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05 May 8, 1990 Budget & Finance• • RIVFR‘E COUNTY TRANSPORTAT[. COMMISSION 053'749 AGENDA BUDGET AND FINANCE COMMITTEE 2:00 P.M., May 8, 1990 CALTRANS CONFERENCE ROOM* 3560 University Avenue, Suite 300 Riverside 1. Call to Order. 2. RUC/Measure A/SAFE FY 1990-91 Budget. (RCTC Agenda No. 4) Staff Recommendation Subject to modifications or clarifications which may be recommended by the Budget and Finance Committee, the proposed FY 1990-91 RCTC/SAFE/Measure A Budget should be approved. 3. Unaudited Measure A Financial Statements. (RCTC Agenda No. 7A2) Staff Recommendation That the Commission accept these unaudited financial reports as presented. 4. Review of FY 1989/90 RUC/Measure A/SAFE Budget. (RCTC Agenda No. 7A3) Staff Recommendation Receive and file. 5. Consultant Agreement with Parsons, Brinkerhoff, Quade and Douglas, Inc., for Preliminary Design and Environmental Analysis of the I-215 Project. (RCTC Agenda No. 7C) Staff Recommendations Subject to ratification of the Cooperative Agreement with Caltrans, staff recommends that: 1. The Commission approve the Consultant Agreement with Parsons, Brinckerhoff, Quade and Douglas, Inc., in the amount of $2,810,682 with a 15% contingency amount of $421,602 for a maximum contract of $3,232,284. 2. The current budget be amended by transferring the amount of $3,232,284 from the Contingency Account to the Professional Services Account. *Located in the same building as RCTC Offices. • • • Budget and Finance Committee May 8, 1990 Page 2 6. Contract Revision for Route 91 Final Design - Magnolia to Main Street - Parsons, Brinckerhoff, Quade and Douglas, Inc. (RCTC Agenda 7D) Staff Recommendation That the Commission approve the amendments at the reduced amount negotiated by staff. Completion of the work at the proposed cost of $676,500 represents a fee of 8.4 percent of constructed cost, which is deemed reasonable. Overall, the cumulative work on Route 91 is within the 1989-90 budget allocation for this project. 7. Measure A Park-N-Ride Program. (RCTC Agenda 7E) Staff Recommendation That the Commission award a contract for services to Inland Transportation Services and Stevens/Garland Associates, Inc. for an hourly rate not to exceed $65.00 per hour, subject to review by Legal Counsel. 8. Selection Process for Underwriters. (RCTC Agenda 7F) Staff Recommendation That the Commission review and discuss the material and determine the appropriate representation during the screening and selection process. 9. Other Items. 10. Adjournment. ,a • • RIVEIVE COUNTY TRANSPORTATIO COMMISSION May 9, 1990 TO: Riverside County Transportation Commission FROM: Jack Reagan, Executive Director SUBJECT: Public Hearing for Proposed 1990-91 RCTC/SAFE/Measure A Budget A public hearing on the proposed 1990-91 RCTC, SAFE, and Measure A budgets has been set for the May 9, 1990 meeting. The attached schedules document the proposed 1990 RCTC, SAFE, and Measure A budgets as prepared by RCTC and Bechtel staff. Ernst & Young has reviewed that the proposal to determine the proposed distributions of RCTC indirect costs to the three separate program areas (RCTC, SAFE, and Measure A) are appropriate. However, the same method of distributions used in FY 1989-90 is proposed for FY 1990-91. The RCTC Budget and Finance Committee will review the proposed budget prior to the meeting. The proposed general budget categories and amounts are as follows: Administration (1) $ 304,832 Intergovernmental Coordination/Public Information (1) 289,702 Transportation Planning and Programming 744,888 Service Authority for Freeway Emergencies 4,061,339 Measure A Program Development 478,644 Measure A Project Development 17,341,771 Measure A Project Financing 188,482 Project Implementation 31,405,074 Debt Service 11,500,000 Unprogrammed Reserves/Contingencies (2) 1,096,305 TOTAL $67,411,537 • • • The projected revenues to support the budget proposal are as follows: Rc.rc Carryover Transportation Development Act (Administration, Planning) SAFE Carryover (Motor Vehicle Registration - Annual & Reserved) SCAG Passthrough (3) Measure A (Annual and Carryover) (4) Interest (RCTC, SAFE, Measure A) Bond Proceeds TOTAL VARIANCE (5) $ 350,000 860,000 2,925,000 1,870,000 0 48,104,379 603,500 To Be Determined $54,712,879 $12,698,657 I will be prepared to discuss the assumptions which went into the estimated budget requirements for each programmatic category and work element during the public hearing. FOOTNOTES: (1) Costs of Administration, and Intergovernmental Coordination/Public Information are apportioned to the RCTC Transportation Planning and Programming, SAFE, and Measure A programs based upon the total estimated non -capital expenditures (3%, 2%, and 95% respectively). Also, the RCTC salaries and benefits for these combines programs, plus those for Measure A Program Development and Measure A Project Financing, which may be considered "administration costs" pursuant to Measure A, total $293,000. This amount is within the 1% limitation for the Measure A Program. (2) Estimates of RCTC Salaries and Fringe Benefits are based upon 1989-90 rates. Total expenditures in other categories will be modified as adjustments are made for 1990-91 increases. (3) The amount of funds which may be available from SCAG has not yet been determined. This is an estimate based upon discussions with SCAG staff. We also anticipate that some of SCAG's funds will be passed through to the Riverside Transit Agency and SunLine Transit Agency; the assumed amount of such passthroughs have been excluded from the estimated funds to RCTC. (4) Funds shown as "Carryover" are estimates only. Actual carryover amounts will not be known until after June 30, 1990. (5) No provision has been made to take advantage of bonding/financing strategies suggested by Security Pacific. Also, no provision has been made for Rail Bonds or for the maintenance of cash reserves. These items will be readdressed after the results of Proposition 111 are known and project/construction expenditures for the next two years are established. • • • COMMITTEE RECOMMENDATION The Budget & Finance Committee recommendations will be presented at the meeting. STAFF RECOMMENDATION Subject to modifications or clarifications which may be recommended by the Budget & Finance Committee, the proposed FY 1990-91 RCTC/SAFE/Measure A budget should be approved. JR:nk • • • COMMITTEE RECOMMENDATION The Budget & Finance Committee recommendations will be presented at the meeting. STAFF RECOMMENDATION Subject to modifications or clarifications which may be recommended by the Budget & Finance Committee, the proposed FY 1990-91 RCTC/SAFE/Measure A budget should be approved. JR:nk 46 MEASURE 'A' / RCTC / SAFE • Proposed 1990-91 Budget TOTALS MEASURE 'A' ROTC SAFE REVENUES tbA Ad nin eii . TAKE not CALTRANB .'• 64b.I4sin 13ANtlAa • OCTC;'' 446 • SCAB l6bi ti ler • ; : TOTAL cit OtHEp fill C4FVlNly totAL. • FUNDS AVAh EXPENDITURES $45.120.000 $44.120.000 $1.000.000 ($22.033.504) ($22.033,504) $000.000 $000,000 $200.000 $200.000 :1170.000 $$70.000 $2.210.300 $2.210.380 $7.000.000 $7.000,000 $750.000 $758.000 $80.000 $80.000 $27,000 $27.000 $0 $003.500 $500.000 $20.500 $75,000 To Se Determined $34.000,202 $31.050,702 =000.500 $1.045.000 $20.022,507 $10.747.507 $350.000 $2,025,000 $0 $20,022.507 $10,747.507 $350,000 $2025,000 $685.270 $30,000 $24.000 $3,500 $40.000 $9.500 $20.000 $30,000 $7,000 $104.000 $07,500 $40,000 $40.000 $24.000 $8.000 $4,000 $10.000 $3.500 $10,000 $54.712,870 $40.004,370 $1,230,500 $4.070.000 $005.270 (21 $410,755 $215.304 $50,130 $20,500 $000 two $21,000 $3.325 $105 =70 $30.000 $1.200 >j000 $0.025 $205 =too $24.700 $7110 =52o $54.200 $1.000 $720 t0.550 $210 $140 $00.000 $3,120 $2.000 $87.500 >30.000 $1.200 $000 $30.000 $1,200 >M00 SUS -TOTALS $447.600 $430,700 $10.040 $0.720 $22.1100 $720 $480 $7.000 $240 $100 $3.000 $120 =e0 $17.100 $540 $300 $3,325 $105 $70 $0.500 $300 $200 SUS -TOTALS stem $04.125 $2.025 $1.350 $515.000 (3) $404.025 $12.105 0,070 • • DISTRIBUTION OF RCTC PERSONNEL HOURS OVER RCTC PROGRAMS • • r f �Y f 7 1 • 1 r • • RIVERSIDE COUNTY TRANSPORTATION COMMISSION May 9, 1990 TO: Riverside County Transportation Commission FROM: Jack Reagan, Executive Director SUBJECT: Unaudited Measure A Financial Statements Attached are Combining Statements of Revenues and Expenditures and Changes in Fund Balances (Unaudited) for the Quarter and Nine Months Ended March 31,1990. Also attached is a RCTC Measure A Highway Projects Budget Report by Route through March 31, 1990 prepared by Bechtel Civil, Inc. BUDGET AND FINANCE COMMITTEE RECOMMENDATION If the Budget and Finance Committee amends the staff recommendation, this item will be pulled from the Consent Calendar. STAFF RECOMMENDATION That the Commission accept these unaudited financial reports as presented. JR/LEM:sc attachments AGENDA ITEM #7A2 MAY 9, 1990 COMBIIII1 .ATEMENT OF REVENUES AND EXPENDITURES AND CHAN", . FUND BALANCES (UNAUDITED) MEASURE A OF THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION For the Quarter Ended March 31, 1990 REVENUES Sales tax allocations Interest income Reimbursements TOTAL REVENUES EXPENDITURES Administration: Salaries and benefits Measure A management Professional services Office lease Legal services Other expenses Commissioners per diem TOTAL ADMINISTRATION Programs: Right of Way Acquisition Highways Local street and roads Railways TOTAL PROGRAMS Capital outlay TOTAL EXPENDITURES REVENUES OVER (UNDER) EXPENDITURES FUND BALANCE --January 1, 1990 FUND BALANCE --March 31, 1990 See accountants' compilation report. Western General County $ 8,280,805 $ 35,646 83,800 2.129 37,775 8,364,605 103,534 34,092 51,598 11,388 30,426 47,100 18,452 31,222 4,252 2.971 248,759 86,276 21.646 1,500,000 748,453 3,051,662 38.978 5,339,093 270.405 5.425.369 (232,630) 2,939,236 3.784,699 8,029,361 3.552.069 $10.968.597 Coachella Valley $3,320,840 33,110 3,353,950 32,001 32,001 Palo Combining Verde Total • 3910 DRAFT $176,610 $11,778,255 1,451 154,007 2.129 178,061 11,934,391 1,070,828 162,712 1,070,828 162,712 1,102.829 2,251,121 4.053.46Z $6.304.583 103,534 117,691 41,814 47,100 18,452 35,474 2.971 367,036 1,500,000 748,453 4,285,202 38.978 6,572,633 21.646 162.712 6.961.315 15,349 4,973,076 54.807 15.922.329 70.154 $20.895.405 COMB PATEMENT OF REVENUES AND EXPENDITURES AND CHA4111 MEASURE A OF THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION For the Nine Months Ended March 31, 1990 REVENUES Sales tax allocations Interest income Reimbursements TOTAL. REVENUES EXPENDITURES Administration: Salaries and benefits State Board of Equalization fee Measure A management Professional services Office lease Legal services Other expenses Commissioners per diem Programs: Right of Way Acquisition Highways Local street and roads Railways TOTAL PROGRAMS Debt service: Principal payment Interest expense TOTAL DEBT SERVICE Capital outlay TOTAL EXPENDITURES REVENUES OVER (UNDER) EXPENDITURES OTHER FINANCING SOURCES Proceeds from bond anticipation notes REVENUES AND OTHER FINANCING SOURCES OVER EXPENDITURES FUND BALANCE (Deficit) --July 1, 1989 FUND BALANCE --March 31, 1990 See accountants' compilation report. . FUND BALANCES (UNAUDITED) Western Coachella General County Valley $ 805,600 $16,568,403 $6,644,404 279,470 83,800 33,110 2.129 602.727 1,087,199 17,254,930 6,677,514 260,507 786 78,900 126,996 51,598 51,288 30,426 110,381 45,278 64,970 5,087 8.595 TOTAL ADMINISTRATION 746,915 87,897 32,001 32,001 Palo Combining Verde Total • DRAFT $353,365 $24,371,772 1,451 397,831 604.856 354,816 25,374,459 1,500,000 2,547,265 124,305 5,338,780 1,873,378 284,660 178.050 261,293 78,900 210,595 81,714 110,381 45,278 70,057 8.595 866,813 1,500,000 2,671,570 7,496,818 178.050 9,564,095 1,997,683 284,660 11,846,438 3,800,000 243.824 75.533 3.147 4,043,824 75,533 3,147 192.507 3,800,000 322.504 4,122,504 192.507 4.983.246 9.727.525 2.032.831 284.660 17.028.262 (3,896,047) 7,527,405 4,644,683 70,156 8,346,197 3.800.000 4,540.100 1.659.900 10.000.000 (96,047) 12,067,505 6,304,583 70,156 18,346,197 3.648.116 (1.098.908) 2.549.208 3.552.069 $10.968.597 $6.304.584 $ 70.156 $20.895.405 Z 10 t eded 00.0£6'6S 9Z'E6 t'96SS OS 9Z'96S79LS ICS9£'9£LS o£VSLS'LS OS 00.0£6'6s 90'90011 tS OS EZ' l6Z'9£S v9'SL6'1£SS O£1'SLS'LS 96ZE 9600t %0 96001 96£6 969 960 £££'LSS 000•t9Z'LS OS (1) 001'S£o'ts t£L'£09'ZS 0£v'SlS'LS OS 000'09LS 000't9Z'LS 000'St6S (1) 001•S£0'LS 069'66L'ZS 000'0LO'OZS (l) 000'09LS 000'09LS 000't9Z'LS 000'0Zr9S (Z) 001'L9o'SZS 000'0Z9'L£S 000'09L•Z£s (l) 000'OSLS eouels!ssy Ielu9Wuo,u►u3 sue,tle0 seouues tuewedeuew toelom-1e140e13 hemutt1H PuV edpug •eny uOS,epueS AWASSe,Ox3 eue� 1 u0p0n,lsuo0 99 ePloy (S10moo ete,edes-1) uo!tan,tsuo0 Puy 06E1 leu!j t6 e1n0E1 uo!1!s!nboy LeM-10-1Ud!li edueu0,elu1/S LZ/ t 6/0911d M01i edueu0,elul ,od Lelten oue,Ow o1 ueol StZ-I 6u!sso,0,en0 edputse3 OS ueo, eMs,enhi to At13 udiSea '1141e1d 4 lima p� dulPuels,epun 1O Owep1 01011r0l30-16 •Pali tuewee,dy enite,edoo0 os sPied 1L etn% 41103OnVIOelgl'N1lwS) tuewee,dy enite,ed000 euo,00 31V0 01 0d61 ' l£ Hpkllll! 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StZ-1 sstleuv 1op11oo omeN3 aekud ,v, emseen Jo4 eu9ep0rr 40 Ie/0am of ugo l- it t emu meAmov AMMO St-1 NOU.V0011y ti 1l NOt1dI1:10$30 asauOHlnv 31ln110N3eU3 103roud Notssinsoo aLnOki A8 1110d31:1 138one SL731 am AVMHOIN V 31:I11Sv3w 0108 • • • s�. Y u :is4h. ,1 • • RIVERSIDE COUNTY TRANSPORTATION COMMISSION May 9, 1990 TO: Riverside County Transportation Commission FROM: Jack Reagan, Executive Director SUBJECT: REVIEW OF FY 1989/90 RCTC/SAFE BUDGET Attached are a series of exhibits which detail all significant budgetary activity in the current fiscal year. For each month two exhibits are shown: 1) the status of budget expenses as of the date of the Commission meeting, and; 2) budgetary modifications made as a result of Commission actions. All such modifications are shaded for ease of identification. The purpose of this review is to highlight actions which resulted either in: 1) major shifts in program allocations within the FY 90 budget, or; 2) programming of monies which were allocated within the approved budget but not previously earmarked for specific expenditures. The numerous minor refinements which normally occur throughout the year are not shown. Following is a narrative summary of all significant budget revisions which have occurred in FY 1989/90 to date as a result of Commission actions. May 1989 (Exhibits 1 & 2) During the May 3, 1989 meeting the Commission considered and approved the RCTC/SAFE budget for the 1989/90 fiscal year. In addition to this action an expenditure of $5,000 was approved for the purpose of retaining a patent attorney to conduct an initial review of the RCTC/SanBAG SAFE callbox RFP. This expenditure was made to the firm of Laff, Whitesel, Conte and Saret. June 1989 (Exhibit 3) As a follow-up to this May budget action the Commission approved an additional $10,000 expenditure to the aforementioned patent attorneys. This was a result of a need for further work to study potential patent infringement issues identified during the initial phase of work on the callbox RFP. Also included among the Commission's June actions was the approval of funding commitments for the reconstruction of the Route 91 Smith, Maple, and Lincoln overcrossings in the City of Corona. Such commitments, made pursuant to a Cooperative Agreement between RCM and the City of Corona, included the following: AGENDA ITEM #7A3 MAY 9, 1990 • • • Page 2 May 9, 1990 Review of FY 1989/90 RCTC/SAFE Budget 1. Funding of that portion of the project necessary for a two- lane lengthening of the overcrossings. The current estimate of project costs was $5,176,750; 2. Provision of a loan to the City for 50% of the costs associated with the widening of the overcrossings. The estimated loan amount was $2,078,125; 3. Advancement of funds to fully fund project development work including environmental assessments, preliminary engineering, and final design. The estimated cost of such activities was $933,000. Reconstruction of these overcrossings is a lengthy process with expenditures spread over a number of years. RCTC staff estimated that $638,000 would be expended in the current fiscal year; this amount is reflected in the FY 90 budget. Finally, the Commission authorized two budgetary revisions to support Caltrans in project development work for Measure A projects. In response to Caltrans' requests two expenditures were authorized: 1. Execution of a lease at a cost of $67,500 for office space adjacent to RCTC. This space houses Caltrans District 8 personnel working on the Measure A program; 2. Provision of $180,000 for the purpose of assisting Caltrans in performing necessary environmental activities for Measure A projects. This sum was added to the existing Bechtel contract, with Bechtel assuming responsibility for performance of the environmental support work. July 1989 (Exhibit 4) In July the Commission authorized the execution of a Cooperative Agreement between RCTC and the County of Riverside for the construction of an "all weather" bridge crossing over the San Jacinto River. Under the terms of this Agreement RCTC was to provide project funding in an amount not to exceed $891,250. Subsequent to that action the County Flood Control District expressed concerns over the bridge design which ultimately resulted in a change to the scope of the project. As a result, a new contract was negotiated with Greiner, the selected Measure A consultant. This new contract, approved by the Commission in March 1990, increased RCTC's financial participation to $915,000. Of this total project cost, staff estimates that approximately $120,000 will be expended in the 1990 fiscal year. This amount is reflected in the current budget. e • • Page 3 May 9, 1990 Review of FY 1989/90 RCTC/SAFE Budget August 1989 No actions were taken by the Commission which resulted in a major shift in fund allocations. September 1989 (Exhibit 5) The Commission authorized an expenditure of $40,000 for the purchase of a Local Area Network system to permit connection of personal computers in the RCTC and Caltrans offices. Also included in this amount were funds for the purchase of a portable laptop computer for use by RCTC personnel. This expenditure was authorized with the understanding that $27,000 of the $40,000 total was to be reimbursed by Caltrans through addition to their Measure A credit account. Action was also taken in September to authorize financial support to the California - Nevada Super -Speed Ground Transportation Project. This entailed authorization of up to $50,000 for expenditure by the Bi-State Commission toward an analysis of two station locations in Riverside County. One station would be cited in western Riverside County, with the other located in Palm Springs. In another action the Commission authorized an expenditure of $13,000 for payment of a fee appurtenant to the establishment of a $10 million line of credit with Sanwa Bank. The Commission also authorized an expenditure of $25,000 in support of the Measure A commuter rail program. These funds were allocated to the firm of Schiermeyer & Greene as a supplement to a $50,000 contract previously executed. Please note that the attached exhibit for September, prepared prior to this writing, indicates the expenditure as $75,000. The correct figure is $25,000. Finally, a sum of $10,000 was authorized for expenditure on necessary right-of-way mapping for the Measure A Route 91/Route 60/I-215 Interchange improvement project. This work was performed by the firm of J.F. Davidson. October 1989 (Exhibit 6) The Commission authorized budgetary revisions necessary for completion of purchases and finalization of contracts intended to take place during the previous fiscal year. These included the following budgetary transfers: 1. A total of $85,063 to the Furniture and Equipment Account for purchase of office furniture; • • • Page 4 May 9, 1990 Review of FY 1989/90 RCTC/SAFE Budget 2. The sum of $37,945 to the Professional and Specialized Account for ongoing work conducted by Pat Piras (Social Services Transportation Delivery Study) and Booz, Allen & Hamilton (RCTC and transit operator performance audits); 3. A total of $115,000 to the Pass Through Fund Account for CVAG transportation planning efforts and RIVSAN modeling work; 4. The sum of $175,000 to the Measure A Account for expenditure to the State Board of Equalization for preparation and administration of the Commission's transaction and use tax ordinance. During the month of September the Commission approved the execution of a Cooperative Agreement with the City of Perris for the widening and improvement of Route 74. Under the terms of the Agreement project costs will be shared with the City. The total obligation of Measure A funds over the term of the project is estimated to be $3 million. Of this amount, staff estimates that approximately $250,000 will be expended in the current fiscal year. This figure is reflected in the FY 90 Commission budget. November 1989 (Exhibit 7) In this month, the Commission approved a revision to its existing contract with the firm of Ernst & Young. This action, which resulted in an increase of $306,500 to the previous contract total, was made to cover the cost of additional work required in the following areas: 1. Transportation Development Act (TDA) audits; 2. Land appraisals and consultation services related to the Measure A commuter rail program; 3. Updating of econometric studies and cash flow projections for Measure A revenues; 4. Accounting support to RCTC staff. December 1989 (Exhibit 8A) On December 13, 1989 the Commission authorized staff to issue a Request for Proposal for an Engineering Assessment of Commuter Train Integration Into Santa Fe Railway Freight Operation on the San Bernardino Subdivision. In taking this action the Conunission also • • Page 5 May 9, 1990 Review of FY 1989/90 RCTC/SAFE Budget approved an expenditure of up to $500,000 for conduct of the study. No budgetary modification was required to effect this endeavor save a reallocation of funds among accounts. An additional item on the December agenda involved the Commission's approval of a loan of Measure A interchange improvement funds to the County of Riverside. This action comprised a loan of $50,000 for the preparation of a Project Study Report for the proposed new interchange on 1-15 at Galena Street. Such loan was approved pending development of implementation policies for the Measure A interchange improvement program. In response to the Commission's desire to accelerate project development activities for Measure A highway projects, an amendment to the Bechtel contract was approved. Additional funding in the amount of $561,000 was authorized for the purpose of securing additional staff and other technical support. Pursuant to the provisions of a Cooperative Agreement between RCTC and Caltrans approved by the Commission in March 1989, an expenditure of $1.5 million was made in December for purchase of right-of-way needed for the Route 60/Route 91/[-215 interchange improvement project. Accompanying this action was the payment of escrow fees in the amount of $5,430. As capital expenditures these transactions are shown on the attached exhibits as a separate item apart from the regular RCTC operating budget. January 1990 No actions were taken by the Commission which resulted in a major shift in fund allocations. February 1990 (Exhibit 9) At the February 7, 1990 joint meeting with SanBAG the Commission took no actions which resulted in a major shift in fund allocations. During the regular RCTC meeting on February 14 the Commission authorized the following expenditures requested by Caltrans: 1. Computer purchases in the amount of $56,600; 2. An allocation of $6,000 for Caltrans' telephone expenses; 3. Additional funds totaling $29,084 for office lease costs. Pursuant to existing agreements these expenses were added to the Caltrans credit account. • • Page 6 May 9, 1990 Review of FY 1989/90 RCTC/SAFE Budget The Commission also authorized the following amendments to the current RCTC/Measure A budget: 1. An allocation of $6,500 to the Specialized Departmental Account for continued conduct of monthly Employer Transportation Coordination Committee meetings; 2. Transfer to the Office Expense Account in the amount of $11,800 to cover costs engendered by expansion of agency responsibilities and work force. Finally, the Commission authorized an increase in the amount of a loan to the County of Riverside originally approved in December 1989. Through this action the loan amount for the Galena Interchange Study was raised from $50,000 to $65,000. March 1990 (Exhibit 10) During the March 1990 meeting the Commission authorized the execution of a Cooperative Agreement with the County of Riverside for the Sanderson Avenue Bridge. This item was described previously under a Commission action taken in July 1989. Authorization was granted for the execution of a contract with Psomas and Associates for survey work on the Measure A 1.215 improvement project. The total amount of this authorization was $644,082; of this sum, staff estimates that approximately $481,000 will be expended in the current fiscal year. This figure is reflected in the FY 90 budget. Since this project lies partially within San Bernardino County, SanBAG will fund that portion of the work included in their Measure 1 program. Also included among March actions was an approval of a contract with LSA Inc. for preparation of the environmental component of a general Project Alternatives Analysis for the Measure A State Highway program. This Analysis, intended to facilitate environmental studies for all Measure A projects, was approved in an amount of $203,148. The estimated expense of $80,000 to be incurred in this fiscal year is included in the FY 90 budget. As a complement to the LSA analysis, the Commission also authorized staff to execute a contract with DKS & Associates for the traffic engineering component of the aforementioned Measure A Project Alternatives Analysis. This work involves an update of the RIVSAN model and generation of traffic forecasts for all Measure A projects. The total amount authorized by the Commission for expenditure on this study is $1,157,425; of this sum, staff estimates that approximately $503,700 will be expended in the current fiscal year. The FY 90 budget reflects this amount. • • • Page 7 May 9, 1990 Review of FY 1989/90 RCTC/SAFE Budget In December 1989 the Commission adopted Resolution 89-011 designating the Cajalco corridor as an "Alternative to the Project" to be examined in environmental documents for Measure A projects programmed for Route 91. Pursuant to this action approval was granted for the execution of a contract with P & D Technologies for production of a Tier I environmental document for the Cajalco corridor. The total value of the contract is $375,540; of this amount, the estimated FY 90 expense of $204,000 is reflected in the budget. April 1990 (Exhibit 11) As a result of necessary revisions made to the scope of financial advisory services provided by Ernst & Young/Security Pacific, the Commission authorized a budgetary transfer to the Professional and Specialized Services Account in an amount of $110,000. Also included among April actions was the approval of a contract with the firm of NBS/Lowry for preliminary field surveying work in support of the Measure A improvement project on I- 215. A total of $778,173 was authorized for this contract, with the understanding that SanBAG would fund that portion of the work attributable to the Measure I segment of the project. Staff estimates that approximately $174,000 of the contract value will be expended in this fiscal year. The FY 90 budget reflects this amount. Pursuant to the provisions of a previously approved Cooperative Agreement among RCTC, CVAG, and Ca!trans Districts 8 and 11, the Commission authorized fund expenditures for a study of the Route 111 corridor. This action authorized a total of $440,240 to be expended on a contract with Wilbur Smith Associates. The FY 90 budget reflects the estimate of $150,600 to be spent in this fiscal year for this work. May 1990 Included in this agenda is a proposed item to authorize staff to execute a contract with the firm of Parsons, Brinkerhoff, Quade & Douglas for preliminary engineering and environmental studies for the Measure A project on I-215. The total value of this contract is $2,600,000; of this sum, the FY 90 budget reflects an estimated expenditure of $150,000 in the current fiscal year. Based upon a review of proposed May 1990 actions as well as those anticipated for the June agenda, staff believes that no further adjustments will be required to the FY 1989/90 RCTC/SAFE budget. • Page 8 May 9, 1990 Review of FY 1989/90 RCTC/SAFE Budget SUMMARY The total RCTC/SAFE budget for the 1989/90 fiscal year has increased from the originally adopted figure of $12.5 million to a current level of $13.3 million. This 6.4% growth reflects a policy direction made by the Commission during the course of the year to accelerate the Measure A program. Based upon the third quarter Ernst & Young report and a projection of fourth quarter expenses, staff expects current year expenditures to be within the $13.3 million budget approved by the Commission. BUDGET AND FINANCE COMMITTEE RECOMMENDATION If the Budget and Finance Committee amends the staff recommendation, this item will be pulled from the Consent Calendar. . STAFF RECOMMENDATION Receive and file. 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Massman, Measure A Project Manager Kim T. Shultz, Measure A Project Coordinator THROUGH: Jack Reagan, Executive Director SUBJECT: Consultant Agreement with Parsons, Brinkerhoff, Quade and Douglas for Preliminary Design and Environmental Analysis of the I-215 Project At the joint RCTC/SanBAG meeting of February 1990, agreement was reached to cooperatively participate and fund project development work on the Interstate 215 Project. The primary element of the preliminary project development phase is conceptual design engineering and environmental analysis. Following the completion of a competitive consultant selection process, staff previously recommended the consulting firm of Parsons, Brinkerhoff, Quade and Douglas, Inc. (PBQ&D), to complete all aspects of this phase the project. Staff has since negotiated a scope of work and cost proposal with PBQ&D (attached) to complete this phase of the I- 215 Project. The major elements in the scope of work include preliminary design engineering, traffic analysis and environmental studies, leading to approval of the Project Report and Environmental Impact Report/Statement (EIR/EIS). PBQ&D will also play a pivotal role in coordinating parallel support efforts of other consultant firms engaged in survey, aerial photogrammetric mapping, and geotechnical analysis for the I-215 Project. The RCTC, through Bechtel's project management services, will administer the consultant contract, while SanBAG will participate in the Project Development Team and assist in setting policy direction where appropriate. Caltrans will provide project technical review and oversight to ensure adherence to State and Federal highway design and environmental standards and regulations. AGENDA ITEM #7C MAY 9, 1990 • • Page Two May 9, 190 Consultant Agreement with PBQ&D The total cost of the Consultant Agreement with PBQ&D is $2,810,682. Pursuant to the cost sharing formula executed with SanBAG, RCTC's share of costs under this agreement would be approximately $2,110,000. SanBAG's share of the costs, approximately $700,000, will be realized on a cost reimbursement basis. SanBAG will also fund a proportionate share of RCTC's management costs for administering the project development process. RCTC's costs for this work will be further offset by the transfer of State funds provided for in the I-215 Cooperative Agreement with Caltrans approved by RCTC in March 1990. Final negotiations with Caltrans on the Cooperative Agreement are not yet completed. Staff and Caltrans' representatives will report on the status of negotiations at the Commission meeting. If this matter is not resolved by the Commission meeting, staff will recommend withdrawing execution of the PBQ&D Consultant Agreement from the Commission Agenda. RCTC Legal Counsel has reviewed the Consultant Agreement and noted that indemnification language recently approved by the Commission is not reflected in this Agreement. The Consultant's legal counsel has requested that the Commission reconsider the approved language. This matter of contractual indemnification provisions will be reviewed in separate item on this agenda. BUDGET AND FINANCE COMMITTEE RECOMMENDATION The Consultant Agreement with PBQ&D will be presented to the Budget and Finance Committee for review prior to the Commission meeting. STAFF RECOMMENDATION Subject to ratification of the Cooperative Agreement with Caltrans, staff recommends that: 1. The Commission approve the Consultant Agreement with Parsons, Brinkerhoff, Quade and Douglas, Inc., in the amount of $2,810,682, with a 15 percent contingency amount of $421,602 for a maximum contract amount of $3,232,284. 2. The current budget be amended by transferring the amount of $3,232,284 from the Contingency Account to the Professional Services Account. KS:sc attachments • • AGREEMENT NO. R09018 BETWEEN RIVERSIDE COUNTY TRANSPORTATION COMMISSION AND PARSONS BRINCKERHOFF QUADE & DOUGI.AS, INC. FOR PRELIMINARY ENGINEERING AND ENVIRONMENTAL SERVICES FOR STATE IIIGIIWAY 215 FROM ROUTE 601N CITY OF MORENO VALI.LY, RIVERSIDE COUNTY TO ROUTE 10 IN THE CITY OF COLTON, SAN BERNARDINO COUNTY A RIVERSIDE COUNTY MEASURE A PROJECT AND SAN BERNARDINO COUNTY MEASURE 1 PROJECT • • AGREEMENT NO. R09018 STATE HIGHWAY 215 IMPROVEMENT PROJECT: PRELIMINARY ENGINEERING AND ENVIRONMENTAL SERVICES TABLE OF CONTENTS ARTICLE I. GENERAL PROVISIONS A. GENERAL B. TERMINATION/CANCELLATION C. REVISIONS IN SCOPE OF SERVICES D. OWNERSHIP OF MATERIAL.S//CONFIDEN HALITY E. CONSULTANT STATUS/SUBCONSUI TANTS F. INDEMNIFICATION G. INSURANCE H. PROHIBITED INTEREST I. AFFIRMATION ACTION J. NOTIFICATION K. DISPUTES L. AUDIT OF BOOKS AND RECORDS M. ENTIRE AGREEMENT ARTICLE II. SCOPE OF SERVICES ARTICLE III. SCHEDULE, PROGRESS AND REPORTING ARTICLE IV. COMPENSATION AND PAYMENT APPENDICES APPENDIX A SCOPE OF SERVICES ARTICLE I GENERAL A. PHASE I B. PHASE II C. LOCATION, DESCRIPTION AND PURPOSE ARTICLE II PHASE I SERVICES A. DESCRIPTION B. SCOPE OF WORK C. DELIVERABLES APPENDIX B SCHEDULE OF PHASE I SERVICES A. MILESTONE SCIEDULE B. MATERIALS TO BE FURNISI IED BY COMMISSION C. ASSISTANCE TO CONSULTANT . D. MODIFICATIONS TO T1112 SCI lEINJl E. TERMS OF AGREEMENT APPENDIX C COMPENSATION AND PAYMENT FOR PHASE 1 SERVICES A. COMPENSATION B. INVOICING AND PAYMENT APPENDIX D ESTIMATED COSTS FOR PHASE I SERVICES • AGREEMENT NO. R09018 BETWEEN RIVERSIDE COUNTY TRANSPORTATION COMMISSION AND PARSONS BRINCKERHOFF QUADE & DOUGI.AS, INC. This Agreement is made and entered into this day of 1990 by and between the RIVERSIDE COUNTY TRANSPORTATION COMMISSION (hereinafter referred to as "COMMISSION"). and PARSONS BRINCKI?121(111A1)1i & DOUGL.AS, INC. (hereinafter referred to as "CONSULTANT"), a corporation authorized to conduct business under the laws of the State of New York with a place of business at 225 West Hospitality Laite, Suite 304, San Bernardino, CA 92408. WITNESSETII: WHEREAS the voters of Riverside County approved Measure A: Riverside County Transportation Improvement Plan; and the voters of San Bernardino County approved Measure I: San Bernardino County Transportation Improvement Program; (hereinafter referred to as "the PROGRAMS", and thereby authorized retail transactions and use taxes dedicated to transportation programs and improvements within Riverside and San Bernardino Counties respectively; and WHEREAS the COMMISSION has an understanding for joint cooperation with the California Department of Transportation ("CALTRANS") whereby CALTRANS District 8 will provide technical oversight of consultant design and environmental services; and WHEREAS the COMMISSION has agreed to cooperate in the preliminary design, environmental documentation, aerial photomapping, geotechnical services, surveying, and traffic engineering for the widening of State highway 215 from Route 60 in the City of Moreno Valley, Riverside County to Route 10 in the City of Colton, San Bernardino County (hereinafter referred to as "the PROJECT"); and WHEREAS the COMMISSION desires to secure engineering and environmental services necessary for preliminary design and environmental analysis including studies, plans, specifications, construction cost estimates, and environmental documents for said PROJECT; and • • WHEREAS the COMMISSION intends to employ the CONSULTANT to provide services for the PROJECT for Phase I which includes environmental and preliminary engineering services to achieve an environmental clearance and project approval. The COMMISSION reserves the option to negotiate extensions with the CONSULTANT' for Phase; II, which includes professional and technical engineering services to prepare plans, specifications, and construction cost estimates for construction contract(s); and WHEREAS the CONSULTANT represents that it possesses the professional qualifica- tions to provide such engineering and environmental services; NOW, THEREFORE it is mutually agreed by and between the parties as follows: COMMISSION hereby employs the CONSULTANT and CONSULTANT hereby accepts such employment to perform the services, upon the terms, and subject to the conditions and in consideration of the payments as hereinafter set forth. CONSULTANT agrees to diligently purse the work to completion in accordance with the schedule and under the terms and conditions set forth herein. ARTICLE 1 • GENERAL PROVISIONS A. GENERAL 1. Commencement of Services; CONSULTANT will be authorized to commence performance of the Services upon receipt of a Notice to Proceed issued by COMMISSION. A Separate Notice to Proceed is required for each phase of the project. 2. Scope of Services; CONSULTANT agrees to perform the Scope of Services described in Article II of this Agreement. 3. COMMISSION'S Representative; COMMISSION hereby designates COMMISSION'S Executive Director, Jack Reagan, to be their representa- tive, hereinafter referred to as PROGRAMS' REPRESENTATIVE. PROGRAMS' REPRESENTATIVE has full authority to administer the • • Agreement and to manage the relationship between the parties on behalf of COMMISSION. This includes, but is not limited to, all notices hereunder and communications regarding interpretation of the terms of the Agreement or changes thereto and all matters such as deliverables, public notices, and newspaper advertisements requiring review and approval. With regard to technical matters, the CONSULTANT will report to Don Sanborn, CALTRANS District 8, who is CALTRANS designated technical representative for the PROJECT. 4. CONS111:TANTS Representative; CONSULTANT hereby designates Mr. Martin Rubin to represent CONSULTANT with full authority for the Agreement. S. Substitute Personnel; If one or more or the CONSULTANT'S key personnel proposed for work under the Agreement should become unavailable, others of equal competence may be substituted upon prior written approval by the PROGRAMS' REPRESENTATIVE. 6. Travel: Out of state travel by the CONSULTANT for the Agreement must be approved in advance by the PROGRAMS' REPRESENTATIVE. 7. Responsibility of CONSULTANT: The CONSULTANT shall be responsible for the professional quality, technical accuracy, and the coordination of the services furnished by it under the Agreement. The PROGRAMS' REPRESENTATIVE'S review, acceptance, or authorization for payment for any of the services required under the Agreement shall not be construed to operate as a waiver of any of the rights under the Agreement, or of any cause of action arising out of the performance of the Agreement, and the CONSULTANT shalt be and remain liable to the COMMISSION in accordance with applicable law for all damages to the COMMISSION caused by the CONSULTANTS negligent performance of any of the services furnished under the Agreement. 8. Preliminary Review of Work; Where the CONSULTANT is required to prepare and submit reports, working papers, etc., as products of the work described in Article II, these shall be submitted in draft form, and • • • • opportunity provided for the COMMISSION and CALTRANS to direct revisions, prior to formal submission. 9. Inspection of Work; It is understood that authorized representatives of the COMMISSION and CALTRANS may inspect or review the CONSULTANTS work in progress at any reasonable time. 10. Final Acceptance; When the COMMISSION determines that the CONSULTANT Has satisfactorily completed the Scope of Services, the PROGRAMS' REPRESENTATIVE shall give the CONSUI:I'ANT written Notice of Final Acceptance, and the CONSULTANT shall not incur any further costs hereunder. CONSULTANT may request this detennination when, in its opinion, it has satisfactorily completed the Scope of Services, and if so requested, the COMMISSION shall make this determination within two weeks of such request. 11. Term; The term of the Agreement shall be from the date of Notice -to - Proceed with the services to the completion of the services to the satisfaction of the COMMISSION as evidenced by the Notice of Final Acceptance unless terminated earlier pursuant to Article I, Section 6, below. 12. Appearance at Hearings; If and when required by the COMMISSION, the CONSULTANT shall render assistance at hearings as may be necessary for the performance of its services under the Agreement. B. TERMINATION/CANCELLATION 1. Notice; The PROGRAMS' REPRESENTATIVE may, by 14 calendar days written notice to CONSULTANT, terminate the Agreement in whole or in part at any time, whether for the COMMISSION'S convenience or because of the failure of the CONSULTANT to perform its duties and obligations under the Agreement. Upon receipt of such notice, the CONSUIXANT shall: (a) Immediately discontinue all services affected (unless the notice directs otherwise) ; and • • • • (b) Deliver to the PROGRAMS' REPRESENTATIVE all data, estimates, graphs, summaries, reports, and such oilier information and materials as may have been accumulated by the CONSULTANT in performing the Agreement, whether completed or in progress. 2. For Convenience: If the termination is for the convenience; of the COMMISSION, the CONSULTANT shall be paid for services performed through the date of termination. Such payment shall include a pro -rated amount of profit, blued upon percent of work completed if applicable, but no amount shall be paid for anticipated profit on unperformed services. CONSULTANT shall also be paid the allowable costs incurred prior to termination and other costs reasonably incurred by the CONSULTANT to implement the termination. 3. For Cause: The PROGRAMS' REPRESENTATIVE shall give the CONSULTANT seven (7) calendar days prior notice of intent to terminate the Agreement for cause. If the defect in CONSULTANT'S performance remains uncured at the end of the seven-day period, the COMMISSION may immediately thereafter exercise their right of termination, and CONSULTANT shall comply with the provisions of paragraph 1 of this section. 4. Damages/Compensation; If the termination is due to failure of the CONSULTANT to fulfill its obligations under the Agreement, the CONSULTANT will be compensated for those services which have been completed and accepted by the PROGRAMS' REPRESENTATIVE. In such case, the COMMISSION may take over the work and prosecute the same to completion by contract or otherwise. In such case, the CONSULTANT shall be liable to the COMMISSION for any reasonable additional costs thereby occasioned to the COMMISSION. S. Adjustments; If, after notice of termination for failure to perform, it is determined that the CONSULTANT had not so failed, the termination shall be deemed to have been effected for the convenience of the COMMISSION as provided in paragraph 2 of this section. • • • • 6. J..aw; The rights and remedies of the parties provided in this section are in addition to any other rights and remedies provided by laws or under the Agreement. 7. Waivers; CONSULTANT, in executing the Agreement, shall be deemed to have waived any and all claims for damages in the event of termination for convenience of COMMISSION as provided in Paragraph 2 of this section. C. REVISIONS IN SCOPE OF SERVICES I. Change Order; The PROGRAMS' REPRESENTATIVE may, from time to time, make minor changes in the Scope of Services under the Agreement, through a Change Order which does not modify the overall purpose, term or compensation provisions of the Agreement. 2. Extra Work; At any time during the term of the Agreement, PROGRAMS' REPRESENTATIVE may order extra work to be performed by CONSULTANT. Extra work is defined as work which was not anticipated and/or contained in the Agreement, and, subsequent to the execution of the Agreement by all parties hereto, is determined by the PROGRAMS' REPRESENTATIVE to be necessary for the Project addressed by the Agreement. Upon receipt of an Extra Work Order approved by PROGRAMS' REPRESENTATIVE, CONSULTANT shall continue performance of the Scope of Services as revised. Necessary changes in the description of Scope of Services, equitable adjustments in allowable costs, fixed fee, ceiling price, term and schedule shall be subsequently agreed upon and incorporated herein through the execution of written amendments to this Agreement. CONSULTANTS compensation shall be adjusted due to an Extra Work Order only if it has an impact on costs or terms of the Agreement. • • • • D. OWNERSHIP OF MATERIALS/CONFIDENTIALITY 1. Documents; All data prepared by the CONSULTANT under the Agreement, such as plans, drawings, tracings, quantities, specifications, proposals, sketches, diagrams, and calculations relative to the Agreement shall become the property of the COMMISSION or CALTRANS, as appropriate, upon the completion of the term of this Agreement, except that CONSULTANT shall have right to retain copies of all such data for its records. COMMISSION and CALTRANS shall not be limited in any way in their use thereof at any time, provided that any such use not within the purposes of the Agreement shall be at their sole risk, and provided that the CONSULTANT shall be indemnified against any damages resulting from such use, including the release of this material to third parties for use not intended in the Agreement. If the CONSULTANT should later desire to use any of the data prepared by CONSULTANT in connection with this project, it shall first obtain the written approval of PROGRAMS' REPRESENTATIVE. 2. Confidentiality; All ideas, memoranda, specifications, plans, manufacturing procedures, drawings, descriptions, and all other written information submitted to the CONSULTANT in connection with the performance of the Agreement shall be held confidential by the CONSULTANT and shall not, without the prior written consent of the PROGRAMS' REPRESENTA- TIVE, be used for any purposes other than the performance of the PROJECT Services, nor be disclosed to an entity not connected with the performance of the PROJECT Services. Nothing furnished to the CONSULTANT which is otherwise known to the CONSULTANT or is or becomes generally known to the related industry shall be deemed confidential. The CONSULTANT shall not use the COMMISSION'S, SANBAG'S, or CALTRANS' name or insignia, or photographs of the Work in any other publicity pertaining to the Work in any magazine, trade paper, newspaper, or other medium without the express written consent of the PROGRAMS' REPRESENTATIVE; such written consent shall not be unreasonably withheld. • • 3. Publication; No copies, sketches or graphs, including graphic art work, shall be released by the CONSULTANT to any other person or agency except after prior approval of the PROGRAMS' REPRESENTATIVE, except as necessary for the performance of the services under the Agreement. All press releases, including graphic display information to be published in newspapers, magazines, etc., shall be reviewed and approved by PROGRAMS' REPRESENTATIVE prior to publication. E. CONSULTANT STATUS/SUBCONSULTANTS 1. Independent Consultant; In the performance of the services to be provided hereunder, CONSULTANT is an independent contractor and is not an employee, agent, or other representative of the COMMISSION. 2. Assignment or Transfer; Services to be furnished hereunder shall be deemed to be professional services and, except as herein provided, CONSULTANT has neither the right nor the power to assign, sublet, transfer, or otherwise substitute its interest in the Agreement or it's obligations hereunder without the prior written consent of the PROGRAMS' REPRESENTATIVE. F. INDEMNIFICATION 1. Duties; CONSULTANT represents and maintains that it is skilled in the professional calling necessary to perform the services, and it's duties and obligations, as contained herein, and the COMMISSION expressly relies upon CONSULTANTS representations regarding its skills and knowledge. The CONSULTANT shall perform the services and duties in conformance to and consistent with the standards generally recognized as being employed by professionals in the same discipline in the State of California. 2. Responsibilities; The CONSULTANT shall defend, indemnify and hold harmless the COMMISSION, and its elected officials, officers, employees, agents, and consultants from and against any and all claims, causes of action, damages or liability, resulting solely from any negligent acts or omissions of the CONSULTANT in connection with any activities performed under this Agreement. Such indemnity shall extend, but not be limited to, claims, • • • • • causes of action. damages, and liability arising from injuries or damages to persons or property. Including wrongful death and worker's compensation claims and award of attorneys' fees. Such indemnity shall not apply to any injuries to persons or property which result from the sole negligence of the COMMISSION. PROGRAMS' REPRESENTATIVE shall provide CONSUCI ANT an opportunity to cure, at its expense, all errors and omissions, which may he disclosed during review of the deliverables. Should CONSULTANT fail to make such correction in a timely manner, such correction shall be made by COMMISSION, and the cost thereof shall be charged to CONSULTANT. It shall be the responsibility of the CONSULTANT to provide for the basic insurance requirements indicated in Section G, INSURANCE below. G. INSURANCE 1. Comprehensive General Liability; The CONSULTANT shall carry Comprehensive General Liability insurance with limits not less than S1,000,000 per occurrence and in the aggregate for bodily injury, and $1,000,000 per occurrence and in the aggregate for property damage; and Automobile Liability insurance with limits not less than $250,000 per person and $500,000 per occurrence for bodily injury and $250,000 per occurrence for property damage. Maintenance of said insurance shall extend throughout the entire term of this Agreement. Such insurance shall include the COMMISSION, and their officers and employees, as additional insured as to CONSULTANTS liability herein. Such insurance shall include the following: a. All operations including use of all vehicles. b. Contractual liability covering the Agreement. c. Personal injury (in lieu of, or in addition to, bodily injury). d. Use of watercraft, where applicable. • • 2. Errors and omissions; In addition to requirements of Article I Section G, Paragraph 1 above, the CONSULTANT shall carry professional liability insurance for errors and omissions in an amount not less than $1,000,000 per claim and in the aggregate. a. A deductible is permissible on this policy, but such deductible shall not exceed $250,000 per claim. b. Said policy shall provide for blanket contractual liability. c. Any and all subconsultants of the CONSULTANT providing services of a professional nature shall provide evidence of their own professional liability insurance which meets the specifications of the COMMISSION. 3. Workers' Compensation; The CONSULTANT shall carry Workers' Compensation insurance as required by California law, covering all work CONSULTANT performs under this agreement, and all CONSULTANT'S personnel performing services under this Agreement. 4. Certificates; Insurance certificates evidencing the policies described in Article Q are to be furnished to the COMMISSION and provide for not less than 30 days prior written notice to the COMMISSION of any cancellation. The policies except as to CONSULTANTS professional liability and workers' compensation coverages, are to contain, or be endorsed to contain, the following provisions: a. The COMMISSION, their officials, employees, consultants, and agents, are to be included as additional insureds as respects: liability arising out of activities performed by or on behalf of the CONSULTANT; products and completed operations of the CONSULTANT; premises owned, leased or used by CONSULTANT; or automobiles owned, leased, hired, or borrowed by the CONSULTANT. The coverage shall contain no special limitations on the scope of protection afforded to the COMMISSION, their officials, employees, consultants, and agents, as additional insureds. • • b. The CONSULTANTS insurance coverage shall be primary insurance as respects the COMMISSION, their officials, employees, consultants, and agents. Any insurance maintained by the COMMISSION, its officials, employees, consultants, or agents, shall be excess of the CONSULTANTS insurance and shall not contribute with it. c. Coverage shall state that the CONSULTANT'S insurance shall apply separately ro each insured against whom claim is made or suit is brought, except with respect to the limits of the insurer's liability. d. Each insurance certificate required by this Agreement shall be endorsed to state that coverage shall not be suspended, voided, cancelled, reduced in coverage or in limits except after thirty (30) days' written notice by certified mail, return receipt requested, has been given to the COMMISSION. e. Insurance is to be placed with insurers with a Best's rating of no less than A:VI1, unless otherwise agreed to, in writing, by the PROGRAMS' REPRESENTATIVE. f. The CONSULTANT shall furnish the PROGRAMS' REP- RESENTATIVE with certificates of insurance as evidence of coverage required by this Agreement. These certificates for each insurance policy are to be signed by a person authorized by that insurer to bind coverage on its behalf. H. PROHIBITED INTEREST 1. Solicitation: The CONSULTANT warrants that it has not employed or retained any company or person, other than a bonafide employee working solely for the CONSULTANT, to solicit or secure the Agreement and that it has not paid or agreed to pay any company or person, other than a bonafide employee working solely for the CONSULTANT, any fee, commission, percentage, brokerage fee, gift or any other consideration, contingent upon or resulting from the award or making of the agreement. For breach or violation of this warranty, the COMMISSION shall have the right to rescind the Agreement without liability. • • 2. Conflict of interest; Consultant agrees that, for the term of the Agreement, no member, officer or employee of the COMMISSION, or a public body within Riverside or San Bernardino Counties during his/her tenure or for one (1) year thereafter, or member or delegate to the Congress of the United States, shall have any direct interest in the Agreement, or to any direct or material benefit arising thereof. 3. Conflict of Employment: Employment by the CONSULTANT of personnel on the payroll of the COMMISSION will not be permitted in the performance of the Agreement, even though such employment may be outside of the employee's regular working hours or on weekends, holidays or vacation time; further, the employment by the CONSULTANT of personnel who have been on the COMMISSION'S payroll within one year prior to the date of the Agreement, where this employment is caused by and/or dependent upon the CONSULTANT securing this or related Agreements with the COMMISSION is prohibited. I. AFFIRMATIVE ACTION In connection with the performance of the Agreement, the CONSULTANT shall not discriminate against any employee or applicant for employment because of race, religion, color, sex or national origin. The CONSULTANT shall take affirmative action to insure that applicants are employed and employees are treated during their employment without regard to their race, religion, color, sex, or national origin. Such actions shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination. CONSULTANT agrees to cooperate with the COMMISSION in complying with the COMMISSION'S Affirmative Actions flan which is a DBE goal of 20% of Measure A expenditures. J. NOTIFICATION All notices hereunder and communications regarding interpretation of the terms of the Agreement or changes hereto shall be effected by the mailing thereof by • • registered or certified mail, return receipt requested, postage prepaid and addressed as follows: TO CONSULTANT: PARSONS BRINCKERHOFF QUADS & DOUGLAS, INC. Attn: Martin Rubin, Principal in Charge 225 West Hospitality Lane, Suite 304 San Bernardino, CA 92408 TO COMMISSION: RIVERSIDE COUNTY TRANSPORTATION COMMISSION Attn: Jack Reagan, Executive Director 3560 University Avenue, Suite 100 Riverside, California 92501 Technical matters shall, at the direction of the PROGRAMS' REPRESENTATIVE, be copied to: Don Sanborn CALIFORNIA DEPARTMENT OF TRANSPORTATION P.O. Box 231 San Bernardino, CA 92402 K. DISPUTES This Agreement shall be construed and all disputes hereunder shall be settled in accordance with the laws of the State of California. Pending final resolution of a dispute hereunder, CONSULTANT shall proceed diligently with the performance of this Agreement and in accordance with the COMMISSION'S decision and instructions. L. AUDIT OF BOOKS AND RECORDS CONSULTANT shall make available to the COMMISSION, its authorized agents, officers, and employees, for examination any and all ledgers and books of account, invoices, vouchers, cancelled checks, and other records or documents evidencing or related to the expenditures and disbursements charged to the COMMISSION, and • • • • shall furnish to the COMMISSION, its agents and employees, such other evidence or information as they may require with respect to any such expense or disbursement charged by the CONSULTANT. M. ENTIRE AGREEMENT This Agreement constitutes the entire Agreement between the parties hereto relating to the subject matter hereof and supersedes any previous agreements or understandings. ARTICLE 11 • SCOPE OF SERVICES Except as may be specified elsewhere in the Agreement, CONSULTANT shall furnish all technical and professional services including labor, material, equipment, transportation, and supervision to perform all operations necessary and required to satisfactorily complete the services described in Appendix A, Scope of Services, which is attached hereto and incorporated herein by reference. ARTICLE III • SCHEDULE, PROGRESS, AND REPORTING A. Milestone Schedule; CONSULTANT shall perform the Services in accordance with the Milestone Schedule set forth in Appendix B, Schedule of the Services, which is attached hereto and incorporated herein by reference. The COMMISSION agrees to respond to the CONSULTANTS submittals in a timely manner to facilitate CONSULTANTS conformance with the schedule. B. Detailed Schedule; CONSULTANT shall furnish to the PROGRAMS' REPRESENTATIVE its detailed Schedule for performing the services to meet the Milestone Schedule, in accordance with provisions of Appendix B. The detailed schedule, utilizing Primavera software, shall be submitted within four (4) weeks from notice to proceed. A manpower loading/cash flow curve shall also be developed as an element of the critical path schedule. C. Modifications of Schedule; CONSULTANT shall report in a timely manner, through correspondence or progress reports, whenever it appears the approved schedules will not be met, whether or not the reasons for anticipated delay are • • • • • within the CONSULTANTS control. In the event the schedule of work is modified, and the modified schedule approved by the PROGRAMS' REPRESENTATIVE, CONSULTANT shall submit a revised schedule in accordance with provisions of Appendix B. As a condition precedent to the approval of an extension of time to complete the Services in accordance with the approved schedule, CONSULTANT shall give written notice to PROGRAMS' REPRESENTATIVE within seven (7) working days after CONSULTANT knows or should know of any cause or condition which might, under reasonably foreseeable circumstances, result in delay for which CONSULTANT may claim an extension of time. D. General Meetings; CONSULTANT shall conduct and/or attend general meetings with COMMISSION, SANBAG, CALTRANS, and special interest groups to discuss issues necessary to resolve problems and maintain the progress of the Services. These general meetings shall be held when called by the PROGRAMS' Representative and need only occur as deemed necessary to accomplish understanding of Agreement objectives. The total value of Base Work specified in Article IV-B includes compensation for an estimated 31 general meetings. E. Trend Meetings; Trend meetings will be conducted with the designated Project Managers of the COMMISSION and CALTRANS every two weeks. to conduct focused and informal discussions on scope, schedule, and cost issues in a three week rolling schedule format: one week - past accomplishments, next two weeks - objectives. The trend meetings will be conducted by the CONSULTANT, and the CONSULTANT will prepare meeting minutes for distribution within three (3) working days of the meeting. In conjunction with these meetings, the CONSULTANT will prepare and maintain a DATA REQUEST LOG and a SUBMITTAL REGISTER. Attendance will be controlled by the CONSULTANTI' will be limited to those persons who can respond to the pertinent issues on the agenda of the scheduled meeting. F. Progress Reports: CONSULTANT shall submit a progress report each month which indicates the progress achieved during the reporting period in relation to the progress scheduled. CONSULTANT shall supply four (4) copies of the progress report to the PROGRAMS' REPRESENTATIVE with each monthly invoice. • • • In witness thereof, the COMMISSION has by order caused the Agreement to be subscribed on their behalf by binding authority of each, and the CONSUIXANT has caused the Agreement to be subscribed on its behalf by duly authorized signees. RIVERSIDE COUNTY TRANSPORTATION COMMISSION Chairperson Attest: Date .lack Reagan, Executive Director Date Approved as to form and legality Best, Best and Krieger Counsel for the Riverside County Transportation Commission BY: Date • Martin Rubin, President Date PARSONS BRINCKERHOFF QUADS & DOUGLAS, INC. • • • G. )excusable relays; Neither party hereto shall be considered in default in the performance of its duties and obligations with respect to schedule performance, to the extent that the performance of any obligation is prevented or delayed by an excusable delay. Should the CONSULTANTS services be delayed by any mutually agreed -upon excusable cause, the CONSULTANT'S schedule for completion of tasks affected by such delay shall be extended, as necessary. In any event, the CONSULTANT shall minimize any schedule extension or additional cost to the COMMISSION resulting from such delay. Excusable delays may include, but are not limited to, acts of God or of the public enemy, acts or failures to act of other agencies or the COMMISSION, in either their sovereign or contractual capacities; fires, floods, epidemics, quarantine restrictions, strikes, freight embargoes, and unusually sever weather. In every case, the failure to perform must be reasonably beyond the control and without the fault or negligence of the CONSUINAN'T. ARTICLE IV - COMPENSATION AND PAYMENT A. CONSULTANTS services provided under the Agreement as described in Article II - SCOPE OF SERVICES shall be compensated as set forth in Appendix C, Compensation and Payment, a copy of which is attached hereto, and incorporated herein by reference. B. The total value of the Agreement shall not exceed $2.810.682 for the Base Work. Extra Work may be authorized at the discretion of the PROGRAMS' REPRESENTATIVE in accordance with Article I.C.2. C. No additional compensation will be paid without a written amendment to the Agreement or authorized extra work orders. In the event such amendment or extra work orders are not forthcoming, CONSULTANT shall stop providing Services and is not obligated to continue providing such Services beyond the 'Total Agreement Value. D. The CONSULTANT is alerted to the requirements of California Labor Code Section 1770 et. seq. and agrees to defend indemnity and hold harmless the COMMISSION and its officials, employees, consultants, and agents from any claim or liability including, without limitation, attorneys fees, arising from any failure or alleged failure to comply with California Labor Code Section 1770 et. seq. • • AGREEMENT NO. R09018 STATE ROUTE 215 IMPROVEMENT PROJECT FROM ROUTE 60 IN THE CITY OF MORENO VALLEY, RIVERSIDE COUNTY TO ROUTE 10 IN THE CITY OF COLTON, SAN BERNARDINO COUNTY . APPENDIX "A" SCOPE OF SERVICES Pursuant to provisions of Article II, SCOPE OF SERVICES, the scope of service of this Agreement shall be as described herein. All references to COMMISSION shall be interpreted to mean PROGRAMS' REPRESENTATIVE. 1. GENERA[, A. Phase I Consultant services shall be provided in two phases. The Phase 1 Consultant Services which are covered under this agreement shall include professional and technical engineering and environmental services to prepare Preliminary Engineering Plans and Estimates for a Draft and Final Project Report, perform environmental studies, and prepare the Draft and Final Environmental Document for the proposed PROJECT'. The CONSULTANTS Project Report and Environmental Document will be used by CALTRANS to secure approval and environmental clearance for the proposed PROJECT described below. Phase I services include preliminary PROJECT development activities through PROJECT approval and environmental clearance. Tasks include: Studies, designs, reports, and documents for PROJECT approval under California and Federal procedures. Items include assignment of projected vehicular and pedestrian traffic volumes, preliminary engineering (including the study of alternatives), the environmental technical studies, the Project Report, the Environmental Document (EIS/EIR), the Project Approval Report, public hearing coordination and participation. • • • B. Phase II The Phase II services, for which the COMMISSION reserves the option to negotiate with the CONSULTANT, shall include professional and technical engineering services to prepare Plans, Specifications and Construction Cost Estimates (PS&E) for construction contract(s) as defined by PROGRAMS' REPRESENTATIVE. Tasks include, but are not limited to: highway geometry, grading, paving, drainage, structures, (including seismic evaluation), traffic signing, traffic striping, erosion control, and construction traffic control for the PROJECT. C. Location, Description, and Purpose The PROJECT includes approximately 7.0 miles of Route 215 in Riverside County from Post Mile 38.3 to the San Bernardino County line and approximately 4.1 miles of Route 215 in San Bernardino County from the Riverside County line to Post Mile 4.1. The exact PROJECT limits will be established in the Project Report. The purpose of the PROJECT is to widen the existing freeway by adding a minimum of one lane in each direction, upgrade the Routes 60/91/215 interchange, and if required, the Routes 10/215 interchange; improve pedestrian access to the University of California -Riverside Campus, investigate the feasibility of HOV lanes, and conduct examinations of structures to remain to determine adequacy to resist seismic forces. The lane widening will blend into the existing Routes 10/215, and Routes 60/215 interchanges, and other existing interchanges will be minified to improve operations. D. Preliminary Review•of Work Where the CONSULTANT is required to prepare and submit reports, working papers, etc., as products of the work described in Article II, these shall be submitted in draft form, and opportunity provided for the COMMISSION and CALTRANS to review and PROGRAMS' REPRESENTATIVE to direct revisions, prior to formal submission. E. Appearance at Hearings If and when required by the PROGRAMS' REPRESENTATIVE, the CONSULTANT shall render assistance at public meetings and hearings as may be necessary for the performance of its services under the Agreement. • • F. The COMMISSION reserves the option to negotiate with the CONSULTANT to provide training for CALTRANS personnel in the development of the PROJECT. This shall be considered as an Extra Work Item and may be authorized at the discretion of the PROGRAMS' REPRESENTATIVE in accordance with Article I.C.2. II. PHASE I SERVICES A. Description 1. CONSULTANT will undertake engineering and environmental studies and prepare reports and documents necessary for PROJL'CE approval and environmental clearance for the PROJECI' under both the California and Federal procedures. The anticipated environmental document type will be an EIS/EIR. The work phases, generalized scope of services, and potential work items for each phase are described in Article 11.B through 11.0 of this Description of Services for Phase I. 2. CALTRANS Draft Project Study Reports (PSR) shall serve as the starting point for Phase I efforts - Preliminary Engineering alternative analysis and preparation of the Environmental Document. 3. CONSULTANT shall be a member and attend meetings of the Project Development Team (PDT) and relevant PDT Subcommittees established to guide the study in accordance with the CALTRANS Project Development Procedures Manual. CONSULTANT shall serve as staff to the PDT in arranging meetings, providing discussion material, and keeping minutes. PDT meetings and PDT Subcommittee meetings will be held in accordance with the Ca!trans Project Development Procedures Manual (Gold Book). It is anticipated that approximately 25 PDT meetings will be required. 4. CONSULTANT shall handle public and citizen contacts as needed in conformance with normal CALTRANS study procedures. CONSULTANT shall arrange for and conduct open houses and public meetings in coordination with COMMISSION and CALTRANS. • S. CONSULTANT shall provide a method for comments by the citizens in the PROJECT area. Comments are to be compiled and considered in preparing the environmental document. This method of feedback shall be furnished to the public at each open house and public hearing. 6. CONSULTANT shall hold open houses as needed throughout the preliminary engineering and environmental document phases of the PROJECT. The first of these meetings shall be held within four (4) months of initiation of studies by CONSULTANT. Remaining open houses will be conducted as needed. These open houses will be conducted to identify areas of interest and economic, social, and environmental issues as perceived by the citizens in the area and shall be held at accessible locations and at times convenient for the interested parties. CONSULTANT shall notify interested parties of the open houses through press releases and direct mailing to area property owners. CONSULTANT will obtain approval from PROGRAMS' REPRESENTATIVE prior to press releases and the direct mailing. 7. CONSULTANT may establish direct contact with governmental regulatory and resource agencies, including, but not limited to: the U.S. Department of Agriculture Soil Conservation Service, Department of Interior, Reclamation Boards (California or Federal), U.S. Fish and Wildlife Service, Water Quality Control Board, Department of Health Services, and U.S. Army Corps of Engineers, for the purpose of obtaining information, expertise, and assistance in developing baseline data and resource inventories. CONSULTANT will maintain a record of all such contacts and will transmit copies of the contacts and record promptly to the PROGRAMS' REPRESENTATIVE on a monthly basis. The COMMISSION and CALTRANS will participate in and/or the PROGRAMS' REPRESENTATIVE will provide prior approval for any and all interagency meetings to discuss or develop PROJECT mitigation proposals. 8. COMMISSION and CALTRANS will retain responsibility for all final consultation, both informal and formal, with local, California, and Federal agencies regarding PROJECT mitigation and • compensation proposals. CONSULTANT will be available to provide advice and to participate in such consultations at the request of the PROGRAMS' REPRESENTATIVE. 9. CONSULTANT shall be responsible for reproduction, binding, circulation, and distribution of the draft environmental document, final environmental document, engineering reports, and engineering drawings pursuant to the requirements of this Description of Services. 10. CONSULTANT shall maintain a set of project files which shall be indexed in accordance with the CALTRANS Project Development Uniform File System. 11. The page identifying preparers of engineering reports, and each engineering drawing shall bear the professional seal, certificate number, registration classification, expiration date of certificate, and signature of the professional engineer(s) responsible for their preparation. Environmental backup reports which must be prepared by a registered or licensed professional shall bear the signature and registration or license information of the professional responsible for the report. 12. CONSULTANT shall carry out the instructions as received from the PROGRAMS' REPRESENTKIWE and shall cooperate with the COMMISSION, CALTRANS, the FIIWA, and any other contractors working on the PROJECT'. 13. It is not the intent of the foregoing paragraph to relieve CONSULTANT of his professional responsibility during the performance of this contract. In those instances where CONSULTANT believes a better design or solution to the problem is possible, he shall promptly notify the PROGRAMS' REPRESENTATIVE of these concerns, together with reasons therefore. 14. CONSULTANT shall provide all necessary personnel, instruments, equipment, and materials to perform the work described herein. 15. CONSULTANT shall provide the engineering plans and drawings on magnetic tape using an InterGraph IGDS version 8.8 file format. One copy of the data on magnetic tape shall be provided to CALTRANS upon completion of the contract. • • 16. CONSULTANT shall identify any additional survey work that is needed to complete the engineering alternative preliminary designs and forward to PROGRAMS' REPRESENTATIVE for procurement, along with a schedule of required due dates. 17. CONSULTANT shall prepare a draft Notice of Preparation and draft Notice of Intent. The PROGRAMS' REPRESENTATIVE shall approve the Notice of Preparation and distribution cover letter. CONSULTANT shall distribute the Notice of Preparation by certified mall to each Responsible Agency and each Trustee Agency responsible for resources affected by the project. The COMMISSION and CALTRANS will coordinate with FHWA WA in order to publish the Notice of Intent in the Federal Register. 18. CONSULTANT shall conduct a Scoping Meeting as defined in the National Environmental Policy Agency Regulations. CONSULTANT shall prepare exhibits and handouts and shall prepare a report on the meeting. 7'he PROGRAMS' REPRESENTATIVE shall review and approve exhibits, handouts, and the agenda of the Scoping Meeting. 19. The preliminary project development engineering, project reports, environmental documents, and the Project Approval Report shall be prepared in accordance with CALTRANS regulations, policies, procedures, manuals, and standards, including compliance with FHWA requirements. Said reports and environmental documents are to be subject to review and approval by CALTRANS and FHWA. The following list of applicable manuals, guidelines, etc. is not all-inclusive, and is intended only to identify typical sources of standards: a. The procedures to be followed and content of the Project Report, environmental surveys, environmental technical reports, and environmental documents are set forth in Caltrans Project Development Procedures Manual, Caltrans Environmental Handbook, Caltrans Transportation Laboratory technical manuals for environmental studies, Caltrans Procedures for the Protection of Historic Properties, Natural Environmental Study, Related Biological • • • Reports, Conducting Socioeconomic Analysis, and FIIWA's Technical Advisory T6640.8A. b. Roadway Design features shall be in accordance with the current Caltrans Highway Design Manual and its revisions. c. Engineering plans and drawings shall be prepared in conformance with current Caltrans Drafting._and !'ium Manual and Caltrans CARD Users Manual of Jnstrugaians. Plan sheets shall be prepared in accordance with contract plans' standards. Special attention is called to the size and clarity of lettering on plan sheets. The original drawings of all sheets comprising the set of plans, together with one copy of the magnetic tape and all reports, drawings, studies, memoranda, and other data pertaining to the PROJECT shall be delivered to the PROGRAMS' REPRESENTATIVE for transmittal to CALTRANS. d. Bridge design studies shall be in accordance with the current Caltrans Bridge Design Specifications, Bridge Memos to Pesigners, Bridge Design Aids, and Bridge Design Dells manuals. 20. The reports, surveys, studies, designs, environmental documents, and other documents furnished under this phase of work shall be of a quality acceptable to CALTRANS. The criteria for acceptance of a product shall be: neat appearance, good organization, conciseness, focus on the issues, and technically and grammatically sound. Each product shall be checked, and have the maker and checker identified where appropriate. The minimum standards of appearance, organization, and content of the reports and drawings shall be that of similar items produced by CALTRANS. 21. CONSULTANT shall develop, implement, and maintain quality control procedures during the preparation of the documents and plans related to the PROJECT. CONSULTANT shall have a quality control plan in effect during the entire time work is being performed under the PROJECT contract. This plan will be developed under Milestone # 1 and submitted to the PROGRAMS' REPRESENTATIVE for approval prior to implementation. • • 22. CONSULTANT shall cooperate with other COMMISSION'S consultants in the development of the PROJECT. Estimates for performing this coordination have been included in the Base Work costs. B. Scope of Services - Environmental The Environmental Impact Statement Report and related technical studies and reports are to be prepared in accordance with CALTRANS regulations, policies, manuals and standards, including compliance with FHWA, CEQA, and NEPA. The following provides additional detail on some of the work requirements as well as on materials and information to be provided by the PROGRAMS' REPRESENTATIVE: 1. Air Quality Analysis An air quality analysis will be conducted in accordance with CALTRANS and FHWA guidelines and accepted methodologies, utilizing the CALINE 3 and CALINE 4 models as appropriate. Air quality analysis will be conducted in close coordination with the South Coast Air Quality Management District. All required emission factors will be provided by CALTRANS. An air quality report will be prepared to document the air quality analysis and results. 2. Cultural Resources Investigations Historic architectural and archaeological surveys will be prepared in accordance with procedures outlined in CALTRANS and FHWA guidelines for implementation of Section 106 of the National Historic Preservation Act. This effort will begin by thorough literature review and preparation of the Area of Potential Effect Map. Coordination with the State historic Preservation Officer (SHPO) will be conducted to assist in the identification of resources on, or potentially eligible for, the National Register of Historic Places (NR). An Historic Property Survey Report and historic Architectural Survey Report will be completed. If any structure appears eligible for the NR, appropriate documentation will be prepared using Advisory Council guidelines on Criteria of Eligibility. Continuing steps in the studies include application of the Criteria of A n Effect as per 36 CFR Part 800.9, and the preparation of appropriate Findings of no effect, no adverse effect or adverse effect in consultation with SHPO. Archaeological investigations will be limited to the identification phase, which includes the preparation of an Archaeological Survey Report and a summary of survey results in the historic Property Survey Report. If, upon completion of the survey phase, it appears that subsurface testing will be required to assess site eligibility for the NR, the CONSULTANT shall provide the PROGRAMS' REPRESENTATIVE with written recommendations for such testing. The PROGRAMS' REPRESENTATIVE shall develop the scope of work for testing and may negotiate a contract amendment with CONSULTANT or perform testing through other means. The Archaeological Survey shall cover 100% of the Area of Potential Effects. Area previously surveyed by others shall be resurveyed. Site records for previously recorded sites shall be updated. CONSULTANT shall identify/inventory all structures within the Area of Potential Effects. A CALTRANS "Architectural Inventory/Evaluation Form" shall be completed for any structures pre -dating 1946 and for structures less than 50 years old that are of exceptional significance. These forms are to be included in the Historic Architectural Survey Report. If any structures are determined to be eligible for the National Register of Historic Places, CONSULTANT shall meet with CALTRANS, FHWA, and the State Historic Preservation Office to assess PROJECT effects. CONSULTANT shall prepare an Effect Finding in accordance with the decisions reached during consultation. 3. Background Socioeconomic Report This study addresses the following topics: Social Impacts (housing, economic base) Economic Impacts (employment, income, economic base) Farmland Impacts Land Use and Growth Inducement Public Services Impact Fiscal Impacts (public costs, public revenues) Work on this study should not duplicate work done on the draft Relocation Impact Study. This study may incorporate information from the Draft Relocation Impact Study. The scoping and public participation process will assist in the analysis. CALTFtANS will provide a sample or outline to illustrate the report format and content. Suggested mitigation measures will be submitted in a letter that accompanies the formal report. Mitigation measures will not be included in the formal report. 4. Flood Plain Evaluation Report This is a description of the flood plain, the PROJECTS impact on the flood plain, and any mitigation required. The environmental analysis will apply the procedures contained in !~IIPM 6-7-3-2 and DOT Order 5650.2 in compliance with E.O. 11988 to assess whether a "significant encroachment" will occur. The floodplain analysis will evaluate the effect on natural and beneficial floodplain values, the possibility for increased risk associated with the flood events, the effect on evacuation routes, and impact on designated floodway versus floodway fringe as determined from review of FEMA mapping of the area and other available reports. 5. I lazarknus Waste Initial Site Assessment (ISA) Caltrans will do all work necessary for the ISA and PSI, if necessary, and also for any other necessary testing. The results of the ISA and subsequent testing, if necessary, will be provided to the CONSULTANT prior to submittal of the draft Natural Environment Survey Report. 6. Natural Environmental Study Report (NESR) The NESR documents results of the biological field survey. It describes the PROJECTS environmental setting and the local biotic resources. Suggested mitigation measures shall be submitted in a letter accompanying the NESR. Mitigation measures will not be included in the NESR. The water quality analysis will be included in the Natural Environmental Study Report. Work items include field views and application of physical characteristics of the proposed alternatives (such as amount of ground clearing, structures design • • across area streams and canals, and proposed drainage systems) to the natural resources amenities and characteristics in the area. A biological assessment will be conducted in accordance with CALTRANS guidelines and will include coordination with the U.S. Fish and Wildlife Service and the California Department of Fish and Game to identify species of special concern and assist in the analysis of impacts and mitigation measures. Wetlands studies will be in compliance with E.O. 11990 and will consist of identification, impact assessment, mitigation analysis and, if appropriate, a Finding of Only Practicable Alternative within the Draft EIS/EIR. Requirements of the Federal Farmlands Protections Policy Act (FPPA) will apply to this task. 7. Noise Report The noise report will use data collected by the CONSUCTANT and shall address the impact of any increase in noise levels from ambient levels to properties adjoining the highway. Analysis of mitigation measures shall be included. The noise report shall include the following: Measurement of existing noise levels at representative and sensitive locations. The LEQ noise descriptor shall be used. Some of the noise measurements shall extend for 24 hours and some shall include weekends so that the noisiest hours and days can be determined and shown in the noise report. A map of proposed receptor locations must be approved by PROGRAMS' REPRESENTATIVE prior to testing. Future noise levels for all PROJECT alternatives shall be predicted using methodology consistent with the FIIWA highway Traffic Noise Prediction Model and CALVENO (California Vehicle Noise) vehicle noise emission levels. The analysis shall use traffic characteristics based on the design year (2015) peak noise hour. Proposed noise mitigation measures, if required, including location and length and height of barriers. The report will also include identification of areas for which noise mitigation will not be provided and the reasons therefore. 8. Bight -of --Way Relocation impact Study This study addresses the social and economic impact of developments that will need to be relocated as a result of PROJECT. Characteristics of potential relocations will be defined, including type of business, number of residences, owner/tenant occupation, number of employees affected, and relocation difficulties based on type of business and availability of replacement housing/business space. Measures to mitigate impacts will be investigated, and the relocation assistance programs and policies will be described. Suggested mitigation measures will be submitted in a letter which accompanies the formal report. Mitigation measures will not be included in the formal report. 9. Visual Impact Assessment This report will address question number 50 from the Environmental Significance Checklist, "Will the proposal (either directly or indirectly) affect any scenic resources or result in the obstruction of any scenic vista or view open to the public, or creation of an aesthetically offensive site open to public view?" It will address the internal aesthetics, relational aesthetics, and environmental aesthetics of the PROJECT. The viewshed will be mapped, and key views will be identified. Existing visual resources and viewer responses will be analyzed. The visual appearance of the PROJECT alternatives will be depicted. Visual impacts of the PROJECI' alternatives will be assessed. Both the view of the road and the view from the road will be addressed. The number of viewers and their location will be identified. Suggested mitigation measures will be submitted in a letter which accompanies the formal report. Mitigation measures will not be included in the formal report. The level of detail in the Visual Impact Assessment will reflect the nature and significance of visual impacts. 10. Fnergy Analysis The CONSULTANT shall prepare the Energy Analysis in conformance with CALTRANS and Federal Guidelines. `Ile following requirements pertain to the energy report: The report shall address and analyze energy requirements and consumption impacts for each project alternative, including the no build alternative, and describe the methodology used for analysis. • • The report should cover effects of future mode shift predictions, vehicle occupancies expected, and appurtenant features coincidentally proposed (eg. sound walls) that do not bear on the facilities' operational efficiency and therefore are not included in the construction energy calculation. PROJECT alternatives must be compared as to direct energy consumption for the vehicles using the facility. Urban fuel consumption rates must be used if congested conditions exist. The report shall' also address indirect energy consumption (eg. vehicle wearout). Indirect energy typically amounts to 2/3 of the propulsion fuel. The report shall address construction energy and payback period. Construction energy can be approximated by equating $10 of construction costs to one gallon of oil. The construction energy payback period is equal to the construction energy divided by the average yearly energy savings (AYES). AYES is an average of conditions when the facility is opened and 20 years hence. 11. Section 4(0 Evaluation (if required) Potential Section 4(0 properties will be identified and proposed alternatives will be assessed to determine if a Section 4(0 involvement is likely. If Involvement is likely, an analysis of alternatives to avoid taking of Section 4(0 lands will be undertaken. If a Section 4(0 involvement is unavoidable, draft and final Section 4(0 Evaluations will be prepared for processing within the Draft Environmental Impact Statement/Report (DEIS) and Final Environmental Impact Statement/Report (FEIR) documents. 12. graft and Final EIS/EIR Screencheck, draft and final EIS/EIR's will be prepared in accordance with CEQA, CALTRANS, and FHWA regulations and guidelines. Review copies will be prepared and provided to PROGRAMS' REPRESENTATIVE for review and comment. Appropriate revisions will be made, and the reports will be printed and distributed in accordance with the CALTRANS guidelines. Responses will be prepared for all substantive comments received at the Public Hearing, and the Final EIS/EIR will reflect these responses, as appropriate. In conjunction with preparation of the • • Final EIS/EIR, the draft Record of Decision, draft Findings and draft Notice of Determination will be prepared and submitted to PROGRAMS' REPRESENTATIVE for review and approval. 13. Public Hearing Exhibits CONSULTANT will prepare all exhibits necessary for the public hearing. Exhibits may include drawings of alternative alignments, perspective drawings, handouts, or aerial photos of the PROJECT, as deemed necessary to adequately portray the PROJECT to the public. Drawings will be of a size and style so as to be clearly seen. 14. Second -Tier Subcontractors In the performance of some of the specialized environmental work tasks, use will be made of second -tier subcontractors. Myra L. Frank & Associates will use an Archaeologist ($5,000 fee) and a Technical Editor ($1,920 fee). Livingstone -Parks will use a Landscape Architect ($25,200 fee), a Relocation Analyst 026,400 fee), a Court Reporter ($1,200 fee), and Graphics Labor ($1,600 fee) for meeting exhibits. These fees are included in the total project cost estimate under Direct Costs. C. Scope of Services - Engineering 1. Documents. Data. Permits and Approvals from other Governing Agencies CONSULTANT, with the assistance of COMMISSION and CALTRANS, will obtain required documents, data, permits and approvals from governing agencies. a. As -Built Plans Copies of existing As -Built plans will be obtained from CALTRANS for the area of this PROJECT. These plans show what was done in the past, but are not a substitute for field review of the PROJECT. A conglomeration of As -Built plans will not necessarily give an accurate picture of what currently exists in the field. b. Digitized Topographic Maps The PROGRAMS' REPRESENTATIVE will supply CONSULTANT with magnetic tapes in InterGraph IGDS Version 8.8 containing complete topographic maps of • • • PROJECT at scales of 1 inch equals 200 feet and 1 inch equals 50 feet. Maps will include contours (5 foot intervals for 1 inch equals 200 feet mapping and 2 foot intervals for l inch equals 50 feet mapping), trees, waterways, buildings, fences, roadways, and other topographic information. All features will be on the appropriate levels as identified in CADD Users Manual of Instructions, CONSULTANT will coordinate with COMMISSION'S consultants (Psomas and NBSJLowry) in the preparation of the digitized topographic maps. c. Might of Entry The PROGRAMS' REPRESENTATIVE will have responsibility for obtaining any Right of Entry permits from adjacent property owners necessary for the performance of PROJECT 2. Traffic a. Traffic Counts. Projections. and Accident Data CONSULTANT will obtain from CALTRANS accident data j necessary for this PROJECT. COMMISSION will supply existing traffic counts and traffic projections. CONSULTANT will identify to COMMISSION any additional counts and projections that are needed, with a schedule of required due dates. b. Traffic Analysis CONSULTANT will coordinate with the COMMISSION'S traffic modeling consultant (DKS) in their development of the revised RIVSAN model and identification of specific traffic data needs of the CONSULTANT. Operational analysis will be performed for all interchanges and freeway mainline segments for AM and PM peak hours for existing conditions for years 2000, 2010, and 2015. The operational analysis will show freeway volumes, ramp volumes, interchange turning volumes, volume to capacity ratios, and levels of service. lite traffic analysis will be based upon traffic counts and projections furnished by the COMMISSION'S traffic consultant (DKS). • • A traffic operation analysis will be performed for all proposed detours. The analysis will show how much traffic is projected to use the detour and how much would likely be diverted to local streets. The final detour plan shall be approved by the COMMISSION. c. Circulation Impact Report - University of California, Riverside Area One of the PROGRAMS' REPRESENTATIVE environmental consultants (ISA) is currently preparing an EIR for UCR expansion plans which includes the analysis of pedestrian and bicycle circulation needs. 'l'lie CONSULTANT will coordinate with LSA, and will identify the pedestrian and bicycle circulation needs through the I-215 corridor in the vicinity of UCR and recommend improvements which will accommodate these needs. 3. Right -of -Way Maps CONSULTANT will obtain from CALTRANS copies of maps detailing the existing State Right -of -Way. The CONSULTANT will also obtain copies of County tax maps and other available property ownership information for the areas adjacent to I-21S. 4. Draft Freeway Agreements CONSULTANT will prepare draft Freeway Agreements if required. These documents will show the ultimate freeway development, the location of interchanges, grade separations, roads to be closed or relocated, and frontage roads to be constructed. 5. Geometric a. Preliminary Geometric Drawings These will consist of drawings of the alternatives produced from the planimetric base maps furnished by the PROGRAMS' REPRESENTATIVE on magnetic tape. These drawings will then be enhanced to show geometric anti drainage features, approximate alignment and grades, cut and fill slopes, and right-of-way lines. The drawings shall provide sufficient detail to allow identification of the scope of the PROJECT and its impacts on the surrounding environment and to make cost estimates. • • b. Preliminary Detour Plan- Detour Staging with Construction & in This will consist of drawings showing all detours proposed, including number of lanes, order of staging of detours, and work to be completed under each detour. c. Preliminary 1Wical Cross Section Preliminary drawings showing lane widths, shoulder widths, median widths, and approximate width of outside slopes and any decessary ditches. These drawings are to be used in the development of Ilse Environmental Document. d. Safety Analysis Report This report will identify safety concerns that should be considered in the development of the PROJECT. 6. Eilts All files and correspondence relating to this PROJECI' shall be turned over to PROGRAMS' REPRESENTATIVE for transmittal to CALTRANS at the end of the PROJECT'. This will include all working data, field data, and background information used in creating the deliverables listed in the Scope of Services. D. Deliverables 1. If the CONSULTANT fails to submit the required deliverable items set forth in this Section, the PROGRAMS' REPRESENTATIVE shall have the right to withhold payment, and/or terminate this Agreement in accordance with the provisions entitled "Termination" to be included in the contract. 2. CONSULTANT shall prepare and update a critical path (CPM) network for the PROJECT showing a deliverable schedule as well as other relevant data needed for CONSULTANT'S work control and PROGRAMS' REPRESENTATIVE review of work status. 3. CONSULTANT shall provide services for the PROJECT in close liaison with the PROGRAMS' REPRESENTATIVE and CALTRANS. CALTRANS will exercise review and approval functions at key points in the development process. Milestone ' project design reviews will be performed by CALTRANS for the specific products and deliverables listed herein. • • 4. CONSULTANT shall submit all deliverables to the PROGRAMS' REPRESENTATIVE. The PROGRAMS' REPRESENTATIVE will, fourteen (14) days prior to the due date, advise the CONSULTANT of the number of copies required and may, at his discretion, direct the CONSULTANT to submit originals and/or copies directly to CALTRANS and others. S. CONSULTANT shall obtain written approval from the PROGRAMS' REPRESENTATIVE for each of the following deliverables: environmental a. Project Category Determination b. Notice of Preparation c. Notice of Intent d. Area of Potential Effect Map e. Archaeological Survey Report f. Historic Property Survey Report g. Historic Architecture Survey Report h. Scoping Meeting Exhibits, Handouts, Agenda, and Reports i. Natural Environmental Study Report j. Socioeconomic Report k. Air Quality Analysis 1. Energy Analysis m. Visual Impact Assessment n. Noise Report o. , Biological Assessment p. Floodplain Evaluation Report q. Section 4(1) Evaluation (if required) r. Water Quality Analysis s. Right -of -Way Relocation impact Study t. ROW Data Sheets u. Screencheck Draft EIS/EIR v. Draft EIS/EIR w. Notice of Public Hearing x. Public Hearing Exhibits y. Record of Public I learing • • z. Responses to Comments on Draft EIS/Ellt aa. Final EIS/EIR ab. Draft Record of Decision ac. Draft Findings (including Statement of Overriding Consideration) ad. Draft Notice of Determination ae. Notice of Completion ]engineering a. Traffic Analysis for each Alternative b. Preliminary Geometric Drawings with Plan and Profile for each Alternative c. Construction Cost Estimate for each Alternative d. Preliminary 1Wical Cross Sections e. Preliminary Detour Drawings f. Advanced Planning Studies (Structures) g. Preliminary Right -of -Way Requirements h. Technical Studies Reports i. Hydrology and Drainage Study j. Project Report k. Preferred Alternative Selection Report I. Project Approval Report m. Draft Freeway Agreements (if required) • • AGREEMENT NO. R09018 STATE ROUTE 215 IMPROVEMENT PROJECT' FROM ROUTE 601N THE CITY OF MORN VALLEY, RIVERSIDE COUNTY TO ROUTE 101N THE CITY OF COLTON, SAN BERNARDINO COUN'T'Y APPENDIX •B• SCHEDULE OF PHASE 1 SERVICE$ The deliverables and associated tasks identified in Appendix "A" shall be completed and submitted in accordance with the following schedule: MILESTONE SCIIEDUI,E A. Milestone (PHASE I) Consultant on Board First Milestone: Written Notice of Initiation of Studies Coordination with Commission's Traffic and Topographic Consultants Project Category Determidation Quality Control Plan Notice of intent Notice of Preparation Environmental Checklist Anticipated Months After Target Contract Date for Fxecutioq Completion 4 Second Milestone: Traffic Analysis Preliminary Geometric Drawings With Plan and Profile for each Alternative May 7, 1990 Aug. 6, 1990 March 4, 1991 • • Construction Cost Estimates for each Alternative Preliminary Typical Cross Sections Preliminary Detour Drawings Area of Potential Effects Map Advanced Planning Studies (Structure Estimates) Hold Initial Public Informational Meetings Preliminary Right-of-way Requirements Preliminary Relinquishment Cost Study (if required) Safety Analysis for each Alternative Third Milestone: 12 May 6, 1991 Draft Archaeological Survey Report* Draft Historic Architecture Survey Report Draft Historic Property Survey Report Scoping Meeting Exhibits, Handouts, Agenda, and Report Agency Scoping Meeting Newsletter/Public Scoping Meeting Scoping Report •If Archaeological site testing is found to be necessary, this milestone delivery date will have to be extended. Fourth Milestone: ],� June 3, 1991 Draft Natural Environmental Study Report• • Draft Socioeconomic Report Draft Air Quality Analysis Draft Energy Analysis Draft Visual Impact Assessment Draft Noise Report Draft Biological Assessment Draft Floodplain Evaluation Report Draft Hydrology and Drainage Study Draft Section 4(f) Evaluation (if required) Draft Water Quality Analysis Draft Circulation Impact Report Draft Right-of-way Relocation Impact Study • **If hazardous waste testing (PSI) becomes necessary, the milestone delivery date for this milestone will have to be extended. Fifth Milestone: Final Environmental Studies and Reports Draft Project Report Screencheck Draft EIS/EIR Newsletter/Public Meeting 15 August S, 1991 Sixth Milestone: ]Z November 4, 1991 Project Report Draft EIS/EIR Seventh Milestone: Notice of Public Hearing Circulation of Draft EIS/BIR for comment Newsletter/Public Meeting Eighth Milestone: Public Hearing Exhibits Public Hearing February 3, 1992 March 2, 1992 • • • Ninth Milestone: 2.1 April 6, 1992 Record of Public Hearing Responses to Comments on Draft EIS/EIR Tenth Milestone: 24 May 4, 1992 Preferred Alternative Selection Report Eleventh Milestone: 2fi July 6, 1992 Final EIS/EIR Project Approval Report Draft Record of Decision Draft Findings (Including Statement of Overriding Considerations) Draft Notice of Determination Twelfth Milestone: 3Q Final EIS/EIR Availability Inter Governmental Review, Public, etc. Project Approval by STATE Notice of Determination Filed Project Approval by FHWA Nov. 2, 1992 Milestones may be changed by written agreement between COMMISSION and the CONSULTANT. B. Materials To Be Furnished By COMMISSION, AND CALTRANS: Planimetric Mapping Aerial Photos and Mosaics Pertinent Correspondence Hazardous Waste Initial Site Assessment Hazardous Waste Preliminary Site Investigation (if necessary) Vehicular and Pedestrian Traffic Counts, Projections and Accident Data Communications from COMMISSION and CALTRANS Freeway Agreements with Local Agencies (Existing) Right of Entry (Local Property) Information From Monitoring of Public Agency Involvement • • C. Assistance To CONSULTANT The COMMISSION and CALTRANS will assist the CONSULTANT in obtaining the following: Survey Control Data Copies of As -Built Plans Existing Material Data Existing Right -of -Way Maps CALTRANS Encroachment Permits Correspondence with FHWA and CALTRANS CALTRANS Review and Approvals Right of Entry. Encroachment Permits D. Modification to the Schedule In the event the schedule for the services is modified, and the modified schedule is approved by the PROGRAMS' REPRESENTATIVE, CONSULTANT shall submit a revised Milestone Schedule to be substituted in Item A above. If requested by the PROGRAMS' REPRESENTATIVE, CONSULTANT shall submit a corresponding revised Detailed Schedule. CONSULTANT shall then perform the work in accordance with the revised Milestone Schedule. E. Terms of Agreement Unless an extension of time is mutually agreed upon by the PROGRAMS' REPRESENTATIVE and CONSULTANT, this Agreement shall terminate, except with respect to claims arising prior thereto, on or about February 1993. • Milestones Project chedule Project Report & Environmental Document for Route 215 RCTC/ SANBAG/ CALTRANS 1 2 3 4 Months from Notice to Proceed 27 29 31 Milestone #1 Milestone #2 Milestone #3 Milestone #4 Caltrans Review Milestone #S Caltrans Review Milestone #6 Milestone #7 Milestone #8 Milestone #9 Milestone #10 Milestone #11 Milestone #12 - - - - -- -- -- - - - -- -- —., _. � �■� ~ _ f..I iA., &o JV J.& I 33 �w�wnrr I I I • • • • AGREEMENT NO. R09018 STATE ROUTE 215 IMPROVEMENT PROJECT FROM ROUTE 601N THE CITY OF MORENO VALLEY, RIVERSIDE COUNTY TO ROUTE 10 IN THE CITY OF COLTON, SAN BERNARDINO COUNTY APPENDIX "C" COMPENSATION AND PAYMENT FOR PHASE 1 SERVICES Pursuant to the Provisions of Article IV, Compensation and Payment, Services performed by CONSULTANT under this Agreement shall be compensated as described herein. A. COMPENSATION For the satisfactory performance and completion of the services under this Agreement, the COMMISSION will pay the CONSULTANT compensation comprised of the following elements: Direct Labor Costs, a Fixed Fee, and reimbursement for Other Direct Costs. 1.0 DIRECT LABOR COSTS Direct Labor Costs shall be paid in an amount equal to the product of the Direct Salary Costs and the Multiplier which are defined as follows: 1.1 Direct Salary Costs Direct Salary Costs are the base salaries and wages actually paid to CONSULTANTS personnel directly engaged in the performance of the services. (The range of hourly rates paid to CONSULTANTS personnel appears in section 4 below.) • 1.2 Multiplier The multiplier to be applied to the Direct Salary Costs to determine Direct Labor Costs is 238%, and is the sum of the following components: C 1 • • 1.2.1 Direct Salary Costs 100%n 1.2.2 Payroll Additives The decimal ratio of Payroll Additives to Direct Salary Costs. Payroll Additives include all employee benefits, allowances for vacation, sick leave and holidays, and company portion of employee insurance and social security and retirement benefits, all federal and state payroll taxes, premiums for public liability and property damage liability, and all other insurance premiums measured by payroll costs, and other contributions and benefits imposed by applicable law and regulations. Payroll additives are currently 39.5%. 1.2.3 Overhead Costs The decimal ratio of allowable Overhead Costs to Direct Salary Costs. Allowable Overhead Costs include general, administrative, and overhead costs of maintaining and operating established offices, consistent with established firm policies and as defined in the Federal Acquisitions Regulations, Part 31.2. Overhead costs are currently 98.5%. Total Multiplier; 238% (sum of 1.2.1, 1.2.2, and 1.2.3) 2.0 FIXED FEE 2.1 Fixed Fee is $246,833. 2.2 A pro-rata share of Fixed Fee shall be included on each monthly invoice. The pro-rata share shall be determined as the percentage of total contract services completed as of the invoice date. 2.3 A handling charge of 3% of subcontractor costs incurred as of the invoice date shall be included on each monthly invoice. C 2 • • 3.0 OTHER DIRECT COSTS Other Direct Costs directly identifiable to the performance of the services of this Agreement shall be reimbursed at actual invoiced costs. 4.0 DIRECT SALARY RATES 4.1 Direct Salary Rates shall be applicable to both straight time and overtime work, unless payment of premium for overtime work is required by law or other regulation or agreement. In such event, the premium portion of Direct Salary Costs will not be subject to Multiplier defined in paragraph 1.2 above. 4.2 Direct Salary Rates for PBO&D are as Follows: Position or Classification Range of hourly Rates (S) Project Manager 42.00.48.00 Engineering Mgr./Environmental Mgr. 36.00.40.00 Sr. Eng./Sr. Environ/Sr. Traffic 28.00.36.00 Engineer/Environmentalist 20.00 - 26.00 Technician/Drafter 14.00 - 20.00 Administrative Support 12.00. 19.00 4.3 The Direct Salary Rates in Section 4.2 are subject to adjustment to reflect CONSULTANTS adjustments to individual compensation. For purposes of developing a cost estimate for the PROJECT, an average escalation of S% per year compounded was utilized. The cost summary shown in Appendix D includes this escalation. B. INVOICING AND PAYMENT 1. CONSULTANT shall submit invoices monthly for services performed during the preceding month. The charges for each Milestone listed in Appendix B, Schedule of Phase I Services, shall be listed separately. C 3 • • • 2. CONSULTANT shall submit invoices in accordance with the requirement of the "Invoicing Procedure" provided by the PROGRAMS' REPRESENTATIVE. 3. CONSULTANT shall submit original invoice and two copies to the PROGRAMS' REPRESENTATIVE. 4. Payment will be made to CONSULTANT within a reasonable period (four to five weeks) after receipt by PROGRAMS' REPRESENTATIVE. 5. The Final Payment. under the Agreement will be made only after COMMISSION has executed a Release and Certificate of Final Payment. C 4 r �: • • RIVERSIDE COUNTY TRANSPORTATION COMMISSION May 9, 1990 TO: Riverside County Transportation Commission FROM: Mark T. Massman, Measure A Project Manager THROUGH: Jack Reagan, Executive Director SUBJECT: Contract Revision for Route 91 Final Design - Magnolia to Main Street - Parsons Brinckerhoff Quade & Douglas, Inc. The final design work for the Route 91 HOV project between Magnolia Avenue in Riverside and Main Street in Corona is nearing completion. The work is being performed under contract with Parsons Brinkerhoff Quade & Douglas, Inc. (PBQ&D). PBQ&D is performing the work jointly with the subcontracted firm of J.F. Davidson. The work has been progressing well and the draft PS&E has been recently reviewed by Caltrans and Bechtel resulting in no major redesign issues. Tasks to be completed include drafting revisions in response to the review comments and design of retaining walls to be included in other PS&E packages. However, PBQ&D has reviewed their staff requirements to complete the work and has projected that a contract amendment will be required in order to complete the work. Under the requirements of this cost reimbursement/fixed fee contract, PBQ&D has requested a contract amendment prior to exceeding the budgetary limits imposed by the contract. PBQ&D has attributed the cost overrun to additional studies needed to evaluate revised soundwall locations, addition of auxiliary lanes between 1-15 and McKinley Avenue, and difficulties with CADD drafting procedures. PBQ&D has projected that approximately $152,804 will be required to complete this work. Staff believes that a portion of this overrun can be attributed to unfamiliarity of J.F. Davidson staff with the CADD Intergraph system required by Caltrans. Staff has, therefore, negotiated with PBQ&D and J.F. Davidson to assume financial responsibility for their CADD problems. In addition, the contract will be converted to a lump sum/fixed price arrangement order to preclude further increases. These actions have resulted in a $44,000 reduction in the amendment proposal. Included in your agenda package is a summary of the status of the contract including the contract closeout amendment negotiated with PBQ&D. Also included is a draft amendment to execute these contract changes. AGENDA ITEM #7D MAY 9, 1994) • • • • Page Two May 9, 1990 Contract Revision for Route 91 Final Design There are two options which may be considered. The first is to approve the contract amendment as negotiated by staff. Alternatively, we may remove the remaining soundwall design work from the contract scope and assign it to one of the other consultants working on the Route 91 project. The latter option will allow PBQ&D to complete the reduced work within the currently approved budget allocation of $632,500. BUDGET AND FINANCE COMMITTEE RECOMMENDATION The Budget and Finance Committee will review this item and any action taken will be presented at the Commission meeting. STAFF RECOMMENDATION Staff recommends that the Commission approve the amendment at the reduced amount negotiated by staff. Completion of the work at the proposed cost of $676,500 represents a fee of 8.4 percent of constructed cost, which is deemed reasonable. Overall, the cumulative work Route 91 is within the 1989-90 budget allocation for this project. JR/MM:sc • i OOS'9L9S 0 OOS'9L9S b08'80 LS + O0V + V11J.X3 031S3031:1 O,08d OOS'ZE9S b08'b9S 969'L9SS 6Sb'LZS - NOIlOf1O3d 11313101dWV1j OOS'ZE9S SIs£'LES SS l'S6SS S£L'SS + A3A1:111S 1SVO9 EIOA X1:10M V1I1X3 OOS'ZE9S 080'EPS OZY68SS OZVPLS + 3A31:19 3111S3W 110d HI:IOM VE11X3 OOS'Z£9S OOS'LSS 000'SLSS lOVELLNOOIVNI9IdO 1OV1:11N0O >180M 1OV1:11NOO 1:1301:10 1V101 VI:11X3 3SV8 39NVHO Atdmoms isoo 10d1:11N00 OVOEld • • AMENDMENT NO. 1 TO AGREEMENT NO. R-89-2 BETWEEN THE RIVERSIDE COUNTY TRANSPORTATION COMMISSION AND PARSONS BRINCKERHOFF QUADS & DOUGLAS, INC. "SCOPE OF WORK" This amendment to the agreement will provide additional funds for payment of the preparation of Plans, Specifications and Estimate for the "Measure A" Median widening Project on State Route 91 from Magnolia Avenue to Main Street. It will also convert this contract from "cost plus fixed fee" to "lump sum fixed price." Location and Purpose The Project is located in Riverside County on Route 91 between Magnolia Avenue in the City of Riverside and Main Street in the City of Corona. It includes the widening of Route 91 both in the median areas and on the outside of existing travel ways within the CHP Enforcement Area. Construction work to be done will include grading and paving for the additional lanes, modification to existing drainage facilities, construction of CHP Enforcement Area, construction of retaining walls and sound walls, and, construction of auxiliary lanes, and modifications to roadway signing and delineation. Scope of Added Services The scope of added services includes additional Soundwall studies throughout the project boundaries and final design work for the addition of an Auxiliary Lane in each direction between Interstate 15 and McKinley Avenue in Corona. ,Soundwall Study - Identify locations of walls within the existing Right -of Way. - Determine feasibility of wall locations at Right -of -Way in lieu of the edge of pavement. - Identify Drainage and earthwork requirements - Review Supplementary Noise report for wall height and location - Determine economics of wall design and recommend type of wall to be constructed Final Design of Auxiliary Lane from I-15 to McKinley Ave. - Prepare additional Plans, Specifications and Estimate • • • • • Schedule of Added Services - May 11, 1990 Complete Revision to Draft PS&E. - June 7, 1990 Submit Final Plans, Specifications and Estimate Added Cost of Services The total cost of additional services is $108,804.00. The total value of the service performed pursuant to the original agreement (No. R-89-2) and this amendment is then fixed at $ 676,500.00. The Consultant agrees to complete all work under this Amendment and the original contract for this amount. The Validity of Contract The original agreement between the parties (No. R-89-2) shall remain in full force and effect to the extent that it is not inconsistent with this amendment, and all services provided hereunder shall be provided in manner consistent with and governed by the original agreement. In witness thereof, Commission and Parsons Brinckerhoff Quade and Douglas, Inc. have by order caused the Agreement to be amended and Subscribed on their behalf by the binding authority of each, caused the Agreement to be amended and subscribed on its behalf by duly authorized signees. RIVERSIDE COUNTY TRANSPORTATION COMMISSION BY Kay Ceniceros, Chairperson Date PARSONS BRINCKERHOFF QUADS & DOUGLAS, INC. BY Martin Rubin Date Principal -in -Charge Approved to Form and Legality BY Best, Best & Krieger Counsel for the Riverside County Transportation Commission Date • • • • RIVERSIDE COUNTY TRANSPORTATION COMMISSION May 9, 1990 TO: Riverside County Transportation Commission FROM: Marilyn Williams, Staff Analyst III THROUGH: Jack Reagan, Executive Director SUBJECT: Measure A Park-n-Ride Program At the April 11, 1990, Commission meeting, staff reviewed its efforts to solicit proposals from real estate firms to assist in negotiating joint use leases of existing parking lots along the Route 91, Route 60 and other major roadways to create park-n-ride lots. Based on the submittal of only one proposal, the Commission directed staff to solicit additional proposals. Given the initial low response, it was decided to refocused staffs effort toward firms with transportation related experience. Three firms were contacted: Inland Transportation Services, TDM Associates, and Stevens/Garland Associates, Inc. All three firms expressed interest in the project. Attached are copies of the two proposals which were received. Both Inland Transportation Services and Stevens/Garland Associates, Inc. submitted quotes of $65.00 per hour. Given that this will be the first efforts made by RCTC to lease existing parking spaces there is no experience upon which to estimate the number of hours it may take to formalize lease agreements. To encourage performance, staff recommends that both firms be hired to perform services with the anticipation that lease agreements will be formalized within a four month period. The use of two firms will provide a comparative base to evaluate performance and estimate future project needs. BUDGET & FINANCE COMMITTEE RECOMMENDATION The recommendation of the Budget & Finance Committee will be reported at the Commission meeting. STAFF RECOMMENDATION Staff recommends that the Commission award a contract for services to Inland Transportation Services and Stevens/Garland Associates, Inc. for an hourly rate not to exceed $65.00/hour, subject to review and approval by Legal Counsel. MW:sc attachments AGENDA ITEM #71: MAY 9, 1990 LIIILI• •.•1•I.6 Jl. •.11 1 1•• -•IJ• . 1 • • • • • STEVENS/GARLAND ASSOCIATES, INC. April 26, 1990 Transmitted_ aiLi SIBi le Re: Quote for Park-N-Rids Lease Negotiations Dear Marilyn: An you requested over the telephone, I have prepared a letter quote of our raters to conduct Park-N-Ride lease negotiations for the Commission. The proposed rates are as follows: Jonathan Stevens Mark McLaren $65/hr $45/hr The quoted rates are substantially lower than our current rates of $80.00 and $55.00, respectively. We would use the Best, Best and Krieger lease tors as the standard and would provide monthly contact summaries and status reports. I would take primary responsibility for the negotiations and would use Mark McLaren as support in order to minimise costs. As i mentioned previously, I have negotiated leases for the City of Santa Ana for its Regional Transportation Center. I have also prepared the tenant lease plan for the Oxnard Transportation Center, and worked closely with Caltrans staff throughout the state. In my capacity as an attorney, 1 have reviewed and prepared numerous leases. However, it is understood that I will not give the Commission legal advice regarding any leases. Mr. McLaren has worked as a property development consultant in Austin, Texas and Mannassas, Virginia. He is a recent but extremely capable member of our team who is experienced in a myriad of property lease, sale and development agreements. We have previously worked together on development phasing and cost sharing agreements for an 80 acre project in Austin, Texas. I look forward to an opportunity to work with the RCTC. If these rates are agreeable, I would be happy to prepare a letter agreement or review the Commission's form agreement. Very truly yours, STE NB/GA LAND ASS IATES, INC. (.� • Jon than C. Stevens Iiantrniutian.. and 1:si soil Environmental Contnitind SOS City Nam." 1htst. &Ike 900. Ckingr. Calilutnia 9366A G k rhnnr • 714;147.14a2 1 o..intil • 714/970 0739 • • April 26.1990 Inland Transportation Services 404 Armsley Square Ontario, CA. 91762 Ms. Marilyn Williams Staff Analyst Riverside t',ounty Transportation Commission 3360 University Avenue, Suite 100 Riverside, CA. 92301 Dear Ma. Williams: Subsequent to our conversation yesterday, 1 am submitting this letter to present our hourly consulting rate without an incentive/bonus program. As provided in our proposal dated April 24,1990, our customary consulting fee is S65.00 an hour. We are very excited about the possibility of an incentive/bonus program and are willing to develop some creative alternatives to address the concerns of RCTC"s legal counsel. With this in mind, we are still open land would prefer) to negotiate a lower hourly rate. Also, depending on the term of the contract. we would be willing to negotiate a lower hourly flat rate. Pleased be assured that inland Transports Services (ITS) will provide the highest level of service/results regardlc:.+ of the financial arrangement. As mentioned in our proposal, ITS is focused on providing services within the Inland Empire and view this project as an opportunity for a continued working relationship with the Commission on future projects. We look forward to hearing from you soon. Sincerely. 26'` `' William C. McCaughey • • COMPANT DAC[GROUND Inland Transportation Services (ITS) was formed in November,1989. The company was formed to fill tho mood for transportation consulting services in the Inland Empire. Although the implementation of the South Coast Air Quality Management District's Regulation XV has fueled the proliferation of the transportation consulting market, there are few, if any, transportation consulting firms which are based and dedicated to providing service in the Inland Empire. ITS specializes in the implementation of transportation demand management (TDM) strategies. ITS is uniquely qualified to satisfy RCTC's needs because of the background and professional etperienc:e of William C. McCaughey (WCM) and Stephen H. McCaughey (SLIM). WCM has over ten years of TDM experience and has been directly involved with state and local agencies in the identification of potential park and ride facilities and promotion of lot usage. WCM has lived in the Inland Empire for 18 years and managed the Inland office for Commuter Transportation Services Inc. for over two years. SIIM has over eight years of public transit experience and has negotiated and written a wide variety of contracts/leases. SIIM was the Chief Financial Officer for Riverside Transit Agency for over five years and also has experience in locating and securing park and ride facilities. SIIM has been living in the Inland Empire for over 20 years including six as a resident of Riverside. • • • • RIVERSIDE COUNTY TRANSPORTATION COMMISSION May 9, 1990 TO: Riverside County Transportation Commission FROM: Jack Reagan, Executive Director SUBJECT: Selection Process for Underwriters The Measure A: Short Range Financial Plan for Implementation of Highway and Commuter Rail Projects was presented to the Commission during your January 10, 1990 meeting. At that time, RCTC committed to initiate the selection of underwriters within FY 1989-90 in preparation for negotiated sale of bonds within FY 1990-91. Included in your agenda packet is a proposed "Request for Proposal" prepared by Doug Auslander of Security Pacific, co - financial advisor to RCTC. Mr. Auslander should be present during the meeting to review the RFP and proposed selection process with the Commission. The Commission's guidance concerning members who should participate in the initial screening process and ultimate selection will be sought. BUDGET AND FINANCE COMMITTEE RECOMMENDATION The item will be referred to the Budget and Finance Committee for recommendations, if any. STAFF RECOMMENDATION The Commission should review and discuss the material and determine the appropriate representation during the screening and selection process. JR:sc AGENDA ITEM #714 MAY 9, 1990 Security Pacific Merchant • • ....... 1 ..... ��. 1 tl I• . I • • Bank April 26, 1990 Mr. Jack Reagan Executive Director Riverside County Transportation Commission 3560 University Avenue, Suite 100 Riverside, California 92501 Dear Jack: RECEIVED ED APR 271990 Riverside County Transportation Commission Enclosed please find the Request for Proposal of the Riverside County Transportation Commission to serve as Underwriter. If you should have any questions or comments, please do not hesitate to contact me at (213) 229-1425. Sincerely, 1 Douglas K. Auslander Vice President DKA/ijt Enclosure dda0reagan.jt • • RIVERSIDE COUNTY TRANSPORTATION COMMISSION REQUEST FOR PROPOSAL to serve as UNDERWRITER for the IMPLEMENTATION OF HIGHWAY AND COMMUTER RAIL PROJECTS through the issuance of RIVERSIDE COUNTY TRANSPORTATION COMMISSION SALES TAX REVENUE LIMITED OBLIGATIONS RFP Issue Date: Proposals Due: 5:00 P.M.. At the locations set forth herein. • • Riverside County Transportation Commission Request for Proposal Summary Issuer: Riverside County Transportation Commission Contract Form: The Commission is embarking on a multi -year capital program and intends to engage an underwriting team for an extended period of time. Proposals Due: Proposals will be accepted until 5:00 P.M. on at: Riverside County Transportation commission 3560 University Avenue, Suite 100 Riverside, California 92501 Inquiries: Questions should be directed to the following: Mr. Jack Reagan Executive Director Riverside County Transportation Commission Mr. Doug Auslander Security Pacific Merchant Bank Mr. Jonathan Cooley Ernst S Young Mr. Rick Jones O'Melveny b Myers (714) 787-7141 (213) 229-1425 (213) 977-4348 (213) 669-6695 • • • • TABLE OF CONTENTS Section Introduction I Plan of Finance 2 Proposal Requirements 3 Information Requirements 4 Questions 5 Selection Criteria 6 Appendix A - Measure A Ordinance and Plan • • Introduction Background The Riverside County Transportation Commission ("RCTC" of the "Commission") was organized in 1976 under AB 1246 for purposes of planning, programming and to coordinate transportation with Riverside County. The Commission decision -making body is a an eight -member Board of Commissioners. Commission members are appointed. Measure A Measure A was approved by Riverside County voters by a 78.9% majority in November 1988. It provides for an 1/2% sales tax over 20 (twenty) years to generate additional revenues for Riverside County transportation purposes. The Riverside County Transportation Commission ("RCTC" or "the Commission") is responsible for implementing the Measure A Transportation Improvement Plan included in the November ballot. The Measure A Ordinance and Plan as approved is included in Appendix A. In response to the strong voter support of Measure A, RCTC has determined it necessary to implement the planned program and projects as quickly as possible. As a result, RCTC anticipates expediting the projects to provide traffic relief to the public through the planned highway, commuter rail, regional arterial, local streets and roads, and specialized transportation programs. RCTC has retained the firms of Ernst & Young and Security Pacific Merchant Bank to act as financial advisors and work with RCTC, Bechtel Corporation, Caltrans, and local agencies to prepare the "Short -Range Financial Plan." A copy of the Short -Range Financial Plan available upon request. • • PLAN OF FINANCE Purpose The purpose of this Request for Proposal is to enter into an agreement with a qualified firm or firms to act as Senior Managing Underwriter and Co -Managing Underwriters for the Commission, as issuer, in respect to the structuring, marketing and underwriting of a financing program which is limited to $300 million of debt outstanding at any point in time. It is anticipated that the financing will require two component features executed either through a joint strategy or separately. 1. A fixed rate, long-term sales tax backed revenue bond program. 2. A short-term cash flow financing program in commercial paper, note or similar short term mode. Proceeds from both issues will be used to fund the implementation of the Measure A Transportation Improvement Program (see attached) adopted by the voters in November 1988. Scope of Services The Commission intends to select a team of underwriters including a senior managing underwriter and one or more co -managing underwriters. The Commission reserves the right to select a panel of qualified underwriters from which selections will be made for each financing based upon matching the needs of a specific financing with the qualifications presented in responses to this RFP. The primary responsibility of the underwriters shall be the marketing of the Commission's bonds at the most competitive terms available in the tax-exempt market. Many of the traditional underwriting functions, including structuring of debt service and negotiations for bond insurance will be performed for the Authority by its Financial Advisor. The senior managing Underwriter selected through this Request for Proposal shall provide qualified personnel for services which shall include, but may not be limited to, the following: 1. Review and comment upon the projected time schedule of the financing; 2. Review and comment on legal documents and proposed financing structure from the point of view of maximizing the attractiveness of this financing to investors; 3. Assume primary responsibility for all activities associated with marketing and underwriting the limited obligations; 4. Participate in all necessary informational meetings relative to the financing at the request of the Commission; • • 5. Attend and participate in meetings of RCTC at the request of the Commission; 6. Assume responsibility for all blue sky and legal investment matters relating to the sale of the bonds; 7. Assist the Commission, its Financial Advisor and Bond Counsel in other matters as necessary to ensure the successful marketing and sale of the bonds; and 8. Provide a complete post -sale report detailing the placement of the bonds with investors by type and location of investor. The scope of services to be rendered to the Commission by the co -managers in connection with the issuance of the bonds shall include, but not be limited to, assisting the senior managing underwriter in providing the services enumerated above. PROPOSAL REQUIREMENTS General The Commission accepts no financial responsibility for any costs incurred by a firm in either responding to this Request for Proposal or participating in oral presentations. The proposals in response to this Request for Proposal will become the property of the and may be used by the Commission in any way deemed appropriate. The Commission reserves the unqualified right to modify and/or suspend any and all aspects of the Request for Proposal and/or the financing program described herein, to obtain further information from any firm or person responding to the proposal, to waive any defect as to form or content of the Request for Proposal or any response thereto, and to reject any or all responses to this Request for Proposal. The Commission also reserves the right to revise or adjust its evaluation criteria, not to choose any co -managing underwriters at this time, to make separate selections of underwriters for the sale of a long-term or a short-term bond issue, and to solicit new proposals and appoint different underwriters for subsequent bond issues. No person or firm responding to this Request for Proposal shall obtain any claim or right to action against the Commission by reason of any aspect of the Request for Proposal, any defect or irregularities contained herein, any defects or irregularities in the selection process, the rejection of any proposal, the acceptance of any proposal, any statements, representation, acts, or omissions of the Commission, the exercise of any Commission discretion set forth in or with respect to any of the foregoing, and any and all other matters arising out of all or any of the foregoing. Any interpretation of, or change in, the Request for Proposal will be made by addendum to each firm submitting a proposal, and shall become a part of the Request for Proposal and of any contract awarded. The Commission will not be responsible for any other explanation or interpretation. • • • • In connection with the performance of the services by the underwriters selected pursuant to this Request for Proposal, such underwriters shall not discriminate against any employee or applicant for employment because of race, religion, color, sex, physical handicap or national origin. Each underwriter shall take affirmative action to ensure that applicants are employed, and that employees are treated during their employment, without regard to their race, religion, color, sex, physical handicap or national origin. Such actions shall include, but not be limited to, the following: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensations; and selection for training, including apprenticeship. RFP Response In order to be considered for complete signed response to this RFP. must be submitted to the Commission. proposal should be submitted to the the addresses listed below: selection, proposers must submit a Twelve (12) copies of each proposal In addition four (4) copies of each Commissions's Financial Advisors at Douglas K. Auslander Security Pacific Merchant Bank 300 S. Grand Ave., HCP211 Los Angeles, CA 90071 (213) 229-1425 (2 copies) Jonathan Cooley Ernst 3 Young Los Angeles, CA (213) 977-4348 (2 copies) It is preferred that firms respond to this RFP individually. If more than one firm is included in the proposal, background and experience information for each firm should be included and one response to questions regarding approach and issues provided. For joint proposals, the Commission reserves the right to negotiate with the individual firms proposing as part of a team if that is determined to be in the best interests of the Commission. Proposal Preparation a. Proposals shall be signed by an authorized representative. All information requested should be submitted. Failure to submit all information requested may result in a proposal being considered "non -responsive" and, therefore, rejected. b. Proposals should be prepared simply and economically, providing straightforward, concise responses to satisfy RFP requirements. Emphasis should be on completeness and clarity of content. No printed brochures or materials other than written responses to the specific requirements should be provided. In this regard, proposals should be limited to 25 pages in length. c. Each copy of the proposal should be bound in a single volume, wherever practical. All documentation submitted with the proposal should be bound in that single volume. • • • Oral Presentation Proposers may be required to participate in an oral presentation of their proposal to the Selection Committee. This presentation will most likely only include a limited number of firms whose written proposals were judged to warrant further consideration. Commission staff will advise as to the time and location of these interviews. Oral presentations will be held at the option of the Commission and may not be conducted; therefore, proposals should be complete. • • INFORMATION REQUIREMENTS Responses should be as thorough and detailed as possible so that the Selection Committee may properly evaluate your capabilities to provide the required services. Proposers are required to respond to the following questions and requests for information. Letter of Transmittal Each proposal should be accompanied by a letter of transmittal not exceeding three pages which is singed by an officer of the firm who is responsible for committing the firm's resources. Executive Summary Each proposal should include an Executive Summary of not more than three pages which highlights the key points of the proposal and which summarizes the proposer's case as to why such firm should be selected. If you wish to express any preference regarding the structure of an underwriting team, please do so in this section. Basic Information Requirements a. Provide the following: i. Name of firm making the proposal. ii. Name and title of individual preparing and responsible for the proposal. This person may be different from the individual signing the transmittal page. iii. Mailing address. iv. Telephone and telecopier numbers of proposer. v. Statement that individual signing the proposal has the authority to commit the firm to the terms proposed. b. Underwriting Position Indicate whether your firm(s) is interested in being considered as a Senior Managing Underwriter or Co -Managing Underwriter. All firms not considered as Senior Manager will be considered as Co -Manager unless specific requests not to be so considered are forwarded as part of the proposal. If you are applying for a Co -Manager position only, you need to respond only to items I, 2, 3 and 4. No response on "Approach to the Financing" or "Investment Banking Fee Proposal" is necessary. Other Information Requirements a. Basic Information Regarding the Firm Please prepare tabular presentations for the following as of the date which such information is most recently available or make brief statements where appropriate: • • i. Firm Capital (a) Total Capital (b) Equity Capital (c) Net Capital (d) Uncommitted (excess Net) Capital (e) Discuss your firm's ability and willingness, if necessary, to commit capital to underwrite the entire issue at a fair market price. (f) Maximum firm underwriting commitment in 1989 to any single issue and circumstances surrounding this commitment. ii. Public Finance/Municipal Securities Staffing For each of the years 1987, 1988, 1989, and present indicate: (a) Number of professional employees in (1) Public Finance (2) Underwriting (3) Sales and Trading (b) Discuss firm's commitment to municipal investment banking in light of recent industry trends. Rankings as compiled by either PSA, SOC, or IDO Information Services (indicate source) for 1988 and 1989, based upon: (a) All Negotiated Issues (1) Full Credit to Lead Manager (2) Full Credit of Each Manager (b) All Transportation Issues (1) Full Credit to Lead Manager (2) Full Credit to Each Manager (c) Sales Tax Issues (1) Full Credit to Lead Manager (2) Full Credit to Each Manager (d) State of California Issues (1) Full Credit to Lead Manager (2) Full Credit to Each Manager (e) Short Term Issues (1) Full Credit to Lead Manager (2) Full Credit to Each Manager • • iv. State of California Debt Underwriting Record, 1987-Present (a) Name of each Issuer for which you served as underwriter: (1) Total number of financings during period. (2) Total par value of financings during period. (3) Role(s) of firm (Sr. Mgr.; Co -Mgr.; F.A.). (4) Total initial underwriting liability of proposer for selected financing(s). (5) Actual amount of debt sold by proposer for selected financing(s) (excluding sales to broker dealers). (6) Number of issues and amount underwritten through negotiated sales and number and amount sold through competitive sale. (b) Case Studies Provide one case study of your role for a California issuer that you feel best presents your firm's capabilities for the underwriting position for which you have applied. If California experience does not permit response, provide at least one case study for a relevant non -California client. Please limit your response to not more than two (2) pages. v. Sales of Tax-exempt Securities from 1988 to Date (a) Volume and percent of all National issues and California issues tax-exempt sales to: (1) Institutions (2) Bond Funds (3) Retail (4) Other (Specify) National California 1222 122/ 122 1988 1989, 1990 vi. Experience of the Firm in similar transportation financings. (a) Provide a tabular listing of your firm's experience as a senior manager, co -manager or financial advisor for state and local transportation financing programs since 1986 addressing: (1) Name of issuer (2) Role of firm (3) Size of issue(s) (4) Date of issue(s) (5) Ratings of issue (6) Type of sale (competitive or negotiated) (7) Name of individual from your firm who managed this transaction (8) Name of client reference, title and telephone number • • vii. Experience of the Firm in similar sales tax supported financings. (a) Provide a tabular listing of your firm's experience as a senior manager, co -manager or financial advisor for sales tax supported financing programs since 1986 addressing: (1) Name of issuer (2) Role of firm (3) Size of issue(s) (4) Date of issue(s) (5) Ratings of issue (6) Type of sale (competitive or negotiated) (7) Name of individual from your firm who managed this transaction (8) Name of client reference, title and telephone number viii. Describe other experiences with similar municipal issuers which demonstrate your firm's capabilities to work with the Commission on a new credit structure. Please limit your response to not more than two (2) pages. xi. Levine Act Compliance In order to determine compliance with Levine Act requirements, provide a list of all members of the Commission (see p. ii of the Plan of finance for current listing) to whom your firm(s) has contributed $250 or more over the past twelve months. b. Investment Banking Team. Identify and provide biographical background on the following individuals: i. The senior investment banker who will assume the day-to-day and on -site responsibility for managing and supporting this financing for your firm, assuming you serve as Senior Managing Underwriter. If you are applying for a Co -Managing Underwriter, provide background on your lead professional banker. ii. The senior underwriter who will direct the pricing, underwriting and marketing of the bonds. iii. Other member of your public finance investment banking team assigned to this project and the specific role that each can be expected to play. iv. Names of not more than three (3) firms which you would propose to serve as Underwriters' Counsel. v. Discuss your ability to commit professional resources to this financing in the context of the Commission's financing timetable and your firm's outstanding underwriting commitments. vi. What would your recommendations be for increasing the underwriting team to include co -managers? How many co -managers do you feel should be considered? What mix of firms (national, regional, retail, institutional) should be considered? • • Investment Banking Fee Proposal a. Provide a firm indication of the spread (in dollars/$1,000) which would be required if your firm is selected as Senior Managing Underwriter. These numbers will be considered as "bids" (with the exception of takedown and underwriting fee which should be realistically estimated given current market conditions) and will constitute one of the criteria for selection. State the basic financing assumptions on which these are predicated and factors that would affect this quote. Indicate how your fee proposal would deviate, if at all, for the soft and long terra financing elements and for any alternative financing approaches. Please do not provide ranges as the high end of any range will be recorded as your response. CP/Notes Fixes/Long Term i. Average Takedown (est.) f f ii. Management Fee (Sr. Mgr.'s share only) iii.Underwriter's Expenses* iv. Underwriting Fee v. Gross Spread f S S * Provide a detailed supporting breakdown of expenses including underwriter's counsel fees. • • • • QUESTIONS Discuss the following questions and issues which directly bear on the approach to and plan of financing: a. Describe your views on the credit of this financing. Do you feel that the Commission's objective of Al/A+ ratings is realistic based on your review of the Sales Tax Program? Assume for these purposes that the tax revenue earmarked for local streets and roads may not be included in the pledge. In your view, what effect would this have on the proposed financing? What is your view of an appropriate additional bonds test for this program? What specific credit rating issues do you foresee and how would you propose that these be addressed? Other credit issues should be highlighted and an overall bond rating strategy should be discussed. b. Discuss your approach to the short-term cash flow financing program. Is this an appropriate and advisable debt strategy? What are your views, reflecting both debt policy and credit market considerations? Discuss your firms views regarding the relationship between this program and the long-term fixed program. c. Discuss your proposed approach to the structure of the long-term financing program. Again, reflect both debt policy and credit market considerations. What is your firm's outlook on the long term debt markets and how does this perspective affect your thinking on the most appropriate strategy? d. Describe the general credit structure which you would tentatively recommend for this financing, including key covenants, flow of funds and related factors and business terms that should be included in the various contracts, agreements and other documentation. f. Provide a tentative financing schedule including key activities, dates for completion and areas of responsibility so that funds can be delivered by the end of 1990. • • • SELECTION CRITERIA Evaluation Cr UM & Proposals shall be evaluated by the Commission using the following criteria: 1. Overall experience. 2. Financial strength. 3. Experience of the personnel to be assigned. 4. Approach to the work. 5. Understanding of the needs of the Commission 6. Price. 15 points 10 points 20 points 30 points 15 points 10 points Award Criteri4 Two or more proposals deemed to be fully qualified and best suited among those submitting proposals may be identified by the Selection Committee on the basis of the evaluation factors stated in the Request for Proposal. Interviews may be conducted with the purposes so selected. After interviews have been conducted the Selection Committee shall make a recommendation to the Commission regarding which proposer(s) has made the best proposal and should be awarded the Senior Managing Underwriter position. The Selection Committee may also recommend to the Commission that certain firms not recommended as Senior Managing Underwriter be appointed as Co -Managing Underwriter. All recommendations of the Selection Committee are subject to the approval of the Commission. The Commission may cancel this Request for Proposal or reject proposals at any time prior to an award.