalf of which the person(s) acted, executed the instrument.

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoing paragraph is true and correct.

WITNESS my hand and official seal.

(AFFIX NOTARIAL SEAL) _______________________________ NOTARY PUBLIC


FORM OF MULTIPLE OBLIGEE RIDER

(Performance Bond)

MULTIPLE OBLIGEE RIDER

This Rider is executed concurrently with and shall be attached to and form a part of Performance Bond No. ___________.

WHEREAS, on or about the _____ day of ____________, 20__, ______________________, (hereinafter called the "Principal"), entered into a Design-Build Contract bearing the date of ______________, 20__ (as amended from time to time, hereinafter called the “Contract”) with Riverside County Transportation Commission, a public entity of the State of California (hereinafter called the "Primary Obligee") for the design and construction of the State Route 91 Improvement Project; and

WHEREAS, initially capitalized terms not otherwise defined herein shall have the meanings set forth in the Contract; and

WHEREAS, the Primary Obligee requires that the Principal provide a performance bond and that the California Department of Transportation (the “Department”), _________________________ and _________________________ be named as additional obligees under the performance bond; and

WHEREAS, the Principal and _____________ (the “Surety” or Co-Sureties”) have agreed to execute and deliver this Rider concurrently with the execution of the Performance Bond No.___________ (hereinafter referred to as the “Performance Bond”) upon the conditions herein stated.

NOW, THEREFORE, the undersigned hereby agree and stipulate as follows:

The Department is hereby added to the Performance Bond as named obligee (hereinafter referred to as “Additional Obligees”).

The Surety shall not be liable under the Performance Bond to the Primary Obligee, the Additional Obligees, or any of them, unless the Primary Obligee, the Additional Obligees, or any of them shall make payments to the Principal (or in the case the Surety arranges for completion of the Contract, to the Surety) in accordance with the terms of the Contract as to payments and shall perform all other obligations to be performed under the Contract in all material respects a the time and in the manner therein set forth such that no material default by the Primary Obligee shall have occurred and be continuing under the Contract.

The aggregate liability of the Surety under the Performance Bond, to any or all of the obligees, as their interests may appear, is limited to the penal sum of the Performance Bond. The Additional Obligees’ rights hereunder are subject to the same


defenses the Principal and/or the Surety have against the Primary Obligee. The total liability of the Surety shall in no event exceed the amount recoverable from the Principal by the Primary Obligee under the Contract.

The Surety may, at its option, make any payments under the Performance Bond by check issued jointly to all of the obligees.

It is further understood and agreed that nothing contained in this Rider shall be held to change, alter or vary the terms of the attached Performance Bond except as set forth hereinabove. In the event of a conflict between the Performance Bond and this Rider, this Rider shall govern and control. All references to the Performance Bond, either in the Performance Bond or in this Rider, shall include and refer to the Performance Bond as supplemented and amended by this Rider. Except as herein modified, the Performance Bond shall be and remains in full force and effect.

The Rider may be executed in two or more counterparts, each of which shall be deemed to be an original, but which together shall constitute one and same instrument.

Signed, sealed and dated this _____ day of ___________________, 201_.

(Principal) (Seal)

By:

(Title)

(Surety) (Seal)

By:

, Attorney-in-Fact


FORM OF NTP2 RIDER

(Performance Bond)

To be attached to and form a part of

Bond No.

Type of Bond: Performance Bond

dated

effective (MONTH-DAY-YEAR)

[Design-Builder] , as Principal,

(PRINCIPAL)

and by , as Surety,

in favor of Riverside County Transportation Commission

(OBLIGEE) and

California Department of Transportation (ADDITIONAL OBLIGEE)

in consideration of the mutual agreements herein contained the Principal and the Surety hereby consent to the following: The Bonded Sum hereunder shall increase to the amount of $250,000,000 effective upon issuance by the Obligee of NTP2 under the Contract.


Nothing herein contained shall vary, alter or extend any provision or condition of this bond except as herein expressly stated.

This rider is effective

(MONTH-DAY-YEAR)

Signed and Sealed

(MONTH-DAY-YEAR)

(PRINCIPAL)

By: (PRINCIPAL)

(SURETY)

By: Attorney in fact

Riverside County Transportation Commission Appendix 8-B RFP Number: 12-31-113-00 Final Request for Proposals Page 1 Design-Build Contract Appendices Issued: July 26, 2012 Payment Bond

APPENDIX 8-B

FORM OF PAYMENT BOND

[EXECUTED COPY OF PAYMENT BOND TO BE ATTACHED TO EXECUTED CONTRACT AS APPENDIX 8-B]

Contract No. _______________________ Bond No. _______________________

KNOW ALL MEN BY THESE PRESENTS,

THAT WHEREAS, the Riverside County Transportation Commission, a public entity of the State of California (the “Obligee”) has awarded to ______________, a ______________ (the “Principal”), a Design-Build Contract (as amended from time to time, the “Contract”), which Contract is specifically incorporated by reference herein, for the design and construction of the State Route 91 Improvement Project (the “Project”) through a design-build method of procurement, as authorized under Section 6800 et. seq. of the Public Contract Code;

AND WHEREAS, initially capitalized terms not otherwise defined herein shall have the meanings set forth in the Contract;

AND WHEREAS, it is one of the conditions of the Contract that these presents shall be executed;

NOW THEREFORE, We the undersigned Principal and __________________________ (the “Surety” or “Co-Sureties”), an admitted surety insurer in the State of California, are held and firmly bound unto the Obligee, in the sum of Fifty Million United States Dollars ($US 50,000,000 ), subject to increase in accordance with the NTP2 Rider attached hereto (the “Bonded Sum”), to be paid to the Obligee for which payment, well and truly to be made, we bind ourselves, our heirs, executors and administrators, successors and assigns, jointly and severally firmly by these presents.

THE CONDITION OF THIS OBLIGATION IS SUCH THAT:

1. The Contract Documents are incorporated by reference herein.

2. If said Principal, or its subcontractors, or their respective heirs, executors, administrators, successors or assigns , shall fail to pay:

(a) any of the persons named in California Civil Code Section 9100 involved in prosecution of the Work, including the design and engineering services or construction services, as provided for in the Contract Documents, or


(b) any amounts due under the Unemployment Insurance Code, with respect to work or labor performed by such claimant under the Contract Documents or subcontracts, or

(c) any amounts required to be deducted, withheld, and paid over to the Franchise Tax Board from the wages of employees of the Principal and its subcontractors pursuant to Revenue and Taxation Code Section 18662 et seq. with respect to such work and labor, or

(d) anyone required to be paid by law

then the Surety (or Co-Sureties) herein shall pay for the same, in an aggregate amount not exceeding the sum specified in this Bond, otherwise the above obligation shall be null and void. In case suit is brought upon this Bond, the Surety (or Co-Sureties) will pay reasonable attorney's fee to be fixed by the court.

3. This Bond shall inure to the benefit of any of the persons named in Civil Code Section 9100 or anyone required to be paid by law under the Contract Documents so as to give a right of action to such persons or their assigns in any suit brought upon this Bond.

4. The Surety (or Co-Sureties) agree(s) that no change, extension of time, alterations, additions, omissions or other modifications of the terms of the Contract Documents, or in the work to be performed with respect to the Project, or in the specifications or plans, or any change or modification of any terms of payment or extension of time for any payment pertaining or relating to the Contract Documents, or any rescission or attempted rescission of the Contract, or this Bond, or any conditions precedent or subsequent in this Bond attempting to limit the right of recovery of claimants otherwise entitled to recover under this Bond, or any fraud practiced by any other person other than the claimant seeking to recover this Bond, shall in any way affect its obligations on this Bond, and it does hereby waive notice of such changes, extension of time, alterations, additions, omissions or other modifications.

5. This Bond shall cover all payment obligations under the Contract Documents.

6. [Use in case of multiple or co-sureties] The Co-Sureties agree to empower a single representative with authority to act on behalf of all of the Co-Sureties with respect to this Bond, so that the Obligee and claimants will have no obligation to deal with multiple sureties hereunder. All correspondence from the Obligee or claimants to the Co-Sureties and all claims under this Bond shall be sent to such designated representative. The designated representative may be changed only by delivery of written notice (by personal delivery or by certified mail, return receipt requested) to the Obligee designating a single new representative, signed by all of the Co-Sureties. The initial representative shall be _______________________.”


In Witness Whereof, We have hereunto set our hands and seals on this ________________ day of_______________________.

[Note: If more than one surety, then add Appropriate number of lines to signature block.]

NOTE: Signatures of those executing for the Surety (or Co-Sureties) must be properly acknowledged, and a Power of Attorney attached.

Correspondence or claims relating to this Bond should be sent to the Surety (or Sureties) at the following address: ____________________________________________________________________________________________________________

__________________________________________________________________________________________ _____________________________________________

(Principal’s name, title, and signature) __________________________________________________________________________________________ _____________________________________________

Surety

By: __________________________________________

Attorney-in-Fact


FORM OF NTP2 RIDER

(Payment Bond)

To be attached to and form a part of

Bond No.

Type of Bond: Payment Bond

dated

effective (MONTH-DAY-YEAR)

[Design-Builder] , as Principal,

(PRINCIPAL)

and by , as Surety,

in favor of Riverside County Transportation Commission

(OBLIGEE) and California Department of Transportation

(ADDITIONAL OBLIGEE)

In consideration of the mutual agreements herein contained the Principal and the Surety hereby consent to the following: The Bonded Sum hereunder shall increase to the amount of $250,000,000 effective upon issuance by the Obligee of NTP2 under the Contract.


Nothing herein contained shall vary, alter or extend any provision or condition of this bond except as herein expressly stated.

This rider is effective

(MONTH-DAY-YEAR)

Signed and Sealed

(MONTH-DAY-YEAR)

(PRINCIPAL)

By: (PRINCIPAL)

(SURETY)

By: Attorney in fact

Riverside County Transportation Commission Appendix 9 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 Design-Build Contract Appendices Issued: July 26, 2012 Invoice and Invoice Certificate

APPENDIX 9

INVOICE AND INVOICE CERTIFICATE

(SR-91 Corridor Improvement Project)

��

1234 XXXXX Rd, Suite 123 - City, California ZIP CODE - (999) 999-9999 - Fax: (999) 999-9999 - www.DesignBuilder.com

DATE: MM/DD/YYYY Michael Blomquist Toll Program Director Riverside County Transportation Commission 4080 Lemon Street, Third Floor Riverside, California 92502 Attention: Accounts Payable Reference: Project Design and Construction (DB) DB Invoice No: 1 Activities for the SR-91 Corridor Improvement Project (CIP) Month YYYY Agreement #09-31-081-00 Agency's Project No: 09-31-081-00 Invoice # 001; February 20xx DB Job No: 123456

For professional, technical, and construction services rendered in connection with Project Design-Build Contract for State Route 91 Corridor Improvement Project. Project Agreement No. xx-yy-zzz-00 (Notice to Proceed # 1 and 2)

Invoice period covered is: January 26, 20xx through February 25, 20xx

ORIGINAL CONTRACT: $ - AUTHORIZED CHANGES: $ -

TOTAL CONTRACT: $ - TOTAL INVOICE TO DATE: $ - TOTAL PREVIOUSLY BILLED: $ -

ADJUSTMENT TO PREVIOUS PERIOD INVOICE: $ -

ADJUSTED TOTAL PREVIOUSLY BILLED: $ - BALANCE REMAINING: $ -

AMOUNT DUE INVOICE # XXX $ -


DBE Total Contract Value to Date: $ -

DBE Total Invoice to Date: $ - I certify that the hours and salary rates charged in this invoice are the actual hours worked and rates paid to the employee(s) listed. Very truly yours, DESIGN BUILDER Design Builder Project Manager cc: RCTC, Project Coordinator cc: PCM, Project Controls Manager


Project: SR-91 Corridor Improvement Project (CIP) Application - Certificate for Payment

To Owner: RIVERSIDE COUNTY TRANSPORTATION COMMISSION Period covered: MM/26/YYYY to : MM/25/YYYY 4080 Lemon Street Contract Date: mm/dd/yyyy Riverside, CA 92502 Current Date: mm/dd/yyyy

Project Number 09-31-081-00

Design-Builder (DB)

Attention: Accounts Payable Attn: TBD Contract For: Design Builder XYZ CORPORATION Design Builder Application for Payment From: Design - Builder

0000 XXXX Road, Ste 000 Address Total Original Contract: $ - City, CA, ZIP CODE

Project Manager XXXX Contact No. Total Authorized Changes: $ -

Agency's Project No: 09-31-081-00 Agency's Project No: 09-31-081-00 DB - Contractor Job No: 12345 Total Adjusted Contract: $ -

Remit To: Design-Builder Operating Account Bank Billed Previously: $ - Address Address

Application No.: MM/26/YYYY to : MM/25/YYYY

Billed This Period: $ - NOTICES TO PROCEED

Notice-to-Proceed No. 1 Notice-to-Proceed No. 2 TOTAL

CONTRACT CHANGE ORDER SUMMARY Additions Deductions

Total Billed To date: $ -

Contract: $ 10,000,000.00 Contract: $ - $ - Total Change Orders Submitted: $ - $ - Retention: XX% $ -

Previously

Billed: $ - Previously Billed: $ - $ - Total Change Orders Pending: $ - $ - Total Billed Less Retention: $ -

Billed this

Period: $ - Billed this Period: $ - $ - Total Change Orders Approved: $ - $ -

Total Previously Billed Less Retention:

"Net Paid Last Pay Periods" $ -

Contract to Complete

$ 10,000,000.00 Contract to Complete

$ - $ - TOTAL ADJUSTED CHANGE $ - $ - Current Payment Due This Period:

$ -

Design and Construction Quality Assurance Certificate for Payment In accordance with the Contract Documents, based on on-site observations and the data comprising the above application the Design and Construction Quality Assurance certifies to the Owner that to the best of the Design-Builder knowledge, information and belief the work has progressed as indicated, the quality of the Work is in accordance with the Contract Documents, and the Design-Builder is entitled to payment of the Amount Certified.

Design Quality Assurance: Construction Quality Assurance:

By: ____________________________________ Date: ______________ By: ____________________________________ Date:

______________ This certification is not negotiable. The Amount Certified is payable only to the Design-Builder named herein. Issuance of payment, and acceptance of payment are without prejudice to any rights of the Owner or the Design-Builder under this Contract. The undersigned Design-Builder certifies that to the best of the Design-Builder’s knowledge, information, and belief the work covered by this application for Payment has been completed in accordance wit the Contract Documents, that all amounts have been paid by the Design-Builder for work for which previous Certificates for Payment were issued and payments received from the Owner, and that current payment shown herein is now due. All current Sub-Contractors and Vendors invoices are included in this payment request.

Design - Builder:

Riverside County Transportation Commission Appendix 9 Final Request for Proposals Page 5 RFP Number: 12-31-113-00 Issued: July 26, 2012 Invoice and Invoice Certificate

Project: SR-91 Corridor Improvement Project (CIP)

Design-Builder Summary of Tasks NTP # 1 Payment Schedule

Reference: Project Design and Construction (DB) DB Invoice No: 1

Activities for the SR-91 Corridor Improvement Project (CIP) Month: MM/YY

Agreement #09-31-081-00 Agency's Project No: 09-31-081-00

Invoice # 001; February 20xx DB Job No: 123456

CONTRACT (NTP # 1)

NTP#1 This Period

NTP#1 To Date

NTP#1 Balance Task Description

Total NTP#1 Total This Period

Total To Date

Total Balance

Percent Expended

A NTP # 1 WORK EFFORT

1 Project Management Plan $ 2,000,000 $ - $ - $ 2,000,000 100%

1A Project Administration $ - $ - $ -

1B Quality Management Plan $ - $ - $ -

1C Design Quality Management Plan $ - $ - $ -

1D Construction Quality Management Plan $ - $ - $ -

1E Environmental Management Plan $ - $ - $ -

1F Public Outreach Plan $ - $ - $ -

1G Health and Safety Plan $ - $ - $ -

1H Sustainability Management Plan $ - $ - $ -

2 Core Office Layout Plan $ 150,000 $ - $ - $ 150,000 100%

3 Network Administration Plan $ 150,000 $ - $ - $ 150,000 100%

4 Job Vehicle Purchasing Plan $ - $ - $ - $ -

5 Site Documentation $ 100,000.00 $ - $ - $ 100,000.00 100%

6 Baseline Schedule $ 450,000.00 $ - $ - $ 450,000.00 100%

7 Segment Limits Map and Submittal Schedule $ 200,000.00 $ - $ - $ 200,000.00 100%

8 Geometric Approval Drawings (GADs) $ 700,000.00 $ - $ - $ 700,000.00 100%

9 Utility Strip Map $ 50,000.00 $ - $ - $ 50,000.00 100%

10 Transportation Management Plan (TMP) $ 500,000.00 $ - $ - $ 500,000.00 100%

11 Project Aesthetic Concept Plan $ 500,000.00 $ - $ - $ 500,000.00 100%

12 Maintenance Work Plan $ 200,000.00 $ - $ - $ 200,000.00 100%

13 NTP-1 Mobilization $ 5,000,000.00 $ - $ - $5,000,000.00 100%

$10 ,000,000.00 $ - $ - $10 ,000,000.00 100%

Contract (NTP#1)

Invoice This Period

NTP#1 To Date Balance TOTAL NTP # 1

$ 10,000,000.00 $ - $ - $ 10,000,000.00

100%


Project: SR-91 Corridor Improvement Project (CIP) Design-Builder Summary of Tasks

NTP # 2 Payment Schedule

Reference: Project Design and Construction (DB) DB Invoice No: 1

Activities for the SR-91 Corridor Improvement Project (CIP) Month: MM/YY

Agreement #09-31-081-00 Agency's Project No: 09-31-081-00

Invoice # 001; February 20xx DB Job No: 123456

CONTRACT (NTP # 2)

NTP#2 This Period

NTP#2 To Date

NTP#2 Balance

Task Description Total NTP#2 Total This

Period Total To Date Total Balance Percent Expended

B PROFESSIONAL SERVICES

12 Community Outreach $ - $ - $ - $ -

13 Design Survey $ - $ - $ - $ -

14 Geotechnical/Site Condition Investigation $ - $ - $ - $ -

15 Design (Including Landscape Design) $ - $ - $ - $ - 16 Environmental Permitting/Governmental Approval Activities $ - $ - $ - $ -

17 Utility Location, Utility Survey, Utility Relocation Design, and Utility Coordination $ - $ - $ - $ -

18 Project Vehicles $ - $ - $ - $ -

19 Subtotal Professional Services (Sum Lines 12 - 18) $ - $ - $ - $ -

C CONSTRUCTION

20 Construction Management $ - $ - $ - $ -

21 Mobilization (not to exceed $30,000,000.00) $ - $ - $ - $ -

22 Bond Permits $ - $ - $ - $ -

23 Insurance Premiums $ - $ - $ - $ -

24 Railroad Flagging $ - $ - $ - $ -

25 Water Pollution Control $ - $ - $ - $ -

26 Traffic Control and Management $ - $ - $ - $ -

27 Earthwork $ - $ - $ - $ -


28 Roadway $ - $ - $ - $ -

29 Pavement (excluding Pavement Rehabilitation) $ - $ - $ - $ -

30 Structures $ - $ - $ - $ -

30.a Bridges $ - $ - $ - $ -

30.b Retaining Walls $ - $ - $ - $ -

30.c Sound walls $ - $ - $ - $ -

31 Seismic and Force Distribution Monitoring $ - $ - $ - $ -

31.a Prado Overhead $ - $ - $ - $ -

32 Drainage $ - $ - $ - $ -

33 Electrical $ - $ - $ - $ -

34 Signing and Striping $ - $ - $ - $ -

35 Environmental Mitigation $ - $ - $ - $ -

36 Utility Relocation $ - $ - $ - $ -

37 ETTM Infrastructure $ - $ - $ - $ -

38 Express Lane Closures $ - $ - $ - $ -

39 Plant Establishment (Must be at least $765,000.00) $ - $ - $ - $ -

40 Pavement Rehabilitation Allowance (May not exceed $3.6M) $ - $ - $ - $ -

41 Aesthetics and Landscaping Allowance $ - $ - $ - $ -

42 Subtotal Construction (Sum Lines 20 through 41) $ - $ - $ - $ -

$ - $ - $ - $ -

Contract (NTP#2)

Invoice This

Period

NTP#2 To Date Balance TOTAL NTP # 2 (SUM Line 19 + Line 42)

$ - $ - $ - $ -

Riverside County Transportation Commission Appendix 10 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 8 Design-Build Contract Appendices Issued: July 26, 2012 Disputes Review Board Agreement

APPENDIX 10

DISPUTES REVIEW BOARD AGREEMENT

THIS DISPUTES REVIEW BOARD AGREEMENT ("Agreement") is made and entered into this ___ day of __________, 20__, among the Riverside County Transportation Commission (“RCTC”), ____________________________ ("Design-Builder"), and _______________________ (collectively, the "Board Members"), with reference to the following facts:

A. RCTC and Design-Builder have entered into that certain design build Contract No. ___________ dated as of _______ (as amended from time to time, the “Contract”). Pursuant to the Contract, Design-Builder has agreed to furnish the design for and to construct approximately eight miles of tolled express lanes and related improvements within State Route 91 between the Riverside/Orange County line and the Interstate 15 interchange, including transition areas (collectively, the “Project”).

B. The Contract provides for the establishment and operation of a Disputes Review Board ("Board") to assist in resolving disputes and claims among RCTC, Design-Builder and others in respect to the Project.

NOW, THEREFORE, in consideration of the terms, conditions, covenants and agreements contained herein, the parties hereto agree as follows:

SECTION 1. ESTABLISHMENT OF BOARD

1.1 The Board shall begin operation upon execution of this Agreement by RCTC, Design-Builder and the first two Board Members, and shall terminate upon completion of all work required to be performed by the Board hereunder unless sooner terminated in accordance with this Agreement or applicable law. The Board shall initially consist of two members, one selected by RCTC and one selected by Design-Builder. The first duty of the Board shall be to select its third member as provided in Section 19 of the Contract. A copy of Section 19 of the Contract is attached hereto as Exhibit A (and shall be applicable with respect to Disputes under the Contract).

1.2 Each member of the Board represents, warrants and covenants on his/her behalf that he/she:

(a) Does not have an ownership interest in any DB-Related Entity or Affiliate or in the Project and Construction Manager, or a financial interest in the Contract, except for payment for serving on the Disputes Board;

(b) Has not been employed, and his/her employer has not been employed, by RCTC, Caltrans, any DB-Related Entity, any Affiliate or the Project and Construction Manager, within two years prior to award of the


Contract, except for fee-based consulting services on other projects which are disclosed to all parties and not objected to by any party;

(c) Has not had substantial prior involvement in the Project, and has not had any involvement in the Project or with RCTC, Caltrans, and DB-Related Entity, any Affiliate or the Project and Construction Manager of a nature which could affect his/her ability to impartially resolve Disputes;

(d) Shall not accept employment by RCTC, the Project and Construction Manager, Caltrans or any DB-Related Entity or Affiliate during the term of the Contract and for as long thereafter as any Dispute submitted to the Disputes Board remains outstanding under the Contract Documents, except as a member of other disputes boards; and

(e) Shall not discuss employment, nor make any agreement regarding employment with RCTC, the Project and Construction Manager, Caltrans or any DB-Related Entity or Affiliate during the term of the Contract and for as long thereafter as any Dispute submitted to the Disputes Board remains outstanding under the Contract Documents, except as a member of other disputes boards.

1.3 Prior to hearing the first Dispute, and thereafter upon request of RCTC or Design-Builder from time to time, each Board Member shall provide RCTC and Design-Builder a declaration under penalty of perjury affirming that such member meets the qualifications set forth in Section 1.2 hereof, and agrees to be bound by the terms of applicable Contract Documents. Each Board Member shall promptly notify RCTC and Design-Builder if any circumstances are likely to prevent a prompt hearing and decision or if the member fails to meet such qualifications. Any Board Member failing at any time to meet such qualifications shall be removed from the Board.

SECTION 2. BOARD ORGANIZATION AND RESPONSIBILITIES

2.1 The Board is organized in accordance with Section 19 of the Contract, for the purposes described therein. The Board shall fairly and impartially consider Disputes under the Contract and shall provide written decisions for resolution of such Disputes, in accordance with Section 19 of the Contract. The Board Members shall perform the services necessary to participate in the Board's actions in accordance with this Agreement.

2.2 The Board Members may visit the Site periodically to keep abreast of construction activities and to develop a familiarity with the work in progress, or as may be deemed desirable or necessary in the consideration of any Dispute. A special site visit shall be scheduled at the request of either party or any Board Member; provided that all reasonable efforts shall be made to allow issues to be raised at the regularly scheduled site visits except where a special visit is warranted due to special circumstances such as the need to observe site conditions before they are disturbed. Representatives of RCTC and Design-Builder shall have the right to accompany the Board on any such visit.


2.3 All Board Members are to act independently in the consideration of facts and conditions surrounding any Dispute. Seeking the Board Members' advice or consultation, ex parte, is expressly prohibited; provided, however, that either party may seek such advice or consultation from the entire Board, at a Board meeting, after first giving notice to all interested parties. A Disputes Board member who has ex parte contact with a party or party representative shall be subject to removal from the Disputes Board for cause.

2.4 Board Members may withdraw from the Board upon delivery of written notice of withdrawal to RCTC, Design-Builder and the other Board Members, which notice shall specify a withdrawal date at least 30 days following the date of delivery of the notice. In addition, a member may be terminated by RCTC or Design-Builder if at any time that member fails to meet the qualifications set forth in Section 19.4.1.1 of the Contract. Should the need arise to appoint a replacement Board Member, the replacement member shall be appointed in the same manner as provided by the Design Build Contracts for appointment of the original member. The selection of a replacement Board Member shall begin promptly upon notification of the necessity for a replacement and shall be completed within 30 days thereafter. The change in Board membership shall be evidenced by the new member's signature on this Agreement.

2.5 The Board Members acknowledge that RCTC and Design-Builder each have the right to require appointment of a new disputes review board to resolve future Disputes, which right may be exercised at any time by delivery of notice to such effect to the other party and to the Board Members. In such event a new agreement in the same form as this agreement will be executed establishing the new board, and except as otherwise mutually agreed by RCTC and Design-Builder, the work to be performed by the Board established under this Agreement shall be limited to Disputes submitted to the Board before delivery of the notice requiring appointment of a new Board. Nothing shall prohibit a party from reappointing its current member.

2.6 The personal services of the Board Member are a condition to receiving payment hereunder. No Board Member shall assign any of his or her work pursuant to this Agreement without the prior written consent of both RCTC and Design-Builder.

2.7 Each Board Member, in the performance of his or her duties on the Board, is acting as an independent contractor and not as an employee of either RCTC or Design-Builder. No Board Member will be entitled to any employee benefits.

SECTION 3. HEARINGS AND DECISIONS

3.1 Each Dispute under the Contract shall be heard by the Board as provided in Section 19 of the Contract.

3.2 In general, the Board shall have the right to establish its own procedures and time limits, including the right to establish or to waive evidentiary rules and procedures. Each party shall retain the right to discovery as provided in the


Contract and to present its witnesses and evidence in its own discretion, within the parameters established by the Board.

3.3 Upon receipt by the Board of a Complaint pursuant to Section 19.3.1.2 of the Contract, either from Design-Builder or RCTC, the Board shall convene a hearing to review and consider the matter as quickly as possible, taking into consideration the particular circumstances and the time required to prepare detailed documentation. Both RCTC and Design-Builder are encouraged to provide exhibits, calculations, and any other pertinent material to the Board for review prior to the hearing. All such material shall concurrently be given to the other party.

3.4 The Board shall convene to consider questions presented to it and shall at the conclusion of each hearing either provide the Recommendation or Final Decision, as appropriate, or advise the parties when the Recommendation or Final Decision will be forthcoming.

SECTION 4. PROVISION OF DOCUMENTS TO BOARD

4.1 RCTC shall furnish each Board Member one copy of all Contract Documents for the Contract and other documents RCTC has which are pertinent to the Board's work.

4.2 Design-Builder shall furnish to each Board Member one copy of all documents it might have, other than those furnished by RCTC, which are pertinent to the Board’s work.

SECTION 5. EXPENSES

5.1 Payment for services rendered by each Board Member and for their direct, non-salary expenses shall be calculated in accordance with the payment schedule for such Board Member agreed to among RCTC, Design-Builder and the Board Member, and RCTC and Design-Builder shall each pay its share of such payments in accordance with Section 19.8 of the Contract.

5.2 Invoices for payment for work completed shall be submitted no more often than once per month. Such invoices shall be in a format approved by RCTC and accompanied by a general description of activities performed during this period. The value of work accomplished for payment shall be established from the billing rate and hours expended by the Board Member together with direct, non-salary expenses. Billings for expenses shall include an itemized listing supported by copies of the original bills, invoices, expense accounts and miscellaneous supporting data.

5.3 Each Board Member shall keep available for inspection, for a period of five years after final payment, the cost records and accounts pertaining to this Agreement.


SECTION 6. DISPUTES INVOLVING OTHER PARTIES

6.1 The parties acknowledge that various third parties (including utilities, other contractors, public agencies, etc.) may agree that the jurisdiction of the Disputes Board shall extend to disputes affecting such third parties. In general, such disputes shall be heard by the three Board Members, appointed as described above, in accordance with the terms of the Contract, this Agreement and the contract between RCTC and such third parties ("Third Parties"). However, to the extent that the following rights are contractually provided to Third Parties the parties agree that the membership of the Board may be modified with respect to disputes involving Third Parties, as follows:

(a) Such Third Party may agree to use the existing Board with respect to the dispute. (This option shall be deemed selected: (i) unless Third Party delivers written notice to the Board that it intends to select a qualified consultant/Board Member with respect to such dispute, which notice is delivered to the Board within seven days after delivery of written notice to Third Party describing the dispute and stating that Third Party is a necessary party to the dispute resolution procedure; or (ii) if Third Party fails to select a qualified consultant/Board Member, as described below, within seven days after delivery of notice of intent to select such person.)

(b) If Third Party elects not to use the existing Board as provided above, then:

(i) Third Party may select an advisor who shall act as a non-voting consultant to the Board with respect to the dispute; or

(ii) Third Party may select a fourth Board Member who shall have the right to participate in the selection of a fifth Board Member and to participate in the decision-making process hereunder with respect to such dispute; or

(iii) With respect to disputes which do not involve Design-Builder, Third Party shall have the right to appoint a Board Member who shall replace the Member appointed by Design-Builder.

In selecting a non-voting consultant/Board Member, Third Party is encouraged to appoint the same individual for all disputes, so that such individual will have the opportunity to develop expertise and familiarity regarding the Project.

6.2 Any non-voting consultant or Board Member selected by Third Party shall be required to meet the qualifications for Board Members set forth herein and shall execute and agree to be bound by the terms of this Agreement as to disputes involving Third Party. In the event that option (ii) is selected, the fifth Board Member shall be selected by a majority vote of the four Board Members. Disputes regarding appointment of such Members shall be subject to the dispute resolution procedures set forth in Section 19.3 of the Contract.


6.3 Expenses of the Disputes Board payable by Third Party shall be as follows:

(a) In the event that clause (a) of Section 6.1 is selected, Third Party shall share equally the costs and expenses for the Disputes Board in accordance with Section 19.8 of the Contract; or

(b) In the event that clauses (b)(1), (ii) or (iii) of Section 6.1(b) is selected, Third Party shall be responsible for paying the costs and expenses for the consultant or for the Board Member which it appointed, as well as a proportionate share of the costs and expenses of the third and fifth members (subject to the right to be reimbursed for such costs and expenses as the prevailing party, as may be awarded in accordance with Section 19.8 of the Contract, together with a proportionate share of any common costs allocable to the parties to a dispute thereunder. In determining the amount of any such payment or reimbursement of costs and expenses, the Board Members are specifically directed to consider the benefit accruing to Third Party resulting from the Board's expertise and familiarity with the Project and the expenditures previously incurred by RCTC and Design-Builder to develop such expertise and familiarity.

6.4 The provisions set forth in this Section 6 shall supersede any provisions to the contrary contained in Section 19 of the Contract.

SECTION 7. TERM

This Agreement shall commence upon execution hereof by Design-Builder, RCTC and the first two members. The parties anticipate that the Board shall continue to operate on a regular basis through the Warranty period. The foregoing is subject to the right of RCTC and Design-Builder to terminate the services of Board members as specified herein.

SECTION 8. MISCELLANEOUS

8.1 Capitalized terms used but not defined herein shall have the meanings set forth in the Contract.

8.2 The parties intend for Section 19 of the Contract and the other terms of this Agreement to be complementary. Except as otherwise specifically provided herein, in the event of any conflict between this Agreement and said Section 19, Section 19 shall control.

8.3 Notices hereunder shall be sent as provided in Section 24.11 of the Contract. The addresses for the Board Members are set forth on the signature pages hereof.

8.4 This Agreement shall be governed by and construed in accordance with the law of the State of California.


IN WITNESS WHEREOF, the parties hereto have executed this Agreement as of the day and year first above written.

BOARD MEMBERS

_______________________________ Address: ___________________ ___________________ ___________________

________________________________ Address: ___________________ ___________________ ___________________

________________________________ Address: ___________________ ___________________ ___________________


Design-Builder

________________________________ By: Name: By: Title: RCTC RIVERSIDE COUNTY TRANSPORTATION COMMISSION ATTEST: By: Name: ______________________________ Its: Name: Title: APPROVED AS TO FORM: By:

Riverside County Transportation Commission Appendix 11 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Reserved

APPENDIX 11

[Reserved]

Riverside County Transportation Commission Appendix 12 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Designation of Initial Authorized Representatives

APPENDIX 12

DESIGNATION OF INITIAL AUTHORIZED REPRESENTATIVES

RCTC Representatives:

• ____________________

• Additional representatives designated in writing by ____________ for specific matters

Design-Builder Representative:

• [to be designated in executed Contract]

Riverside County Transportation Commission Appendix 13 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 3 Design-Build Contract Appendices Issued: July 26, 2012 Design-Builder’s Proposal Commitments, ATCs and Clarifications

APPENDIX 13

DESIGN-BUILDER’S PROPOSAL COMMITMENTS, ATCs, AND CLARIFICATIONS

[To be completed after Proposal is received]

The following pages summarize (a) certain commitments made by Design-Builder in its Proposal submitted for the Project, which Design-Builder agrees either meet or exceed the requirements of the Contract Documents and (b) ATCs included in the Proposal. The commitments and ATCs set forth herein are included in the scope of the Work. This summary is an overview of certain Design-Builder commitments and is not intended to be an exhaustive list of commitments made in the Proposal that meet or exceed the requirements of the Contract Documents. In accordance with Section 1.3, the Proposal, to the extent that it meets or exceeds the requirements of the Contract Documents, shall be included as a Contract Document, even if a particular Design-Builder commitment is not summarized herein. Nothing contained herein shall limit, modify, discharge, eliminate or reduce the requirements of the Contract Documents listed in Section 1.3.


Proposal Commitments, ATCs & Clarifications 1 REFERENCE: TP __________________

Design-Builder’s Proposal Commitment: ____________________________________ _________________________________________________________________________________________________________________________________________________________________________________________________________ Clarification: _______________________________________________________

2 REFERENCE: TP __________________ Design-Builder’s Proposal Commitment: ____________________________________ _________________________________________________________________________________________________________________________________________________________________________________________________________ Clarification: _______________________________________________________




Design-Builder’s Alternative Technical Concepts 1 ATC # __________________

Description: ____________________________________ _______________________________________________________

2 ATC # __________________ Description:___________________________________ ___________________________________________________________________

3 ATC# ______________________ Description: ____________________________________ ___________________________________________________________________

Riverside County Transportation Commission Appendix 14 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Federal Requirements

APPENDIX 14

FEDERAL REQUIREMENTS

Exhibit Description No. of Pages

Attachment 1 – Federal Requirements for Federal-Aid Construction Projects

2

Attachment 2 – FHWA Form 1273 25

Attachment 3 – Federal Prevailing Wage Rate 1

Attachment 4 – Equal Employment Opportunity 6

Attachment 5 – Affirmative Action 4

Attachment 6 –[Reserved] 1

Attachment 7 – Lobbying Certification 2

Attachment 8 – Compliance with Buy America Requirements 2

Attachment 9 – Training Special Provisions 3

Riverside County Transportation Commission Attachment 1 to RFP Number: 12-31-113-00 Final Request for Proposals Appendix 14 Design-Build Contract Appendices Issued: July 26, 2012 Page 1 of 3 Federal Requirements

ATTACHMENT 1 TO APPENDIX 14

FEDERAL REQUIREMENTS FOR FEDERAL-AID CONSTRUCTION PROJECTS

GENERAL. — The Work herein proposed will be financed in whole or in part with Federal funds, and therefore all of the statutes, rules and regulations promulgated by the Federal Government and applicable to work financed in whole or in part with Federal funds will apply to such work. The "Required Contract Provisions, Federal-Aid Construction Contracts, Form FHWA 1273,” are included in this Appendix 14. Whenever in said required contract provisions references are made to:

(a) "SHA contracting officer", "SHA resident engineer", or "authorized representative of the SHA", such references shall be construed to mean RCTC or its Authorized Representative;

(b) “contractor”, “prime contractor”, “bidder” or “prospective primary participant”, such references shall be construed to mean Design-Builder or its Authorized Representative;

(c) “contract” or “prime contract”, such references shall be construed to mean the Contract between Design-Builder and RCTC for the Project;

(d) “subcontractor”, “supplier”, “vendor”, “prospective lower tier participant” or “lower tier subcontractor”, such references shall be construed to mean any Subcontractor or Supplier; and

(e) “department”, “agency” or “department or agency entering into this transaction”, such references shall be construed to mean RCTC, except where a different department or agency is specified.

PERFORMANCE OF PREVIOUS CONTRACT. — In addition to the provisions in Section II, "Nondiscrimination," and Section VII, "Subletting or Assigning the Contract," of the Form 1273 required contract provisions, Design-Builder shall comply with the following:

The bidder shall execute the CERTIFICATION WITH REGARD TO THE PERFORMANCE OF PREVIOUS CONTRACTS OR SUBCONTRACTS SUBJECT TO THE EQUAL OPPORTUNITY CLAUSE AND THE FILING OF REQUIRED REPORTS located in the proposal. No request for subletting or assigning any portion of the contract in excess of $10,000 will be considered under the provisions of Section VII of the required contract provisions unless such request is accompanied by the CERTIFICATION referred to above, executed by the proposed subcontractor.

NON-COLLUSION PROVISION. — The provisions in this section are applicable to all contracts except contracts for Federal Aid Secondary Projects. Title 23, United


States Code, Section 112, requires as a condition precedent to approval by the Federal Highway Administrator of the contract for this work that each bidder file a sworn statement executed by, or on behalf of, the person, firm, association, or corporation to whom such contract is to be awarded, certifying that such person, firm, association, or corporation has not, either directly or indirectly, entered into any agreement, participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection with the submitted bid. A form to make the non-collusion affidavit statement required by Section 112 as a certification under penalty of perjury rather than as a sworn statement as permitted by 28 U.S.C., Sec. 1746, is included in the Proposal.

PARTICIPATION BY DISADVANTAGED BUSINESS ENTERPRISES IN SUBCONTRACTING. — Part 26, Title 49, Code of Federal Regulations applies to the Project. Pertinent sections of said Code are incorporated within other sections of the Contract and the RCTC Disadvantaged Business Enterprise Program adopted pursuant to 49 CFR Part 26.

CONVICT PRODUCED MATERIALS

a. FHWA Federal-aid projects are subject to 23 CFR § 635.417, Convict produced materials.

b. Materials produced after July 1, 1991, by convict labor may only be incorporated in a Federal aid highway construction project if such materials have been: (i) produced by convicts who are on parole, supervised release, or probation from a prison, or (ii) produced in a prison project in which convicts, during the 12 month period ending July 1, 1987, produced materials for use in Federal aid highway construction projects, and the cumulative annual production amount of such materials for use in Federal aid highway construction does not exceed the amount of such materials produced in such project for use in Federal aid highway construction during the 12 month period ending July 1, 1987.

INAPPLICABLE PROVISIONS

FHWA FORM 1273 SECTIONS VII.1 AND VII.2 INAPPLICABLE – Pursuant to 23 CFR 635.116(d), the requirements of Sections VII.1 and VII.2 of FHWA Form 1273 (Attachment 2 to Appendix 14 to the Contract) are inapplicable to the Contract.

ACCESS TO RECORDS

a. As required by 49 CFR 18.36(i)(10), Design-Builder and its subcontractors shall allow FHWA and the Comptroller General of the United States, or their duly authorized representatives, access to all books, documents, papers, and records of Design-Builder and subcontractors which are directly pertinent to any grantee or subgrantee contract, for the purpose of making audit, examination, excerpts, and transcriptions thereof. In addition, as required by 49 CFR 18.36(i)(11), Design-Builder and its subcontractors shall retain all books, documents,


papers and records for three years after final payment is made pursuant to any such contract and all other pending matters are closed.

b. Design-Builder agrees to include this section in each Subcontract at each tier, without modification except as appropriate to identify the subcontractor who will be subject to its provisions.



REQUIRED CONTRACT PROVISIONS

FEDERAL-AID CONSTRUCTION CONTRACTS

FHWA Form 1273

TABLE OF CONTENTS

I. GENERAL

II. NONDISCRIMINATION

III. NONSEGREGATED FACILITIES

IV. PAYMENT OF PREDETERMINED MINIMUM WAGE

V. STATEMENTS AND PAYROLLS

VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR

VII. SUBLETTING OR ASSIGNING THE CONTRACT

VIII. SAFETY: ACCIDENT PREVENTION

IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS

X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT

XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION

XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING


I GENERAL

1. These contract provisions shall apply to all work performed on the contract by the contractor's own organization and with the assistance of workers under the contractor's immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract.

2. Except as otherwise provided for in each section, the contractor shall insert in each subcontract all of the stipulations contained in these Required Contract Provisions, and further require their inclusion in any lower tier subcontract or purchase order that may in turn be made. The Required Contract Provisions shall not be incorporated by reference in any case. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with these Required Contract Provisions.

3. A breach of any of the stipulations contained in these Required Contract Provisions shall be sufficient grounds for termination of the contract.

4. A breach of the following clauses of the Required Contract Provisions may also be grounds for debarment as provided in 29 CFR 5.12:

Section I, paragraph 2;

Section IV, paragraphs 1, 2, 3, 4, and 7;

Section V, paragraphs 1 and 2a through 2g.

5. Disputes arising out of the labor standards provisions of Section IV (except paragraph 5) and Section V of these Required Contract Provisions shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the U.S. Department of Labor (DOL) as set forth in 29 CFR 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the contracting agency, the DOL, or the contractor's employees or their representatives.

6. Selection of Labor: During the performance of this contract, the contractor shall not:

a. discriminate against labor from any other State, possession, or territory of the United States [Note: Not applicable to Project (except for employment preference for Appalachian contracts, when applicable, as specified in Attachment A)], or

b. employ convict labor for any purpose within the limits of the project unless it is labor performed by convicts who are on parole, supervised release, or probation.


II. NONDISCRIMINATION

(Applicable to all Federal-aid construction contracts and to all related subcontracts of $10,000 or more.)

1. Equal Employment Opportunity: Equal employment opportunity (EEO) requirements not to discriminate and to take affirmative action to assure equal opportunity as set forth under laws, executive orders, rules, regulations (28 CFR 35, 29 CFR 1630 and 41 CFR 60) and orders of the Secretary of Labor as modified by the provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the contractor's project activities under this contract. The Equal Opportunity Construction Contract Specifications set forth under 41 CFR 60-4.3 and the provisions of the American Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this contract. In the execution of this contract, the contractor agrees to comply with the following minimum specific requirement activities of EEO:

a. The contractor will work with the State highway agency (SHA) and the Federal Government in carrying out EEO obligations and in their review of his/her activities under the contract.

b. The contractor will accept as his operating policy the following statement:

"It is the policy of this Company to assure that applicants are employed, and that employees are treated during employment, without regard to their race, religion, sex, color, national origin, age or disability. Such action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship, preapprenticeship, and/or on-the-job training."

2. EEO Officer: The contractor will designate and make known to the SHA contracting officers an EEO Officer who will have the responsibility for and must be capable of effectively administering and promoting an active contractor program of EEO and who must be assigned adequate authority and responsibility to do so.

3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who recommend such action, or who are substantially involved in such action, will be made fully cognizant of, and will implement, the contractor's EEO policy and contractual responsibilities to provide EEO in each grade and


classification of employment. To ensure that the above agreement will be met, the following actions will be taken as a minimum:

a. Periodic meetings of supervisory and personnel office employees will be conducted before the start of work and then not less often than once every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be conducted by the EEO Officer.

b. All new supervisory or personnel office employees will be given a thorough indoctrination by the EEO Officer, covering all major aspects of the contractor's EEO obligations within thirty days following their reporting for duty with the contractor.

c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating and hiring minority group employees.

d. Notices and posters setting forth the contractor's EEO policy will be placed in areas readily accessible to employees, applicants for employment and potential employees.

e. The contractor's EEO policy and the procedures to implement such policy will be brought to the attention of employees by means of meetings, employee handbooks, or other appropriate means.

4. Recruitment: When advertising for employees, the contractor will include in all advertisements for employees the notation: "An Equal Opportunity Employer." All such advertisements will be placed in publications having a large circulation among minority groups in the area from which the project work force would normally be derived.

a. The contractor will, unless precluded by a valid bargaining agreement, conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minority group applicants. To meet this requirement, the contractor will identify sources of potential minority group employees, and establish with such identified sources procedures whereby minority group applicants may be referred to the contractor for employment consideration.

b. In the event the contractor has a valid bargaining agreement providing for exclusive hiring hall referrals, he is expected to observe the provisions of that agreement to the extent that the system permits the contractor's compliance with EEO contract provisions. (The DOL has held that where implementation of such


agreements have the effect of discriminating against minorities or women, or obligates the contractor to do the same, such implementation violates Executive Order 11246, as amended.)

c. The contractor will encourage his present employees to refer minority group applicants for employment. Information and procedures with regard to referring minority group applicants will be discussed with employees.

5. Personnel Actions: Wages, working conditions, and employee benefits shall be established and administered, and personnel actions of every type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, national origin, age or disability. The following procedures shall be followed:

a. The contractor will conduct periodic inspections of project sites to insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel.

b. The contractor will periodically evaluate the spread of wages paid within each classification to determine any evidence of discriminatory wage practices.

c. The contractor will periodically review selected personnel actions in depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will promptly take corrective action. If the review indicates that the discrimination may extend beyond the actions reviewed, such corrective action shall include all affected persons.

d. The contractor will promptly investigate all complaints of alleged discrimination made to the contractor in connection with his obligations under this contract, will attempt to resolve such complaints, and will take appropriate corrective action within a reasonable time. If the investigation indicates that the discrimination may affect persons other than the complainant, such corrective action shall include such other persons. Upon completion of each investigation, the contractor will inform every complainant of all of his avenues of appeal.

6. Training and Promotion:

a. The contractor will assist in locating, qualifying, and increasing the skills of minority group and women employees, and applicants for employment.


b. Consistent with the contractor's work force requirements and as permissible under Federal and State regulations, the contractor shall make full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training. In the event a special provision for training is provided under this contract, this subparagraph will be superseded as indicated in the special provision.

c. The contractor will advise employees and applicants for employment of available training programs and entrance requirements for each.

d. The contractor will periodically review the training and promotion potential of minority group and women employees and will encourage eligible employees to apply for such training and promotion.

7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use his/her best efforts to obtain the cooperation of such unions to increase opportunities for minority groups and women within the unions, and to effect referrals by such unions of minority and female employees. Actions by the contractor either directly or through a contractor's association acting as agent will include the procedures set forth below:

a. The contractor will use best efforts to develop, in cooperation with the unions, joint training programs aimed toward qualifying more minority group members and women for membership in the unions and increasing the skills of minority group employees and women so that they may qualify for higher paying employment.

b. The contractor will use best efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually bound to refer applicants without regard to their race, color, religion, sex, national origin, age or disability.

c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is within the exclusive possession of the labor union and such labor union refuses to furnish such information to the contractor, the contractor shall so certify to the SHA and shall set forth what efforts have been made to obtain such information.


d. In the event the union is unable to provide the contractor with a reasonable flow of minority and women referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment efforts, fill the employment vacancies without regard to race, color, religion, sex, national origin, age or disability; making full efforts to obtain qualified and/or qualifiable minority group persons and women. (The DOL has held that it shall be no excuse that the union with which the contractor has a collective bargaining agreement providing for exclusive referral failed to refer minority employees.) In the event the union referral practice prevents the contractor from meeting the obligations pursuant to Executive Order 11246, as amended, and these special provisions, such contractor shall immediately notify the SHA.

8. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of race, color, religion, sex, national origin, age or disability in the selection and retention of subcontractors, including procurement of materials and leases of equipment.

a. The contractor shall notify all potential subcontractors and suppliers of his/her EEO obligations under this contract.

b. Disadvantaged business enterprises (DBE), as defined in 49 CFR 23, shall have equal opportunity to compete for and perform subcontracts which the contractor enters into pursuant to this contract. The contractor will use his best efforts to solicit bids from and to utilize DBE subcontractors or subcontractors with meaningful minority group and female representation among their employees. Contractors shall obtain lists of DBE construction firms from SHA personnel.

c. The contractor will use his best efforts to ensure subcontractor compliance with their EEO obligations.

9. Records and Reports: The contractor shall keep such records as necessary to document compliance with the EEO requirements. Such records shall be retained for a period of three years following completion of the contract work and shall be available at reasonable times and places for inspection by authorized representatives of the SHA and the FHWA.


a. The records kept by the contractor shall document the following:

i. The number of minority and non-minority group members and women employed in each work classification on the project;

ii. The progress and efforts being made in cooperation with unions, when applicable, to increase employment opportunities for minorities and women;

iii. The progress and efforts being made in locating, hiring, training, qualifying, and upgrading minority and female employees; and

iv. The progress and efforts being made in securing the services of DBE subcontractors or subcontractors with meaningful minority and female representation among their employees.

b. The contractors will submit an annual report to the SHA each July for the duration of the project, indicating the number of minority, women, and non-minority group employees currently engaged in each work classification required by the contract work. This information is to be reported on Form FHWA-1391. If on-the job training is being required by special provision, the contractor will be required to collect and report training data.

III. NONSEGREGATED FACILITIES


1. By submission of this bid, the execution of this contract or subcontract, or the consummation of this material supply agreement or purchase order, as appropriate, the bidder, Federal-aid construction contractor, subcontractor, material supplier, or vendor, as appropriate, certifies that the firm does not maintain or provide for its employees any segregated facilities at any of its establishments, and that the firm does not permit its employees to perform their services at any location, under its control, where segregated facilities are maintained. The firm agrees that a breach of this certification is a violation of the EEO provisions of this contract. The firm further certifies that no employee will be denied access to adequate facilities on the basis of sex or disability.

2. As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, restrooms and washrooms, restaurants and


other eating areas, timeclocks, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees which are segregated by explicit directive, or are, in fact, segregated on the basis of race, color, religion, national origin, age or disability, because of habit, local custom, or otherwise. The only exception will be for the disabled when the demands for accessibility override (e.g. disabled parking).

3. The contractor agrees that it has obtained or will obtain identical certification from proposed subcontractors or material suppliers prior to award of subcontracts or consummation of material supply agreements of $10,000 or more and that it will retain such certifications in its files.

IV. PAYMENT OF PREDETERMINED MINIMUM WAGE

(Applicable to all Federal-aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural minor collectors, which are exempt.)

1. General:

a. All mechanics and laborers employed or working upon the site of the work will be paid unconditionally and not less often than once a week and without subsequent deduction or rebate on any account [except such payroll deductions as are permitted by regulations (29 CFR 3) issued by the Secretary of Labor under the Copeland Act (40 U.S.C. 276c)] the full amounts of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment. The payment shall be computed at wage rates not less than those contained in the wage determination of the Secretary of Labor (hereinafter "the wage determination") which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor or its subcontractors and such laborers and mechanics. The wage determination (including any additional classifications and wage rates conformed under paragraph 2 of this Section IV and the DOL poster (WH-1321) or Form FHWA-1495) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers. For the purpose of this Section, contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1(b)(2) of the Davis-Bacon Act (40 U.S.C. 276a) on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of Section IV, paragraph 3b, hereof. Also, for the purpose of this Section, regular


contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs, which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in paragraphs 4 and 5 of this Section IV.

b. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed.

c. All rulings and interpretations of the Davis-Bacon Act and related acts contained in 29 CFR 1, 3, and 5 are herein incorporated by reference in this contract.

2. Classification:

a. The SHA contracting officer shall require that any class of laborers or mechanics employed under the contract, which is not listed in the wage determination, shall be classified in conformance with the wage determination.

b. The contracting officer shall approve an additional classification, wage rate and fringe benefits only when the following criteria have been met:

i. the work to be performed by the additional classification requested is not performed by a classification in the wage determination;

ii. the additional classification is utilized in the area by the construction industry;

iii. the proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and

iv. with respect to helpers, when such a classification prevails in the area in which the work is performed.

c. If the contractor or subcontractors, as appropriate, the laborers and mechanics (if known) to be employed in the additional classification or their representatives, and the contracting officer agree on the


classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting officer to the DOL, Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, D.C. 20210. The Wage and Hour Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.

d. In the event the contractor or subcontractors, as appropriate, the laborers or mechanics to be employed in the additional classification or their representatives, and the contracting officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions, including the views of all interested parties and the recommendation of the contracting officer, to the Wage and Hour Administrator for determination. Said Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary

e. The wage rate (including fringe benefits where appropriate) determined pursuant to paragraph 2c or 2d of this Section IV shall be paid to all workers performing work in the additional classification from the first day on which work is performed in the classification.

3. Payment of Fringe Benefits:

a. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor or subcontractors, as appropriate, shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly case equivalent thereof.

b. If the contractor or subcontractor, as appropriate, does not make payments to a trustee or other third person, he/she may consider as a part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a


separate account assets for the meeting of obligations under the plan or program.

4. Apprentices and Trainees (Programs of the U.S. DOL) and Helpers:

a. Apprentices:

i. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the DOL, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau, or if a person is employed in his/her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State apprenticeship agency (where appropriate) to be eligible for probationary employment as an apprentice.

ii. The allowable ratio of apprentices to journeyman-level employees on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any employee listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate listed in the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor or subcontractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman-level hourly rate) specified in the contractor's or subcontractor's registered program shall be observed.

iii. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeyman-level hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship


program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator for the Wage and Hour Division determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination.

iv. In the event the Bureau of Apprenticeship and Training, or a State apprenticeship agency recognized by the Bureau, withdraws approval of an apprenticeship program, the contractor or subcontractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the comparable work performed by regular employees until an acceptable program is approved.

b. Trainees:

i. Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the DOL, Employment and Training Administration.

ii. The ratio of trainees to journeyman-level employees on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed.

iii. Every trainee must be paid at not less than the rate specified in the approved program for his/her level of progress, expressed as a percentage of the journeyman-level hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage


determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman-level wage rate on the wage determination which provides for less than full fringe benefits for apprentices, in which case such trainees shall receive the same fringe benefits as apprentices.

iv In the event the Employment and Training Administration withdraws approval of a training program, the contractor or subcontractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

c. Helpers:

d. Helpers will be permitted to work on a project if the helper classification is specified and defined on the applicable wage determination or is approved pursuant to the conformance procedure set forth in Section IV.2. Any worker listed on a payroll at a helper wage rate, who is not a helper under an approved definition, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed.

5. Apprentices and Trainees (Programs of the U.S. DOT):

Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal-aid highway construction programs are not subject to the requirements of paragraph 4 of this Section IV. The straight time hourly wage rates for apprentices and trainees under such programs will be established by the particular programs. The ratio of apprentices and trainees to journeymen shall not be greater than permitted by the terms of the particular program.

6. Withholding:

The SHA shall upon its own action or upon written request of an authorized representative of the DOL withhold, or cause to be withheld, from the contractor or subcontractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements which is held by the same prime contractor, as much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by


the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the SHA contracting officer may, after written notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

7. Overtime Requirements:

No contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers, mechanics, watchmen, or guards (including apprentices, trainees, and helpers described in paragraphs 4 and 5 above) shall require or permit any laborer, mechanic, watchman, or guard in any workweek in which he/she is employed on such work, to work in excess of 40 hours in such workweek unless such laborer, mechanic, watchman, or guard receives compensation at a rate not less than one-and-one-half times his/her basic rate of pay for all hours worked in excess of 40 hours in such workweek.

8. Violation:

Liability for Unpaid Wages; Liquidated Damages: In the event of any violation of the clause set forth in paragraph 7 above, the contractor and any subcontractor responsible thereof shall be liable to the affected employee for his/her unpaid wages. In addition, such contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory) for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer, mechanic, watchman, or guard employed in violation of the clause set forth in paragraph 7, in the sum of $10 for each calendar day on which such employee was required or permitted to work in excess of the standard work week of 40 hours without payment of the overtime wages required by the clause set forth in paragraph 7.

9. Withholding for Unpaid Wages and Liquidated Damages:

The SHA shall upon its own action or upon written request of any authorized representative of the DOL withhold, or cause to be withheld, from any monies payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to


be necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph 8 above.

V. STATEMENTS AND PAYROLLS

(Applicable to all Federal-aid construction contracts exceeding $2,000 and to all related subcontracts, except for projects located on roadways classified as local roads or rural collectors, which are exempt.)

1. Compliance with Copeland Regulations (29 CFR 3):

The contractor shall comply with the Copeland Regulations of the Secretary of Labor which are herein incorporated by reference.

2. Payrolls and Payroll Records:

a. Payrolls and basic records relating thereto shall be maintained by the contractor and each subcontractor during the course of the work and preserved for a period of 3 years from the date of completion of the contract for all laborers, mechanics, apprentices, trainees, watchmen, helpers, and guards working at the site of the work.

b. The payroll records shall contain the name, social security number, and address of each such employee; his or her correct classification; hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalent thereof the types described in Section 1(b)(2)(B) of the Davis Bacon Act); daily and weekly number of hours worked; deductions made; and actual wages paid. [Note: Not applicable to Project - In addition, for Appalachian contracts, the payroll records shall contain a notation indicating whether the employee does, or does not, normally reside in the labor area as defined in Attachment A, paragraph 1.] Whenever the Secretary of Labor, pursuant to Section IV, paragraph 3b, has found that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis Bacon Act, the contractor and each subcontractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, that the plan or program has been communicated in writing to the laborers or mechanics affected, and show the cost anticipated or the actual cost incurred in providing benefits. Contractors or subcontractors employing apprentices or trainees under approved programs shall


maintain written evidence of the registration of apprentices and trainees, and ratios and wage rates prescribed in the applicable programs.

c. Each contractor and subcontractor shall furnish, each week in which any contract work is performed, to the SHA resident engineer a payroll of wages paid each of its employees (including apprentices, trainees, and helpers, described in Section IV, paragraphs 4 and 5, and watchmen and guards engaged on work during the preceding weekly payroll period). The payroll submitted shall set out accurately and completely all of the information required to be maintained under paragraph 2b of this Section V. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal stock number 029-005-0014-1), U.S. Government Printing Office, Washington, D.C. 20402. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors.

d. Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or subcontractor or his/her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

i. that the payroll for the payroll period contains the information required to be maintained under paragraph 2b of this Section V and that such information is correct and complete;

ii. that such laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in the Regulations, 29 CFR 3;

iii that each laborer or mechanic has been paid not less than the applicable wage rate and fringe benefits or cash equivalent for the classification of worked performed, as specified in the applicable wage determination incorporated into the contract.

e. The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph 2d of this Section V.


f. The falsification of any of the above certifications may subject the contractor to civil or criminal prosecution under 18 U.S.C. 1001 and 31 U.S.C. 231.

g. The contractor or subcontractor shall make the records required under paragraph 2b of this Section V available for inspection, copying, or transcription by authorized representatives of the SHA, the FHWA, or the DOL, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, the SHA, the FHWA, the DOL, or all may, after written notice to the contractor, sponsor, applicant, or owner, take such actions as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.

VI. RECORD OF MATERIALS, SUPPLIES, AND LABOR

1. On all Federal-aid contracts on the National Highway System, except those which provide solely for the installation of protective devices at railroad grade crossings, those which are constructed on a force account or direct labor basis, highway beautification contracts, and contracts for which the total final construction cost for roadway and bridge is less than $1,000,000 (23 CFR 635) the contractor shall:

a. Become familiar with the list of specific materials and supplies contained in Form FHWA-47, "Statement of Materials and Labor Used by Contractor of Highway Construction Involving Federal Funds," prior to the commencement of work under this contract.

b. Maintain a record of the total cost of all materials and supplies purchased for and incorporated in the work, and also of the quantities of those specific materials and supplies listed on Form FHWA-47, and in the units shown on Form FHWA-47.

c. Furnish, upon the completion of the contract, to the SHA resident engineer on Form FHWA-47 together with the data required in paragraph 1b relative to materials and supplies, a final labor summary of all contract work indicating the total hours worked and the total amount earned.

2. At the prime contractor's option, either a single report covering all contract work or separate reports for the contractor and for each subcontract shall be submitted.


VII. SUBLETTING OR ASSIGNING THE CONTRACT

1. The contractor shall perform with its own organization contract work amounting to not less than 30 percent (or a greater percentage if specified elsewhere in the contract) of the total original contract price, excluding any specialty items designated by the State. Specialty items may be performed by subcontract and the amount of any such specialty items performed may be deducted from the total original contract price before computing the amount of work required to be performed by the contractor's own organization (23 CFR 635).

a. "Its own organization" shall be construed to include only workers employed and paid directly by the prime contractor and equipment owned or rented by the prime contractor, with or without operators. Such term does not include employees or equipment of a subcontractor, assignee, or agent of the prime contractor.

b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily available in the type of contracting organizations qualified and expected to bid on the contract as a whole and in general are to be limited to minor components of the overall contract.

2. The contract amount upon which the requirements set forth in paragraph 1 of Section VII is computed includes the cost of material and manufactured products which are to be purchased or produced by the contractor under the contract provisions.

3. The contractor shall furnish (a) a competent superintendent or supervisor who is employed by the firm, has full authority to direct performance of the work in accordance with the contract requirements, and is in charge of all construction operations (regardless of who performs the work) and (b) such other of its own organizational resources (supervision, management, and engineering services) as the SHA contracting officer determines is necessary to assure the performance of the contract.

4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the SHA contracting officer, or authorized representative, and such consent when given shall not be construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the SHA has assured that each subcontract is evidenced in writing and that it contains all pertinent provisions and requirements of the prime contract.


VIII. SAFETY: ACCIDENT PREVENTION

1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and sanitation (23 CFR 635). The contractor shall provide all safeguards, safety devices and protective equipment and take any other needed actions as it determines, or as the SHA contracting officer may determine, to be reasonably necessary to protect the life and health of employees on the job and the safety of the public and to protect property in connection with the performance of the work covered by the contract.

2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that the contractor and any subcontractor shall not permit any employee, in performance of the contract, to work in surroundings or under conditions which are unsanitary, hazardous or dangerous to his/her health or safety, as determined under construction safety and health standards (29 CFR 1926) promulgated by the Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333).

3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of entry to any site of contract performance to inspect or investigate the matter of compliance with the construction safety and health standards and to carry out the duties of the Secretary under Section 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. 333).

IX. FALSE STATEMENTS CONCERNING HIGHWAY PROJECTS

In order to assure high quality and durable construction in conformity with approved plans and specifications and a high degree of reliability on statements and representations made by engineers, contractors, suppliers, and workers on Federal-aid highway projects, it is essential that all persons concerned with the Project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or misrepresentation with respect to any facts related to the project is a violation of Federal law. To prevent any misunderstanding regarding the seriousness of these and similar acts, the following notice shall be posted on each Federal-aid highway project (23 CFR 635) in one or more places where it is readily available to all persons concerned with the project:


NOTICE TO ALL PERSONNEL ENGAGED ON FEDERAL-AID HIGHWAY PROJECTS

8 U.S.C. 1020 reads as follows: • "Whoever, being an officer, agent, or employee of the United States, or of

any State or Territory, or whoever, whether a person, association, firm, or corporation, knowingly makes any false statement, false representation, or false report as to the character, quality, quantity, or cost of the material used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of plans, maps, specifications, contracts, or costs of construction on any highway or related project submitted for approval to the Secretary of Transportation; or

• Whoever knowingly makes any false statement, false representation, false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to be furnished, in connection with the construction of any highway or related project approved by the Secretary of Transportation; or

• Whoever knowingly makes any false statement or false representation as to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. 355), as amended and supplemented;

• Shall be fined not more than $10,000 or imprisoned not more than 5 years or both.”

X. IMPLEMENTATION OF CLEAN AIR ACT AND FEDERAL WATER POLLUTION CONTROL ACT


By submission of this bid or the execution of this contract, or subcontract, as appropriate, the bidder, Federal-aid construction contractor, or subcontractor, as appropriate, will be deemed to have stipulated as follows:

1. That any facility that is or will be utilized in the performance of this contract, unless such contract is exempt under the Clean Air Act, as


amended (42 U.S.C. 1857 et seq., as amended by Pub. L. 91-604), and under the Federal Water Pollution Control Act, as amended (33 U.S.C. 1251 et seq., as amended by Pub. L. 92-500), Executive Order 11738, and regulations in implementation thereof (40 CFR 15) is not listed, on the date of contract award, on the U.S. Environmental Protection Agency (EPA) List of Violating Facilities pursuant to 40 CFR 15.20.

2. That the firm agrees to comply and remain in compliance with all the requirements of Section 114 of the Clean Air Act and Section 308 of the Federal Water Pollution Control Act and all regulations and guidelines listed thereunder.

3. That the firm shall promptly notify the SHA of the receipt of any communication from the Director, Office of Federal Activities, EPA, indicating that a facility that is or will be utilized for the contract is under consideration to be listed on the EPA List of Violating Facilities.

4. That the firm agrees to include or cause to be included the requirements of paragraph 1 through 4 of this Section X in every nonexempt subcontract, and further agrees to take such action as the government may direct as a means of enforcing such requirements.

XI. CERTIFICATION REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION

1. Instructions for Certification - Primary Covered Transactions

(Applicable to all Federal-aid contracts - 49 CFR 29)

a. By signing and submitting this proposal, the prospective primary participant is providing the certification set out below.

b. The inability of a person to provide the certification set out below will not necessarily result in denial of participation in this covered transaction. The prospective participant shall submit an explanation of why it cannot provide the certification set out below. The certification or explanation will be considered in connection with the department or agency's determination whether to enter into this transaction. However, failure of the prospective primary participant to furnish a certification or an explanation shall disqualify such a person from participation in this transaction.

c. The certification in this clause is a material representation of fact upon which reliance was placed when the department or agency determined to enter into this transaction. If it is later determined that the prospective primary participant knowingly rendered an


erroneous certification, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause of default.

d. The prospective primary participant shall provide immediate written notice to the department or agency to whom this proposal is submitted if at any time the prospective primary participant learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

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

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

g. The prospective primary participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier Covered Transaction," provided by the department or agency entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

h. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may, but is not required to, check the nonprocurement portion of the "Lists of Parties Excluded From Federal Procurement or Nonprocurement Programs" (Nonprocurement List) which is compiled by the General Services Administration.


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

j. Except for transactions authorized under paragraph f of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Federal Government, the department or agency may terminate this transaction for cause or default.

* * * * * Certification Regarding Debarment, Suspension, Ineligibility and Voluntary

Exclusion--Primary Covered Transactions

1. The prospective primary participant certifies to the best of its knowledge and belief, that it and its principals:

a. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;

b. Have not within a 3-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property;

c. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph 1b of this certification; and

d. Have not within a 3-year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default.


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

* * * * *

3. Instructions for Certification - Lower Tier Covered Transactions:

(Applicable to all subcontracts, purchase orders and other lower tier transactions of $25,000 or more - 49 CFR 29)

a. By signing and submitting this proposal, the prospective lower tier participant is providing the certification set out below.

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

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

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

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

f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary


Exclusion-Lower Tier Covered Transaction," without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

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

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

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

* * * * *

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

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

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

* * * * *


XII. CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING

(Applicable to all Federal-aid construction contracts and to all related subcontracts which exceed $100,000 - 49 CFR 20)

1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that:

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

b. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions.

2. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

3. The prospective participant also agrees by submitting his or her bid or proposal that he or she shall require that the language of this certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly.



FEDERAL PREVAILING WAGE RATE

(Subject to change)

The federal prevailing wage rates for the Work through Final Acceptance shall be those set forth under the general wage decision for highway construction projects in Riverside County, California as published on the Davis-Bacon wage determination website on the date that is ten days before the Proposal Due Date. Such prevailing wage rates are incorporated herein.

[The wage decisions and labor classifications in this Attachment 3 to Appendix 14 shall be updated at or before execution of the Contract with the wage decisions and labor classifications in effect ten days prior to the Proposal Date. Design-Builder is not entitled to any change in the Contract Price due to the differences between the wage decisions and labor classifications herein and those in effect ten days prior to the Proposal Date.]


RIVERSIDE COUNTY

General Decision Number: CA120036 06/08/2012 CA36 Superseded General Decision Number: CA20100036 State: California Construction Types: Building, Heavy (Heavy and Dredging) and Highway County: Riverside County in California. BUILDING CONSTRUCTION PROJECTS; DREDGING PROJECTS (does not include hopper dredge work); HEAVY CONSTRUCTION PROJECTS (does not include water well drilling); HIGHWAY CONSTRUCTION PROJECTS Modification Number Publication Date 0 01/06/2012 1 03/02/2012 2 03/30/2012 3 04/20/2012 4 04/27/2012 5 05/04/2012 6 05/18/2012 7 06/08/2012 ASBE0005-002 06/28/2010 Rates Fringes Asbestos Workers/Insulator (Includes the application of all insulating materials, protective coverings, coatings, and finishes to all types of mechanical systems).....$ 32.79 16.31 Fire Stop Technician (Application of Firestopping Materials for wall openings and penetrations in walls, floors, ceilings and curtain walls)...........................$ 24.21 13.76 ---------------------------------------------------------------- ASBE0005-004 06/28/2010 Rates Fringes Asbestos Removal worker/hazardous material handler (Includes preparation, wetting, stripping, removal,


scrapping, vacuuming, bagging and disposing of all insulation materials from mechanical systems, whether they contain asbestos or not)....$ 18.70 8.65 ---------------------------------------------------------------- BOIL0092-003 05/01/2011 Rates Fringes BOILERMAKER......................$ 41.26 25.27 ---------------------------------------------------------------- * BRCA0004-011 05/01/2012 Rates Fringes BRICKLAYER; MARBLE SETTER........$ 35.96 11.32 *The wage scale for prevailing wage projects performed in Blythe, China lake, Death Valley, Fort Irwin, Twenty-Nine Palms, Needles and 1-15 corridor (Barstow to the Nevada State Line) will be Three Dollars ($3.00) above the standard San Bernardino/Riverside County hourly wage rate ---------------------------------------------------------------- BRCA0018-004 06/01/2011 Rates Fringes MARBLE FINISHER..................$ 28.02 12.22 TILE FINISHER....................$ 27.80 12.54 TILE LAYER.......................$ 38.61 13.83 ---------------------------------------------------------------- BRCA0018-010 09/01/2009 Rates Fringes TERRAZZO FINISHER................$ 26.59 9.62 TERRAZZO WORKER/SETTER...........$ 33.63 10.46 ---------------------------------------------------------------- CARP0409-001 07/01/2010 Rates Fringes CARPENTER (1) Carpenter, Cabinet Installer, Insulation Installer, Hardwood Floor Worker and acoustical installer, and solar panels.$ 37.35 11.08 (2) Millwright..............$ 37.85 11.08 (3) Piledriver/Derrick Bargeman, Bridge or Dock Carpenter, Heavy Framer, Rock Bargeman or Scowman, Rockslinger, Shingler (Commercial)................$ 37.48 10.58


(3) Piledrivermen/Derrick Bargeman, Bridge or Dock Carpenter, Heavy Framer, Rock Bargeman or Scowman, Rockslinger, Shingler (Commercial)................$ 37.48 11.08 (4) Pneumatic Nailer, Power Stapler...............$ 37.60 11.08 (5) Sawfiler...............$ 37.44 11.08 (6) Scaffold Builder.......$ 28.55 11.08 (7) Table Power Saw Operator....................$ 37.45 11.08 FOOTNOTE: Work of forming in the construction of open cut sewers or storm drains, on operations in which horizontal lagging is used in conjunction with steel H-Beams driven or placed in pre- drilled holes, for that portion of a lagged trench against which concrete is poured, namely, as a substitute for back forms (which work is performed by piledrivers): $0.13 per hour additional. Certified Welder - $1.00 per hour premium. ---------------------------------------------------------------- CARP0409-002 07/01/2008 Rates Fringes Diver (1) Wet.....................$ 663.68 9.82 (2) Standby.................$ 331.84 9.82 (3) Tender..................$ 323.84 9.82 (4) Assistant Tender........$ 299.84 9.82 Amounts in "Rates' column are per day ---------------------------------------------------------------- CARP0409-005 07/01/2010 Rates Fringes Drywall DRYWALL INSTALLER/LATHER....$ 37.35 11.08 STOCKER/SCRAPPER............$ 10.00 6.67 ---------------------------------------------------------------- CARP0409-008 08/01/2010 Rates Fringes Modular Furniture Installer......$ 17.00 7.41 ---------------------------------------------------------------- * ELEC0011-002 05/28/2012 COMMUNICATIONS AND SYSTEMS WORK Rates Fringes


Communications System Installer...................$ 27.25 11.75 Technician..................$ 29.05 11.75 SCOPE OF WORK: Installation, testing, service and maintenance of systems utilizing the transmission and/or transference of voice, sound, vision and digital for commercial, educational, security and entertainment purposes for the following: TV monitoring and surveillance, background-foreground music, intercom and telephone interconnect, inventory control systems, microwave transmission, multi-media, multiplex, nurse call systems, radio page, school intercom and sound, burglar alarms, fire alarm (see last paragraph below) and low voltage master clock systems in commercial buildings. Communication Systems that transmit or receive information and/or control systems that are intrinsic to the above listed systems; inclusion or exclusion of terminations and testings of conductors determined by their function; excluding all other data systems or multiple systems which include control function or power supply; excluding installation of raceway systems, conduit systems, line voltage work, and energy management systems. Does not cover work performed at China Lake Naval Ordnance Test Station. Fire alarm work shall be performed at the current inside wireman total cost package. ---------------------------------------------------------------- * ELEC0440-001 12/01/2011 Rates Fringes ELECTRICIAN INSIDE ELECTRICIAN..........$ 35.70 3%+17.94 INTELLIGENT TRANSPORTATION SYSTEMS Electrician................$ 35.70 3%+17.94 Technician.................$ 26.77 3%+17.94 ZONE PAY: Zone A: Free travel zone for all contractors performing work in Zone A. Zone B:Any work performed in Zone (B) shall add $12.00 per hour to the current wage scale. Zone (B) shall be the area from the eastern perimeter of Zone (A) to a line which runs north and south beginning at Little Morongo Canyon (San Bernardino/Riverside County Line), Southeast along the Coachella Tunnels, Colorado River Aqueduct and Mecca Tunnels to Pinkham Wash then South to Box Canyon Road, then southwest along Box Canyon Road to Highway 195 west onto 195 south to Highway 86 to Riverside/Imperial County Line. ---------------------------------------------------------------- ELEC1245-001 06/01/2011 Rates Fringes


LINE CONSTRUCTION (1) Lineman; Cable splicer..$ 47.87 13.87 (2) Equipment specialist (operates crawler tractors, commercial motor vehicles, backhoes, trenchers, cranes (50 tons and below), overhead & underground distribution line equipment)...........$ 38.23 12.80 (3) Groundman...............$ 29.25 12.53 (4) Powderman...............$ 42.75 12.97 HOLIDAYS: New Year's Day, M.L. King Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day and day after Thanksgiving, Christmas Day ---------------------------------------------------------------- ELEV0018-001 01/01/2012 Rates Fringes ELEVATOR MECHANIC................$ 47.73 23.535 FOOTNOTE: PAID VACATION: Employer contributes 8% of regular hourly rate as vacation pay credit for employees with more than 5 years of service, and 6% for 6 months to 5 years of service. PAID HOLIDAYS: New Years Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day, Friday after Thanksgiving, and Christmas Day. ---------------------------------------------------------------- * ENGI0012-003 07/01/2011 Rates Fringes OPERATOR: Power Equipment (All Other Work) GROUP 1....................$ 36.13 20.77 GROUP 2....................$ 36.91 20.77 GROUP 3....................$ 37.20 20.77 GROUP 4....................$ 38.69 20.77 GROUP 5....................$ 40.49 20.77 GROUP 6....................$ 38.91 20.77 GROUP 8....................$ 39.02 20.77 GROUP 9....................$ 40.82 20.77 GROUP 10....................$ 39.14 20.77 GROUP 11....................$ 40.94 20.77 GROUP 12....................$ 39.31 20.77 GROUP 13....................$ 39.41 20.77 GROUP 14....................$ 39.44 20.77 GROUP 15....................$ 39.52 20.77 GROUP 16....................$ 39.64 20.77 GROUP 17....................$ 39.81 20.77 GROUP 18....................$ 39.91 20.77 GROUP 19....................$ 40.02 20.77 GROUP 20....................$ 40.14 20.77


GROUP 21....................$ 40.31 20.77 GROUP 22....................$ 40.41 20.77 GROUP 23....................$ 40.52 20.77 GROUP 24....................$ 40.64 20.77 GROUP 25....................$ 40.81 20.77 OPERATOR: Power Equipment (Cranes, Piledriving & Hoisting) GROUP 1....................$ 37.48 20.77 GROUP 2....................$ 38.26 20.77 GROUP 3....................$ 38.55 20.77 GROUP 4....................$ 38.69 20.77 GROUP 5....................$ 38.91 20.77 GROUP 6....................$ 39.02 20.77 GROUP 7....................$ 39.14 20.77 GROUP 8....................$ 39.31 20.77 GROUP 9....................$ 39.48 20.77 GROUP 10....................$ 40.48 20.77 GROUP 11....................$ 41.48 20.77 GROUP 12....................$ 42.48 20.77 GROUP 13....................$ 43.48 20.77 OPERATOR: Power Equipment (Tunnel Work) GROUP 1....................$ 37.98 20.77 GROUP 2....................$ 38.76 20.77 GROUP 3....................$ 39.05 20.77 GROUP 4....................$ 39.19 20.77 GROUP 5....................$ 39.41 20.77 GROUP 6....................$ 39.52 20.77 GROUP 7....................$ 39.64 20.77 PREMIUM PAY: $3.75 per hour shall be paid on all Power Equipment Operator work on the following Military Bases: China Lake Naval Reserve, Vandenberg AFB, Point Arguello, Seely Naval Base, Fort Irwin, Nebo Annex Marine Base, Marine Corp Logistics Base Yermo, Edwards AFB, 29 Palms Marine Base and Camp Pendleton Workers required to suit up and work in a hazardous material environment: $2.00 per hour additional. Combination mixer and compressor operator on gunite work shall be classified as a concrete mobile mixer operator. SEE ZONE DEFINITIONS AFTER CLASSIFICATIONS POWER EQUIPMENT OPERATORS CLASSIFICATIONS GROUP 1: Bargeman; Brakeman; Compressor operator; Ditch Witch, with seat or similar type equipment; Elevator operator-inside; Engineer Oiler; Forklift operator (includes loed, lull or similar types under 5 tons; Generator operator; Generator, pump or compressor plant operator; Pump operator; Signalman; Switchman


GROUP 2: Asphalt-rubber plant operator (nurse tank operator); Concrete mixer operator-skip type; Conveyor operator; Fireman; Forklift operator (includes loed, lull or similar types over 5 tons; Hydrostatic pump operator; oiler crusher (asphalt or concrete plant); Petromat laydown machine; PJU side dum jack; Screening and conveyor machine operator (or similar types); Skiploader (wheel type up to 3/4 yd. without attachment); Tar pot fireman; Temporary heating plant operator; Trenching machine oiler GROUP 3: Asphalt-rubber blend operator; Bobcat or similar type (Skid steer); Equipment greaser (rack); Ford Ferguson (with dragtype attachments); Helicopter radioman (ground); Stationary pipe wrapping and cleaning machine operator GROUP 4: Asphalt plant fireman; Backhoe operator (mini-max or similar type); Boring machine operator; Boxman or mixerman (asphalt or concrete); Chip spreading machine operator; Concrete cleaning decontamination machine operator; Concrete Pump Operator (small portable); Drilling machine operator, small auger types (Texoma super economatic or similar types - Hughes 100 or 200 or similar types - drilling depth of 30' maximum); Equipment greaser (grease truck); Guard rail post driver operator; Highline cableway signalman; Hydra-hammer-aero stomper; Micro Tunneling (above ground tunnel); Power concrete curing machine operator; Power concrete saw operator; Power-driven jumbo form setter operator; Power sweeper operator; Rock Wheel Saw/Trencher; Roller operator (compacting); Screed operator (asphalt or concrete); Trenching machine operator (up to 6 ft.); Vacuum or much truck GROUP 5: Equipment Greaser (Grease Truck/Multi Shift). GROUP 6: Articulating material hauler; Asphalt plant engineer; Batch plant operator; Bit sharpener; Concrete joint machine operator (canal and similar type); Concrete planer operator; Dandy digger; Deck engine operator; Derrickman (oilfield type); Drilling machine operator, bucket or auger types (Calweld 100 bucket or similar types - Watson 1000 auger or similar types - Texoma 330, 500 or 600 auger or similar types - drilling depth of 45' maximum); Drilling machine operator; Hydrographic seeder machine operator (straw, pulp or seed), Jackson track maintainer, or similar type; Kalamazoo Switch tamper, or similar type; Machine tool operator; Maginnis internal full slab vibrator, Mechanical berm, curb or gutter(concrete or asphalt); Mechanical finisher operator (concrete, Clary-Johnson-Bidwell or similar); Micro tunnel system (below ground); Pavement breaker operator (truck mounted); Road oil mixing machine operator; Roller operator (asphalt or finish), rubber-tired earth moving equipment (single engine, up to and including 25 yds. struck); Self-propelled tar pipelining machine operator; Skiploader operator (crawler and wheel type, over 3/4 yd. and up to and including 1-1/2 yds.); Slip form pump operator (power


driven hydraulic lifting device for concrete forms); Tractor operator-bulldozer, tamper-scraper (single engine, up to 100 h.p. flywheel and similar types, up to and including D-5 and similar types); Tugger hoist operator (1 drum); Ultra high pressure waterjet cutting tool system operator; Vacuum blasting machine operator GROUP 8: Asphalt or concrete spreading operator (tamping or finishing); Asphalt paving machine operator (Barber Greene or similar type); Asphalt-rubber distribution operator; Backhoe operator (up to and including 3/4 yd.), small ford, Case or similar; Cast-in-place pipe laying machine operator; Combination mixer and compressor operator (gunite work); Compactor operator (self-propelled); Concrete mixer operator (paving); Crushing plant operator; Drill Doctor; Drilling machine operator, Bucket or auger types (Calweld 150 bucket or similar types - Watson 1500, 2000 2500 auger or similar types - Texoma 700, 800 auger or similar types - drilling depth of 60' maximum); Elevating grader operator; Grade checker; Gradall operator; Grouting machine operator; Heavy-duty repairman; Heavy equipment robotics operator; Kalamazoo balliste regulator or similar type; Kolman belt loader and similar type; Le Tourneau blob compactor or similar type; Loader operator (Athey, Euclid, Sierra and similar types); Mobark Chipper or similar; Ozzie padder or similar types; P.C. slot saw; Pneumatic concrete placing machine operator (Hackley-Presswell or similar type); Pumpcrete gun operator; Rock Drill or similar types; Rotary drill operator (excluding caisson type); Rubber-tired earth-moving equipment operator (single engine, caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. up to and including 50 cu. yds. struck); Rubber-tired earth-moving equipment operator (multiple engine up to and including 25 yds. struck); Rubber-tired scraper operator (self-loading paddle wheel type-John Deere, 1040 and similar single unit); Self- propelled curb and gutter machine operator; Shuttle buggy; Skiploader operator (crawler and wheel type over 1-1/2 yds. up to and including 6-1/2 yds.); Soil remediation plant operator; Surface heaters and planer operator; Tractor compressor drill combination operator; Tractor operator (any type larger than D-5 - 100 flywheel h.p. and over, or similar-bulldozer, tamper, scraper and push tractor single engine); Tractor operator (boom attachments), Traveling pipe wrapping, cleaning and bendng machine operator; Trenching machine operator (over 6 ft. depth capacity, manufacturer's rating); trenching Machine with Road Miner attachment (over 6 ft depth capacity): Ultra high pressure waterjet cutting tool system mechanic; Water pull (compaction) operator GROUP 9: Heavy Duty Repairman


GROUP 10: Drilling machine operator, Bucket or auger types (Calweld 200 B bucket or similar types-Watson 3000 or 5000 auger or similar types-Texoma 900 auger or similar types-drilling depth of 105' maximum); Dual drum mixer, dynamic compactor LDC350 (or similar types); Monorail locomotive operator (diesel, gas or electric); Motor patrol-blade operator (single engine); Multiple engine tractor operator (Euclid and similar type-except Quad 9 cat.); Rubber-tired earth-moving equipment operator (single engine, over 50 yds. struck); Pneumatic pipe ramming tool and similar types; Prestressed wrapping machine operator; Rubber-tired earth-moving equipment operator (single engine, over 50 yds. struck); Rubber tired earth moving equipment operator (multiple engine, Euclid, caterpillar and similar over 25 yds. and up to 50 yds. struck), Tower crane repairman; Tractor loader operator (crawler and wheel type over 6-1/2 yds.); Woods mixer operator (and similar Pugmill equipment) GROUP 11: Heavy Duty Repairman - Welder Combination, Welder - Certified. GROUP 12: Auto grader operator; Automatic slip form operator; Drilling machine operator, bucket or auger types (Calweld, auger 200 CA or similar types - Watson, auger 6000 or similar types - Hughes Super Duty, auger 200 or similar types - drilling depth of 175' maximum); Hoe ram or similar with compressor; Mass excavator operator less than 750 cu. yards; Mechanical finishing machine operator; Mobile form traveler operator; Motor patrol operator (multi-engine); Pipe mobile machine operator; Rubber-tired earth- moving equipment operator (multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck); Rubber-tired self- loading scraper operator (paddle-wheel-auger type self-loading - two (2) or more units) GROUP 13: Rubber-tired earth-moving equipment operator operating equipment with push-pull system (single engine, up to and including 25 yds. struck) GROUP 14: Canal liner operator; Canal trimmer operator; Remote- control earth-moving equipment operator (operating a second piece of equipment: $1.00 per hour additional); Wheel excavator operator (over 750 cu. yds.) GROUP 15: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine-up to and including 25 yds. struck)


GROUP 16: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 17: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine, Euclid, Caterpillar and similar, over 50 cu. yds. struck); Tandem tractor operator (operating crawler type tractors in tandem - Quad 9 and similar type) GROUP 18: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, up to and including 25 yds. struck) GROUP 19: Rotex concrete belt operator (or similar types); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 cu. yds. struck); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - multiple engine, up to and including 25 yds. struck) GROUP 20: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps, and similar types in any combination, excluding compaction units - multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 21: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck) GROUP 22: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, up to and including 25 yds. struck)


GROUP 23: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 yds. struck); Rubber-tired earth-moving equipment operator, operating with the tandem push-pull system (multiple engine, up to and including 25 yds. struck) GROUP 24: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 25: Concrete pump operator-truck mounted; Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck) CRANES, PILEDRIVING AND HOISTING EQUIPMENT CLASSIFICATIONS GROUP 1: Engineer oiler; Fork lift operator (includes loed, lull or similar types) GROUP 2: Truck crane oiler GROUP 3: A-frame or winch truck operator; Ross carrier operator (jobsite) GROUP 4: Bridge-type unloader and turntable operator; Helicopter hoist operator GROUP 5: Hydraulic boom truck; Stinger crane (Austin-Western or similar type); Tugger hoist operator (1 drum) GROUP 6: Bridge crane operator; Cretor crane operator; Hoist operator (Chicago boom and similar type); Lift mobile operator; Lift slab machine operator (Vagtborg and similar types); Material hoist and/or manlift operator; Polar gantry crane operator; Self Climbing scaffold (or similar type); Shovel, backhoe, dragline, clamshell operator (over 3/4 yd. and up to 5 cu. yds. mrc); Tugger hoist operator GROUP 7: Pedestal crane operator; Shovel, backhoe, dragline, clamshell operator (over 5 cu. yds. mrc); Tower crane repair; Tugger hoist operator (3 drum) GROUP 8: Crane operator (up to and including 25 ton capacity); Crawler transporter operator; Derrick barge operator (up to and including 25 ton capacity); Hoist operator, stiff legs, Guy derrick or similar type (up to and including 25 ton capacity); Shovel, backhoe, dragline, clamshell operator (over 7 cu. yds., M.R.C.)


GROUP 9: Crane operator (over 25 tons and up to and including 50 tons mrc); Derrick barge operator (over 25 tons up to and including 50 tons mrc); Highline cableway operator; Hoist operator, stiff legs, Guy derrick or similar type (over 25 tons up to and including 50 tons mrc); K-crane operator; Polar crane operator; Self erecting tower crane operator maximum lifting capacity ten tons GROUP 10: Crane operator (over 50 tons and up to and including 100 tons mrc); Derrick barge operator (over 50 tons up to and including 100 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 50 tons up to and including 100 tons mrc), Mobile tower crane operator (over 50 tons, up to and including 100 tons M.R.C.); Tower crane operator and tower gantry GROUP 11: Crane operator (over 100 tons and up to and including 200 tons mrc); Derrick barge operator (over 100 tons up to and including 200 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 100 tons up to and including 200 tons mrc); Mobile tower crane operator (over 100 tons up to and including 200 tons mrc) GROUP 12: Crane operator (over 200 tons up to and including 300 tons mrc); Derrick barge operator (over 200 tons up to and including 300 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 200 tons, up to and including 300 tons mrc); Mobile tower crane operator (over 200 tons, up to and including 300 tons mrc) GROUP 13: Crane operator (over 300 tons); Derrick barge operator (over 300 tons); Helicopter pilot; Hoist operator, stiff legs, Guy derrick or similar type (over 300 tons); Mobile tower crane operator (over 300 tons) TUNNEL CLASSIFICATIONS GROUP 1: Skiploader (wheel type up to 3/4 yd. without attachment) GROUP 2: Power-driven jumbo form setter operator GROUP 3: Dinkey locomotive or motorperson (up to and including 10 tons) GROUP 4: Bit sharpener; Equipment greaser (grease truck); Slip form pump operator (power-driven hydraulic lifting device for concrete forms); Tugger hoist operator (1 drum); Tunnel locomotive operator (over 10 and up to and including 30 tons)


GROUP 5: Backhoe operator (up to and including 3/4 yd.); Small Ford, Case or similar; Drill doctor; Grouting machine operator; Heading shield operator; Heavy-duty repairperson; Loader operator (Athey, Euclid, Sierra and similar types); Mucking machine operator (1/4 yd., rubber-tired, rail or track type); Pneumatic concrete placing machine operator (Hackley-Presswell or similar type); Pneumatic heading shield (tunnel); Pumpcrete gun operator; Tractor compressor drill combination operator; Tugger hoist operator (2 drum); Tunnel locomotive operator (over 30 tons) GROUP 6: Heavy Duty Repairman GROUP 7: Tunnel mole boring machine operator ENGINEERS ZONES $1.00 additional per hour for all of IMPERIAL County and the portions of KERN, RIVERSIDE & SAN BERNARDINO Counties as defined below: That area within the following Boundary: Begin in San Bernardino County, approximately 3 miles NE of the intersection of I-15 and the California State line at that point which is the NW corner of Section 1, T17N,m R14E, San Bernardino Meridian. Continue W in a straight line to that point which is the SW corner of the northwest quarter of Section 6, T27S, R42E, Mt. Diablo Meridian. Continue North to the intersection with the Inyo County Boundary at that point which is the NE corner of the western half of the northern quarter of Section 6, T25S, R42E, MDM. Continue W along the Inyo and San Bernardino County boundary until the intersection with Kern County, as that point which is the SE corner of Section 34, T24S, R40E, MDM. Continue W along the Inyo and Kern County boundary until the intersection with Tulare County, at that point which is the SW corner of the SE quarter of Section 32, T24S, R37E, MDM. Continue W along the Kern and Tulare County boundary, until that point which is the NW corner of T25S, R32E, MDM. Continue S following R32E lines to the NW corner of T31S, R32E, MDM. Continue W to the NW corner of T31S, R31E, MDM. Continue S to the SW corner of T32S, R31E, MDM. Continue W to SW corner of SE quarter of Section 34, T32S, R30E, MDM. Continue S to SW corner of T11N, R17W, SBM. Continue E along south boundary of T11N, SBM to SW corner of T11N, R7W, SBM. Continue S to SW corner of T9N, R7W, SBM. Continue E along south boundary of T9N, SBM to SW corner of T9N, R1E, SBM. Continue S along west boundary of R1E, SMB to Riverside County line at the SW corner of T1S, R1E, SBM. Continue E along south boundary of T1s, SBM (Riverside County Line) to SW corner of T1S, R10E, SBM. Continue S along west boundary of R10E, SBM to Imperial County line at the SW corner of T8S, R10E, SBM. Continue W along Imperial and Riverside county line to NW corner of T9S, R9E, SBM. Continue S along the boundary between Imperial and San Diego Counties, along the west edge of R9E, SBM to the south boundary of Imperial County/California state line. Follow the California state line west to Arizona state


line, then north to Nevada state line, then continuing NW back to start at the point which is the NW corner of Section 1, T17N, R14E, SBM $1.00 additional per hour for portions of SAN LUIS OBISPO, KERN, SANTA BARBARA & VENTURA as defined below: That area within the following Boundary: Begin approximately 5 miles north of the community of Cholame, on the Monterey County and San Luis Obispo County boundary at the NW corner of T25S, R16E, Mt. Diablo Meridian. Continue south along the west side of R16E to the SW corner of T30S, R16E, MDM. Continue E to SW corner of T30S, R17E, MDM. Continue S to SW corner of T31S, R17E, MDM. Continue E to SW corner of T31S, R18E, MDM. Continue S along West side of R18E, MDM as it crosses into San Bernardino Meridian numbering area and becomes R30W. Follow the west side of R30W, SBM to the SW corner of T9N, R30W, SBM. Continue E along the south edge of T9N, SBM to the Santa Barbara County and Ventura County boundary at that point which is the SW corner of Section 34.T9N, R24W, SBM, continue S along the Ventura County line to that point which is the SW corner of the SE quarter of Section 32, T7N, R24W, SBM. Continue E along the south edge of T7N, SBM to the SE corner to T7N, R21W, SBM. Continue N along East side of R21W, SBM to Ventura County and Kern County boundary at the NE corner of T8N, R21W. Continue W along the Ventura County and Kern County boundary to the SE corner of T9N, R21W. Continue North along the East edge of R21W, SBM to the NE corner of T12N, R21W, SBM. Continue West along the north edge of T12N, SBM to the SE corner of T32S, R21E, MDM. [T12N SBM is a think strip between T11N SBM and T32S MDM]. Continue North along the East side of R21E, MDM to the Kings County and Kern County border at the NE corner of T25S, R21E, MDM, continue West along the Kings County and Kern County Boundary until the intersection of San Luis Obispo County. Continue west along the Kings County and San Luis Obispo County boundary until the intersection with Monterey County. Continue West along the Monterey County and San Luis Obispo County boundary to the beginning point at the NW corner of T25S, R16E, MDM. $2.00 additional per hour for INYO and MONO Counties and the Northern portion of SAN BERNARDINO County as defined below: That area within the following Boundary: Begin at the intersection of the northern boundary of Mono County and the California state line at the point which is the center of Section 17, T10N, R22E, Mt. Diablo Meridian. Continue S then SE along the entire western boundary of Mono County, until it reaches Inyo County at the point which is the NE corner of the Western half of the NW quarter of Section 2, T8S, R29E, MDM. Continue SSE along the entire western boundary of Inyo County, until the intersection with Kern County at the point which is the SW corner of the SE 1/4 of Section 32, T24S, R37E, MDM. Continue E along the Inyo and Kern County boundary until the intersection with San Bernardino County at that point which is the SE corner of section 34, T24S, R40E, MDM. Continue E along


the Inyo and San Bernardino County boundary until the point which is the NE corner of the Western half of the NW quarter of Section 6, T25S, R42E, MDM. Continue S to that point which is the SW corner of the NW quarter of Section 6, T27S, R42E, MDM. Continue E in a straight line to the California and Nevada state border at the point which is the NW corner of Section 1, T17N, R14E, San Bernardino Meridian. Then continue NW along the state line to the starting point, which is the center of Section 18, T10N, R22E, MDM. REMAINING AREA NOT DEFINED ABOVE RECEIVES BASE RATE ---------------------------------------------------------------- ENGI0012-004 08/01/2009 Rates Fringes OPERATOR: Power Equipment (DREDGING) (1) Leverman................$ 44.83 17.22 (2) Dredge dozer............$ 40.36 17.22 (3) Deckmate................$ 40.25 17.22 (4) Winch operator (stern winch on dredge)............$ 39.70 17.22 (5) Fireman-Oiler, Deckhand, Bargeman, Leveehand...................$ 39.16 17.22 (6) Barge Mate..............$ 39.77 17.22 ---------------------------------------------------------------- IRON0002-004 07/01/2011 Rates Fringes Ironworkers: Fence Erector...............$ 26.58 15.76 Ornamental, Reinforcing and Structural..............$ 33.00 24.40 PREMIUM PAY: $6.00 additional per hour at the following locations: China Lake Naval Test Station, Chocolate Mountains Naval Reserve-Niland, Edwards AFB, Fort Irwin Military Station, Fort Irwin Training Center-Goldstone, San Clemente Island, San Nicholas Island, Susanville Federal Prison, 29 Palms - Marine Corps, U.S. Marine Base - Barstow, U.S. Naval Air Facility - Sealey, Vandenberg AFB $4.00 additional per hour at the following locations: Army Defense Language Institute - Monterey, Fallon Air Base, Naval Post Graduate School - Monterey, Yermo Marine Corps Logistics Center


$2.00 additional per hour at the following locations: Port Hueneme, Port Mugu, U.S. Coast Guard Station - Two Rock ---------------------------------------------------------------- LABO0300-001 07/01/2011 Rates Fringes Brick Tender.....................$ 27.17 16.71 ---------------------------------------------------------------- LABO0300-003 07/01/2011 Rates Fringes LABORER (GUNITE) GROUP 1.....................$ 30.04 14.20 GROUP 2.....................$ 29.09 14.20 GROUP 3.....................$ 25.55 14.20 LABORER (TUNNEL) GROUP 1.....................$ 32.20 15.98 GROUP 2.....................$ 32.52 15.98 GROUP 3.....................$ 32.98 15.98 GROUP 4.....................$ 33.67 15.98 LABORER GROUP 1.....................$ 26.33 16.00 GROUP 2.....................$ 26.88 16.00 GROUP 3.....................$ 27.43 16.00 GROUP 4.....................$ 28.98 16.00 GROUP 5.....................$ 29.33 16.00 FOOTNOTE: GUNITE PREMIUM PAY: Workers working from a Bosn'n's Chair or suspended from a rope or cable shall receive 40 cents per hour above the foregoing applicable classification rates. Workers doing gunite and/or shotcrete work in a tunnel shall receive 35 cents per hour above the foregoing applicable classification rates, paid on a portal-to-portal basis. Any work performed on, in or above any smoke stack, silo, storage elevator or similar type of structure, when such structure is in excess of 75'-0" above base level and which work must be performed in whole or in part more than 75'-0" above base level, that work performed above the 75'-0" level shall be compensated for at 35 cents per hour above the applicable classification wage rate. LABORER CLASSIFICATIONS GROUP 1: Cleaning and handling of panel forms; Concrete screeding for rough strike-off; Concrete, water curing; Demolition laborer, the cleaning of brick if performed by a worker performing any other phase of demolition work, and the cleaning of lumber; Fire watcher, limber, brush loader, piler and debris handler; Flag person; Gas, oil and/or water pipeline laborer; Laborer, asphalt-rubber material loader; Laborer, general or construction; Laborer, general


clean-up; Laborer, landscaping; Laborer, jetting; Laborer, temporary water and air lines; Material hose operator (walls, slabs, floors and decks); Plugging, filling of shee bolt holes; Dry packing of concrete; Railroad maintenance, repair track person and road beds; Streetcar and railroad construction track laborers; Rigging and signaling; Scaler; Slip form raiser; Tar and mortar; Tool crib or tool house laborer; Traffic control by any method; Window cleaner; Wire mesh pulling - all concrete pouring operations GROUP 2: Asphalt shoveler; Cement dumper (on 1 yd. or larger mixer and handling bulk cement); Cesspool digger and installer; Chucktender; Chute handler, pouring concrete, the handling of the chute from readymix trucks, such as walls, slabs, decks, floors, foundation, footings, curbs, gutters and sidewalks; Concrete curer, impervious membrane and form oiler; Cutting torch operator (demolition); Fine grader, highways and street paving, airport, runways and similar type heavy construction; Gas, oil and/or water pipeline wrapper - pot tender and form person; Guinea chaser; Headerboard person - asphalt; Laborer, packing rod steel and pans; Membrane vapor barrier installer; Power broom sweeper (small); Riprap stonepaver, placing stone or wet sacked concrete; Roto scraper and tiller; Sandblaster (pot tender); Septic tank digger and installer(lead); Tank scaler and cleaner; Tree climber, faller, chain saw operator, Pittsburgh chipper and similar type brush shredder; Underground laborer, including caisson bellower GROUP 3: Buggymobile person; Concrete cutting torch; Concrete pile cutter; Driller, jackhammer, 2-1/2 ft. drill steel or longer; Dri-pak-it machine; Gas, oil and/or water pipeline wrapper, 6-in. pipe and over, by any method, inside and out; High scaler (including drilling of same); Hydro seeder and similar type; Impact wrench multi-plate; Kettle person, pot person and workers applying asphalt, lay-kold, creosote, lime caustic and similar type materials ("applying" means applying, dipping, brushing or handling of such materials for pipe wrapping and waterproofing); Operator of pneumatic, gas, electric tools, vibrating machine, pavement breaker, air blasting, come-alongs, and similar mechanical tools not separately classified herein; Pipelayer's backup person, coating, grouting, making of joints, sealing, caulking, diapering and including rubber gasket joints, pointing and any and all other services; Rock slinger; Rotary scarifier or multiple head concrete chipping scarifier; Steel headerboard and guideline setter; Tamper, Barko, Wacker and similar type; Trenching machine, hand-propelled GROUP 4: Asphalt raker, lute person, ironer, asphalt dump person, and asphalt spreader boxes (all types); Concrete core cutter (walls, floors or ceilings), grinder or sander; Concrete saw person, cutting walls or flat work, scoring old or new concrete; Cribber, shorer, lagging, sheeting and trench bracing, hand-guided lagging hammer; Head rock


slinger; Laborer, asphalt- rubber distributor boot person; Laser beam in connection with laborers' work; Oversize concrete vibrator operator, 70 lbs. and over; Pipelayer performing all services in the laying and installation of pipe from the point of receiving pipe in the ditch until completion of operation, including any and all forms of tubular material, whether pipe, metallic or non-metallic, conduit and any other stationary type of tubular device used for the conveying of any substance or element, whether water, sewage, solid gas, air, or other product whatsoever and without regard to the nature of material from which the tubular material is fabricated; No-joint pipe and stripping of same; Prefabricated manhole installer; Sandblaster (nozzle person), water blasting, Porta Shot-Blast GROUP 5: Blaster powder, all work of loading holes, placing and blasting of all powder and explosives of whatever type, regardless of method used for such loading and placing; Driller: All power drills, excluding jackhammer, whether core, diamond, wagon, track, multiple unit, and any and all other types of mechanical drills without regard to the form of motive power; Toxic waste removal TUNNEL LABORER CLASSIFICATIONS GROUP 1: Batch plant laborer; Bull gang mucker, track person; Changehouse person; Concrete crew, including rodder and spreader; Dump person; Dump person (outside); Swamper (brake person and switch person on tunnel work); Tunnel materials handling person GROUP 2: Chucktender, cabletender; Loading and unloading agitator cars; Nipper; Pot tender, using mastic or other materials (for example, but not by way of limitation, shotcrete, etc.); Vibrator person, jack hammer, pneumatic tools (except driller) GROUP 3: Blaster, driller, powder person; Chemical grout jet person; Cherry picker person; Grout gun person; Grout mixer person; Grout pump person; Jackleg miner; Jumbo person; Kemper and other pneumatic concrete placer operator; Miner, tunnel (hand or machine); Nozzle person; Operating of troweling and/or grouting machines; Powder person (primer house); Primer person; Sandblaster; Shotcrete person; Steel form raiser and setter; Timber person, retimber person, wood or steel; Tunnel Concrete finisher GROUP 4: Diamond driller; Sandblaster; Shaft and raise work


GUNITE LABORER CLASSIFICATIONS GROUP 1: Rodmen, Nozzlemen GROUP 2: Gunmen GROUP 3: Reboundmen ---------------------------------------------------------------- LABO0300-005 08/05/2009 Rates Fringes LABORER PLASTER CLEAN-UP LABORER....$ 26.65 15.95 PLASTER TENDER..............$ 29.20 15.95 ---------------------------------------------------------------- LABO0882-002 01/01/2010 Rates Fringes Asbestos Removal Laborer.........$ 26.15 11.65 SCOPE OF WORK: Includes site mobilization, initial site cleanup, site preparation, removal of asbestos-containing material and toxic waste, encapsulation, enclosure and disposal of asbestos- containing materials and toxic waste by hand or with equipment or machinery; scaffolding, fabrication of temporary wooden barriers and assembly of decontamination stations. ---------------------------------------------------------------- LABO1184-001 07/01/2011 Rates Fringes Laborers: (HORIZONTAL DIRECTIONAL DRILLING) (1) Drilling Crew Laborer...$ 28.01 11.48 (2) Vehicle Operator/Hauler.$ 28.18 11.48 (3) Horizontal Directional Drill Operator..............$ 30.03 11.48 (4) Electronic Tracking Locator.....................$ 32.03 11.48 Laborers: (STRIPING/SLURRY SEAL) GROUP 1.....................$ 28.50 14.56 GROUP 2.....................$ 29.80 14.56 GROUP 3.....................$ 31.81 14.56 GROUP 4.....................$ 33.55 14.56 LABORERS - STRIPING CLASSIFICATIONS GROUP 1: Protective coating, pavement sealing, including repair and filling of cracks by any method on any surface in parking lots, game courts and playgrounds; carstops; operation of all related machinery and equipment; equipment repair technician


GROUP 2: Traffic surface abrasive blaster; pot tender - removal of all traffic lines and markings by any method (sandblasting, waterblasting, grinding, etc.) and preparation of surface for coatings. Traffic control person: controlling and directing traffic through both conventional and moving lane closures; operation of all related machinery and equipment GROUP 3: Traffic delineating device applicator: Layout and application of pavement markers, delineating signs, rumble and traffic bars, adhesives, guide markers, other traffic delineating devices including traffic control. This category includes all traffic related surface preparation (sandblasting, waterblasting, grinding) as part of the application process. Traffic protective delineating system installer: removes, relocates, installs, permanently affixed roadside and parking delineation barricades, fencing, cable anchor, guard rail, reference signs, monument markers; operation of all related machinery and equipment; power broom sweeper GROUP 4: Striper: layout and application of traffic stripes and markings; hot thermo plastic; tape traffic stripes and markings, including traffic control; operation of all related machinery and equipment ---------------------------------------------------------------- PAIN0036-001 01/01/2012 Rates Fringes Painters: (Including Lead Abatement) (1) Repaint (excludes San Diego County)...............$ 26.05 10.35 (2) All Other Work..........$ 29.32 10.35 REPAINT of any previously painted structure. Exceptions: work involving the aerospace industry, breweries, commercial recreational facilities, hotels which operate commercial establishments as part of hotel service, and sports facilities. ---------------------------------------------------------------- PAIN0036-008 10/05/2011 Rates Fringes DRYWALL FINISHER/TAPER...........$ 33.22 13.81 ---------------------------------------------------------------- PAIN0036-015 06/01/2011 Rates Fringes GLAZIER..........................$ 38.95 19.78 FOOTNOTE: Additional $1.25 per hour for work in a condor,


from the third (3rd) floor and up Additional $1.25 per hour for work on the outside of the building from a swing stage or any suspended contrivance, from the ground up ---------------------------------------------------------------- PAIN1247-002 05/01/2012 Rates Fringes SOFT FLOOR LAYER.................$ 30.85 10.54 ---------------------------------------------------------------- PLAS0200-009 08/01/2011 Rates Fringes PLASTERER........................$ 35.29 12.05 ---------------------------------------------------------------- PLAS0500-002 10/01/2011 Rates Fringes CEMENT MASON/CONCRETE FINISHER...$ 35.38 14.72 ---------------------------------------------------------------- PLUM0016-001 07/01/2011 Rates Fringes PLUMBER/PIPEFITTER Plumber and Pipefitter All other work except work on new additions and remodeling of bars, restaurant, stores and commercial buildings not to exceed 5,000 sq. ft. of floor space and work on strip malls, light commercial, tenant improvement and remodel work.......................$ 39.50 19.35 Work ONLY on new additions and remodeling of bars, restaurant, stores and commercial buildings not to exceed 5,000 sq. ft. of floor space.................$ 38.30 18.37 Work ONLY on strip malls, light commercial, tenant improvement and remodel work........................$ 30.79 16.70 ----------------------------------------------------------------


PLUM0345-001 07/01/2011 Rates Fringes PLUMBER Landscape/Irrigation Fitter.$ 27.35 16.34 Sewer & Storm Drain Work....$ 26.82 18.18 ---------------------------------------------------------------- ROOF0036-002 08/01/2011 Rates Fringes ROOFER...........................$ 34.65 10.71 FOOTNOTE: Pitch premium: Work on which employees are exposed to pitch fumes or required to handle pitch, pitch base or pitch impregnated products, or any material containing coal tar pitch, the entire roofing crew shall receive $1.75 per hour "pitch premium" pay. ---------------------------------------------------------------- SFCA0669-002 04/01/2012 Rates Fringes SPRINKLER FITTER.................$ 32.33 19.40 ---------------------------------------------------------------- SHEE0105-003 01/01/2012 LOS ANGELES (South of a straight line drawn between Gorman and Big Pines)and Catalina Island, INYO, KERN (Northeast part, East of Hwy 395), MONO ORANGE, RIVERSIDE, AND SAN BERNARDINO COUNTIES Rates Fringes SHEET METAL WORKER (1) Commercial - New Construction and Remodel work........................$ 36.21 25.20 (2) Industrial work including air pollution control systems, noise abatement, hand rails, guard rails, excluding architectural sheet metal work, excluding A-C, heating, ventilating systems for human comfort...$ 36.21 25.20 ---------------------------------------------------------------- TEAM0011-002 07/01/2011 Rates Fringes


TRUCK DRIVER GROUP 1....................$ 26.79 20.84 GROUP 2....................$ 26.94 20.84 GROUP 3....................$ 27.07 20.84 GROUP 4....................$ 27.26 20.84 GROUP 5....................$ 27.29 20.84 GROUP 6....................$ 27.32 20.84 GROUP 7....................$ 27.57 20.84 GROUP 8....................$ 27.82 20.84 GROUP 9....................$ 28.02 20.84 GROUP 10....................$ 28.32 20.84 GROUP 11....................$ 28.82 20.84 GROUP 12....................$ 29.25 20.84 WORK ON ALL MILITARY BASES: PREMIUM PAY: $3.00 per hour additional. [29 palms Marine Base, Camp Roberts, China Lake, Edwards AFB, El Centro Naval Facility, Fort Irwin, Marine Corps Logistics Base at Nebo & Yermo, Mountain Warfare Training Center, Bridgeport, Point Arguello, Point Conception, Vandenberg AFB] TRUCK DRIVERS CLASSIFICATIONS GROUP 1: Truck driver GROUP 2: Driver of vehicle or combination of vehicles - 2 axles; Traffic control pilot car excluding moving heavy equipment permit load; Truck mounted broom GROUP 3: Driver of vehicle or combination of vehicles - 3 axles; Boot person; Cement mason distribution truck; Fuel truck driver; Water truck - 2 axle; Dump truck, less than 16 yds. water level; Erosion control driver GROUP 4: Driver of transit mix truck, under 3 yds.; Dumpcrete truck, less than 6-1/2 yds. water level GROUP 5: Water truck, 3 or more axles; Truck greaser and tire person ($0.50 additional for tire person); Pipeline and utility working truck driver, including winch truck and plastic fusion, limited to pipeline and utility work; Slurry truck driver GROUP 6: Transit mix truck, 3 yds. or more; Dumpcrete truck, 6-1/2 yds. water level and over; Vehicle or combination of vehicles - 4 or more axles; Oil spreader truck; Dump truck, 16 yds. to 25 yds. water level GROUP 7: A Frame, Swedish crane or similar; Forklift driver; Ross carrier driver GROUP 8: Dump truck, 25 yds. to 49 yds. water level; Truck repair person; Water pull - single engine; Welder


GROUP 9: Truck repair person/welder; Low bed driver, 9 axles or over GROUP 10: Dump truck - 50 yds. or more water level; Water pull - single engine with attachment GROUP 11: Water pull - twin engine; Water pull - twin engine with attachments; Winch truck driver - $1.25 additional when operating winch or similar special attachments GROUP 12: Boom Truck 17K and above ---------------------------------------------------------------- WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ================================================================ Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). ---------------------------------------------------------------- The body of each wage determination lists the classification and wage rates that have been found to be prevailing for the cited type(s) of construction in the area covered by the wage determination. The classifications are listed in alphabetical order of "identifiers" that indicate whether the particular rate is union or non-union. Union Identifiers An identifier enclosed in dotted lines beginning with characters other than "SU" denotes that the union classification and rate have found to be prevailing for that classification. Example: PLUM0198-005 07/01/2011. The first four letters , PLUM, indicate the international union and the four-digit number, 0198, that follows indicates the local union number or district council number where applicable , i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. The date, 07/01/2011, following these characters is the effective date of the most current negotiated rate/collective bargaining agreement which would be July 1, 2011 in the above example. Union prevailing wage rates will be updated to reflect any changes in the collective bargaining agreements governing the rate.


Non-Union Identifiers Classifications listed under an "SU" identifier were derived from survey data by computing average rates and are not union rates; however, the data used in computing these rates may include both union and non-union data. Example: SULA2004-007 5/13/2010. SU indicates the rates are not union rates, LA indicates the State of Louisiana; 2004 is the year of the survey; and 007 is an internal number used in producing the wage determination. A 1993 or later date, 5/13/2010, indicates the classifications and rates under that identifier were issued as a General Wage Determination on that date. Survey wage rates will remain in effect and will not change until a new survey is conducted. ---------------------------------------------------------------- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to:


Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. ================================================================ END OF GENERAL DECISION


ORANGE COUNTY

General Decision Number: CA120035 06/08/2012 CA35 Superseded General Decision Number: CA20100035 State: California Construction Types: Building, Heavy (Heavy and Dredging) and Highway County: Orange County in California. BUILDING CONSTRUCTION PROJECTS; DREDGING PROJECTS (does not include hopper dredge work); HEAVY CONSTRUCTION PROJECTS (does not include water well drilling); HIGHWAY CONSTRUCTION PROJECTS Modification Number Publication Date 0 01/06/2012 1 03/02/2012 2 03/30/2012 3 04/20/2012 4 04/27/2012 5 05/04/2012 6 05/18/2012 7 06/08/2012 ASBE0005-002 06/28/2010 Rates Fringes Asbestos Workers/Insulator (Includes the application of all insulating materials, protective coverings, coatings, and finishes to all types of mechanical systems).....$ 32.79 16.31 Fire Stop Technician (Application of Firestopping Materials for wall openings and penetrations in walls, floors, ceilings and curtain walls)...........................$ 24.21 13.76 ---------------------------------------------------------------- ASBE0005-004 06/28/2010 Rates Fringes Asbestos Removal worker/hazardous material handler (Includes preparation, wetting, stripping, removal, scrapping, vacuuming, bagging


and disposing of all insulation materials from mechanical systems, whether they contain asbestos or not)....$ 18.70 8.65 ---------------------------------------------------------------- * BRCA0004-010 05/01/2012 Rates Fringes BRICKLAYER; MARBLE SETTER........$ 35.26 12.26 *The wage scale for prevailing wage projects performed in Blythe, China lake, Death Valley, Fort Irwin, Twenty-Nine Palms, Needles and 1-15 corridor (Barstow to the Nevada State Line) will be Three Dollars ($3.00) above the standard San Bernardino/Riverside County hourly wage rate ---------------------------------------------------------------- BRCA0018-004 06/01/2011 Rates Fringes MARBLE FINISHER..................$ 28.02 12.22 TILE FINISHER....................$ 27.80 12.54 TILE LAYER.......................$ 38.61 13.83 ---------------------------------------------------------------- BRCA0018-010 09/01/2009 Rates Fringes TERRAZZO FINISHER................$ 26.59 9.62 TERRAZZO WORKER/SETTER...........$ 33.63 10.46 ---------------------------------------------------------------- CARP0409-001 07/01/2010 Rates Fringes CARPENTER (1) Carpenter, Cabinet Installer, Insulation Installer, Hardwood Floor Worker and acoustical installer, and solar panels.$ 37.35 11.08 (2) Millwright..............$ 37.85 11.08 (3) Piledriver/Derrick Bargeman, Bridge or Dock Carpenter, Heavy Framer, Rock Bargeman or Scowman, Rockslinger, Shingler (Commercial)................$ 37.48 10.58 (3) Piledrivermen/Derrick Bargeman, Bridge or Dock Carpenter, Heavy Framer, Rock Bargeman or Scowman, Rockslinger, Shingler (Commercial)................$ 37.48 11.08 (4) Pneumatic Nailer,


Power Stapler...............$ 37.60 11.08 (5) Sawfiler...............$ 37.44 11.08 (6) Scaffold Builder.......$ 28.55 11.08 (7) Table Power Saw Operator....................$ 37.45 11.08 FOOTNOTE: Work of forming in the construction of open cut sewers or storm drains, on operations in which horizontal lagging is used in conjunction with steel H-Beams driven or placed in pre- drilled holes, for that portion of a lagged trench against which concrete is poured, namely, as a substitute for back forms (which work is performed by piledrivers): $0.13 per hour additional. Certified Welder - $1.00 per hour premium. ---------------------------------------------------------------- CARP0409-005 07/01/2010 Rates Fringes Drywall DRYWALL INSTALLER/LATHER....$ 37.35 11.08 STOCKER/SCRAPPER............$ 10.00 6.67 ---------------------------------------------------------------- CARP0409-008 08/01/2010 Rates Fringes Modular Furniture Installer......$ 17.00 7.41 ---------------------------------------------------------------- * ELEC0011-002 05/28/2012 COMMUNICATIONS AND SYSTEMS WORK Rates Fringes Communications System Installer...................$ 27.25 11.75 Technician..................$ 29.05 11.75 SCOPE OF WORK: Installation, testing, service and maintenance of systems utilizing the transmission and/or transference of voice, sound, vision and digital for commercial, educational, security and entertainment purposes for the following: TV monitoring and surveillance, background-foreground music, intercom and telephone interconnect, inventory control systems, microwave transmission, multi-media, multiplex, nurse call systems, radio page, school intercom and sound, burglar alarms, fire alarm (see last paragraph below) and low voltage master clock systems in commercial buildings. Communication Systems that transmit or receive information and/or control systems that are intrinsic to the above listed systems; inclusion or exclusion of terminations and testings of conductors determined by their function; excluding all other data systems or multiple systems which include control function or power supply; excluding


installation of raceway systems, conduit systems, line voltage work, and energy management systems. Does not cover work performed at China Lake Naval Ordnance Test Station. Fire alarm work shall be performed at the current inside wireman total cost package. ---------------------------------------------------------------- ELEC0441-001 11/28/2011 Rates Fringes CABLE SPLICER....................$ 41.99 13.80 ELECTRICIAN......................$ 40.14 13.75 ---------------------------------------------------------------- * ELEC0441-003 08/01/2011 COMMUNICATIONS & SYSTEMS WORK (excludes any work on Intelligent Transportation Systems or CCTV highway systems) Rates Fringes Communications System Installer...................$ 28.32 10.25 Technician..................$ 30.12 10.30 SCOPE OF WORK The work covered shall include the installation, testing, service and maintenance, of the following systems that utilize the transmission and/or transference of voice, sound, vision and digital for commercial, education, security and entertainment purposes for TV monitoring and surveillance, background foreground music, intercom and telephone interconnect, inventory control systems, microwave transmission, multi-media, multiplex, nurse call system, radio page, school intercom and sound, burglar alarms and low voltage master clock systems. A. Communication systems that transmit or receive information and/or control systems that are intrinsic to the above listed systems SCADA (Supervisory control/data acquisition PCM (Pulse code modulation) Inventory control systems Digital data systems Broadband & baseband and carriers Point of sale systems VSAT data systems Data communication systems RF and remote control systems Fiber optic data systems B. Sound and Voice Transmission/Transference Systems Background-Foreground Music Intercom and Telephone Interconnect Systems Sound and Musical Entertainment Systems Nurse Call Systems Radio Page Systems School Intercom and Sound Systems Burglar Alarm Systems Low-Voltage Master Clock Systems Multi-Media/Multiplex Systems Telephone Systems RF Systems and Antennas and Wave Guide


C. *Fire Alarm Systems-installation, wire pulling and testing. D. Television and Video Systems Television Monitoring and Surveillance Systems Video Security Systems Video Entertainment Systems Video Educational Systems CATV and CCTV E. Security Systems, Perimeter Security Systems, Vibration Sensor Systems Sonar/Infrared Monitoring Equipment, Access Control Systems, Card Access Systems *Fire Alarm Systems 1. Fire Alarms-In Raceways: Wire and cable pulling in raceways performed at the current electrician wage rate and fringe benefits. Installation and termination of devices, panels, startup, testing and programming performed by the Technician. 2. Fire Alarms-Open Wire Systems: installed by the Technician. ---------------------------------------------------------------- ELEC0441-004 11/28/2011 Rates Fringes ELECTRICIAN (TRANSPORTATION SYSTEMS, TRAFFIC SIGNALS & STREET LIGHTING) Cable Splicer/Fiber Optic Splicer.....................$ 40.74 13.77 Electrician.................$ 40.14 13.75 Technician..................$ 30.11 13.75 SCOPE OF WORK: Electrical work on public streets, freeways, toll-ways, etc, above or below ground. All work necessary for the installation, renovation, repair or removal of Intelligent Transportation Systems, Video Surveillance Systems (CCTV), Street Lighting and Traffic Signal work or systems whether underground or on bridges. Includes dusk to dawn lighting installations and ramps for access to or egress from freeways, toll-ways, etc. Intelligent Transportation Systems shall include all systems and components to control, monitor, and communicate with pedestrian or vehicular traffic, included but not limited to: installation, modification, removal of all Fiber optic Video System, Fiber Optic Data Systems, Direct interconnect and Communications Systems, Microwave Data and Video Systems, Infrared and Sonic Detection Systems, Solar Power Systems, Highway Advisory Radio Systems, highway Weight and Motion Systems, etc. Any and all work required to install and maintain any specialized or newly developed systems. All cutting, fitting and bandaging of ducts, raceways, and conduits. The cleaning, rodding and installation of "fish and pull wires". The excavation, setting, leveling and grouting of precast manholes, vaults, and pull boxes including ground


rods or grounding systems, rock necessary for leveling and drainage as well as pouring of a concrete envelope if needed. JOURNEYMAN TRANSPORTATION ELECTRICIAN shall perform all tasks necessary to install the complete transportation system. JOURNEYMAN TECHNICIAN duties shall consist of: Distribution of material at job site, manual excavation and backfill, installation of system conduits and raceways for electrical, telephone, cable television and communication systems. Pulling, terminating and splicing of traffic signal and street lighting conductors and electrical systems including interconnect, dector loop, fiber optic cable and video/data. ---------------------------------------------------------------- ELEC1245-001 06/01/2011 Rates Fringes LINE CONSTRUCTION (1) Lineman; Cable splicer..$ 47.87 13.87 (2) Equipment specialist (operates crawler tractors, commercial motor vehicles, backhoes, trenchers, cranes (50 tons and below), overhead & underground distribution line equipment)...........$ 38.23 12.80 (3) Groundman...............$ 29.25 12.53 (4) Powderman...............$ 42.75 12.97 HOLIDAYS: New Year's Day, M.L. King Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day and day after Thanksgiving, Christmas Day ---------------------------------------------------------------- ELEV0018-001 01/01/2012 Rates Fringes ELEVATOR MECHANIC................$ 47.73 23.535 FOOTNOTE: PAID VACATION: Employer contributes 8% of regular hourly rate as vacation pay credit for employees with more than 5 years of service, and 6% for 6 months to 5 years of service. PAID HOLIDAYS: New Years Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day, Friday after Thanksgiving, and Christmas Day. ---------------------------------------------------------------- * ENGI0012-003 07/01/2011 Rates Fringes


OPERATOR: Power Equipment (All Other Work) GROUP 1....................$ 36.13 20.77 GROUP 2....................$ 36.91 20.77 GROUP 3....................$ 37.20 20.77 GROUP 4....................$ 38.69 20.77 GROUP 5....................$ 40.49 20.77 GROUP 6....................$ 38.91 20.77 GROUP 8....................$ 39.02 20.77 GROUP 9....................$ 40.82 20.77 GROUP 10....................$ 39.14 20.77 GROUP 11....................$ 40.94 20.77 GROUP 12....................$ 39.31 20.77 GROUP 13....................$ 39.41 20.77 GROUP 14....................$ 39.44 20.77 GROUP 15....................$ 39.52 20.77 GROUP 16....................$ 39.64 20.77 GROUP 17....................$ 39.81 20.77 GROUP 18....................$ 39.91 20.77 GROUP 19....................$ 40.02 20.77 GROUP 20....................$ 40.14 20.77 GROUP 21....................$ 40.31 20.77 GROUP 22....................$ 40.41 20.77 GROUP 23....................$ 40.52 20.77 GROUP 24....................$ 40.64 20.77 GROUP 25....................$ 40.81 20.77 OPERATOR: Power Equipment (Cranes, Piledriving & Hoisting) GROUP 1....................$ 37.48 20.77 GROUP 2....................$ 38.26 20.77 GROUP 3....................$ 38.55 20.77 GROUP 4....................$ 38.69 20.77 GROUP 5....................$ 38.91 20.77 GROUP 6....................$ 39.02 20.77 GROUP 7....................$ 39.14 20.77 GROUP 8....................$ 39.31 20.77 GROUP 9....................$ 39.48 20.77 GROUP 10....................$ 40.48 20.77 GROUP 11....................$ 41.48 20.77 GROUP 12....................$ 42.48 20.77 GROUP 13....................$ 43.48 20.77 OPERATOR: Power Equipment (Tunnel Work) GROUP 1....................$ 37.98 20.77 GROUP 2....................$ 38.76 20.77 GROUP 3....................$ 39.05 20.77 GROUP 4....................$ 39.19 20.77 GROUP 5....................$ 39.41 20.77 GROUP 6....................$ 39.52 20.77 GROUP 7....................$ 39.64 20.77


PREMIUM PAY: $3.75 per hour shall be paid on all Power Equipment Operator work on the following Military Bases: China Lake Naval Reserve, Vandenberg AFB, Point Arguello, Seely Naval Base, Fort Irwin, Nebo Annex Marine Base, Marine Corp Logistics Base Yermo, Edwards AFB, 29 Palms Marine Base and Camp Pendleton Workers required to suit up and work in a hazardous material environment: $2.00 per hour additional. Combination mixer and compressor operator on gunite work shall be classified as a concrete mobile mixer operator. SEE ZONE DEFINITIONS AFTER CLASSIFICATIONS POWER EQUIPMENT OPERATORS CLASSIFICATIONS GROUP 1: Bargeman; Brakeman; Compressor operator; Ditch Witch, with seat or similar type equipment; Elevator operator-inside; Engineer Oiler; Forklift operator (includes loed, lull or similar types under 5 tons; Generator operator; Generator, pump or compressor plant operator; Pump operator; Signalman; Switchman GROUP 2: Asphalt-rubber plant operator (nurse tank operator); Concrete mixer operator-skip type; Conveyor operator; Fireman; Forklift operator (includes loed, lull or similar types over 5 tons; Hydrostatic pump operator; oiler crusher (asphalt or concrete plant); Petromat laydown machine; PJU side dum jack; Screening and conveyor machine operator (or similar types); Skiploader (wheel type up to 3/4 yd. without attachment); Tar pot fireman; Temporary heating plant operator; Trenching machine oiler GROUP 3: Asphalt-rubber blend operator; Bobcat or similar type (Skid steer); Equipment greaser (rack); Ford Ferguson (with dragtype attachments); Helicopter radioman (ground); Stationary pipe wrapping and cleaning machine operator GROUP 4: Asphalt plant fireman; Backhoe operator (mini-max or similar type); Boring machine operator; Boxman or mixerman (asphalt or concrete); Chip spreading machine operator; Concrete cleaning decontamination machine operator; Concrete Pump Operator (small portable); Drilling machine operator, small auger types (Texoma super economatic or similar types - Hughes 100 or 200 or similar types - drilling depth of 30' maximum); Equipment greaser (grease truck); Guard rail post driver operator; Highline cableway signalman; Hydra-hammer-aero stomper; Micro Tunneling (above ground tunnel); Power concrete curing machine operator; Power concrete saw operator; Power-driven jumbo form setter operator; Power sweeper operator; Rock Wheel Saw/Trencher; Roller operator (compacting); Screed operator (asphalt or concrete); Trenching machine operator (up to 6 ft.); Vacuum or much truck


GROUP 5: Equipment Greaser (Grease Truck/Multi Shift). GROUP 6: Articulating material hauler; Asphalt plant engineer; Batch plant operator; Bit sharpener; Concrete joint machine operator (canal and similar type); Concrete planer operator; Dandy digger; Deck engine operator; Derrickman (oilfield type); Drilling machine operator, bucket or auger types (Calweld 100 bucket or similar types - Watson 1000 auger or similar types - Texoma 330, 500 or 600 auger or similar types - drilling depth of 45' maximum); Drilling machine operator; Hydrographic seeder machine operator (straw, pulp or seed), Jackson track maintainer, or similar type; Kalamazoo Switch tamper, or similar type; Machine tool operator; Maginnis internal full slab vibrator, Mechanical berm, curb or gutter(concrete or asphalt); Mechanical finisher operator (concrete, Clary-Johnson-Bidwell or similar); Micro tunnel system (below ground); Pavement breaker operator (truck mounted); Road oil mixing machine operator; Roller operator (asphalt or finish), rubber-tired earth moving equipment (single engine, up to and including 25 yds. struck); Self-propelled tar pipelining machine operator; Skiploader operator (crawler and wheel type, over 3/4 yd. and up to and including 1-1/2 yds.); Slip form pump operator (power driven hydraulic lifting device for concrete forms); Tractor operator-bulldozer, tamper-scraper (single engine, up to 100 h.p. flywheel and similar types, up to and including D-5 and similar types); Tugger hoist operator (1 drum); Ultra high pressure waterjet cutting tool system operator; Vacuum blasting machine operator GROUP 8: Asphalt or concrete spreading operator (tamping or finishing); Asphalt paving machine operator (Barber Greene or similar type); Asphalt-rubber distribution operator; Backhoe operator (up to and including 3/4 yd.), small ford, Case or similar; Cast-in-place pipe laying machine operator; Combination mixer and compressor operator (gunite work); Compactor operator (self-propelled); Concrete mixer operator (paving); Crushing plant operator; Drill Doctor; Drilling machine operator, Bucket or auger types (Calweld 150 bucket or similar types - Watson 1500, 2000 2500 auger or similar types - Texoma 700, 800 auger or similar types - drilling depth of 60' maximum); Elevating grader operator; Grade checker; Gradall operator; Grouting machine operator; Heavy-duty repairman; Heavy equipment robotics operator; Kalamazoo balliste regulator or similar type; Kolman belt loader and similar type; Le Tourneau blob compactor or similar type; Loader operator (Athey, Euclid, Sierra and similar types); Mobark Chipper or similar; Ozzie padder or similar types; P.C. slot saw; Pneumatic concrete placing machine operator (Hackley-Presswell or similar type); Pumpcrete gun operator; Rock Drill or similar types; Rotary drill operator (excluding caisson type); Rubber-tired earth-moving equipment operator (single engine, caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. up to and including 50 cu.


yds. struck); Rubber-tired earth-moving equipment operator (multiple engine up to and including 25 yds. struck); Rubber-tired scraper operator (self-loading paddle wheel type-John Deere, 1040 and similar single unit); Self- propelled curb and gutter machine operator; Shuttle buggy; Skiploader operator (crawler and wheel type over 1-1/2 yds. up to and including 6-1/2 yds.); Soil remediation plant operator; Surface heaters and planer operator; Tractor compressor drill combination operator; Tractor operator (any type larger than D-5 - 100 flywheel h.p. and over, or similar-bulldozer, tamper, scraper and push tractor single engine); Tractor operator (boom attachments), Traveling pipe wrapping, cleaning and bendng machine operator; Trenching machine operator (over 6 ft. depth capacity, manufacturer's rating); trenching Machine with Road Miner attachment (over 6 ft depth capacity): Ultra high pressure waterjet cutting tool system mechanic; Water pull (compaction) operator GROUP 9: Heavy Duty Repairman GROUP 10: Drilling machine operator, Bucket or auger types (Calweld 200 B bucket or similar types-Watson 3000 or 5000 auger or similar types-Texoma 900 auger or similar types-drilling depth of 105' maximum); Dual drum mixer, dynamic compactor LDC350 (or similar types); Monorail locomotive operator (diesel, gas or electric); Motor patrol-blade operator (single engine); Multiple engine tractor operator (Euclid and similar type-except Quad 9 cat.); Rubber-tired earth-moving equipment operator (single engine, over 50 yds. struck); Pneumatic pipe ramming tool and similar types; Prestressed wrapping machine operator; Rubber-tired earth-moving equipment operator (single engine, over 50 yds. struck); Rubber tired earth moving equipment operator (multiple engine, Euclid, caterpillar and similar over 25 yds. and up to 50 yds. struck), Tower crane repairman; Tractor loader operator (crawler and wheel type over 6-1/2 yds.); Woods mixer operator (and similar Pugmill equipment) GROUP 11: Heavy Duty Repairman - Welder Combination, Welder - Certified. GROUP 12: Auto grader operator; Automatic slip form operator; Drilling machine operator, bucket or auger types (Calweld, auger 200 CA or similar types - Watson, auger 6000 or similar types - Hughes Super Duty, auger 200 or similar types - drilling depth of 175' maximum); Hoe ram or similar with compressor; Mass excavator operator less than 750 cu. yards; Mechanical finishing machine operator; Mobile form traveler operator; Motor patrol operator (multi-engine); Pipe mobile machine operator; Rubber-tired earth- moving equipment operator (multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck); Rubber-tired self- loading scraper operator (paddle-wheel-auger type self-loading - two (2) or more units)


GROUP 13: Rubber-tired earth-moving equipment operator operating equipment with push-pull system (single engine, up to and including 25 yds. struck) GROUP 14: Canal liner operator; Canal trimmer operator; Remote- control earth-moving equipment operator (operating a second piece of equipment: $1.00 per hour additional); Wheel excavator operator (over 750 cu. yds.) GROUP 15: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine-up to and including 25 yds. struck) GROUP 16: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 17: Rubber-tired earth-moving equipment operator, operating equipment with push-pull system (multiple engine, Euclid, Caterpillar and similar, over 50 cu. yds. struck); Tandem tractor operator (operating crawler type tractors in tandem - Quad 9 and similar type) GROUP 18: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, up to and including 25 yds. struck) GROUP 19: Rotex concrete belt operator (or similar types); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 cu. yds. struck); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - multiple engine, up to and including 25 yds. struck) GROUP 20: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps, and similar types in any combination, excluding compaction units - multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck)


GROUP 21: Rubber-tired earth-moving equipment operator, operating in tandem (scrapers, belly dumps and similar types in any combination, excluding compaction units - multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck) GROUP 22: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, up to and including 25 yds. struck) GROUP 23: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, Caterpillar, Euclid, Athey Wagon and similar types with any and all attachments over 25 yds. and up to and including 50 yds. struck); Rubber-tired earth-moving equipment operator, operating with the tandem push-pull system (multiple engine, up to and including 25 yds. struck) GROUP 24: Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (single engine, over 50 yds. struck); Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (multiple engine, Euclid, Caterpillar and similar, over 25 yds. and up to 50 yds. struck) GROUP 25: Concrete pump operator-truck mounted; Rubber-tired earth-moving equipment operator, operating equipment with the tandem push-pull system (multiple engine, Euclid, Caterpillar and similar type, over 50 cu. yds. struck) CRANES, PILEDRIVING AND HOISTING EQUIPMENT CLASSIFICATIONS GROUP 1: Engineer oiler; Fork lift operator (includes loed, lull or similar types) GROUP 2: Truck crane oiler GROUP 3: A-frame or winch truck operator; Ross carrier operator (jobsite) GROUP 4: Bridge-type unloader and turntable operator; Helicopter hoist operator GROUP 5: Hydraulic boom truck; Stinger crane (Austin-Western or similar type); Tugger hoist operator (1 drum) GROUP 6: Bridge crane operator; Cretor crane operator; Hoist operator (Chicago boom and similar type); Lift mobile operator; Lift slab machine operator (Vagtborg and similar types); Material hoist and/or manlift operator; Polar gantry crane operator; Self Climbing scaffold (or similar type); Shovel, backhoe, dragline, clamshell operator (over 3/4 yd. and up to 5 cu. yds. mrc); Tugger hoist operator


GROUP 7: Pedestal crane operator; Shovel, backhoe, dragline, clamshell operator (over 5 cu. yds. mrc); Tower crane repair; Tugger hoist operator (3 drum) GROUP 8: Crane operator (up to and including 25 ton capacity); Crawler transporter operator; Derrick barge operator (up to and including 25 ton capacity); Hoist operator, stiff legs, Guy derrick or similar type (up to and including 25 ton capacity); Shovel, backhoe, dragline, clamshell operator (over 7 cu. yds., M.R.C.) GROUP 9: Crane operator (over 25 tons and up to and including 50 tons mrc); Derrick barge operator (over 25 tons up to and including 50 tons mrc); Highline cableway operator; Hoist operator, stiff legs, Guy derrick or similar type (over 25 tons up to and including 50 tons mrc); K-crane operator; Polar crane operator; Self erecting tower crane operator maximum lifting capacity ten tons GROUP 10: Crane operator (over 50 tons and up to and including 100 tons mrc); Derrick barge operator (over 50 tons up to and including 100 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 50 tons up to and including 100 tons mrc), Mobile tower crane operator (over 50 tons, up to and including 100 tons M.R.C.); Tower crane operator and tower gantry GROUP 11: Crane operator (over 100 tons and up to and including 200 tons mrc); Derrick barge operator (over 100 tons up to and including 200 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 100 tons up to and including 200 tons mrc); Mobile tower crane operator (over 100 tons up to and including 200 tons mrc) GROUP 12: Crane operator (over 200 tons up to and including 300 tons mrc); Derrick barge operator (over 200 tons up to and including 300 tons mrc); Hoist operator, stiff legs, Guy derrick or similar type (over 200 tons, up to and including 300 tons mrc); Mobile tower crane operator (over 200 tons, up to and including 300 tons mrc) GROUP 13: Crane operator (over 300 tons); Derrick barge operator (over 300 tons); Helicopter pilot; Hoist operator, stiff legs, Guy derrick or similar type (over 300 tons); Mobile tower crane operator (over 300 tons) TUNNEL CLASSIFICATIONS GROUP 1: Skiploader (wheel type up to 3/4 yd. without attachment) GROUP 2: Power-driven jumbo form setter operator GROUP 3: Dinkey locomotive or motorperson (up to and including 10 tons)


GROUP 4: Bit sharpener; Equipment greaser (grease truck); Slip form pump operator (power-driven hydraulic lifting device for concrete forms); Tugger hoist operator (1 drum); Tunnel locomotive operator (over 10 and up to and including 30 tons) GROUP 5: Backhoe operator (up to and including 3/4 yd.); Small Ford, Case or similar; Drill doctor; Grouting machine operator; Heading shield operator; Heavy-duty repairperson; Loader operator (Athey, Euclid, Sierra and similar types); Mucking machine operator (1/4 yd., rubber-tired, rail or track type); Pneumatic concrete placing machine operator (Hackley-Presswell or similar type); Pneumatic heading shield (tunnel); Pumpcrete gun operator; Tractor compressor drill combination operator; Tugger hoist operator (2 drum); Tunnel locomotive operator (over 30 tons) GROUP 6: Heavy Duty Repairman GROUP 7: Tunnel mole boring machine operator ENGINEERS ZONES $1.00 additional per hour for all of IMPERIAL County and the portions of KERN, RIVERSIDE & SAN BERNARDINO Counties as defined below: That area within the following Boundary: Begin in San Bernardino County, approximately 3 miles NE of the intersection of I-15 and the California State line at that point which is the NW corner of Section 1, T17N,m R14E, San Bernardino Meridian. Continue W in a straight line to that point which is the SW corner of the northwest quarter of Section 6, T27S, R42E, Mt. Diablo Meridian. Continue North to the intersection with the Inyo County Boundary at that point which is the NE corner of the western half of the northern quarter of Section 6, T25S, R42E, MDM. Continue W along the Inyo and San Bernardino County boundary until the intersection with Kern County, as that point which is the SE corner of Section 34, T24S, R40E, MDM. Continue W along the Inyo and Kern County boundary until the intersection with Tulare County, at that point which is the SW corner of the SE quarter of Section 32, T24S, R37E, MDM. Continue W along the Kern and Tulare County boundary, until that point which is the NW corner of T25S, R32E, MDM. Continue S following R32E lines to the NW corner of T31S, R32E, MDM. Continue W to the NW corner of T31S, R31E, MDM. Continue S to the SW corner of T32S, R31E, MDM. Continue W to SW corner of SE quarter of Section 34, T32S, R30E, MDM. Continue S to SW corner of T11N, R17W, SBM. Continue E along south boundary of T11N, SBM to SW corner of T11N, R7W, SBM. Continue S to SW corner of T9N, R7W, SBM. Continue E along south boundary of T9N, SBM to SW corner of T9N, R1E, SBM. Continue S along west boundary of R1E, SMB to Riverside County line at the SW corner of T1S, R1E, SBM. Continue E along south boundary of T1s, SBM (Riverside County Line) to SW corner of


T1S, R10E, SBM. Continue S along west boundary of R10E, SBM to Imperial County line at the SW corner of T8S, R10E, SBM. Continue W along Imperial and Riverside county line to NW corner of T9S, R9E, SBM. Continue S along the boundary between Imperial and San Diego Counties, along the west edge of R9E, SBM to the south boundary of Imperial County/California state line. Follow the California state line west to Arizona state line, then north to Nevada state line, then continuing NW back to start at the point which is the NW corner of Section 1, T17N, R14E, SBM $1.00 additional per hour for portions of SAN LUIS OBISPO, KERN, SANTA BARBARA & VENTURA as defined below: That area within the following Boundary: Begin approximately 5 miles north of the community of Cholame, on the Monterey County and San Luis Obispo County boundary at the NW corner of T25S, R16E, Mt. Diablo Meridian. Continue south along the west side of R16E to the SW corner of T30S, R16E, MDM. Continue E to SW corner of T30S, R17E, MDM. Continue S to SW corner of T31S, R17E, MDM. Continue E to SW corner of T31S, R18E, MDM. Continue S along West side of R18E, MDM as it crosses into San Bernardino Meridian numbering area and becomes R30W. Follow the west side of R30W, SBM to the SW corner of T9N, R30W, SBM. Continue E along the south edge of T9N, SBM to the Santa Barbara County and Ventura County boundary at that point whch is the SW corner of Section 34.T9N, R24W, SBM, continue S along the Ventura County line to that point which is the SW corner of the SE quarter of Section 32, T7N, R24W, SBM. Continue E along the south edge of T7N, SBM to the SE corner to T7N, R21W, SBM. Continue N along East side of R21W, SBM to Ventura County and Kern County boundary at the NE corner of T8N, R21W. Continue W along the Ventura County and Kern County boundary to the SE corner of T9N, R21W. Continue North along the East edge of R21W, SBM to the NE corner of T12N, R21W, SBM. Continue West along the north edge of T12N, SBM to the SE corner of T32S, R21E, MDM. [T12N SBM is a think strip between T11N SBM and T32S MDM]. Continue North along the East side of R21E, MDM to the Kings County and Kern County border at the NE corner of T25S, R21E, MDM, continue West along the Kings County and Kern County Boundary until the intersection of San Luis Obispo County. Continue west along the Kings County and San Luis Obispo County boundary until the intersection with Monterey County. Continue West along the Monterey County and San Luis Obispo County boundary to the beginning point at the NW corner of T25S, R16E, MDM. $2.00 additional per hour for INYO and MONO Counties and the Northern portion of SAN BERNARDINO County as defined below: That area within the following Boundary: Begin at the intersection of the northern boundary of Mono County and the California state line at the point which is the center of Section 17, T10N, R22E, Mt. Diablo Meridian. Continue S then SE along the entire western boundary of Mono County, until it


reaches Inyo County at the point which is the NE corner of the Western half of the NW quarter of Section 2, T8S, R29E, MDM. Continue SSE along the entire western boundary of Inyo County, until the intersection with Kern County at the point which is the SW corner of the SE 1/4 of Section 32, T24S, R37E, MDM. Continue E along the Inyo and Kern County boundary until the intersection with San Bernardino County at that point which is the SE corner of section 34, T24S, R40E, MDM. Continue E along the Inyo and San Bernardino County boundary until the point which is the NE corner of the Western half of the NW quarter of Section 6, T25S, R42E, MDM. Continue S to that point which is the SW corner of the NW quarter of Section 6, T27S, R42E, MDM. Continue E in a straight line to the California and Nevada state border at the point which is the NW corner of Section 1, T17N, R14E, San Bernardino Meridian. Then continue NW along the state line to the starting point, which is the center of Section 18, T10N, R22E, MDM. REMAINING AREA NOT DEFINED ABOVE RECEIVES BASE RATE ---------------------------------------------------------------- ENGI0012-004 08/01/2009 Rates Fringes OPERATOR: Power Equipment (DREDGING) (1) Leverman................$ 44.83 17.22 (2) Dredge dozer............$ 40.36 17.22 (3) Deckmate................$ 40.25 17.22 (4) Winch operator (stern winch on dredge)............$ 39.70 17.22 (5) Fireman-Oiler, Deckhand, Bargeman, Leveehand...................$ 39.16 17.22 (6) Barge Mate..............$ 39.77 17.22 ---------------------------------------------------------------- IRON0002-004 07/01/2011 Rates Fringes Ironworkers: Fence Erector...............$ 26.58 15.76 Ornamental, Reinforcing and Structural..............$ 33.00 24.40 PREMIUM PAY: $6.00 additional per hour at the following locations: China Lake Naval Test Station, Chocolate Mountains Naval Reserve-Niland, Edwards AFB, Fort Irwin Military Station, Fort Irwin Training Center-Goldstone, San Clemente Island, San Nicholas Island, Susanville Federal Prison, 29 Palms - Marine Corps, U.S. Marine Base - Barstow, U.S. Naval Air Facility - Sealey, Vandenberg AFB


$4.00 additional per hour at the following locations: Army Defense Language Institute - Monterey, Fallon Air Base, Naval Post Graduate School - Monterey, Yermo Marine Corps Logistics Center $2.00 additional per hour at the following locations: Port Hueneme, Port Mugu, U.S. Coast Guard Station - Two Rock ---------------------------------------------------------------- LABO0300-001 07/01/2011 Rates Fringes Brick Tender.....................$ 27.17 16.71 ---------------------------------------------------------------- LABO0300-003 07/01/2011 Rates Fringes LABORER (GUNITE) GROUP 1.....................$ 30.04 14.20 GROUP 2.....................$ 29.09 14.20 GROUP 3.....................$ 25.55 14.20 LABORER (TUNNEL) GROUP 1.....................$ 32.20 15.98 GROUP 2.....................$ 32.52 15.98 GROUP 3.....................$ 32.98 15.98 GROUP 4.....................$ 33.67 15.98 LABORER GROUP 1.....................$ 26.33 16.00 GROUP 2.....................$ 26.88 16.00 GROUP 3.....................$ 27.43 16.00 GROUP 4.....................$ 28.98 16.00 GROUP 5.....................$ 29.33 16.00 FOOTNOTE: GUNITE PREMIUM PAY: Workers working from a Bosn'n's Chair or suspended from a rope or cable shall receive 40 cents per hour above the foregoing applicable classification rates. Workers doing gunite and/or shotcrete work in a tunnel shall receive 35 cents per hour above the foregoing applicable classification rates, paid on a portal-to-portal basis. Any work performed on, in or above any smoke stack, silo, storage elevator or similar type of structure, when such structure is in excess of 75'-0" above base level and which work must be performed in whole or in part more than 75'-0" above base level, that work performed above the 75'-0" level shall be compensated for at 35 cents per hour above the applicable classification wage rate.


LABORER CLASSIFICATIONS GROUP 1: Cleaning and handling of panel forms; Concrete screeding for rough strike-off; Concrete, water curing; Demolition laborer, the cleaning of brick if performed by a worker performing any other phase of demolition work, and the cleaning of lumber; Fire watcher, limber, brush loader, piler and debris handler; Flag person; Gas, oil and/or water pipeline laborer; Laborer, asphalt-rubber material loader; Laborer, general or construction; Laborer, general clean-up; Laborer, landscaping; Laborer, jetting; Laborer, temporary water and air lines; Material hose operator (walls, slabs, floors and decks); Plugging, filling of shee bolt holes; Dry packing of concrete; Railroad maintenance, repair track person and road beds; Streetcar and railroad construction track laborers; Rigging and signaling; Scaler; Slip form raiser; Tar and mortar; Tool crib or tool house laborer; Traffic control by any method; Window cleaner; Wire mesh pulling - all concrete pouring operations GROUP 2: Asphalt shoveler; Cement dumper (on 1 yd. or larger mixer and handling bulk cement); Cesspool digger and installer; Chucktender; Chute handler, pouring concrete, the handling of the chute from readymix trucks, such as walls, slabs, decks, floors, foundation, footings, curbs, gutters and sidewalks; Concrete curer, impervious membrane and form oiler; Cutting torch operator (demolition); Fine grader, highways and street paving, airport, runways and similar type heavy construction; Gas, oil and/or water pipeline wrapper - pot tender and form person; Guinea chaser; Headerboard person - asphalt; Laborer, packing rod steel and pans; Membrane vapor barrier installer; Power broom sweeper (small); Riprap stonepaver, placing stone or wet sacked concrete; Roto scraper and tiller; Sandblaster (pot tender); Septic tank digger and installer(lead); Tank scaler and cleaner; Tree climber, faller, chain saw operator, Pittsburgh chipper and similar type brush shredder; Underground laborer, including caisson bellower GROUP 3: Buggymobile person; Concrete cutting torch; Concrete pile cutter; Driller, jackhammer, 2-1/2 ft. drill steel or longer; Dri-pak-it machine; Gas, oil and/or water pipeline wrapper, 6-in. pipe and over, by any method, inside and out; High scaler (including drilling of same); Hydro seeder and similar type; Impact wrench multi-plate; Kettle person, pot person and workers applying asphalt, lay-kold, creosote, lime caustic and similar type materials ("applying" means applying, dipping, brushing or handling of such materials for pipe wrapping and waterproofing); Operator of pneumatic, gas, electric tools, vibrating machine, pavement breaker, air blasting, come-alongs, and similar mechanical tools not separately classified herein; Pipelayer's backup person, coating, grouting, making of joints, sealing, caulking, diapering and including rubber gasket joints, pointing and any and all other services; Rock slinger; Rotary scarifier or multiple head concrete


chipping scarifier; Steel headerboard and guideline setter; Tamper, Barko, Wacker and similar type; Trenching machine, hand-propelled GROUP 4: Asphalt raker, lute person, ironer, asphalt dump person, and asphalt spreader boxes (all types); Concrete core cutter (walls, floors or ceilings), grinder or sander; Concrete saw person, cutting walls or flat work, scoring old or new concrete; Cribber, shorer, lagging, sheeting and trench bracing, hand-guided lagging hammer; Head rock slinger; Laborer, asphalt- rubber distributor boot person; Laser beam in connection with laborers' work; Oversize concrete vibrator operator, 70 lbs. and over; Pipelayer performing all services in the laying and installation of pipe from the point of receiving pipe in the ditch until completion of operation, including any and all forms of tubular material, whether pipe, metallic or non-metallic, conduit and any other stationary type of tubular device used for the conveying of any substance or element, whether water, sewage, solid gas, air, or other product whatsoever and without regard to the nature of material from which the tubular material is fabricated; No-joint pipe and stripping of same; Prefabricated manhole installer; Sandblaster (nozzle person), water blasting, Porta Shot-Blast GROUP 5: Blaster powder, all work of loading holes, placing and blasting of all powder and explosives of whatever type, regardless of method used for such loading and placing; Driller: All power drills, excluding jackhammer, whether core, diamond, wagon, track, multiple unit, and any and all other types of mechanical drills without regard to the form of motive power; Toxic waste removal TUNNEL LABORER CLASSIFICATIONS GROUP 1: Batch plant laborer; Bull gang mucker, track person; Changehouse person; Concrete crew, including rodder and spreader; Dump person; Dump person (outside); Swamper (brake person and switch person on tunnel work); Tunnel materials handling person GROUP 2: Chucktender, cabletender; Loading and unloading agitator cars; Nipper; Pot tender, using mastic or other materials (for example, but not by way of limitation, shotcrete, etc.); Vibrator person, jack hammer, pneumatic tools (except driller) GROUP 3: Blaster, driller, powder person; Chemical grout jet person; Cherry picker person; Grout gun person; Grout mixer person; Grout pump person; Jackleg miner; Jumbo person; Kemper and other pneumatic concrete placer operator; Miner, tunnel (hand or machine); Nozzle person; Operating of troweling and/or grouting machines; Powder person (primer house); Primer person; Sandblaster; Shotcrete person; Steel form raiser and setter; Timber person, retimber person, wood or steel; Tunnel Concrete finisher


GROUP 4: Diamond driller; Sandblaster; Shaft and raise work GUNITE LABORER CLASSIFICATIONS GROUP 1: Rodmen, Nozzlemen GROUP 2: Gunmen GROUP 3: Reboundmen ---------------------------------------------------------------- LABO0300-005 08/05/2009 Rates Fringes LABORER PLASTER CLEAN-UP LABORER....$ 26.65 15.95 PLASTER TENDER..............$ 29.20 15.95 ---------------------------------------------------------------- LABO0882-002 01/01/2010 Rates Fringes Asbestos Removal Laborer.........$ 26.15 11.65 SCOPE OF WORK: Includes site mobilization, initial site cleanup, site preparation, removal of asbestos-containing material and toxic waste, encapsulation, enclosure and disposal of asbestos- containing materials and toxic waste by hand or with equipment or machinery; scaffolding, fabrication of temporary wooden barriers and assembly of decontamination stations. ---------------------------------------------------------------- LABO1184-001 07/01/2011 Rates Fringes Laborers: (HORIZONTAL DIRECTIONAL DRILLING) (1) Drilling Crew Laborer...$ 28.01 11.48 (2) Vehicle Operator/Hauler.$ 28.18 11.48 (3) Horizontal Directional Drill Operator..............$ 30.03 11.48 (4) Electronic Tracking Locator.....................$ 32.03 11.48 Laborers: (STRIPING/SLURRY SEAL) GROUP 1.....................$ 28.50 14.56 GROUP 2.....................$ 29.80 14.56 GROUP 3.....................$ 31.81 14.56 GROUP 4.....................$ 33.55 14.56 LABORERS - STRIPING CLASSIFICATIONS GROUP 1: Protective coating, pavement sealing, including


repair and filling of cracks by any method on any surface in parking lots, game courts and playgrounds; carstops; operation of all related machinery and equipment; equipment repair technician GROUP 2: Traffic surface abrasive blaster; pot tender - removal of all traffic lines and markings by any method (sandblasting, waterblasting, grinding, etc.) and preparation of surface for coatings. Traffic control person: controlling and directing traffic through both conventional and moving lane closures; operation of all related machinery and equipment GROUP 3: Traffic delineating device applicator: Layout and application of pavement markers, delineating signs, rumble and traffic bars, adhesives, guide markers, other traffic delineating devices including traffic control. This category includes all traffic related surface preparation (sandblasting, waterblasting, grinding) as part of the application process. Traffic protective delineating system installer: removes, relocates, installs, permanently affixed roadside and parking delineation barricades, fencing, cable anchor, guard rail, reference signs, monument markers; operation of all related machinery and equipment; power broom sweeper GROUP 4: Striper: layout and application of traffic stripes and markings; hot thermo plastic; tape traffic stripes and markings, including traffic control; operation of all related machinery and equipment ---------------------------------------------------------------- PAIN0036-001 01/01/2012 Rates Fringes Painters: (Including Lead Abatement) (1) Repaint (excludes San Diego County)...............$ 26.05 10.35 (2) All Other Work..........$ 29.32 10.35 REPAINT of any previously painted structure. Exceptions: work involving the aerospace industry, breweries, commercial recreational facilities, hotels which operate commercial establishments as part of hotel service, and sports facilities. ---------------------------------------------------------------- PAIN0036-008 10/05/2011 Rates Fringes DRYWALL FINISHER/TAPER...........$ 33.22 13.81 ----------------------------------------------------------------


PAIN0036-015 06/01/2011 Rates Fringes GLAZIER..........................$ 38.95 19.78 FOOTNOTE: Additional $1.25 per hour for work in a condor, from the third (3rd) floor and up Additional $1.25 per hour for work on the outside of the building from a swing stage or any suspended contrivance, from the ground up ---------------------------------------------------------------- PAIN1247-002 05/01/2012 Rates Fringes SOFT FLOOR LAYER.................$ 30.85 10.54 ---------------------------------------------------------------- PLAS0200-009 08/01/2011 Rates Fringes PLASTERER........................$ 35.29 12.05 ---------------------------------------------------------------- PLAS0500-002 10/01/2011 Rates Fringes CEMENT MASON/CONCRETE FINISHER...$ 35.38 14.72 ---------------------------------------------------------------- PLUM0016-001 07/01/2011 Rates Fringes PLUMBER/PIPEFITTER Plumber and Pipefitter All other work except work on new additions and remodeling of bars, restaurant, stores and commercial buildings not to exceed 5,000 sq. ft. of floor space and work on strip malls, light commercial, tenant improvement and remodel work.......................$ 39.50 19.35 Work ONLY on new additions and remodeling of bars, restaurant, stores and commercial buildings not to exceed 5,000 sq. ft. of floor space.................$ 38.30 18.37 Work ONLY on strip malls, light commercial, tenant improvement and remodel work........................$ 30.79 16.70


---------------------------------------------------------------- PLUM0345-001 07/01/2011 Rates Fringes PLUMBER Landscape/Irrigation Fitter.$ 27.35 16.34 Sewer & Storm Drain Work....$ 26.82 18.18 ---------------------------------------------------------------- ROOF0036-002 08/01/2011 Rates Fringes ROOFER...........................$ 34.65 10.71 FOOTNOTE: Pitch premium: Work on which employees are exposed to pitch fumes or required to handle pitch, pitch base or pitch impregnated products, or any material containing coal tar pitch, the entire roofing crew shall receive $1.75 per hour "pitch premium" pay. ---------------------------------------------------------------- SFCA0669-008 04/01/2012 DOES NOT INCLUDE SAN CLEMENTE ISLAND, THE CITY OF SANTA ANA, AND THAT PART OF ORANGE COUNTY WITHIN 25 MILES OF THE CITY LIMITS OF LOS ANGELES: Rates Fringes SPRINKLER FITTER.................$ 33.43 19.23 ---------------------------------------------------------------- SFCA0709-003 01/01/2012 SAN CLEMENTE ISLAND, THE CITY OF SANTA ANA, AND THAT PART OF ORANGE COUNTY WITHIN 25 MILES BEYOND THE CITY LIMITS OF LOS ANGELES: Rates Fringes SPRINKLER FITTER (Fire)..........$ 40.56 23.62 ---------------------------------------------------------------- SHEE0105-003 01/01/2012 LOS ANGELES (South of a straight line drawn between Gorman and Big Pines)and Catalina Island, INYO, KERN (Northeast part, East of Hwy 395), MONO ORANGE, RIVERSIDE, AND SAN BERNARDINO COUNTIES Rates Fringes


SHEET METAL WORKER (1) Commercial - New Construction and Remodel work........................$ 36.21 25.20 (2) Industrial work including air pollution control systems, noise abatement, hand rails, guard rails, excluding architechtural sheet metal work, excluding A-C, heating, ventilating systems for human comfort...$ 36.21 25.20 ---------------------------------------------------------------- TEAM0011-002 07/01/2011 Rates Fringes TRUCK DRIVER GROUP 1....................$ 26.79 20.84 GROUP 2....................$ 26.94 20.84 GROUP 3....................$ 27.07 20.84 GROUP 4....................$ 27.26 20.84 GROUP 5....................$ 27.29 20.84 GROUP 6....................$ 27.32 20.84 GROUP 7....................$ 27.57 20.84 GROUP 8....................$ 27.82 20.84 GROUP 9....................$ 28.02 20.84 GROUP 10....................$ 28.32 20.84 GROUP 11....................$ 28.82 20.84 GROUP 12....................$ 29.25 20.84 WORK ON ALL MILITARY BASES: PREMIUM PAY: $3.00 per hour additional. [29 palms Marine Base, Camp Roberts, China Lake, Edwards AFB, El Centro Naval Facility, Fort Irwin, Marine Corps Logistics Base at Nebo & Yermo, Mountain Warfare Training Center, Bridgeport, Point Arguello, Point Conception, Vandenberg AFB] TRUCK DRIVERS CLASSIFICATIONS GROUP 1: Truck driver GROUP 2: Driver of vehicle or combination of vehicles - 2 axles; Traffic control pilot car excluding moving heavy equipment permit load; Truck mounted broom GROUP 3: Driver of vehicle or combination of vehicles - 3 axles; Boot person; Cement mason distribution truck; Fuel truck driver; Water truck - 2 axle; Dump truck, less than 16 yds. water level; Erosion control driver


GROUP 4: Driver of transit mix truck, under 3 yds.; Dumpcrete truck, less than 6-1/2 yds. water level GROUP 5: Water truck, 3 or more axles; Truck greaser and tire person ($0.50 additional for tire person); Pipeline and utility working truck driver, including winch truck and plastic fusion, limited to pipeline and utility work; Slurry truck driver GROUP 6: Transit mix truck, 3 yds. or more; Dumpcrete truck, 6-1/2 yds. water level and over; Vehicle or combination of vehicles - 4 or more axles; Oil spreader truck; Dump truck, 16 yds. to 25 yds. water level GROUP 7: A Frame, Swedish crane or similar; Forklift driver; Ross carrier driver GROUP 8: Dump truck, 25 yds. to 49 yds. water level; Truck repair person; Water pull - single engine; Welder GROUP 9: Truck repair person/welder; Low bed driver, 9 axles or over GROUP 10: Dump truck - 50 yds. or more water level; Water pull - single engine with attachment GROUP 11: Water pull - twin engine; Water pull - twin engine with attachments; Winch truck driver - $1.25 additional when operating winch or similar special attachments GROUP 12: Boom Truck 17K and above ---------------------------------------------------------------- WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ================================================================ Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). ---------------------------------------------------------------- The body of each wage determination lists the classification and wage rates that have been found to be prevailing for the cited type(s) of construction in the area covered by the wage determination. The classifications are listed in alphabetical order of "identifiers" that indicate whether the particular rate is union or non-union.


Union Identifiers An identifier enclosed in dotted lines beginning with characters other than "SU" denotes that the union classification and rate have found to be prevailing for that classification. Example: PLUM0198-005 07/01/2011. The first four letters , PLUM, indicate the international union and the four-digit number, 0198, that follows indicates the local union number or district council number where applicable , i.e., Plumbers Local 0198. The next number, 005 in the example, is an internal number used in processing the wage determination. The date, 07/01/2011, following these characters is the effective date of the most current negotiated rate/collective bargaining agreement which would be July 1, 2011 in the above example. Union prevailing wage rates will be updated to reflect any changes in the collective bargaining agreements governing the rate. Non-Union Identifiers Classifications listed under an "SU" identifier were derived from survey data by computing average rates and are not union rates; however, the data used in computing these rates may include both union and non-union data. Example: SULA2004-007 5/13/2010. SU indicates the rates are not union rates, LA indicates the State of Louisiana; 2004 is the year of the survey; and 007 is an internal number used in producing the wage determination. A 1993 or later date, 5/13/2010, indicates the classifications and rates under that identifier were issued as a General Wage Determination on that date. Survey wage rates will remain in effect and will not change until a new survey is conducted. ---------------------------------------------------------------- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling


On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. ================================================================ END OF GENERAL DECISION



EQUAL EMPLOYMENT OPPORTUNITY

SPECIAL PROVISION 000---001

Standard Federal Equal Employment Opportunity Construction Contract Specifications (Executive Order 11246)

1. As used in these specifications:

a. "Covered area" means the geographical area described in the solicitation from which this contract resulted;

b. "Director" means Director, Office of Federal Contract Compliance Programs, United States Department of Labor, or any person to whom the Director delegates authority;

c. "Employer identification number" means the Federal Social Security number used on the Employer's Quarterly Federal Tax Return, U.S. Treasury Department Form 941.

d. "Minority" includes:

i. Black (all persons having origins in any of the Black African racial groups not of Hispanic origin);

ii. Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American or other Spanish Culture or origin, regardless of race);

iii. Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East, Southeast Asia, the Indian Subcontinent, or the Pacific Islands); and

iv. American Indian or Alaskan Native (all persons having origins in any of the original peoples of North America and maintaining identifiable tribal affiliations through membership and participation or community identification).

2. Whenever the contractor, or any subcontractor at any tier, subcontracts a portion of the work involving any construction trade, it shall physically include in each subcontract in excess of $10,000 the provisions of these specifications and the Notice which contains the applicable goals for minority and female participation and which is set forth in the solicitations from which this contract resulted.

3. If the contractor is participating (pursuant to 41 CFR 60-4.5) in a Hometown Plan approved by the U. S. Department of Labor in the covered area either individually


or through an association, its affirmative action obligations on all work in the Hometown Plan area (including goals and timetables) shall be in accordance with that plan for those trades which have unions participating in the Hometown Plan. Contractors must be able to demonstrate their participation in and compliance with the provisions of any such Hometown Plan. Each contractor or subcontractor participating in an approved Hometown Plan is individually required to comply with its obligations under the EEO clause, and to make a good faith effort to achieve each goal under the Hometown Plan in each trade in which it has employees. The overall good faith performance by other contractors or subcontractors toward a goal in an approved Hometown Plan does not excuse any covered contractor's or subcontractor's failure to take good faith efforts to achieve the Hometown Plan goals and timetables.

4. The contractor shall implement the specific affirmative action standards provided in paragraphs 7a through p of these specifications. The goals set forth in the solicitation from which this contract resulted are expressed as percentages of the total hours of employment and training of minority and female utilization the contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. Covered construction contractors performing construction work in geographical areas where they do not have a Federal or federally assisted construction contract shall apply the minority and female goals established for the geographical area where the work is being performed. Goals are published periodically in the Federal Register in notice form and such notices may be obtained from any Office of Federal Contract Compliance Programs office or from Federal procurement contracting officers. The contractor is expected to make substantially uniform progress in meeting its goals in each craft during the period specified.

5. Neither the provisions of any collective bargaining agreement, nor the failure by a union with whom the contractor has a collective bargaining agreement, to refer either minorities or women shall excuse the contractor's obligations under these specifications, Executive Order 11246, or the regulations promulgated pursuant thereto.

6. In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, such apprentices and trainees must be employed by the contractor during the training period, and the contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the U. S. Department of Labor.

7. The contractor shall take specific affirmative actions to ensure equal employment opportunity. The evaluation of the contractor's compliance with these specifications shall be based upon its effort to achieve maximum results from its actions. The contractor shall document these efforts fully, and shall implement affirmative action steps at least as extensive as the following:


a. Ensure and maintain a working environment free of harassment, intimidation, and coercion at all sites, and in all facilities at which the contractor's employees are assigned to work. The contractor, where possible, will assign two or more women to each construction project. The contractor shall specifically ensure that all foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at such sites or in such facilities.

b. Establish and maintain a current list of minority and female recruitment sources, provide written notification to minority and female recruitment sources and to community organizations when the contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses.

c. Maintain a current file of the names, addresses and telephone numbers of each minority and female off-the-street applicant and minority or female referral from a union, a recruitment source or community organization and of what action was taken with respect to each such individual. If such individual was sent to the union hiring hall for referral and was not referred back to the contractor by the union or, if referred, not employed by the contractor, this shall be documented in the file with the reason therefor, along with whatever additional actions the contractor may have taken.

d. Provide immediate written notification to the Director when the union or unions with which the contractor has a collective bargaining agreement has not referred to the contractor a minority person or woman sent by the contractor, or when the contractor has other information that the union referral process has impeded the contractor's efforts to meet its obligations.

e. Develop on-the-job training opportunities and/or participate in training programs for the area which expressly include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the contractor's employment needs, especially those programs funded or approved by the Department of Labor. The contractor shall provide notice of these programs to the sources compiled under 7b above.

f. Disseminate the contractor's EEO policy by providing notice of the policy to unions and training programs and requesting their cooperation in assisting the contractor in meeting its EEO obligations; by including it in any policy manual and collective bargaining agreement; by publicizing it in the company newspaper, annual report, etc.; by specific review of the policy with all management personnel and with all minority and female employees at least once a year; and by posting the contractor’s EEO policy on bulletin boards accessible to all employees at each location where construction work is performed.


g. Review, at least annually, the contractor's EEO policy and affirmative action obligations under these specifications with all employees having any responsibility for hiring, assignment, layoff, termination or other employment decisions including specific review of these items with onsite supervisory personnel such as Superintendents, General Foremen, etc., prior to the initiation of construction work at any job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter.

h. Disseminate the contractor's EEO policy externally by including it in any advertising in the news media, specifically including minority and female news media, and providing written notification to and discussing the contractor's EEO policy with other contractors and subcontractors with whom the contractor does or anticipates doing business.

i. Direct its recruitment efforts, both oral and written, to minority, female and community organizations, to schools with minority and female students and to minority and female recruitment and training organizations serving the contract recruitment area and employment needs. Not later than one month prior to the date for the acceptance of applications for apprenticeship or other training by any recruitment source, the contractor shall send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process.

j. Encourage present minority and female employees to recruit other minority persons and women and, where reasonable, provide after school, summer and vacation employment to minority and female youth both on the site and in other areas of a contractor's workforce.

k. Validate all tests and other selection requirements where there is an obligation to do so under 41 CFR Part 60-3.

l. Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for promotional opportunities and encourage these employees to seek or to prepare for, through appropriate training, etc., such opportunities.

m. Ensure that seniority practices, job classifications, work assignments and other personnel practices, do not have a discriminatory effect by continually monitoring all personnel and employment related activities to ensure that the contractor’s EEO policy and the contractor's obligations under these specifications are being carried out.

n. Ensure that all facilities and company activities are non-segregated except that separate or single-user toilet and necessary changing facilities shall be provided to assure privacy between the sexes.


o. Document and maintain a record of all solicitations of offers for subcontracts from minority and female construction contractors and suppliers, including circulation of solicitations to minority and female contractor associations and other business associations.

p. Conduct a review, at least annually, of all supervisors' adherence to and performance under the contractor's EEO policies and affirmative action obligations.

8. Contractors are encouraged to participate in voluntary associations which assist in fulfilling one or more of their affirmative action obligations (7a through p). The efforts of a contractor association, joint contractor-union, contractor-community, or other similar group of which the contractor is a member and participant, may be asserted as fulfilling any one or more of its obligations under 7a through p of these specifications provided that the contractor actively participates in the group, makes every effort to assure that the group has a positive impact on the employment of minorities and women in the industry, ensures that the concrete benefits of the program are reflected in the contractor's minority and female workforce participation, makes a good faith effort to meet its individual goals and timetables, and can provide access to documentation which demonstrates the effectiveness of actions taken on behalf of the contractor. The obligation to comply, however, is the contractor's and failure of such a group to fulfill an obligation shall not be a defense for the contractor's noncompliance.

9. A single goal for minorities and a separate single goal for women have been established. The contractor, however, is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and non-minority. Consequently, the contractor may be in violation of the Executive Order if a particular group is employed in a substantially disparate manner (for example, even though the contractor has achieved its goals for women generally, the contractor may be in violation of the Executive Order if a specific minority group of women is underutilized).

10. The contractor shall not use the goals and timetables or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin.

11. The contractor shall not enter into any subcontract with any person or firm debarred from Government contracts pursuant to Executive Order 11246.

12. The contractor shall carry out such sanctions and penalties for violation of these specifications and of the Equal Opportunity Clause, including suspension, termination and cancellation of existing subcontracts as may be imposed or ordered pursuant to Executive Order 11246, as amended, and its implementing regulations, by the Office of Federal Contract Compliance Programs. Any


contractor who fails to carry out such sanctions and penalties shall be in violation of these specifications and Executive Order 11246, as amended.

13. The contractor, in fulfilling its obligations under these specifications, shall implement specific affirmative action steps, at least as extensive as those standards prescribed in paragraph 7 of these specifications, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the contractor fails to comply with the requirements of the Executive Order, the implementing regulations, or these specifications, the Director shall proceed in accordance with 41 CFR 60-4.8.

14. The contractor shall designate a responsible official to monitor all employment related activity to ensure that the company EEO policy is being carried out, to submit reports relating to the provisions hereof as may be required by the Government and to keep records. Records shall at least include for each employee the name, address, telephone numbers, construction trade, union affiliation if any, employee identification number when assigned, social security number, race, sex, status (e.g., mechanic, apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, contractors shall not be required to maintain separate records.

15. Nothing herein provided shall be construed as a limitation upon the application of other laws which establish different standards of compliance or upon the application of requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program).

16. [In addition to the reporting requirements set forth elsewhere in this contract, the contractor and the subcontractors holding subcontracts, not including material suppliers, of $10,000 or more, shall submit an annual report each July for the duration of the project, indicating employment data as contained under Form PR 1391 (Appendix C to 23 CFR, Part 230), and in accordance with the instructions included thereon.]



AFFIRMATIVE ACTION

SPECIAL PROVISION 000--1981

Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246)

1. General.

In addition to the affirmative action requirements of the Special Provision titled "Standard Federal Equal Employment Opportunity Construction Contract Specifications" as set forth elsewhere in this proposal, the contractor’s attention is directed to the specific requirements for utilization of minorities and females as set forth below.

2. Goals.

a. Goals for minority and female participation are hereby established in accordance with 41 CFR 60-4.

b. The goals for minority and female participation expressed in percentage terms for the contractor’s aggregate work force in each trade on all construction work in the covered area, are as follows:

Goals for minority Goals for female participation in participation in each trade (percent)

each trade (per-cent)

See Table 1 6.9%

c. These goals are applicable to all the contractor’s construction work (whether or not it is Federal or federally assisted) performed in the covered area. If the contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for such geographical area where the work is actually performed. With regard to this second area, the contractor also is subject to the goals for both its federally involved and non-federally involved construction. The contractor’s compliance with the Executive Order and the regulations in 41 CFR Part 60-4 shall be based on its implementation of the Standard Federal Equal Employment Opportunity Construction Contract Specifications Special Provision and its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade, and the contractor shall make a good faith effort to employ minorities and women evenly on each of its projects. The transfer of minority and female


employees or trainees from contractor to contractor or from project to project for the sole purpose of meeting the contractor’s goals shall be a violation of the contract, the Executive Order and the regulations in 41 CFR Part 60-4. Compliance with the goals will be measured against the total work hours performed.

d. A contractor or subcontractor will be considered in compliance with these provisions by participation in the [RCTC Affirmative Action Plan]. Provided that each contractor or subcontractor participating in this plan must individually comply with the equal opportunity clause set forth in 41 CFR 60-1.4 and must make a good faith effort to achieve the goals set forth for each participating trade in the plan in which it has employees. The overall good performance of other contractors and subcontractors toward a goal in an approved plan does not excuse any covered contractor’s or subcontractor’s failure to make good faith efforts to achieve the goals contained in these provisions. Contractors or subcontractors participating in the plan must be able to demonstrate their participation and document their compliance with the provisions of this plan.

3. Subcontracting.

The contractor shall provide written notification to RCTC within ten Business Days of award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation pending concurrence of RCTC in the award. The notification shall list the names, address and telephone number of the subcontractor; employer identification number; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the contract is to be performed.

4. Covered area.

As used in this special provision, and in the contract resulting from this solicitation, the geographical area covered by these goals for female participation is the State of California. The geographical area covered by these goals for other minorities are the counties in the State of California as indicated in Table 1.

5. Reports.

The contractor is hereby notified that he may be subject to the Office of Federal Contract Compliance Programs (OFCCP) reporting and record keeping requirements as provided for under Executive Order 11246 as amended. OFCCP will provide direct notice to the contractor as to the specific reporting requirements that he will be expected to fulfill.


Table 1

FEDERAL-AID MINORITY GOALS

CALIFORNIA ECONOMIC AREA

174 Redding, CA:

Non-SMSA Counties: CA Lassen; CA Modoc; CA Plumas; CA; Shasta; CA Siskiyou; CA Tehama.

6.8%

175 Eureka, CA:

Non-SMSA Counties: CA Del Norte; CA Humboldt; CA Trinity.

6.6%

176 San Francisco-Oakland-San Jose, CA:

SMSA Counties: 7120 Salinas-Seaside-Monterey, CA CA Monterey.

28.9%

7360 San Francisco-Oakland, CA CA Alameda; CA Contra Costa; CA Marin; San Francisco; CA San Mateo.

25.6%

7400 San Jose, CA CA Santa Clara.

19.6%

7485 Santa Cruz, CA CA Santa Cruz.

14.9%

7500 Santa Rosa, CA CA Sonoma.

9.1%

8720 Vallejo-Fairfield-Napa, CA CA Napa; CA Solano

17.1%

Non-SMSA Counties: CA Lake; CA Mendocino; CA San Benito.

23.2%

177 Sacramento, CA

SMSA Counties:

6920 Sacramento, CA CA Placer; CA Sacramento; CA Yolo.

16.1%

Non-SMSA Counties: 14.3% CA Butte; CA Colusa; CA El Dorado; CA Glenn; CA Nevada; CA Sierra; CA Sutter; CA Yuba.


178 Stockton-Modesto, CA:

SMSA Counties:

5170 Modesto, CA CA Stanislaus.

12.3%

8120 Stockton, CA CA San Joaquin.

24.3%

Non-SMSA Counties: 19.8% CA Alpine; CA Amador; CA Calaveras; CA Mariposa; CA Merced, CA Tuolumne.

179 Fresno-Bakersfield, CA:

SMSA Counties:

0680 Bakersfield, CA CA Kent

19.1%

2840 Fresno, CA CA Fresno

26.1%

Non-SMSA Counties: 23.6% CA Kings; CA Madera; CA Tulare.

180 Los Angeles, CA:

SMSA Counties: 0360 Anaheim-Santa Ana-Garden Grove, CA CA Orange

11.9%

4480 Los Angeles-Long Beach, CA CA Los Angeles

28.3%

6000 Oxnard-Simi Valley-Ventura, CA CA Ventura

21.5%

6780 Riverside-San Bernardino-Ontario, CA CA Riverside; CA San Bernardino

19.0%

7480 Santa Barbara-Santa Maria-Lompoc, CA CA Santa Barbara

19.7%

Non-SMSA Counties: 24.6% CA Inyo; CA Mono; CA San Luis Obispo.

181 San Diego, CA:

SMSA Counties:

7320 San Diego, CA CA San Diego.

16.9%

Non-SMSA Counties: 16.2% CA Imperial



[Reserved]


ATTACHMENT 7 APPENDIX 14

CERTIFICATION REGARDING USE OF CONTRACT FUNDS FOR LOBBYING

By signing and submitting its proposal or bid, and by executing the Contract or Subcontract, each prospective Design-Builder and subcontractor (at all tiers) shall be deemed to have signed and delivered the following:

1. The prospective Design-Builder/subcontractor certifies, to the best of its knowledge and belief, that:

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

b. If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions, and shall include a copy of said form in its proposal or bid, or submit it with the executed Contract or Subcontract.

2. This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. 1352. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

3. Design-Builder/subcontractor shall require that the language of this certification be included in all lower tier Subcontracts which exceed $100,000 and that all such recipients shall certify and disclose accordingly.

4. The undersigned certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the


undersigned understands and agrees that the provisions of 31 U.S.C. §3801, et seq., apply to this certification and disclosure, if any.

[Note: Pursuant to 31 U.S.C. §1352(c)(1)-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each expenditure or failure.]



COMPLIANCE WITH BUY AMERICA REQUIREMENTS

Design-Builder shall comply with the Federal Highway Administration (FHWA) Buy America Requirement in 23 CFR 635.410, which permits FHWA participation in the Contract only if domestic steel and iron will be used on the Project. To be considered domestic, all steel and iron used and all products manufactured from steel and iron must be produced in the United States and all manufacturing processes for these materials must occur in the United States, with the exception that pig iron and processed, pelletized and reduced iron ore manufactured outside of the United States may be used in the domestic manufacturing process for such steel and iron materials. The application of coatings, such as epoxy coating, galvanizing, painting and other coating that protects or enhances the value of steel or iron materials shall be considered a manufacturing process subject to Buy America requirements. This requirement does not preclude a minimal use of foreign steel and iron materials, provided the cost of such materials does not exceed 0.1% of the contract price under the Contract.

A Certificate of Compliance shall be furnished for steel and iron materials. The certificates, in addition to certifying that the materials comply with the specifications, shall specifically certify that all manufacturing processes for the materials occurred in the United States, except as for the above exception.


BUY AMERICA CERTIFICATE

Certificate of Compliance

Design-Builder hereby certifies that it will comply with the requirements of 23 U.S.C. 313, and the applicable regulations in 23 CFR 635.410.

Date: _____________________________________

Signature:__________________________________

Design-Builder’s Name: _______________________

Title: _____________________________________



TRAINING SPECIAL PROVISIONS

This Training Special Provisions supersedes subparagraph 6b of Section II, “Nondiscrimination,” of the Required Contract Provisions, Federal-Aid Construction Contracts (Attachment 2 to Appendix 14), and is in implementation of 23 U.S.C. § 140(a).

As part of the Design-Builder's equal employment opportunity affirmative action program, training shall be provided as follows:

The Design-Builder shall provide on-the-job training aimed at developing full journeymen in the type of trade or job classification involved.

The number of trainees to be trained under the special provision will be 104.

In the event that a Design-Builder subcontracts a portion of the contract work, they shall determine how many, if any, of the trainees are to be trained by the Subcontractor, provided, however, that the Design-Builder shall retain the primary responsibility for meeting the training requirements imposed by this special provision, The Design-Builder shall also ensure that this training special provision is made applicable to such subcontract. Where feasible, 25 percent of apprentices or trainees in each occupation shall be in their first year of apprenticeship or training.

The number of trainees shall be distributed among the work classifications on the basis of the Design-Builder's needs and the availability of journeymen in the various classifications within a reasonable area of recruitment. Prior to commencing construction, the Design-Builder shall submit to the State highway agency for approval the number of trainees to be trained in each selected classification and training program to be used. Furthermore, the Design-Builder shall specify the starting time for training in each of the classifications. The Design-Builder will be credited for each trainee employed by him on the contract work who is currently enrolled or becomes enrolled in an approved program and will be reimbursed for such trainees as provided hereinafter.

Training and upgrading of minorities and women toward journeyman status is a primary objective of this Training Special Provision. Accordingly, the Design-Builder shall make every effort to enroll minority trainees and women (e.g., by conducting systematic and direct recruitment through public and private likely to yield minority and women trainees) to the extent that such persons are available within a reasonable area of recruitment. The Design-Builder will be responsible for demonstrating the steps that they have taken in pursuance thereof, prior to a determination as to whether the Design-Builder is in compliance with this Training Special Provision. This training commitment is not intended, and shall not be used, to discriminate against any applicant for training, whether a member of a minority group or not.

No employee shall be employed as a trainee in any classification in which they have successfully completed a training course leading to journeyman status or in which they have been employed as a journeyman. The Design-Builder should satisfy this


requirement by including appropriate questions in the employee application or by other suitable means. Regardless of the method used, the Design-Builder's records should document the findings in each case.

The minimum length and type of training for each classification will be as established in the training program selected by the Design-Builder and approved by the State highway agency and the Federal Highway Administration. The State highway agency and the Federal Highway Administration shall approve a program if it is reasonably calculated to meet the equal employment opportunity obligations of the Design-Builder and to qualify the average trainee for journeyman status in the classification concerned by the end of the training period. Furthermore, apprenticeship programs registered with the U.S. Department of Labor, Bureau of Apprenticeship and Training, or with a State apprenticeship agency recognized by the Bureau and training programs approved but not necessarily sponsored by the U.S. Department of Labor, Manpower Administration, Bureau of Apprenticeship and training shall also be considered acceptable provided it is being administered in a manner consistent with the equal employment obligations of Federal-aid highway construction contracts. Approval or acceptance of a training program shall be obtained from the State prior to commencing work on the classification covered by the program. It is the intention of these provisions that training is to be provided in the construction crafts rather than clerk-typists or secretarial-type positions. Training is permissible in lower level management positions such as office engineers, estimators, timekeepers, etc., where the training is oriented toward construction applications. Training in the laborer classification may be permitted provided that significant and meaningful training is provided and approved by the division office. Some off-site training is permissible as long as the training is an integral part of an approved training program and does not comprise a significant part of the overall training.

Except as otherwise noted below, the Design-Builder will be reimbursed 80 cents per hour of training given an employee on this contract in accordance with an approved training program. As approved by the engineer, reimbursement will be made for training persons in excess of the number specified herein. This reimbursement will be made even though the Design-Builder receives additional training program funds from other sources provided such other source does not specifically prohibit the Design-Builder from receiving other reimbursement. Reimbursement for off-site training indicated above may only be made to the Design-Builder where they do one or more of the following and the trainees are concurrently employed on a Federal-aid project; contributes to the cost of the training, provides the instruction to the trainee, or pays the trainee's wages during the off-site training period.

No payment shall be made to the Design-Builder if either the failure to provide the required training, or the failure to hire the trainee as a journeyman, is caused by the Design-Builder and evidences a lack of good faith on the part of the Design-Builder in meeting the requirements of this Training Special Provision. It is normally expected that a trainee will begin his training on the project as soon as feasible after start of work utilizing the skill involved and remain on the project as long as training opportunities exist in his work classification or until he has completed his training program. It is not required that all trainees be on board for the entire length of the contract. Design-


Builders will have fulfilled their responsibilities under this Training Special Provision if they have provided acceptable training to the number of trainees specified. The number trained shall be determined on the basis of the total number enrolled on the contract for a significant period.

Trainees will be paid at least 60 percent of the appropriate minimum journeyman's rate specified in the contract for the first half of the training period, 75 percent for the third quarter of the training period, and 90 percent for the last quarter of the training period, unless apprentices or trainees in an approved existing program are enrolled as trainees on this project. In that case, the appropriate rates approved by the Departments of Labor or Transportation in connection with the existing program shall apply to all trainees being trained for the same classification who are covered by this Training Special Provision.

Design-Builders shall furnish the trainee a copy of the program the Design-Builder will follow in providing the training. The Design-Builder shall provide each trainee with a certification showing the type and length of training satisfactorily completed. The Design-Builder will provide for the maintenance of records and furnish periodic reports documenting their performance under this Training Special Provision.

Riverside County Transportation Commission Appendix 15 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 12 Design-Build Contract Appendices Issued: July 26, 2012 Form of Guaranty

APPENDIX 15

FORM OF GUARANTY

GUARANTY

THIS GUARANTY (this “Guaranty”) is made as of __________, 20__ by _________________, a ____________________ (“Guarantor”), in favor of the RIVERSIDE COUNTY TRANSPORTATION COMMISSION, a public entity of the State of California (“RCTC”).

R E C I T A L S

_________________, a _________________, as design-builder (“Design-Builder”), and RCTC are parties to that certain Design-Build Contract (the “Contract”) pursuant to which the Design-Builder has agreed to develop, design, and construct the Project. Initially capitalized terms used herein without definition will have the meaning given such term in the Contract Documents.

To induce RCTC to (i) enter into the Contract; and (ii) consummate the transactions contemplated thereby, Guarantor has agreed to enter into this Guaranty.

Design-Builder is a ________________. The Guarantor is _____________. The execution of the Contract by RCTC and the consummation of the transactions contemplated thereby will materially benefit Guarantor. Without this Guaranty, RCTC would not have entered into the Contract with Design-Builder. Therefore, in consideration of RCTC’s execution of the Contract and consummation of the transactions contemplated thereby, Guarantor has agreed to execute this Guaranty.

NOW, THEREFORE, in consideration of the foregoing Recitals, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, Guarantor agrees as follows:

1. Guaranty.

a. Guarantor guarantees to RCTC and its successors and assigns the full and prompt payment and performance when due of all of the obligations of the Design-Builder arising out of, in connection with, under or related to the Contract Documents (including, without limitation, the Design-Builder’s obligation to make payment to RCTC for liquidated damages, stipulated damages, and indemnity). The obligations guaranteed pursuant to this Guaranty are collectively referred to herein as the “Guaranteed Obligations.”

b. Guarantor covenants to RCTC that if at any time the Design-Builder should default in the performance when due of, observance when due of, or should commit a breach of, any of the Guaranteed Obligations, Guarantor shall promptly, upon written notice by RCTC, perform or pay the Guaranteed Obligations or cause the performance or payment of the Guaranteed Obligations.


c. Guarantor expressly agrees that, to the extent Guarantor’s obligations hereunder relate to obligations of the Design-Builder which require performance other than the payment of money, RCTC may proceed against Guarantor to effect specific performance thereof (to the extent that such relief is available). Guarantor hereby covenants and agrees to assume or to procure the assumption of the Contract Documents, and to perform or to procure the performance of all of the terms and conditions thereunder should any of the Contract Documents be disaffirmed or rejected by a trustee or court in a bankruptcy proceeding involving the Design-Builder, or, at the option of RCTC, Guarantor shall, in the event of the Design-Builder’s bankruptcy, make and enter into or have made and entered into, by one or more entities reasonably satisfactory to RCTC, new contract documents for the balance of the term of the Contract Documents, which new contract documents shall be in form and substance identical to the replaced Contract Documents.

2. Unconditional Obligations. This Guaranty is a guaranty of payment and performance and not of collection. Except as provided in Section 20, this Guaranty is an absolute, unconditional and irrevocable guarantee of the full and prompt payment and performance when due of all of the Guaranteed Obligations, whether or not from time to time reduced or extinguished or hereafter increased or incurred, and whether or not enforceable against the Design-Builder. If any payment made by the Design-Builder or any other Person and applied to the Guaranteed Obligations is at any time annulled, set aside, rescinded, invalidated, declared to be fraudulent or preferential or otherwise required to be repaid or refunded, then, to the extent of such payment or repayment, the liability of Guarantor will be and remain in full force and effect as fully as if such payment had never been made. Guarantor covenants that this Guaranty will not be fulfilled or discharged, except by the complete payment and performance of the Guaranteed Obligations, whether by the primary obligor or Guarantor under this Guaranty. Without limiting the generality of the foregoing, Guarantor’s obligations hereunder will not be released, discharged or otherwise affected by:

a. any change in the Contract Documents or the obligations thereunder, any change in the existence, structure or ownership of Guarantor or the Design-Builder, or any dissolution, winding up, liquidation, insolvency, bankruptcy, reorganization or similar proceeding affecting the Design-Builder, Guarantor or their respective assets or any defense that may arise in connection with or as a result of such dissolution, winding up, liquidation, insolvency, bankruptcy, reorganization or other proceeding;

b. the existence of any claim or set-off which the Design-Builder has or Guarantor may have against RCTC, whether in connection with this Guaranty or any unrelated transaction, provided that nothing in this Guaranty will be deemed a waiver by Guarantor of any claim or prevent the assertion of any claim by separate suit;

c. any failure of consideration or lack of authority of the Design-Builder, any lack of validity or enforceability, illegality or defect or deficiency, or any other defense to formation of the Contract Documents (or any term, condition or covenant thereof);


d. any change in the time, manner, terms, place of payment of, or any other term of all or any of the Guaranteed Obligations, or any other amendment, waiver of, or any consent to departure from any Contract Document executed in connection therewith;

e. the incapacity or lack of power or authority of, or dissolution or change in, the members or shareholders of the Design-Builder; or

f. any other circumstance that might otherwise constitute a defense available to, or a discharge of, Guarantor with respect to the Guaranteed Obligations, other than performance or payment in full of the Guaranteed Obligations.

This Guaranty will in all respects be a continuing, absolute, and unconditional guaranty irrespective of the genuineness, validity, regularity or enforceability of the Guaranteed Obligations or any part thereof or any instrument or agreement evidencing any of the Guaranteed Obligations or relating thereto, or the existence, validity, enforceability, perfection, or extent of any collateral therefor or any other circumstances relating to the Guaranteed Obligations, except as provided in Section 20.

3. Independent Obligations. Guarantor agrees that the Guaranteed Obligations are independent of the obligations of the Design-Builder and if any default occurs hereunder, a separate action or actions may be brought and prosecuted against Guarantor whether or not the Design-Builder is joined therein. RCTC may maintain successive actions for other defaults of Guarantor. RCTC’s rights hereunder will not be exhausted by the exercise of any of its rights or remedies or by any such action or by any number of successive actions until and unless all Guaranteed Obligations have been indefeasibly paid and fully performed.

a. Guarantor agrees that RCTC may enforce this Guaranty, at any time and from time to time, without the necessity of resorting to or exhausting any security or collateral and without the necessity of proceeding against the Design-Builder. Guarantor hereby waives the right to require RCTC to proceed against the Design-Builder, to exercise any right or remedy under any of the Contract Documents or to pursue any other remedy or to enforce any other right.

b. Guarantor will continue to be subject to this Guaranty notwithstanding: (i) any modification, agreement or stipulation between the Design-Builder and RCTC or their respective successors and assigns, with respect to any of the Contract Documents or the Guaranteed Obligations; (ii) any waiver of or failure to enforce the Guaranteed Obligations or any of the terms, covenants or conditions contained in any of the Contract Documents or any modification thereof; (iii) any release of the Design-Builder from any liability with respect to any of the Contract Documents; or (iv) any release or subordination of any collateral then held by RCTC as security for the performance by the Design-Builder of the Guaranteed Obligations.

c. The Guaranteed Obligations are not conditional or contingent upon the genuineness, validity, regularity or enforceability of any of the Contract Documents or the pursuit by RCTC of any remedies which RCTC either now has or may hereafter have with respect thereto under any of the Contract Documents.


d. Design-Builder and Guarantor acknowledge and agree that Guarantor’s obligations and undertakings hereunder are derivative of, and not in excess of, the Guaranteed Obligations and Guarantor shall be entitled to all rights and defenses of Design-Builder except as previously waived or disclaimed in this Guaranty. Notwithstanding any other term or provision of this Guaranty, in the event that the Design-Builder’s obligations have been changed by any modification, agreement or stipulation between Design-Builder and RCTC or their respective successors or assigns, the term “Guaranteed Obligations” as used herein shall mean the Guaranteed Obligations as so changed, except that the Guaranteed Obligations shall be determined without regard to the effect of any such modification, agreement or stipulation in the context of a bankruptcy or insolvency proceeding in which Design-Builder is the debtor, unless otherwise specified in the modification, agreement or stipulation.

4. Liability of Guarantor.

a. RCTC may enforce this Guaranty upon the occurrence of a breach by the Design-Builder of any of the Guaranteed Obligations, notwithstanding the existence of any dispute between RCTC and the Design-Builder with respect to the existence of such a breach.

b. Guarantor’s performance of some, but not all, of the Guaranteed Obligations will in no way limit, affect, modify or abridge Guarantor’s liability for those Guaranteed Obligations that have not been performed.

c. RCTC, upon such terms as it deems appropriate, without notice or demand and without affecting the validity or enforceability of this Guaranty or giving rise to any reduction, limitation, impairment, discharge or termination of Guarantor’s liability hereunder, from time to time may (i) with respect to the financial obligations of the Design-Builder, if and as permitted by the Contract, renew, extend, accelerate, increase the rate of interest on, or otherwise change the time, place, manner or terms of payment of financial obligations that are Guaranteed Obligations, and/or subordinate the payment of the same to the payment of any other obligations, (ii) settle, compromise, release or discharge, or accept or refuse any offer of performance with respect to, or substitutions for, the Guaranteed Obligations or any agreement relating thereto, (iii) request and accept other guarantees of the Guaranteed Obligations and take and hold security for the payment and performance of this Guaranty or the Guaranteed Obligations, (iv) release, surrender, exchange, substitute, compromise, settle, rescind, waive, alter, subordinate or modify, with or without consideration, any security for performance of the Guaranteed Obligations, any other guarantees of the Guaranteed Obligations, or any other obligation of any Person with respect to the Guaranteed Obligations, (v) enforce and apply any security hereafter held by or for the benefit of RCTC in respect of this Guaranty or the Guaranteed Obligations and direct the order or manner of sale thereof, or exercise any other right or remedy that RCTC may have against any such security, as RCTC in its discretion may determine, and (vi) exercise any other rights available to it under the Contract Documents.

d. This Guaranty and the obligations of Guarantor hereunder will be valid and enforceable and will not be subject to any reduction, limitation, impairment, discharge or termination for any reason (other than indefeasible performance in full of


the Guaranteed Obligations), including without limitation the occurrence of any of the following, whether or not Guarantor will have had notice or knowledge of any of them: (i) any failure or omission to assert or enforce an agreement or election not to assert or enforce, or the stay or enjoining, by order of court, by operation of law or otherwise, of the exercise or enforcement of, any claim or demand or any right, power or remedy (whether arising under the Contract Documents, at law, in equity or otherwise) with respect to the Guaranteed Obligations or any agreement or instrument relating thereto; (ii) any rescission, waiver, amendment or modification of, or any consent to departure from, any of the terms or provisions (including without limitation provisions relating to events of default) of the Contract Documents or any agreement or instrument executed pursuant thereto; (iii) RCTC’s knowledge of or consent to the change, reorganization or termination of the corporate structure or existence of the Design-Builder; (iv) any defenses, set-offs or counterclaims that the Design-Builder may allege or assert against RCTC in respect of the Guaranteed Obligations, except as provided in Section 20.

5. Waivers. To the fullest extent permitted by law, Guarantor hereby waives and agrees not to assert or take advantage of:

a. any right to require RCTC to proceed against the Design-Builder or any other Person or to proceed against or exhaust any security held by RCTC at any time or to pursue any right or remedy under any of the Contract Documents or any other remedy in RCTC’s power before proceeding against Guarantor;

b. any defense that may arise by reason of the incapacity, lack of authority, death or disability of, or revocation hereby by Guarantor, the Design-Builder or any other Person or the failure of RCTC to file or enforce a claim against the estate (either in administration, bankruptcy or any other proceeding) of any such Person;

c. any defense that may arise by reason of any presentment, demand for payment or performance or otherwise, protest or notice of any other kind or lack thereof;

d. any right or defense arising out of an election of remedies by RCTC even though the election of remedies, such as nonjudicial foreclosure with respect to any security for the Guaranteed Obligations, has destroyed the Guarantor’s rights of subrogation and reimbursement against the Design-Builder by the operation of Section 580d of the California Code of Civil Procedure or otherwise;

e. all notices to Guarantor or to any other Person, including, but not limited to, notices of the acceptance of this Guaranty or the creation, renewal, extension, modification, accrual of any of the obligations of the Design-Builder under any of the Contract Documents, or of default in the payment or performance of any such obligations, enforcement of any right or remedy with respect thereto or notice of any other matters relating thereto;

f. any defense based upon any act or omission of RCTC which directly or indirectly results in or aids the discharge or release of the Design-Builder, Guarantor or any security given or held by RCTC in connection with the Guaranteed Obligations;


g. any duty on the part of RCTC to disclose to Guarantor any facts RCTC may now or hereafter know about the Design-Builder, regardless of whether RCTC has reason to believe that any such facts materially increase the risk beyond that which Guarantor intends to assume, has reason to believe that such facts are unknown to Guarantor, or has a reasonable opportunity to communicate such facts to Guarantor. Guarantor acknowledges that it is fully responsible for being and keeping informed of the financial condition of the Design-Builder and of all circumstances bearing on the risk of non-payment of any Guaranteed Obligations;

h. [the fact that Guarantor may at any time in the future dispose of all or part of its direct or indirect ownership or economic interests in the Design-Builder]; and

i. any and all suretyship defenses under applicable law.

6. Waiver of Subrogation and Rights of Reimbursement. Until the Guaranteed Obligations have been indefeasibly paid in full, Guarantor waives any claim, right or remedy which it may now have or may hereafter acquire against the Design-Builder that arises from the performance of Guarantor hereunder, including, without limitation, any claim, right or remedy of subrogation, reimbursement, exoneration, contribution, or indemnification, or participation in any claim, right or remedy of RCTC against the Design-Builder, or any other security or collateral that RCTC now has or hereafter acquires, whether or not such claim, right or remedy arises in equity, under contract, by statute, under common law or otherwise. All existing or future indebtedness of Design-Builder or any shareholders, partners, members, joint venturers of Design-Builder to Guarantor is subordinated to all of the Guaranteed Obligations until such time as all Guaranteed Obligations shall have been indefeasibly paid in full. Whenever and for so long as the Design-Builder shall be in default in the performance of a Guaranteed Obligation, no payments with respect to any such indebtedness shall be made by Design-Builder or any shareholders, partners, members, joint venturers of Design-Builder to Guarantor without the prior written consent of RCTC. Any payment by Design-Builder or any shareholders, partners, members, joint venturers of Design-Builder to Guarantor in violation of this provision shall be deemed to have been received by Guarantor as trustee for RCTC.

7. Cumulative Rights. All rights, powers and remedies of RCTC hereunder will be in addition to and not in lieu of all other rights, powers and remedies given to RCTC, whether at law, in equity or otherwise.

8. Representations and Warranties. In addition to the representations and warranties with respect to solvency set forth in Section 17, Guarantor represents and warrants that:

a. it is a corporation duly organized, validly existing, and in good standing under the laws of the State of _____________ and qualified to do business and is in good standing under the laws of the State of California;

b. it has all requisite corporate power and authority to execute, deliver and perform this Guaranty;


c. the execution, delivery, and performance by Guarantor of this Guaranty have been duly authorized by all necessary corporate action on the part of Guarantor and proof of such authorization will be provided with the execution of this Guaranty;

d. this Guaranty has been duly executed and delivered and constitutes the legal, valid and binding obligation of Guarantor, enforceable against Guarantor in accordance with its terms;

e. neither the execution nor delivery of this Guaranty nor compliance with or fulfillment of the terms, conditions, and provisions hereof, will conflict with, result in a material breach or violation of the terms, conditions, or provisions of, or constitute a material default, an event of default, or an event creating rights of acceleration, termination, or cancellation, or a loss of rights under: (1) the certificate of incorporation or by-laws of Guarantor, (2) any judgment, decree, order, contract, agreement, indenture, instrument, note, mortgage, lease, governmental permit, or other authorization, right, restriction, or obligation to which Guarantor is a party or any of its property is subject or by which Guarantor is bound, or (3) any federal, state, or local law, statute, ordinance, rule or regulation applicable to Guarantor;

f. it now has and will continue to have full and complete access to any and all information concerning the transactions contemplated by the Contract Documents or referred to therein, the financial status of the Design-Builder and the ability of the Design-Builder to pay and perform the Guaranteed Obligations;

g. it has reviewed and approved copies of the Contract Documents and is fully informed of the remedies RCTC may pursue, with or without notice to the Design-Builder or any other Person, in the event of default of any of the Guaranteed Obligations;

h. it has made and so long as the Guaranteed Obligations (or any portion thereof) remain unsatisfied, it will make its own credit analysis of the Design-Builder and will keep itself fully informed as to all aspects of the financial condition of the Design-Builder, the performance of the Guaranteed Obligations and of all circumstances bearing upon the risk of nonpayment or nonperformance of the Guaranteed Obligations. Guarantor hereby waives and relinquishes any duty on the part of RCTC to disclose any matter, fact or thing relating to the business, operations or conditions of the Design-Builder now known or hereafter known by RCTC;

i. no consent, authorization, approval, order, license, certificate, or permit or act of or from, or declaration or filing with, any governmental authority or any party to any contract, agreement, instrument, lease, or license to which Guarantor is a party or by which Guarantor is bound, is required for the execution, delivery, or compliance with the terms hereof by Guarantor, except as have been obtained prior to the date hereof;

j. there is no pending or, to the best of its knowledge, threatened action, suit, proceeding, arbitration, litigation, or investigation of or before any Governmental Entity which challenges the validity or enforceability of this Guaranty;


k. it is not subject to any outstanding judgment, rule, writ, injunction or decree of any Governmental Entity that adversely affects its ability to perform its obligations under this Guaranty; and

l. it derives a substantial direct or indirect economic benefit from the Contract.

9. Governing Law. The validity, interpretation and effect of this Guaranty are governed by and will be construed in accordance with the laws of the State of California applicable to contracts made and performed in such State and without regard to conflicts of law doctrines except to the extent that certain matters are preempted by Federal law. Guarantor consents to the jurisdiction of the State of California with regard to this Guaranty. The venue for any action regarding this Guaranty shall be Riverside County, California.

10. Entire Document. This Guaranty contains the entire agreement of Guarantor with respect to the transactions contemplated hereby, and supersedes all negotiations, representations, warranties, commitments, offers, contracts and writings prior to the date hereof, written or oral, with respect to the subject matter hereof. No waiver, modification or amendment of any provision of this Guaranty is effective unless made in writing and duly signed by RCTC referring specifically to this Guaranty, and then only to the specific purpose, extent and interest so provided.

11. Severability. If any provision of this Guaranty is determined to be unenforceable for any reason by a court of competent jurisdiction, it will be adjusted rather than voided, to achieve the intent of the parties and all of the provisions not deemed unenforceable will be deemed valid and enforceable to the greatest extent possible.

12. Notices. Any communication, notice or demand of any kind whatsoever under this Guaranty shall be in writing and delivered by personal service (including express or courier service), by electronic communication, whether by telex, telegram or telecopying (if confirmed in writing sent by registered or certified mail, postage prepaid, return receipt requested), or by registered or certified mail, postage prepaid, return receipt requested, addressed as follows:

If to RCTC: Riverside County Transportation Commission Attention: Michael Blomquist, Toll Program Director 4080 Lemon Street, 3rd Floor Riverside, CA 92501 Phone: (951) 787-7141 Facsimile: (951) 787-7920: Facsimile:


With copies to: Riverside County Transportation Commission Attention: Steven C. DeBaun, Esq., General Counsel Best, Best and Krieger 3750 University Avenue, Suite 400 P.O. Box 1028 Riverside, California, 92502 Phone: 951.686.1450 Facsimile: 951.686.3083 If to Guarantor: __________________ __________________ __________________ Attention: Telephone: Telecopy:

Either Guarantor or RCTC may from time to time change its address for the purpose of notices by a similar notice specifying a new address, but no such change is effective until it is actually received by the party sought to be charged with its contents.

All notices and other communications required or permitted under this Guaranty which are addressed as provided in this Section 13 are effective upon delivery, if delivered personally or by overnight mail, and, are effective five (5) days following deposit in the United States mail, postage prepaid if delivered by mail.

13. Captions. The captions of the various Sections of this Guaranty have been inserted only for convenience of reference and do not modify, explain, enlarge or restrict any of the provisions of this Guaranty.

14. Assignability. This Guaranty is binding upon and inures to the benefit of the successors and assigns of Guarantor and RCTC, but is not assignable by Guarantor without the prior written consent of RCTC, which consent may be granted or withheld in RCTC’s sole discretion. Any assignment by Guarantor effected in accordance with this Section 15 will not relieve Guarantor of its obligations and liabilities under this Guaranty.

15. Construction of Agreement. Ambiguities or uncertainties in the wording of this Guaranty will not be construed for or against any party, but will be construed in the manner that most accurately reflects the parties’ intent as of the date hereof.

16. No Waiver. Any forbearance or failure to exercise, and any delay by RCTC in exercising, any right, power or remedy hereunder will not impair any such right, power or remedy or be construed to be a waiver thereof, nor will it preclude the further exercise of any such right, power or remedy.

17. Bankruptcy; Post-Petition Interest; Reinstatement of Guaranty; Solvency.

(a) The obligations of Guarantor under this Guaranty will not be reduced, limited, impaired, discharged, deferred, suspended or terminated by any proceeding, voluntary or involuntary, involving the bankruptcy, insolvency, receivership,


reorganization, liquidation or arrangement of the Design-Builder or by any defense which the Design-Builder may have by reason of the order, decree or decision of any court or administrative body resulting from any such proceeding. RCTC is not obligated to file any claim relating to the Guaranteed Obligations if the Design-Builder becomes subject to a bankruptcy, reorganization, or similar proceeding, and the failure of RCTC so to file will not affect Guarantor’s obligations under this Guaranty.

(b) Guarantor acknowledges and agrees that any interest on any portion of the Guaranteed Obligations which accrues after the commencement of any proceeding referred to in clause (a) above (or, if interest on any portion of the Guaranteed Obligations ceases to accrue by operation of law by reason of the commencement of said proceeding, such interest as would have accrued on such portion of the Guaranteed Obligations if said proceedings had not been commenced) will be included in the Guaranteed Obligations because it is the intention of Guarantor and RCTC that the Guaranteed Obligations should be determined without regard to any rule of law or order which may relieve the Design-Builder of any portion of such Guaranteed Obligations. Guarantor will permit any trustee in bankruptcy, receiver, debtor in possession, assignee for the benefit of creditors or any similar person to pay RCTC, or allow the claim of RCTC in respect of, any such interest accruing after the date on which such proceeding is commenced.

18. Attorneys’ Fees. Guarantor agrees to pay to RCTC without demand reasonable attorneys' fees and all costs and other expenses (whether by lawsuit or otherwise, and including such fees and costs of litigation, arbitration and bankruptcy, and including appeals) incurred by RCTC in enforcing, collecting or compromising any Guaranteed Obligation or enforcing or collecting this Guaranty against Guarantor or in attempting to do any or all of the foregoing.

19. Joint and Several Liability. If the Guarantor is comprised of more than one individual and/or entity, such individuals and/or entities, as applicable, shall be jointly and severally liable for the Guaranteed Obligations. If more than one guaranty is executed with respect to the Design-Builder and the Project, each guarantor under such a guaranty shall be jointly and severally liable with the other guarantors with respect to the obligations guaranteed under such guaranties.

20. Defenses. Notwithstanding any other provision to the contrary, Guarantor shall be entitled to the benefit of all defenses available to the Design-Builder under the Contract except (a) those expressly waived in this Guaranty, (b) failure of consideration, lack of authority of the Design-Builder and any other defense to formation of the Contract, and (c) defenses available to the Design-Builder under any federal or state law respecting bankruptcy, arrangement, reorganization or similar relief of debtors. Action against Guarantor under this Guaranty shall be subject to no prior notice or demand.

21. Additional Guarantor Waivers and Acknowledgements.

a. Guarantor hereby waives any and all defenses it might have that liquidated damages or stipulated damages constitute a penalty or that they do not bear a reasonable relation to the actual damages.


b. GUARANTOR ACKNOWLEDGES HAVING READ ALL OF THE PROVISIONS OF THIS GUARANTY AND AGREES TO ITS TERMS. IN ADDITION, GUARANTOR UNDERSTANDS THAT THIS GUARANTY IS EFFECTIVE UPON EXECUTION OF THIS GUARANTY. NO FORMAL ACCEPTANCE BY RCTC IS NECESSARY TO MAKE THIS GUARANTY EFFECTIVE. THIS GUARANTY IS EFFECTIVE AS OF THE DATE HEREOF.

[SIGNATURES ON NEXT PAGE]


IN WITNESS WHEREOF, Guarantor has executed this Guaranty as of the date first written above.

________________________________ _______________________________

By: _____________________________ Name: __________________________ Title:____________________________

By: _____________________________ Name: __________________________ Title:____________________________

Riverside County Transportation Commission Appendix 16 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 11 Design-Build Contract Appendices Issued: July 26, 2012 Labor Code Requirements

APPENDIX 16

LABOR CODE REQUIREMENTS

A. Worker’s Compensation

Design-Builder shall comply with the provisions of Section 3700 of the California Labor Code which require every employer to be insured against liability for workers’ compensation or to undertake self-insurance in accordance with the provisions of that Code.

B. Prevailing Wages

Pursuant to the provisions of Section 1773 of the State Labor Code, RCTC has obtained the general prevailing rate of wages (which rate includes employer payments for health and welfare, pension, vacation, travel time and subsistence pay as provided for in Section 1773.1 of said Code; apprenticeship or other training programs authorized by Section 3093 of said Code; worker protection and assistance programs or committees established under the Federal Labor Management Cooperation Act of 1978; industry advancement and collective bargaining agreements administrative fees, provided that these payments are required under a collective bargaining agreement pertaining to the particular craft, classification, or type of work within the locality or the nearest labor market area at issue; and other similar purposes) applicable to the Work to be done, for straight time, overtime, Saturday, Sunday, and holiday work. The holiday wage rate listed shall be applicable to all holidays recognized in the collective bargaining agreement of the particular craft, classification or type of worker concerned; provided that if the prevailing wage rate is not based on a collectively bargained rate, the holidays upon which the prevailing rate shall be paid shall be as provided in Section 6700 of the California Government Code. Copies of the prevailing rates of wages are on file at RCTC's offices, and will be furnished to Design-Builder and other interested parties on request. For crafts or classifications not shown on the prevailing wage determinations, Design-Builder may be required to pay the wage rate of the most closely related craft or classification shown in such determinations for design-build Work.

If there is a difference between the minimum wage rates predetermined by the Secretary of Labor and the general prevailing wage rates determined by the Director of the Department of Industrial Relations (DIR) for similar classifications of labor, Design-Builder shall pay and cause its Subcontractors to pay not less than the higher wage rate. The DIR will not accept lower State wage rates not specifically included in the Federal minimum wage determinations. This includes “helper” (or other classifications based on hours of experience) or any other classification not appearing in the Federal wage determinations. Where Federal wage rate determinations do not contain the State wage rate determination otherwise available for use by Design-Builder and Subcontractors, the Design-Builder shall pay and cause its subcontractors to pay not less than the Federal minimum wage rate which most closely approximates the duties of the employees in question.


If the Division of Labor Standards Enforcement determines that employees of any Subcontractor were not paid the general prevailing rate of per diem wages, Design-Builder shall withhold an amount of moneys due the Subcontractor sufficient to pay those employees the general prevailing wage rate of per diem wages if requested by the Division of Labor Standards Enforcement. Design-Builder shall pay any money retained from and owed such Subcontractor upon receipt of notification by the Division of Labor Standards Enforcement that the wage complaint has been resolved. Pursuant to Section 1773.2 of the Labor Code, Design-Builder shall post prevailing wage rates at a prominent place at the Site.

C. Hours of Work

Eight hours labor constitutes a legal day's work.

D. Apprenticeship

Design-Builder shall comply with the provisions of Labor Code Sections 1777.5 and 1777.6, and Title 8, Code of Regulations, Sections 200 et. seq., relating to apprentice employment and training. Design-Builder shall assume full responsibility for compliance with said sections with respect to all apprenticeable occupations on the Project. To ensure compliance and complete understanding of the law regarding apprentices, and specifically the required ratio thereunder, Design-Builder should, where some question exists, contact the Division of Apprenticeship Standards, Los Angeles Office, 320 West 4th Street, Suite 830, Los Angeles, CA 90013, prior to commencement of the Work.

E. Specific Labor Code Provisions

Design-Builder’s attention is directed to the following requirements of the Labor Code. A copy of each such Code section (except 1810, 1811 and 1812) shall be included in each subcontract hereunder:

Labor Code Section 1771

1771. Except for public works projects of one thousand dollars ($1,000) or less, not less than the general prevailing rate of per diem wages for work of a similar character in the locality in which the public work is performed, and not less than the general prevailing rate of per diem wages for holiday and overtime work fixed as provided in this chapter, shall be paid to all workers employed on public works.

This section is applicable only to work performed under contract, and is not applicable to work carried out by a public agency with its own forces. This section is applicable to contracts let for maintenance work.


1775. (a) (1) The contractor and any subcontractor under the contractor shall, as a penalty to the state or political subdivision on whose behalf the contract is made or awarded, forfeit not more than two hundred dollars ($200) for each calendar day, or portion thereof, for each worker paid less than the prevailing wage rates as determined


by the director for the work or craft in which the worker is employed for any public work done under the contract by the contractor or, except as provided in subdivision (b), by any subcontractor under the contractor.

(2) (A) The amount of the penalty shall be determined by the Labor Commissioner based on consideration of both of the following:

(i) Whether the failure of the contractor or subcontractor to pay the correct rate of per diem wages was a good faith mistake and, if so, the error was promptly and voluntarily corrected when brought to the attention of the contractor or subcontractor.

(ii) Whether the contractor or subcontractor has a prior record of failing to meet its prevailing wage obligations.

(B) (i) The penalty may not be less than forty dollars ($40) for each calendar day, or portion thereof, for each worker paid less than the prevailing wage rate, unless the failure of the contractor or subcontractor to pay the correct rate of per diem wages was a good faith mistake and, if so, the error was promptly and voluntarily corrected when brought to the attention of the contractor or subcontractor.

(ii) The penalty may not be less than eighty dollars ($80) for each calendar day, or portion thereof, for each worker paid less than the prevailing wage rate, if the contractor or subcontractor has been assessed penalties within the previous three years for failing to meet its prevailing wage obligations on a separate contract, unless those penalties were subsequently withdrawn or overturned.

(iii) The penalty may not be less than one hundred twenty dollars ($120) for each calendar day, or portion thereof, for each worker paid less than the prevailing wage rate, if the Labor Commissioner determines that the violation was willful, as defined in subdivision (c) of Section 1777.1.

(C) If the amount due under this section is collected from the contractor or subcontractor, any outstanding wage claim under Chapter 1 (commencing with Section 1720) of Part 7 of Division 2 against that contractor or subcontractor shall be satisfied before applying that amount to the penalty imposed on that contractor or subcontractor pursuant to this section.

(D) The determination of the Labor Commissioner as to the amount of the penalty shall be reviewable only for abuse of discretion.

(E) The difference between the prevailing wage rates and the amount paid to each worker for each calendar day or portion thereof for which each worker was paid less than the prevailing wage rate shall be paid to each worker by the contractor or subcontractor, and the body awarding the contract shall cause to be inserted in the contract a stipulation that this section will be complied with.

(b) If a worker employed by a subcontractor on a public works project is not paid the general prevailing rate of per diem wages by the subcontractor, the prime contractor of the project is not liable for any penalties under subdivision (a) unless the prime


contractor had knowledge of that failure of the subcontractor to pay the specified prevailing rate of wages to those workers or unless the prime contractor fails to comply with all of the following requirements:

(1) The contract executed between the contractor and the subcontractor for the performance of work on the public works project shall include a copy of the provisions of Sections 1771, 1775, 1776, 1777.5, 1813, and 1815.

(2) The contractor shall monitor the payment of the specified general prevailing rate of per diem wages by the subcontractor to the employees, by periodic review of the certified payroll records of the subcontractor.

(3) Upon becoming aware of the failure of the subcontractor to pay his or her workers the specified prevailing rate of wages, the contractor shall diligently take corrective action to halt or rectify the failure, including, but not limited to, retaining sufficient funds due the subcontractor for work performed on the public works project.

(4) Prior to making final payment to the subcontractor for work performed on the public works project, the contractor shall obtain an affidavit signed under penalty of perjury from the subcontractor that the subcontractor has paid the specified general prevailing rate of per diem wages to his or her employees on the public works project and any amounts due pursuant to Section 1813.

(c) The Division of Labor Standards Enforcement shall notify the contractor on a public works project within 15 days of the receipt by the Division of Labor Standards Enforcement of a complaint of the failure of a subcontractor on that public works project to pay workers the general prevailing rate of per diem wages.


1776. (a) Each contractor and subcontractor shall keep accurate payroll records, showing the name, address, social security number, work classification, straight time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker, or other employee employed by him or her in connection with the public work. Each payroll record shall contain or be verified by a written declaration that it is made under penalty of perjury, stating both of the following:

(1) The information contained in the payroll record is true and correct.

(2) The employer has complied with the requirements of Sections 1771, 1811, and 1815 for any work performed by his or her employees on the public works project.

(b) The payroll records enumerated under subdivision (a) shall be certified and shall be available for inspection at all reasonable hours at the principal office of the contractor on the following basis:

(1) A certified copy of an employee's payroll record shall be made available for inspection or furnished to the employee or his or her authorized representative on request.


(2) A certified copy of all payroll records enumerated in subdivision (a) shall be made available for inspection or furnished upon request to a representative of the body awarding the contract, the Division of Labor Standards Enforcement, and the Division of Apprenticeship Standards of the Department of Industrial Relations.

(3) A certified copy of all payroll records enumerated in subdivision (a) shall be made available upon request by the public for inspection or for copies thereof. However, a request by the public shall be made through either the body awarding the contract, the Division of Apprenticeship Standards, or the Division of Labor Standards Enforcement. If the requested payroll records have not been provided pursuant to paragraph (2), the requesting party shall, prior to being provided the records, reimburse the costs of preparation by the contractor, subcontractors, and the entity through which the request was made. The public may not be given access to the records at the principal office of the contractor.

(c) The certified payroll records shall be on forms provided by the Division of Labor Standards Enforcement or shall contain the same information as the forms provided by the division. The payroll records may consist of printouts of payroll data that are maintained as computer records, if the printouts contain the same information as the forms provided by the division and the printouts are verified in the manner specified in subdivision (a).

(d) A contractor or subcontractor shall file a certified copy of the records enumerated in subdivision (a) with the entity that requested the records within 10 days after receipt of a written request.

(e) Except as provided in subdivision (f), any copy of records made available for inspection as copies and furnished upon request to the public or any public agency by the awarding body, the Division of Apprenticeship Standards, or the Division of Labor Standards Enforcement shall be marked or obliterated to prevent disclosure of an individual's name, address, and social security number. The name and address of the contractor awarded the contract or the subcontractor performing the contract shall not be marked or obliterated. Any copy of records made available for inspection by, or furnished to, a joint labor-management committee established pursuant to the federal Labor Management Cooperation Act of 1978 (29 U.S.C. Sec. 175a) shall be marked or obliterated only to prevent disclosure of an individual's name and social security number. A joint labor management committee may maintain an action in a court of competent jurisdiction against an employer who fails to comply with Section 1774. The court may award restitution to an employee for unpaid wages and may award the joint labor management committee reasonable attorney's fees and costs incurred in maintaining the action. An action under this subdivision may not be based on the employer's misclassification of the craft of a worker on its certified payroll records. Nothing in this subdivision limits any other available remedies for a violation of this chapter.

(f) (1) Notwithstanding any other provision of law, agencies that are included in the Joint Enforcement Strike Force on the Underground Economy established pursuant to Section 329 of the Unemployment Insurance Code and other law enforcement agencies investigating violations of law shall, upon request, be provided nonredacted


copies of certified payroll records. Any copies of records or certified payroll made available for inspection and furnished upon request to the public by an agency included in the Joint Enforcement Strike Force on the Underground Economy or to a law enforcement agency investigating a violation of law shall be marked or redacted to prevent disclosure of an individual’s name, address, and social security number.

(2) An employer shall not be liable for damages in a civil action for any reasonable act or omission taken in good faith in compliance with this subdivision.

(g) The contractor shall inform the body awarding the contract of the location of the records enumerated under subdivision (a), including the street address, city, and county, and shall, within five working days, provide a notice of a change of location and address.

(h) The contractor or subcontractor has 10 days in which to comply subsequent to receipt of a written notice requesting the records enumerated in subdivision (a). In the event that the contractor or subcontractor fails to comply within the 10-day period, he or she shall, as a penalty to the state or political subdivision on whose behalf the contract is made or awarded, forfeit one hundred dollars ($100) for each calendar day, or portion thereof, for each worker, until strict compliance is effectuated. Upon the request of the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement, these penalties shall be withheld from progress payments then due. A contractor is not subject to a penalty assessment pursuant to this section due to the failure of a subcontractor to comply with this section.

(i) The body awarding the contract shall cause to be inserted in the contract stipulations to effectuate this section.

(j) The director shall adopt rules consistent with the California Public Records Act (Chapter 3.5 (commencing with Section 6250) of Division 7 of Title 1 of the Government Code) and the Information Practices Act of 1977 (Title 1.8 (commencing with Section 1798) of Part 4 of Division 3 of the Civil Code) governing the release of these records, including the establishment of reasonable fees to be charged for reproducing copies of records required by this section.

Labor Code Section 1777.5

1777.5. (a) Nothing in this chapter shall prevent the employment of properly registered apprentices upon public works.

(b) Every apprentice employed upon public works shall be paid the prevailing rate of per diem wages for apprentices in the trade to which he or she is registered and shall be employed only at the work of the craft or trade to which he or she is registered.

(c) Only apprentices, as defined in Section 3077, who are in training under apprenticeship standards that have been approved by the Chief of the Division of Apprenticeship Standards and who are parties to written apprentice agreements under Chapter 4 (commencing with Section 3070) of Division 3 are eligible to be employed at


the apprentice wage rate on public works. The employment and training of each apprentice shall be in accordance with either of the following:

(1) The apprenticeship standards and apprentice agreements under which he or she is training.

(2) The rules and regulations of the California Apprenticeship Council.

(d) When the contractor to whom the contract is awarded by the state or any political subdivision, in performing any of the work under the contract, employs workers in any apprenticeable craft or trade, the contractor shall employ apprentices in at least the ratio set forth in this section and may apply to any apprenticeship program in the craft or trade that can provide apprentices to the site of the public work for a certificate approving the contractor under the apprenticeship standards for the employment and training of apprentices in the area or industry affected. However, the decision of the apprenticeship program to approve or deny a certificate shall be subject to review by the Administrator of Apprenticeship. The apprenticeship program or programs, upon approving the contractor, shall arrange for the dispatch of apprentices to the contractor. A contractor covered by an apprenticeship program's standards shall not be required to submit any additional application in order to include additional public works contracts under that program.

"Apprenticeable craft or trade," as used in this section, means a craft or trade determined as an apprenticeable occupation in accordance with rules and regulations prescribed by the California Apprenticeship Council. As used in this section, "contractor" includes any subcontractor under a contractor who performs any public works not excluded by subdivision (o).

(e) Prior to commencing work on a contract for public works, every contractor shall submit contract award information to an applicable apprenticeship program that can supply apprentices to the site of the public work. The information submitted shall include an estimate of journeyman hours to be performed under the contract, the number of apprentices proposed to be employed, and the approximate dates the apprentices would be employed. A copy of this information shall also be submitted to the awarding body if requested by the awarding body.

Within 60 days after concluding work on the contract, each contractor and subcontractor shall submit to the awarding body, if requested, and to the apprenticeship program a verified statement of the journeyman and apprentice hours performed on the contract. The information under this subdivision shall be public. The apprenticeship programs shall retain this information for 12 months.

(f) The apprenticeship program that can supply apprentices to the area of the site of the public work shall ensure equal employment and affirmative action in apprenticeship for women and minorities.

(g) The ratio of work performed by apprentices to journeymen employed in a particular craft or trade on the public work may be no higher than the ratio stipulated in the apprenticeship standards under which the apprenticeship program operates where


the contractor agrees to be bound by those standards, but, except as otherwise provided in this section, in no case shall the ratio be less than one hour of apprentice work for every five hours of journeyman work.

(h) This ratio of apprentice work to journeyman work shall apply during any day or portion of a day when any journeyman is employed at the jobsite and shall be computed on the basis of the hours worked during the day by journeymen so employed. Any work performed by a journeyman in excess of eight hours per day or 40 hours per week shall not be used to calculate the ratio. The contractor shall employ apprentices for the number of hours computed as above before the end of the contract or, in the case of a subcontractor, before the end of the subcontract. However, the contractor shall endeavor, to the greatest extent possible, to employ apprentices during the same time period that the journeymen in the same craft or trade are employed at the jobsite. Where an hourly apprenticeship ratio is not feasible for a particular craft or trade, the Chief of the Division of Apprenticeship Standards, upon application of an apprenticeship program, may order a minimum ratio of not less than one apprentice for each five journeymen in a craft or trade classification.

(i) A contractor covered by this section that has agreed to be covered by an apprenticeship program's standards upon the issuance of the approval certificate, or that has been previously approved for an apprenticeship program in the craft or trade, shall employ the number of apprentices or the ratio of apprentices to journeymen stipulated in the applicable apprenticeship standards, but in no event less than the 1-to-5 ratio required by subdivision (g).

(j) Upon proper showing by a contractor that he or she employs apprentices in a particular craft or trade in the state on all of his or her contracts on an annual average of not less than one hour of apprentice work for every five hours of labor performed by journeymen, the Chief of the Division of Apprenticeship Standards may grant a certificate exempting the contractor from the 1-to-5 hourly ratio, as set forth in this section for that craft or trade.

(k) An apprenticeship program has the discretion to grant to a participating contractor or contractor association a certificate, which shall be subject to the approval of the Administrator of Apprenticeship, exempting the contractor from the 1-to-5 ratio set forth in this section when it finds that any one of the following conditions is met:

(1) Unemployment for the previous three-month period in the area exceeds an average of 15 percent.

(2) The number of apprentices in training in the area exceeds a ratio of 1 to 5.

(3) There is a showing that the apprenticeable craft or trade is replacing at least one-thirtieth of its journeymen annually through apprenticeship training, either on a statewide basis or on a local basis.

(4) Assignment of an apprentice to any work performed under a public works contract would create a condition that would jeopardize his or her life or the life, safety, or property of fellow employees or the public at large, or the specific task to which the


apprentice is to be assigned is of a nature that training cannot be provided by a journeyman.

(l) When an exemption is granted pursuant to subdivision (k) to an organization that represents contractors in a specific trade from the 1-to-5 ratio on a local or statewide basis, the member contractors shall not be required to submit individual applications for approval to local joint apprenticeship committees, if they are already covered by the local apprenticeship standards.

(m) (1) A contractor to whom a contract is awarded, who, in performing any of the work under the contract, employs journeymen or apprentices in any apprenticeable craft or trade shall contribute to the California Apprenticeship Council the same amount that the director determines is the prevailing amount of apprenticeship training contributions in the area of the public works site. A contractor may take as a credit for payments to the council any amounts paid by the contractor to an approved apprenticeship program that can supply apprentices to the site of the public works project. The contractor may add the amount of the contributions in computing his or her bid for the contract.

(2) At the conclusion of the 2002-03 fiscal year and each fiscal year thereafter, the California Apprenticeship Council shall distribute training contributions received by the council under this subdivision, less the expenses of the Division of Apprenticeship Standards for administering this subdivision, by making grants to approved apprenticeship programs for the purpose of training apprentices. The funds shall be distributed as follows:

(A) If there is an approved multiemployer apprenticeship program serving the same craft or trade and geographic area for which the training contributions were made to the council, a grant to that program shall be made.

(B) If there are two or more approved multiemployer apprenticeship programs serving the same craft or trade and geographic area for which the training contributions were made to the council, the grant shall be divided among those programs based on the number of apprentices registered in each program.

(C) All training contributions not distributed under subparagraphs (A) and (B) shall be used to defray the future expenses of the Division of Apprenticeship Standards.

(3) All training contributions received pursuant to this subdivision shall be deposited in the Apprenticeship Training Contribution Fund, which is hereby created in the State Treasury. Upon appropriation by the Legislature, all money in the Apprenticeship Training Contribution Fund shall be used for the purpose of carrying out this subdivision and to pay the expenses of the Division of Apprenticeship Standards.

(n) The body awarding the contract shall cause to be inserted in the contract stipulations to effectuate this section. The stipulations shall fix the responsibility of compliance with this section for all apprenticeable occupations with the prime contractor.


(o) This section does not apply to contracts of general contractors or to contracts of specialty contractors not bidding for work through a general or prime contractor when the contracts of general contractors or those specialty contractors involve less than thirty thousand dollars ($30,000).

(p) All decisions of an apprenticeship program under this section are subject to Section 3081.


1810. Eight hours labor constitutes a legal day’s work in all cases where the same is performed under the authority of any law of this State, or under the direction, or control, or by the authority of any officer of this State acting in his official capacity, or under the direction, or control or by the authority of any municipal corporation, or of any officer thereof. A stipulation to that effect shall be made a part of all contracts to which the State or any municipal corporation therein is a party.


1811. The time of service of any workman employed upon public work is limited and restricted to 8 hours during any one calendar day, and 40 hours during any one calendar week, except as hereinafter provided for under Section 1815.


1812. Every contractor and subcontractor shall keep an accurate record showing the name of and actual hours worked each calendar day and each calendar week by each worker employed by him or her in connection with the public work. The record shall be kept open at all reasonable hours to the inspection of the awarding body and to the Division of Labor Standards Enforcement.


1813. The contractor or subcontractor shall, as a penalty to the state or political subdivision on whose behalf the contract is made or awarded, forfeit twenty-five dollars ($25) for each worker employed in the execution of the contract by the respective contractor or subcontractor for each calendar day during which the worker is required or permitted to work more than 8 hours in any one calendar day and 40 hours in any one calendar week in violation of the provisions of this article. In awarding any contract for public work, the awarding body shall cause to be inserted in the contract a stipulation to this effect. The awarding body shall take cognizance of all violations of this article committed in the course of the execution of the contract, and shall report them to the Division of Labor Standards Enforcement.


1815. Notwithstanding the provisions of Sections 1810 to 1814, inclusive, of this code, and notwithstanding any stipulation inserted in any contract pursuant to the requirements of said sections, work performed by employees of contractors in excess of


8 hours per day, and 40 hours during any one week, shall be permitted upon public work upon compensation for all hours worked in excess of 8 hours per day at not less than 11/2 times the basic rate of pay.

F. Labor Nondiscrimination

Design-Builder’s attention is directed to Section 1735 of the Labor Code, which reads as follows:

"A contractor shall not discriminate in the employment of persons upon public works on any basis listed in subdivision (a) of Section 12940 of the Government Code, as those bases are defined in Sections 12926 and 12926.1 of the Government Code, except as otherwise provided in Section 12940 of the Government Code. Every contractor for public works who violates this section is subject to all the penalties imposed for a violation of this chapter."

Design-Builder’s attention is directed to the following "Nondiscrimination Clause" that is required by Chapter 5 of Division 4 of Title 2, California Code of Regulations.

Nondiscrimination Clause

1. During the performance of this contract, contractor and its subcontractors shall not unlawfully discriminate against any employee or applicant for employment because of race, religion, color, national origin, ancestry, physical handicap, medical condition, marital status, age (over 40) or sex. Contractors and subcontractors shall insure that the evaluation and treatment of their employees and applicants for employment are free of such discrimination. Contractors and subcontractors shall comply with the provisions of the Fair Employment and Housing Act (Gov. Code, Section 12900 et seq.) and the applicable regulations promulgated thereunder (Cal. Admin. Code, Tit. 2, Section 7285.0 et seq.). The applicable regulations of the Fair Employment and Housing Commission implementing Government Code, Section 12990, set forth in Chapter 5 of Division 4 of Title 2 of the California Code of Regulations are incorporated into this contract by reference and made a part hereof as if set forth in full. Contractor and its subcontractors shall give written notice of their obligations under this clause to labor organizations with which they have a collective bargaining or other agreement.

2. This Contractor shall include the nondiscrimination and compliance provisions of this clause in all subcontracts to perform work under the contract.

Riverside County Transportation Commission Appendix 17 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Maximum Payment Schedule

APPENDIX 17

MAXIMUM PAYMENT SCHEDULE

[To be inserted from Form M-2 of Proposal]

Riverside County Transportation Commission Appendix 18 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 6 Design-Build Contract Appendices Issued: July 26, 2012 Form of Request for Change Order

APPENDIX 18

FORM OF REQUEST FOR CHANGE ORDER

CHANGE ORDER REQUEST NO. ________ CONTRACT NO. ________________

SECTION I Name:________________________________ Date:______________________ Title: _________________________________________________________________ Contract No: ________________ Company Name: _______________________________________________________ Description:

_____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ Additions/Deletions/Modifications to Contract requirements: Contract Requirement Addition/Deletion/Modification ________________________ ________________________

Scope:

_____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________


Reason for Request for Change Order:

__________________________________________________________________________________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ Is this Request for Change Order for a RCTC-Directed Change? � Yes � No

Please Explain:

_____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ Is this Request for Change Order payable from the Aesthetics and Landscaping Allowance? � Yes � No

Please Explain:

_____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________ _____________________________________________________________________

Design-Builder Project Manager Date:


SECTION II: Cost Estimate The total cost estimate of this Change Order is $ _____________. Documentation supporting this Request for Change Order is attached as Exhibits ______________ through _______________. Payment Schedule Items Added/Deducted: Activity No. Description Amount ___________ ____________________ ________________ This Request for Change Order is for (check the applicable categories below):

_______ A lump sum, negotiated price Change Order (provide information in Section IIA below)

_______ A unit price/quantities Change Order (provide information in Section IIB below)

_______ A Time and Materials Change Order (provide information in Section IIC below)

Section IIA Lump sum price is $_______________________

Section IIB UNIT PRICE ITEM UNIT PRICE QUANTITY PRICE

(Unit Price x Quantity)

Total of all items in above Table: $_______________________


Section IIC (Reference Contract Appendix 2, Modified Standard Specifications, 9-1.04 for Guidance) Summary of Request for Change Order by Categories: [Additives/(Credits)] A. Design-Builder Labor (construction)

1. Wages1 $ _______________ 2. Labor benefits (% of A.1) $ _______________ 3. Subsistence and travel for craft labor $ _______________ 4. Employer payment to supervisors $ _______________

B. Design-Builder and Subcontractor Labor (professional services)

1. Wages (Raw) $ _______________ 2. Labor benefits1 (150% of B.1, which includes

overhead and profit) $ _______________ 3. Off-duty peace officers and patrol cruisers $ _______________

C. Materials (with taxes, freight and discounts) $ _______________ D. Equipment $ _______________ E. Subcontracts (Time and Materials cost) $ _______________ F. Utility Direct Costs $ _______________ G. Overhead and Profit

1. Labor (35% of A) $ _______________ 2. Traffic Control (5% of B.3) $ _______________ 3. Materials (15% of C) $ _______________ 4. Subcontracts (4% of E) $ _______________ 5. Utility Direct Costs (5% of F) $ _______________

H. Grand Total $ _______________

Subcontractor quotes are attached as Exhibits ______________ through _______________ in accordance with Section 13.4.2.2 of the Contract. [To be provided to the extent work is to be performed by Subcontractors.]

SECTION III: Delay Analysis The status of Substantial Completion is as follows:

q Unaffected by this Request for Change Order q Affected by (increasing) (decreasing) the date of Substantial Completion

by _________calendar days.


q Affected by (increasing) (decreasing) the ______ Float by ______ calendar days.

The status of Project Completion is as follows:

q Unaffected by this Request for Change Order q Affected by (increasing) (decreasing) the date of Project Completion by

_________calendar days. q Affected by (increasing) (decreasing) the ______ Float by ______

calendar days. The status of Final Acceptance is as follows:

q Unaffected by this Request for Change Order q Affected by (increasing) (decreasing) the date of Final Acceptance by

_________calendar days. q Affected by (increasing) (decreasing) the ______ Float by ______

calendar days. Accordingly, the summary of the dates of Substantial Completion, Project Completion and Final Acceptance and Float are as follows: 1. Substantial Completion: __________________________________

(+ or - _______ days from base of ________ calendar days after NTP2)

2. Project Completion: __________________________________ (+ or - _______ days from base of ________ calendar days after NTP2)

3. Final Acceptance: __________________________________ (+ or - _______ days from base of ________ calendar days after NTP2)

4. Number of days of Project Float ____________________________________ A Delay Analysis Report is attached as Exhibit _____ in accordance with Section 13.4.2.3 of the Contract. [To be provided to the extent that Design-Builder is claiming an event, situation or change affects a Critical Path.]

SECTION IV: Justification Justification for this Request for Change Order with reference to the Contract and in accordance with Section 13.4.3 of the Contract: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________


SECTION V: Certification Each Request for Change Order shall contain the following certification: I, _________________, the Authorized Representative of Design-Builder, hereby certify under penalty of perjury that the above four sections represent a true, accurate and complete summary of all aspects of this Request for Change Order, and that (a) the amount of time and/or compensation requested is justified as to entitlement and amount, (b) the amount of time and/or compensation requested includes all known and anticipated impacts or amounts, direct, indirect and consequential, which have been or may be incurred as a result of the event, occurrence or matter giving rise to the proposed change (and includes all Subcontractor and Supplier amounts), and (c) the cost and pricing data forming the basis for this Request for Change Order is complete, accurate and current. If the foregoing Request for Change Order includes claims of Subcontractors or Suppliers, the undersigned certifies that I have reviewed such claims and have determined in good faith that the claims are justified as to both entitlement and amount, and that any Subcontractor pricing data required to be provided has been provided in accordance with Section 21.2 of the Contract.

___________________________________ Design-Builder Authorized Representative Date: ___________________

Any pricing data provided by a Subcontractor in connection with a Request for Change Order shall include the certification required to be provided by Subcontractor under Section 21.2 of the Contract. SECTION VI: Reviewed by _______________ Comments: ____________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Riverside County Transportation Commission Appendix 19 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Approved Design Builder’s DBE Performance Plan

APPENDIX 19

Approved Design Builder’s DBE Performance Plan

[Final Approved Plan to Be Inserted Prior to Contract Execution]

Riverside County Transportation Commission Appendix 20 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 NTP1 Payment Schedule

APPENDIX 20

NTP1 Payment Schedule

Deliverable Amount 1. Project Management Plan $ 2,000,000.00

a. Project Administration --- b. Quality Management Plan ---

• Design Quality Management Plan --- • Construction Quality Management Plan ---

c. Environmental Management Plan --- d. Public Outreach Plan --- e. Health and Safety Plan --- f. Sustainability Management Plan ---

2. Core Office Layout Plan $ 150,000.00 3. Network Administration Plan $ 150,000.00 4. Job Vehicle Purchasing Plan $ 100,000.00 5. Site Documentation $ 100,000.00 6. Baseline Schedule $ 350,000.00 7. Segment Limits Map and Submittal Schedule $ 200,000.00 8. Geometric Approval Drawings (GADs) $ 700,000.00 9. Utility Strip Map $ 50,000.00 10. Transportation Management Plan (TMP) $ 500,000.00 11. Project Aesthetic Concept Plan $ 500,000.00 12. Maintenance Work Plan $ 200,000.00 13. NTP1 Mobilization1 $ 5,000,000.00

Note 1: RCTC will pay the lump sum amount for NTP1 Mobilization in four equal payments each month during NTP1. Design-Builder must show proof to RCTC that the core office has been secured to receive the second NTP1 Mobilization payment. Design-Builder must provide RCTC a fully functional office space for occupancy in accordance with TP Section 2.2 (Project and Facilities Management) to receive the final NTP1 Mobilization payment.

Riverside County Transportation Commission Appendix 21 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Unit Prices for Aesthetics

APPENDIX 21

Unit Prices for Aesthetics & Landscaping Allowance Work

[To Be Inserted]

[At the time of execution of this Contract, Appendix 21 will include pricing for each of the three Proposal Project Aesthetics Concepts submitted by Design-Builder with its Proposal. Upon approval by RCTC and Caltrans of the Project Aesthetics and Landscape Master Plan, RCTC and Design-Builder shall amend

Appendix 21 to include only those unit prices and quantities for the ultimate Project Aesthetics Concept upon which the Project Aesthetics and Landscape

Master Plan is based.]

Riverside County Transportation Commission Appendix 22 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Unit Prices for Pavement Rehabilitation Work

APPENDIX 22

Unit Prices for Pavement Rehabilitation Work

[Unit Pricing and Approximated Quantities Appearing on ITP Pricing Form M-1.1.1 to be inserted]

Riverside County Transportation Commission Appendix 23 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 2 Design-Build Contract Appendices Issued: July 26, 2012 Express Lane Closure Fees and Charges

APPENDIX 23

Express Lane Closure Fees and Charges

Charges for Permitted OCTA Express Lane Closures

Travel Direction

Time Frame Liquidated Damage

(Amount reflects total charge for entire closure period)

Weekday Period: • Sunday from 11:00 p.m. through Monday at 5:00 a.m. • Monday from 11:00 p.m. through Tuesday at 5:00 a.m. • Tuesday from 11:00 p.m. through Wednesday at 5:00 a.m. • Wednesday from 11:00 p.m. through Thursday at 5:00 a.m. • Thursday from 11:00 p.m. through Friday at 5:00 a.m.

$ 18,000 Eastbound

Weekend Period: • Friday from 11:00 p.m. through Saturday at 5:00 a.m. • Saturday from 11:00 p.m. through Sunday at 5:00 a.m.

$ 18,000


$ 21,000 Westbound


$ 21,000

Riverside County Transportation Commission Appendix 23 RFP Number: 12-31-113-00 Final Request for Proposals Page 2 of 2 Design-Build Contract Appendices Issued: July 26, 2012 Express Lane Closure Fees and Charges

Charges for Unpermitted OCTA Express Lane Closures

Travel Direction


(Amount reflects charge per closure for

each 10 minute interval)

Weekday Period: • Monday from 5:00 a.m. to 11:00 p.m. • Tuesday from 5:00 a.m. to 11:00 p.m. • Wednesday from 5:00 a.m. to 11:00 p.m. • Thursday from 5:00 a.m. to 11:00 p.m. • Friday from 5:00 a.m. to 11:00 p.m.

$ 22,600 Eastbound

Weekend Period: • Saturday from 5:00 a.m. to 11:00 p.m. • Sunday from 5:00 a.m. to 11:00 p.m.

$ 22,600

Weekday Period: • Monday from 4:00 a.m. to 9:00 p.m. • Tuesday from 4:00 a.m. to 9:00 p.m. • Wednesday from 4:00 a.m. to 9:00 p.m. • Thursday from 4:00 a.m. to 9:00 p.m. • Friday from 4:00 a.m. to 9:00 p.m.

$ 22,600 Westbound

Weekend Period: • Saturday from 5:00 a.m. to 10:00 p.m. • Sunday from 5:00 a.m. to 10:00 p.m.

$ 22,600

Riverside County Transportation Commission Appendix 24 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 1 Design-Build Contract Appendices Issued: July 26, 2012 Lane Rental Charges

APPENDIX 24

Lane Rental Charges

Lane Rental Charges for Lane Closures

Travel Direction


(Amount reflects charge per lane,

per closure for each 10 minute interval)


$ 21,700 Eastbound and Westbound


$ 21,700

Riverside County Transportation Commission Appendix 25 RFP Number: 12-31-113-00 Final Request for Proposals Page 1 of 6 Design-Build Contract Appendices Issued: July 26, 2012 Form of Acknowledgment and Consent to Assignment

APPENDIX 25

FORM OF ACKNOWLEDGEMENT AND CONSENT TO ASSIGNMENT

Reference is made to that certain Design-Build Contract dated as of ___________, 201_(as amended, the “DB Contract”), by and between Riverside County Transportation Commission (“Borrower”) and _______________ (“Design-Builder”). Initially capitalized terms not otherwise defined herein shall have the meanings set forth in the DB Contract.

Design-Builder hereby acknowledges receipt of that certain Collateral Assignment of design-build contract dated as of [______, 20__] (the “Assignment”) by and between/among the Borrower and [insert name of Financing Entities] (“Financing Entities”) and irrevocably consents thereto and agrees that, upon receipt of written notice from Financing Entities of an event of default on the part of Borrower under any of the financing agreements listed in Exhibit A-1 to this Acknowledgement and Consent (the “Start Date”), Design-Builder shall take direction from Financing Entities and acknowledges Financing Entities’ right to exercise any and all rights of Borrower under the Contract Documents and shall owe its obligations under the Contract Documents to Financing Entities and shall cause all payments required to be made by Design-Builder pursuant to the terms of the Contract Documents to be made directly to Financing Entities, its successors and/or assigns, in accordance with written instructions (but subject to the terms of the Assignment) to be delivered by Financing Entities, its successors and/or assigns, to Design-Builder at the address set forth below without offset, abatement, withholding or reduction to the extent so provided under the terms and conditions of the Contract Documents until such time as (a) the event of default by Borrower under the financing agreement has been cured or waived and Financing Entities delivers written notice to Design-Builder to that effect in the form of Exhibit A-2 to this Acknowledgment and Consent, or (b) the Assignment is terminated or otherwise canceled (the first to occur of (a) and (b) being the “End Date”), at which time Design-Builder will be instructed to make payments to or on behalf of Borrower and to perform its obligations under the Contract Documents at the direction and for the benefit of Borrower. The undersigned agrees that, in relation to Borrower’s obligations arising before the Start Date or after the End Date, it shall look only to the Borrower for the performance of the Borrower’s obligations under the Contract Documents, from and after the Start Date and until the End Date. Notices under the Contract Documents from Design-Builder to the Borrower shall be deemed given by Design-Builder if delivered to [insert Financing Entities’ point of contact and address; Attn: ___________________________; Fax: ___________; Email: ___________].

Design-Builder acknowledges and agrees that the following in and of themselves shall not constitute a default by Borrower under the Contract Documents or result in a termination thereof: (a) assignment of the DB Contract pursuant to the Assignment and Financing Entities’ exercise of the Borrower’s rights under the Contract Documents upon Financing Entities’ election to do so following the occurrence and continuance of an event of default on the part of Borrower under the financing agreement, (b)


foreclosure or any other enforcement of the financing agreement by Financing Entities, or (c) acquisition of the rights of Borrower under the Contract Documents in foreclosure by Financing Entities (or acceptance of an absolute assignment of the Contract Documents in lieu of foreclosure).

The undersigned acknowledges and agrees that in the event Financing Entities elect to exercise the Borrower’s rights under the Contract Documents Financing Entities shall have no obligations to Design-Builder greater than those of Borrower under the Contract Documents; Design-Builder agrees that Financing Entities shall not be obligated to cure any default by Borrower which may only be cured by Borrower or which Financing Entities do not have sufficient legal authority to cure.

The undersigned agrees to deliver to Financing Entities, concurrently with the delivery thereof to Borrower, a duplicate or copy of each demand relating to a default or notice of default and, from the Start Date to the End Date, each other material notice or demand or request made by Design-Builder to Borrower pursuant to the Contract Documents. Failure by Design-Builder to provide notice to Financing Entities as provided herein shall not be construed as a waiver nor shall it prejudice the rights of Financing Entities under the Assignment.

Without affecting Financing Entities’ rights under the Assignment and as provided herein, Design-Builder acknowledges that the exercise of rights and remedies by Financing Entities as provided in the financing agreement shall not require the consent of Design-Builder.

Design-Builder hereby represents and warrants as follows:

(1) Design-Builder has all requisite power and authority to enter into and to perform its obligations under the Assignment and this Acknowledgement and Consent, and to carry out the terms hereof and thereof and the transactions contemplated hereby and thereby.

(2) The execution, delivery and performance by Design-Builder of this Acknowledgement and Consent and the Assignment and the consummation of the transactions contemplated hereby and thereby have been duly authorized by all necessary action on its part and do not and will not require any approval or consent of any person or entity, except approvals or consents which have previously been obtained and will not result in any violation of, breach of or default under any term of its formation or governance documents, or of any contract or agreement to which it is a party or by which it or its property is bound, or any license, permit, franchise, judgment, writ, injunction, decree, order, charter, law, ordinance, rule or regulation applicable to it.

(3) This Acknowledgement and Consent is in full force and effect, has been duly executed and delivered on behalf of Design-Builder by an authorized representative of the Design-Builder and constitutes the legal, valid and binding obligation of Design-Builder, enforceable against Design-Builder in accordance with its terms, except as the enforceability thereof may be limited by (a) bankruptcy, insolvency, reorganization or


other similar laws affecting the enforcement of creditor’s rights generally and (b) general equitable principals (whether considered in a proceeding in equity or at law).

(4) There is no legislation, litigation, action, suit, proceeding or investigation pending or, to the best knowledge of Design-Builder after due inquiry, threatened against Design-Builder before or by any court, administrative agency, arbitrator or governmental authority, body or agency which, if adversely determined, individually or in the aggregate, (a) could adversely affect this Acknowledgement and Consent or the Assignment, or (b) could have a material adverse effect on Design-Builder’s ability to perform its obligations under the Assignment or this Acknowledgement and Consent.

(5) There are no Events of Default or events or conditions which with notice and the passage of time would constitute an event of default under the Contract Documents on the part of Design-Builder or the Borrower.

Design-Builder’s consent to the Assignment is expressly limited to Financing Entities, as secured parties under the note, the financing agreement and the other loan documents and Design-Builder does not consent to the further sale or transfer by Financing Entities of Borrower’s rights under the Contract Documents (other than to a successor and/or assignee of Financing Entities under the note, the financing agreement and the other loan documents, acting in that capacity), it being specifically understood that any sale, assignment, transfer or other disposition of the Borrower’s rights under the Contract Documents which is not made in connection with any sale, assignment, transfer or other disposition of the loan, including, without limitation, in connection with the exercise of any foreclosure rights or other default remedies under the note, the financing agreement and the other loan documents, is subject to the further consent of Design-Builder. The undersigned agrees that it shall not terminate the Contract Documents except as allowed by the Design-Build Contract and without giving reasonable prior written notice to Financing Entities.

This Consent shall be governed by and construed in accordance with the laws of the State of California (without giving effect to the principles thereof relating to conflicts of law).


This Consent may not be amended, modified, supplemented or waived without the written consent of the Borrower and the Financing Entities.

DESIGN-BUILDER:

[to be provided with executed Contract]

By: ______________________________ Name: Title:

Address:


EXHIBIT A-1

NOTICE OF EVENT OF DEFAULT UNDER FINANCING AGREEMENT AND EXERCISE OF RIGHTS UNDER COLLATERAL ASSIGNMENT OF DESIGN-BUILD

CONTRACT

TO: [Insert name of Design-Builder] Pursuant to that certain Collateral Assignment of Design-Build Contract dated [_______, 20__] (the “Collateral Assignment”), by and between/among the [insert name of Financing Entities] (“Financing Entities”) and the Riverside County Transportation Commission (“BORROWER”), the undersigned, a duly authorized officer of Financing Entities, hereby gives notice that an event of default under that certain financing agreement by and between Financing Entities and Borrower dated as of [_______, 20__] (the “Financing Agreement”) has occurred and is continuing and that Financing Entities are exercising their rights as assignee under the Collateral Assignment effective as of the date of this Notice. Dated: __________, 20__ [Insert name of Financing Entities] By:__________________ Its:__________________


EXHIBIT A-2

NOTICE OF CURE OF EVENT OF DEFAULT UNDER FINANCING AGREEMENT

TO: [Insert name of Design-Builder] Pursuant to that certain Collateral Assignment of Design-Build Contract dated [___________ __, 20__ (the “Collateral Assignment”), by and between/among the [insert name of Financing Entities] (“Financing Entities”) and the Riverside County Transportation Commission (“BORROWER”), the undersigned, a duly authorized officer of Financing Entities, hereby gives notice that the event of default under that certain financing agreement by and between Financing Entities and Borrower dated as of [________ __, 20__] that gave rise to Financing Entities’ exercise of rights as assignee under the Collateral Assignment has been cured effective as of the date of this Notice. Dated: __________, 20__ [Insert name of Financing Entities] By:__________________ Its:__________________